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Disciplining employees checklist
Handling employee discipline effectively is essential for maintaining a productive and respectful workplace. This disciplining employees checklist guides you through every step, from creating fair policies to evaluating and implementing disciplinary actions. By following these guidelines, you can ensure consistent, objective, and legally compliant practices that protect your business and support a positive work environment.
Use this checklist to build a structured and fair approach to discipline that helps employees understand expectations and feel respected throughout the process.
How to use this disciplining employees checklist
This disciplining employees checklist is designed to provide clear, actionable steps for managing employee discipline. Here’s how to make the most of it:
- Follow each step in the sequence: Begin with creating and reviewing your policies, then move to evaluating specific situations, and finally, apply the right disciplinary measures. This order ensures a comprehensive approach that builds on each phase.
- Adapt to fit your business: Tailor the checklist based on your specific workplace, industry, and applicable laws. Customize policies and responses to align with your business needs and legal requirements.
- Keep it current: Regularly update this checklist to reflect changes in employment laws and company policies. A current checklist reduces risk and helps maintain a fair workplace.
- Assign responsibilities clearly: Define who will handle each step in the disciplinary process. Having clear roles prevents miscommunication and ensures each task is completed efficiently.
- Review after each disciplinary action: After any disciplinary action, review the checklist to assess what went well and identify areas for improvement. Use these insights to refine your approach for future situations.
Checklist
Create policies and procedures for employee discipline
[ ] Modify policies to reflect your business’s specific requirements. Avoid unnecessary policies that don’t apply to your operations.
[ ] Check that policies align with current laws to prevent liability (e.g., state drug testing rules, medical leave requirements).
[ ] Write policies in plain language. Provide contact info for employees with questions about disciplinary rules.
[ ] Limit excessive details. Use straightforward language to allow discretion in enforcing rules.
[ ] Apply reasonable and fair standards in enforcing the rules. Even if not legally required, fairness is often assessed by courts in employee disputes.
[ ] Avoid impractical or irrelevant rules that are hard to follow or enforce. Consider legal advice to ensure expectations are achievable.
[ ] Distribute written copies to employees, with a signed acknowledgment of receipt. Update and redistribute policies annually.
[ ] Use a respectful and professional tone in policies. Avoid casual language that might lead to employees not taking them seriously.
[ ] Ensure every policy serves a legitimate business reason, particularly regarding personal or off-duty behavior.
[ ] Review policies to ensure consistency and avoid contradictions, especially in overlapping areas like conduct and timekeeping.
[ ] Regularly update policies to reflect new employment laws, regulations, and changes in workplace practices.
[ ] Include disclaimers in disciplinary policies to maintain at-will employment, clarifying that procedures do not create a contract.
[ ] For union or contracted employees, ensure disciplinary actions comply with contract or union terms.
[ ] Avoid policies that restrict legally protected activities, such as whistleblowing, medical leave, disability accommodations, or state-specific protections.
Evaluate whether to impose employee discipline
[ ] Ensure disciplinary actions align with documented company policies and practices. Consistent enforcement helps defend against employment litigation and reinforces credibility.
[ ] Review the employee’s history:
[ ] Check for prior disciplinary actions.
[ ] Confirm that the employee received and acknowledged relevant policies.
[ ] Determine if any supervisor approved the questionable activity.
[ ] Be consistent. Apply discipline uniformly across similar cases.
[ ] Train supervisors to use clear, consistent language when documenting employee issues.
[ ] Address issues as soon as possible after the event occurs. Prompt action:
[ ] Strengthens legal defenses.
[ ] Reduces perception of discrimination or pretext.
[ ] Confirm that disciplinary actions are not retaliatory, especially if the employee has engaged in protected activities (e.g., reporting safety violations, filing complaints).
[ ] Be specific. Document specific behaviors or incidents, avoiding vague terms like “bad attitude” or “poor performance”.
[ ] Be honest. Avoid exaggeration or understatement in documentation.
[ ] Keep the focus on facts, not personal biases or friendships, to prevent accusations of pretext for discrimination.
[ ] Conduct disciplinary discussions in private to avoid embarrassing the employee.
[ ] Maintain a respectful and professional approach.
[ ] Demonstrate fairness in the disciplinary process to reduce the risk of employees feeling wronged and filing lawsuits.
[ ] Keep a detailed written record of the disciplinary action, including:
[ ] Signed and dated acknowledgments from both the employee and employer.
[ ] A copy for the employee and one for their personnel file.
[ ] Provide space for the employee to write their response to the disciplinary action.
[ ] Hold a face-to-face disciplinary meeting:
[ ] Use a prepared script to keep discussions constructive.
[ ] Include a witness in the meeting.
[ ] Choose a neutral, private location to reduce potential confrontations.
[ ] Schedule a follow-up meeting:
[ ] Plan a follow-up meeting within three weeks to three months to review the employee’s progress.
[ ] Use this meeting to evaluate if the employee has met performance expectations and reinforce the goal of improvement.
Considerations for imposing discipline for poor performance
[ ] Use objective criteria to assess performance, whenever possible, to prevent bias.
[ ] Consider using a performance improvement plan (PIP):
[ ] List specific performance issues with clear examples, outlining the areas needing improvement.
