Ask anyone you interview to sign an accurately-written dictation of their statement. Compile and review the evidence for and against the employee. If the evidence overwhelmingly suggests that the employee was at fault, you’ll need to proceed to disciplinary proceedings. Document everything that is said about the incident and about the employee, including by the employee himself or herself. [2] X Research source For minor infractions or first-time offenses, an informal, verbal warning is usually sufficient. For more serious infractions or repeat offenses, a formal disciplinary meeting may be called for.
The location of the meeting should be someplace private that will not be interrupted. Privacy is important for both following protocol and maintaining workplace morale.
The notice should include the details of the allegation. It should also notify the employee of the date, time, and location of the disciplinary meeting, as well as any attendees who will be present. Depending on your employer’s policies and the rules that pertain to disciplinary hearings, you may also be required to allow the employee to bring a union representative or work colleague. This should be mentioned in the written notice.
Employees may see an HR representative’s presence as a form of protection against unfair disciplinary proceedings. As a manager, you may want an HR representative there to serve as a witness.
Be clear and complete in your summary of the allegations/infractions. Do not leave out any details, and make sure the employee understands what incident is being reviewed and why. If the allegations involve some infraction of the law, you may not be able to disclose all the details to the employee. This is particularly true if a criminal investigation is ongoing or pending. Consult with a police officer before proceeding if the employee is or may be under criminal investigation.
While you may not have arrived at a ruling on the matter, it’s important that the employee understands what may end up happening after the proceedings. Reviewing the company’s disciplinary policy also helps protect management from allegations of unfair treatment.
Serious infractions may include theft, assault, or significant acts of insubordination. [4] X Research source Maintain the notes you take as you deliberate on a decision. These notes and any supporting documents from the investigation and meeting should be kept in either the employee’s personnel file or in a secure, locked location.
Keep the decision confidential. The only people you should tell are the employee, their union representative (if they have one), and the HR representative who served as a witness. If the employee is to be suspended, a short, follow-up suspension meeting should be scheduled. Different employers may have different disciplinary policies, but in general, a verbal warning is the first form of discipline. Verbal warnings are usually followed by written reprimands, suspension, and eventual termination. [5] X Research source
Give clear examples. Describe what should have been done differently in the incident that was investigated, and provide hypothetical examples of similar situations. Don’t be overbearing and don’t correct your employees in front of their coworkers. Assess the situation and ask to speak in private as needed.
Look for both improvements and future infractions. Praise the employee for corrected behavior, and give verbal input on behavior that still needs to be corrected.
