Disciplinary infractions in the workplace: Types, policies & prevention

All workplaces have various policies and expectations about conduct. These standards protect the well-being of the company and its workers. A disciplinary infraction occurs when someone breaks these rules.

As the name suggests, disciplinary infractions merit punishment or other sanctions. For these violations of company policies to cease, the organization must deal with them. Challenges, though, include keeping the process fair and determining the correct disciplinary procedures based on the transgression. Smart employers seek legal counsel to ensure the soundness of their actions and written words.

Types of disciplinary infractions

Disciplinary matters cover various unacceptable actions, from minor infractions to moderate offenses to severe violations. Examples of code of conduct breaches often found in the work environment include:

• Tardiness
• Dress code violations
• Unexcused absences
• Improper use of company property, devices, or time
• Insubordination
• Poor performance
• Toxic negativity
• Social media misconduct
• Alcohol or drug use
• Failure to follow safety or security procedures
• Theft (from stealing office supplies to embezzling company funds)
• Sexual harassment
• Bullying
• Accessing or sharing confidential information
• Physical violence or threats of it

As the list demonstrates, prohibited acts encompass a wide range of infractions, varying in both type and severity. For instance, some infractions pose significant safety risks, potentially leading to injuries or legal repercussions for violating federal regulations if not addressed. Meanwhile, others negatively impact productivity, financial stability, reputation, and overall employee morale.

Companies need disciplinary policies for informational purposes. Well-constructed rules lay out expectations and consequences for violation. Employers must construct and implement regulations to avoid creating a disorderly work environment. When bad behavior goes unchecked, it continues and spreads because nobody fears repercussions.

Enacting the disciplinary process

By sticking to established procedures, the guesswork is eliminated for managers and HR professionals handling disciplinary measures. As a result, they know what constitutes an infraction and what corrective action to take. Moreover, such consistency supports fairness, ensuring that one employee does not receive a “slap on the wrist,” while another gets suspended for the same violation. Furthermore, impartial, by-the-book conduct is advantageous should the matter ever make its way into the legal system, resonating well with lawyers and juries.

Exact disciplinary action varies by organization, but many follow a progressive discipline system. In this arrangement, the severity of punishment increases when a worker fails to correct the behavior in question.

Disciplinary infractions: Progressive discipline procedures

Progressive discipline policy often begins with a verbal warning. This “talking to” draws the employee’s attention to the infraction. Creating awareness may be enough to change the behavior, such as a new employee switching to appropriate footwear once cautioned that open-toed shoes are not allowed. A heads-up also lets the person know that management is watching. That frequently tardy worker may start showing up on time after realizing the supervisor is “on” to his slipping in late.

Companies tend to issue verbal warnings for minor infractions and first-time offenses. However, more serious violations, or ones that remain problematic, often prompt a written warning. Furthermore, this common next step in progressive discipline usually has a more formal format and greater detail.

Additionally, it frequently presents a performance improvement plan and outlines what might occur if the staff member fails to take corrective action (probation, suspension, demotion, etc.). By giving an offender a clear route to improve, the disciplinary process becomes productive rather than

Companies generally supply managers with a template for written warnings. Standard paperwork ensures consistency and thoroughness. Meticulous documentation at all stages reduces claims of improper handling. Exact outlines vary by workplace, but standard components include:

• The name and position of the employee
• The name and title of the person writing the warning
• The date of the write-up
• The offense
• The policy being violated, often with a copy of what is stated in the employee handbook
• A summary of prior action taken regarding this issue, such as verbal warnings
• A statement letting the employee know where this write-up will be filed and who within the company will be receiving a copy
• Space for the employee to comment or present his side of the story
• Space for relevant signatures

Due process and severe infractions

At each step of progressive discipline, follow organizational due process, such as who should be present at the meeting or notified afterward. This may involve inviting a human resources representative, a union rep, or a company lawyer to sit in or review paperwork.

If a violator does not improve, the company has little choice but to follow through on stated consequences—up to and including termination. By this point, the action should not come as a surprise.

Note that the nature of some infractions demands bypassing progressive discipline and immediately enacting severe consequences. Your code of conduct policies indicate that immediate termination (and possible criminal charges) can happen when behavior puts the company or its workers at risk. Infractions in this category often include theft, violence, destruction of property, sabotage, sexual assault, privacy breaches, and sharing proprietary information.

Preventing disciplinary infractions

Obviously, employers want to have as few disciplinary infractions happen as possible. Improper behavior harms the work environment, and disciplinary proceedings to deal with offenders take time away from other activities. The following actions can help reduce instances:

• Spell out what constitutes an infraction

Remove any doubt about what the company considers inappropriate and the disciplinary measures it will implement for infractions. Use examples to illustrate (though state that these cases are to aid understanding and not meant as an exhaustive list of punishable offenses). Present the typical outcome for initial and repeated violations. Make clear that certain acts are subject to immediate termination.

Put this information in the employee handbook for easy reference. Ask new hires to read it and sign an acknowledgment statement.

• Commit to follow-through

Consequently, staff members will conclude that your words mean little if they witness disciplinary infractions going unnoticed and unpunished. Such action sends the message that you mean business.

• Provide appropriate outlets

Workers sometimes break the rules to ” get back” at a company. Give them a chance to be heard through one-to-one meetings, surveys, and town hall meetings. Take their opinions and ideas seriously.

• Background check

Know a candidate’s history before you hire!

• Eliminate low-hanging fruit

Remove the temptation to do something wrong. Simple acts such as locking up office supplies, shredding confidential documents, and limiting access to databases to only those who need it can significantly impact.

• Instill a sense of responsibility

Lastly, employees should be made an integral part of eliminating disciplinary infractions. As a staff, talk about problems and their impact, such as dress code violations reflecting poorly on the company or coming in late and burdening co-workers. Ask that people who witness infractions – from safety violations to theft to bullying – draw them to management’s attention. Treat workers as valuable partners in maintaining a productive, respectful work environment.

More Resources:
Employer’s guide to written warnings for employee discipline
How to develop and implement a progressive discipline policy
Written warning template for employee discipline