Key Items Checklist for Your Discipline Policy

The more questions to which you answer “yes,” the more comprehensive your discipline policy and work rules. (The questions are from BLR^®‘s HR Audit Checklists.)

	Yes	No
Do you have a general discipline policy?	[ ]	[ ]
Is it in writing?	[ ]	[ ]
Is one person or one department responsible for administering your discipline policy?	[ ]	[ ]
Is your discipline policy reviewed annually?	[ ]	[ ]
Has your discipline policy been reviewed by counsel?	[ ]	[ ]
Do you have stated goals for your discipline policy?	[ ]	[ ]
Does your discipline policy meet those goals?	[ ]	[ ]
Has the company reserved the discretion to determine what level of discipline is appropriate in any situation, up toand including the immediate termination of employment?	[ ]	[ ]
Do your general work rules cover topics such as:
Excessive tardiness and absenteeism?	[ ]	[ ]
Theft?	[ ]	[ ]
Intoxication?	[ ]	[ ]
Possession, use, or sale of illegal drugs, or misuse of prescription drugs?	[ ]	[ ]
Gambling?	[ ]	[ ]
Fighting or other violence?	[ ]	[ ]
Insubordination or disrespectful conduct toward supervisor?	[ ]	[ ]
Falsifying records?	[ ]	[ ]
Violation of safety rules?	[ ]	[ ]
Possession of dangerous items?	[ ]	[ ]
Unauthorized use of company equipment?	[ ]	[ ]
Unauthorized use of company employees?	[ ]	[ ]
Unauthorized access to records or information?	[ ]	[ ]
Solicitation?	[ ]	[ ]
Failure to cooperate with an investigation?	[ ]	[ ]
Unauthorized use or disclosure of confidential information?	[ ]	[ ]
Violation of the company’s policy on conflicts of interest?	[ ]	[ ]
Harassment?	[ ]	[ ]
Discrimination?	[ ]	[ ]
Violations of applicable law?	[ ]	[ ]
Preferences?	[ ]	[ ]
Appearance?	[ ]	[ ]
Uniforms?	[ ]	[ ]
Rudeness to customers?	[ ]	[ ]
Rudeness to co-workers?	[ ]	[ ]
Smoking?	[ ]	[ ]
Off-duty conduct that affects the company’s business?	[ ]	[ ]
Negligent or improper conduct that leads to the destruction of company property?	[ ]	[ ]
Violation of company policy?	[ ]	[ ]
Working unauthorized overtime?	[ ]	[ ]
Unsatisfactory job performance?	[ ]	[ ]

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Have you reviewed your discipline policies with regard to your employment-at-will policy?	[ ]	[ ]
Have you reviewed your discipline policies with regard to your employment-at-will policy?	[ ]	[ ]
Have you reviewed or audited employee discipline practices to make sure the policy is being enforced in a fair and consistent manner?	[ ]	[ ]
Do you maintain written records of discipline?	[ ]	[ ]
Do you require supervisors to inform employees of any information that is placed in their personnel file?	[ ]	[ ]
Are you consistent in applying your rules?	[ ]	[ ]
Is there a method for making exceptions to your rules?	[ ]	[ ]
Are your rules stated as general guidelines that can be varied depending on the surrounding facts?	[ ]	[ ]
Are your discipline rules coordinated with your policy concerning:
– Grievance system?	[ ]	[ ]
– Open-door policy?	[ ]	[ ]
– Arbitration?	[ ]	[ ]
– Mediation?	[ ]	[ ]
– Discharge?	[ ]	[ ]
– Rehire?	[ ]	[ ]
– Leave of absence?	[ ]	[ ]

That’s a lot to check and that’s just for discipline, one of, what, a dozen areas where supervisors can make a big mistake? Unfortunately, expensive mistakes are all too common, and there’s a throng of lawyers waiting to take you on when you make them.

What’s your best defense? An HR audit is really the only way to dig down and see what’s happening in the trenches. But for most HR managers, it’s hard to get started auditing—where do you begin?

To get your audits going, BLR’s editors recommend a unique product called HR Audit Checklists. Why are checklists so great? Because they’re completely impersonal, they force you to jump through all the necessary hoops one by one. They also ensure consistency in how operations are conducted. That’s vital in HR, where it’s all too easy to land in court if you discriminate in how you treat one employee over another.

HR Audit Checklists compels thoroughness. For example, it contains checklists both on Preventing Sexual Harassment and on Handling Sexual Harassment Complaints. You’d likely never think of all the possible trouble areas without a checklist; but with it, just scan down the list, and instantly see where you might get tripped up.

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Find problems before the feds do. HR Audit Checklists ensures that you have a chance to fix problems before government agents or employees’ attorneys get a chance.
2010 Update Now Available. Try the program at no cost or risk.

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In fact, housed in the HR Audit Checklists binder are dozens of extensive lists, organized into reproducible packets, for easy distribution to line managers and supervisors. There’s a separate packet for each of the following areas:

• Staffing and training (incorporating Equal Employment Opportunity in recruiting and hiring, including immigration issues)
• HR administration (including communications, handbook content, and recordkeeping)
• Health and safety (including OSHA responsibilities)
• Benefits and leave (including health cost containment, COBRA, FMLA, workers’ compensation, and several areas of leave)
• Compensation (payroll and the Fair Labor Standards Act)
• Performance and termination (appraisals, discipline, and termination)

HR Audit Checklists is available to HR Daily Advisor readers for a no-cost, no-risk evaluation in your office for up to 30 days. Visit HR Audit Checklists, and we’ll be happy to arrange it.

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