{"id":4718,"date":"2016-04-04T10:47:40","date_gmt":"2016-04-04T15:47:40","guid":{"rendered":"https:\/\/content.findlaw-admin.com\/ability-law\/smallbusiness\/employment-law-and-human-resources\/forming-discipline-policies.html"},"modified":"2024-06-06T04:45:41","modified_gmt":"2024-06-06T09:45:41","slug":"forming-discipline-policies","status":"publish","type":"page","link":"https:\/\/www.findlaw.com\/smallbusiness\/employment-law-and-human-resources\/forming-discipline-policies.html","title":{"rendered":"Employee Discipline Policies"},"content":{"rendered":"\n
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Employee Discipline Policies<\/h1>\n
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\n By Susan Buckner, J.D.<\/a> | Legally reviewed by Aviana Cooper, Esq.<\/a>\n | Last updated\n
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The last updated date refers to the last time this article was reviewed by FindLaw or one of our contributing authors<\/a>. We make every effort to keep our articles updated. For information regarding a specific legal issue affecting you, please contact an attorney in your area<\/a>.<\/em><\/p>\n\n <\/div>\n <\/details>\n<\/section>\n

Small businesses may sometimes skimp on their disciplinary policies. After all, in a small office or job site everyone knows one another, and business owners feel uncomfortable telling workers they’ve done something wrong. As a result, unacceptable behavior can build up until it’s beyond control. Eventually, you must take action, resulting in hurt feelings or worse.<\/p>\r\n

Small businesses may not have human resources departments to manage their disciplinary process. Owners and managers can still develop realistic policies and carry them out with minimum upset for all involved. This article will explain how to create a fair and legal disciplinary policy.<\/p>\r\n

Visit FindLaw’s Managing Employees<\/a> for more helpful information.<\/p>\r\n

Discipline Policy Basics<\/h2>\r\n

State and federal laws<\/a> tell employers what they can’t do when taking disciplinary action against employees. You may not base discipline and termination decisions on race, religion, gender, or national origin. The employee’s conduct is the only thing you may consider when taking corrective action.<\/p>\r\n

That is why spelling out your policy in writing is a good idea. It may seem like an employee handbook is unnecessary when you have only 20 employees, but describing your disciplinary procedures puts you and your employees on the same page.<\/p>\r\n

HR professionals agree that a progressive discipline policy works better than a so-called "zero tolerance" policy. In a progressive policy, workers can correct a poor performance or mistake before it progresses to termination. A zero-tolerance policy may be appropriate for serious offenses, such as sexual harassment or theft.<\/p>\r\n

Developing Your Discipline Policy<\/h2>\r\n

You may want advice from an HR consultant or business law attorney when you design your disciplinary policy. The Equal Employment Opportunity Commission<\/a> (EEOC) enforces federal laws against discrimination and harassment. Its Small Business Resource Center has useful tips for business owners who need help complying with anti-discrimination laws.<\/p>\r\n

A typical progressive discipline process follows these steps:<\/p>\r\n

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  1. Verbal warning:<\/b> This is sometimes called a counseling session or review. The employee explains their side of the issue and makes plans to correct the problem. The employer makes a written notation of the "verbal" warning.<\/li>\r\n
  2. Written warning:<\/b> If the issue is not corrected or worsens, the next step is a written or formal warning. Your policy may allow several written warnings before a matter requires additional action.<\/li>\r\n
  3. Final warning: <\/b>In some larger companies, a final warning includes a suspension with or without pay. Smaller businesses may not have that luxury. In any case, the final warning is a formal notice that the employee’s behavior has not improved, and the next step is termination.<\/li>\r\n
  4. Termination:<\/b> Firing an employee<\/a> is the last step of your process. Your policy should make clear this is the final step and is only taken when all other efforts at performance management have failed.<\/li>\r\n<\/ol>\r\n

    A progressive discipline policy should help improve the employee’s performance. It should not be strictly punitive. Employees must have the right to appeal or challenge any disciplinary action they feel was wrong.<\/p>\r\n

    Grounds for Employee Discipline<\/h3>\r\n

    Deciding when and how to discipline adult workers and having reasons for doing so is challenging for small employers. Once you have a disciplinary policy in place, you must follow it. Otherwise, it will be useless. Businesses cannot thrive with minor performance issues nibbling at their bottom lines.<\/p>\r\n

    Some important matters to place in your employee handbook<\/a> for disciplinary policies include:<\/p>\r\n