Carrying out disciplinary interviews


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Carrying out disciplinary interviews

  1. 1. Kusuma.S.Reddy
  2. 2. ● 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 2 Carrying Out Disciplinary Interviews
  3. 3. ● 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. 3 Carrying Out Disciplinary Interviews
  4. 4. ● What is the main reason for holding the interview? ● What is the desired outcome or result? ● What other secondary objectives are there, if any? 4 Carrying Out Disciplinary Interviews
  5. 5. ● Why ● How ● What Next? ● Where ● When Specific objectives and purpose What time constraints, deadlines or schedules are there? Suitable room and environment free from distractions and interruptions Give yourself time to establish rapport, discuss all the issues and conclude the interview. Conclusion, analysis and follow-up. 5 Carrying Out Disciplinary Interviews
  6. 6. 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. 6 Carrying Out Disciplinary Interviews
  7. 7. ● 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 7 Carrying Out Disciplinary Interviews
  8. 8. * 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 8 Carrying Out Disciplinary Interviews
  9. 9. * 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 9 Carrying Out Disciplinary Interviews
  10. 10. Legal Issues Suspensions Formal verbal warnings Instances where action SHOULD be taken but is not Dismissals Written Warnings Informal verbal warnings 10 Carrying Out Disciplinary Interviews
  11. 11. * 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. 11 Carrying Out Disciplinary Interviews
  12. 12. ● 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. 12 Carrying Out Disciplinary Interviews
  13. 13. * 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 13 Carrying Out Disciplinary Interviews
  14. 14. ● 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 warning Formal verbal warning First written warning Final written warning Suspension [with or without pay] Dismissal 14 Carrying Out Disciplinary Interviews
  15. 15. ● Further action * Time limits should be set. * The interviewee should be left in not doubt as to: The need to improve Exactly what is required How this will be measured The time limit for the improvement The consequences of not achieving this improvement 15 Carrying Out Disciplinary Interviews
  16. 16. ● 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 16 Carrying Out Disciplinary Interviews
  17. 17. ● Check The Rules * Check the individual could have known that they had done wrong Reread the agreement Reread 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 17 Carrying Out Disciplinary Interviews
  18. 18. ● 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 18 Carrying Out Disciplinary Interviews
  19. 19. ● 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 19 Carrying Out Disciplinary Interviews
  20. 20. ● 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. 20 Carrying Out Disciplinary Interviews
  21. 21. 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 21 Carrying Out Disciplinary Interviews
  22. 22. ● Issuing the Record * Give it to the individual in front of witnesses, preferably from the first Meeting * Ask the individual to sign for it If they refuse, get the witnesses to sign a copy indicating that the refusal had taken place * The signed copy becomes the record. 22 Carrying Out Disciplinary Interviews
  23. 23. The Discipline interview has three functions: ● Establishing the facts ● Identifying a gap between actual and expected standards ● Taking action to prevent reoccurrence Managers need to understand the formal procedure and their own authority level. 23 Carrying Out Disciplinary Interviews