[ ] Set clear expectations by defining what successful performance looks like and the steps needed to achieve it.
[ ] Describe the outcomes if performance does not improve (e.g., further disciplinary action).
[ ] Specify available resources to support improvement, like mentoring, tools, or training materials.
[ ] Set up a schedule for progress check-ins or reports to track improvement efforts.
Imposing discipline for policy violations, inappropriate conduct or unlawful activity
[ ] Consider the potential legal exposure for not taking disciplinary action, especially for sexual harassment, workplace violence, discrimination or safety violations. Failure to respond may create liability risks.
[ ] Conduct an internal investigation:
[ ] Begin investigations as soon as misconduct is suspected to gather accurate evidence and statements.
[ ] Tailor the investigation’s scope based on the specific incident.
[ ] Avoid delays between completing the investigation and imposing discipline to reduce the appearance of pretext.
[ ] Only impose discipline for off-duty conduct if there is a legitimate business reason. Consider federal and state protections regarding:
[ ] Criminal history in employment decisions (follow EEOC guidelines to avoid discrimination claims).
[ ] Laws on medical and recreational marijuana use in relevant states.
[ ] Address unlawful on-duty activity with caution:
[ ] On-the-job misconduct is a valid reason for discipline, but take care to avoid defamation claims or wrongful accusations.
[ ] If a crime has occurred, contact state or federal authorities and consult outside counsel for appropriate next steps.
Options for disciplinary measures
[ ] For minor issues (e.g., occasional tardiness), verbal counseling is the first corrective step.
[ ] Record a brief summary of the discussion to establish a record if the behavior continues.
[ ] Conduct face-to-face to ensure the employee understands the expectations for improvement.
[ ] Written warning:
[ ] Written warnings should be used for more serious or repeated infractions to highlight the need for immediate improvement.
[ ] Clearly outline the behavior or performance issue and the steps the employee must take to correct it.
[ ] Store a signed copy in the employee’s file to document that the issue was addressed formally.
[ ] Deliver in person, emphasizing the importance of correction to avoid further action.
[ ] Follow-up written warning:
[ ] Follow-up written warnings should be used for employees who have not improved after the initial written warning, this step reinforces the severity.
[ ] Document progress (or lack thereof) and specify that further failure to improve will likely lead to termination.
[ ] Place a signed copy in the employee’s file to establish a record of progressive discipline.
[ ] Discuss face-to-face to clarify that improvement is critical and that termination may be the next step.
[ ] Performance improvement plan (PIP):
[ ] PIPs should be used for performance issues needing structured guidance and support.
[ ] List areas needing improvement and provide examples of performance issues.
[ ] Set clear, measurable goals for improvement.
[ ] Outline consequences if the employee fails to meet expectations.
[ ] Provide resources for support (e.g., mentors, training programs).
[ ] Define a monitoring schedule, including follow-up meetings to assess progress.
[ ] Place the PIP, signed by the employee and manager, in the personnel file.
[ ] Conduct a face-to-face meeting, ensuring the employee understands each component and feels supported.
[ ] Suspension:
[ ] Suspensions should be reserved for severe cases, especially where an internal investigation is required.
[ ] Keep the suspension as brief as possible, only for the duration of the investigation.
[ ] Check federal and state wage and hour laws to ensure compliance for suspended employees.
[ ] Record details of the suspension, including start and end dates, and investigation findings.
[ ] Clearly communicate the reason for suspension and expected next steps.
[ ] Change in employment terms or conditions:
[ ] Demotions, reassignments, or pay adjustments may be used but come with higher risk of legal claims.
[ ] Changes are often seen as adverse actions, increasing the risk of discrimination or retaliation claims.
[ ] Clearly document the reasons for the change, showing a business-related cause.
[ ] Conduct a face-to-face discussion to ensure clarity and provide the employee with an opportunity to ask questions.
[ ] Termination of employment
[ ] Reserved for the most serious or unresolved issues.
[ ] Confirm the employee was aware of the problem and had an opportunity to address it.
[ ] Follow established protocols (e.g., return of company property, payment of final wages).
[ ] Conduct an exit interview to discuss the separation respectfully and professionally.
[ ] If appropriate, consider offering a separation agreement that includes a waiver of legal claims.
[ ] Maintain a detailed record of termination reasons and process, signed by the employee and manager.
[ ] Conduct face-to-face with a witness present, keeping the tone respectful and clear.
Benefits of using a disciplining employees checklist
Using a disciplining employees checklist offers valuable benefits for employers. Here’s why:
- Promotes fairness and consistency: A checklist ensures that all disciplinary actions are applied uniformly, which helps avoid perceptions of favoritism or bias.
- Reduces legal risks: Following a structured checklist helps ensure that each step aligns with company policies and legal requirements, reducing the risk of disputes or legal action.
- Clarifies expectations: By outlining the entire disciplinary process, this checklist helps employees understand what is expected of them and the potential consequences for policy violations.
- Supports documentation: The checklist prompts proper record-keeping at each stage, creating a clear and organized history of disciplinary actions, which is essential if issues escalate.
- Encourages constructive feedback: With steps for face-to-face meetings, feedback, and follow-ups, the checklist supports a positive approach to employee discipline that focuses on improvement and clarity.