Carrying out disciplinary interviews

Kusuma.S.Reddy

● Giving

The objective is to advise and correct gaps between expected and actual standards of behavior or performance.

* Standards expected

* Training to meet these standards

* Information on penalties for nonconformance

● Gathering

* Reasons for nonconformance

* Acceptance of standards and ways of improvement

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Carrying Out Disciplinary Interviews

● In preparing for an interview the following should be considered : * Purpose

* Planning

* Structure content and approach

● The manager has to have a systematic approach to planning, organizing and controlling the various elements of the interview.

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● What is the main reason for holding the interview?

● What is the desired outcome or result?

● What other secondary objectives are there, if any?

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● Why

● How

● What Next?

● Where

● When

Specific objectivesand purpose

What time constraints,deadlines or schedules are there?

Suitable room and environment freefrom distractions and interruptions

Give yourself time to establish rapport, discuss all the issues andconclude the interview.

Conclusion, analysis and follow-up.

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Interview should be structured with 3 phases* Introduction* Exchange * Conclusion

● Introduction

* Set the meeting in perspective.* Give an overview of what is to be discussed.* Clarify the structure and aims of the interview and how these will be approached.* Give a timetable of what will happen when and what will happen after the interview.

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● Conclusion

● Exchange * There should be a thorough exploration of the objectives and any points related to them, checking and summarizing that all issues raised are understood by both parties.

* If there is disagreement on a certain point, the interviewer should ensure the understanding of both parties and the mutual willingness to explore the issue further, or accept the disagreement.

* Restate the objectives

* Summarize what has been agreed

* Clarify any action plans and next steps

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* The effective handling of discipline is based on ensuring that all action taken is fair and consistent with the company policy

* It should be regarded as such by all parties concerned.

* Discipline is defined in the Oxford English Dictionary as ‘a branch of instruction or learning; mental or moral training’

* ‘Chastisement’ comes at the end of the list of definitions

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* In a disciplinary interview the interviewer should be concentrating on correction through training and instruction

* Too many managers see the interview as an obligation to punish. This results in managers rushing in and starting formal proceedings

* Legal safeguards on unfair dismissal for employees, grievances and appeal procedures often have to ‘clear up the mess’ of poor management

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Legal Issues Suspensions Formal verbal warnings

Instances where action SHOULD be taken but is not

Dismissals

Written Warnings

Informal verbal warnings

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* The most effective way of handling discipline in any organization is to ensure that problems never arise.

* Ensure that all employees are made aware of the standards expected from their performance and behavior at work.

* If the standard is known and performance still falls below an acceptable level, take further action.

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● Further action

* Should not be an overreaction, rushing in and dishing out arbitrary punishments.

This Omits the essential feature of making decisions which are based on facts not emotions. * Should not be ignored and underperformance should not be allowed to continue.

If not, this allows a new, lower standard of performance to be established.

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* The Ideal ‘Further Action’ : The manager should investigate the breach of standards from both perspectives, and establish with the individual the gap that exists between the expected and actual performance or behavior.

* Establish the facts in a neutral manner and get agreement to them

* Establish a process for closing the gap, and carrying out that action

* Delay any punishments to a second interview. (Review the facts and any mitigating circumstances)

● Further action

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● Further action

* A third party may be present to ensure ‘fair play’ or to represent the interests of the interviewee.

* If a punishment is deemed necessary, the manager must follow the agreed procedure and precedent.

Informal verbal warningFormal verbal warningFirst written warningFinal written warningSuspension [with or without pay]Dismissal

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● Further action

* Time limits should be set.

* The interviewee should be left in not doubt as to:

The need to improveExactly what is requiredHow this will be measuredThe time limit for the improvementThe consequences of not achieving this improvement

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● Specific Incidents

● Timekeeping and Absenteeism

* Attendance Records* Swipe card or Clock card records if appropriate* Signing in books/registers* Sick records* Patterns, or lack of patterns in nature of sickness

* Witness statements, from staff, security and third parties* Security video footage* Poor Work Standards* Written evidence

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● Check The Rules

* Check the individual could have known that they had done wrong

Reread the agreementReread the personal file

*Check for site precedents

* Disregard any out of date warnings

* Discuss the matter with another manager

* In complicated cases speak to an HR manager

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● Investigation

* Hold a preliminary interview with the individual to establish the facts

* Give them the right to be represented by a colleague

* Make sure you have a witness

* Get the witness to record [in writing] the meeting

* If you believe the situation merits it convene a disciplinary hearing

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● Disciplinary Hearing – Part 1

* Give them the right of representation

* Take a witness to listen and record

* State the company’s side of the case

* Allow them to state their side of the case

* Summarize and make notes on what was said

* Call a recess to weigh the evidence

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● Disciplinary Hearing – Part 2

* Indicate your decision, this will be either : Continue to discipline, Cancel proceedings, Continue to reduced discipline as a result of mitigation, Adjourn for further investigation* State nature and life of warning, and consequences if unheeded* Outline very clearly the improvement plan* Set a review date* Explain the rights of appeal* Don’t let the meeting be dominated by the other side, but listen politely* Don’t do or say anything forbidden by your procedure

Don’t be put off by threats or resignation, weeping or confessions, treat them all equally humanely and stick to your point* Try and be as calm and professional as you can throughout.

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If you fail to keep a record, you might as well not have gone through a disciplinary interview!

● Record Should Contain* Date and who was present and in what capacity* Details of the offence - with all the relevant facts* Details of any previous, live warnings which have an effect on this one* The nature of the warning – remember for verbal warnings this document is the RECORD* The life of the warning and consequences if not heeded [Any further failures to meet company standards of conduct or behavior may result in further disciplinary action]* The improvement plan* The review date* Rights of appeal* A statement about how receptive the individual was to the warning

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● Issuing the Record

* Give it to the individual in front of witnesses, preferably from the first Meeting

* Ask the individual to sign for itIf they refuse, get the witnesses to sign a copy indicating that the refusal had taken place

* The signed copy becomes the record.

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The Discipline interview has three functions:

● Establishing the facts

● Identifying a gap between actual and expected standards

● Taking action to prevent reoccurrenceManagers need to understand the formal procedure and their own authority level.

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Documents

Carrying out disciplinary interviews