Customize This Policy to Mirror Your Employee Handbook

Progressive Discipline

[Customize this policy to mirror your employee handbook]

It is worthy to note that not all circumstances warrant progressive discipline. In fact, there are reasons for immediate termination after only one violation. These are outlined in the Employee Handbook and include violation or disregard for safety policies, abuse of livestock, and other offenses.

introduction

Progressive discipline has several steps to take and consider to create a productive environment. That’s really your goal: to create a productive environment. You do not resort to discipline to punish your employees. You discipline employees to change a behavior that contributes to productivity.

All poor behavior will eventually lead to loss of production. If poor behavior is tolerated or not corrected, loss of production will follow. Loss of production can come from:

Employee turnover. Employees will quit if poor behavior is not corrected.
Employee loss of performance. Poor behavior can have a demoralizing effect on employees.
Lawsuits/judgments. Poor behavior can result in lawsuits and judgments that can lead to fines, loss of work time, or several other consequences that affect productivity

As a leader, it is often worse to see poor behavior and do nothing than it would be to actually behave poorly yourself. Your job as a leader is to create a productive environment. Part of that comes from providing discipline when poor behavior is seen. Another part is employee knowledge of the policies and consequences of poor behavior.

In this guide, you will see how discipline and performance are related, learn about equitable treatment of employees, how to document discipline, how to correct behaviors, and how to ultimately terminate an employee.

Your progressive discipline policy and procedure must be included in your employee handbook. This guide will show you how to begin determining your progressive discipline policy.

Remember that all employee disciplinary action should include involvement from a human resources specialist.

Discipline and Performance

Discipline should be applied to employees who behave poorly. The goal is to correct the behavior. With discipline, you need to apply consequences in order to deter or to correct a poor behavior. Employees should always be aware of the expected behavior, expected performance, and consequences for not performing or behaving to standard. Expectations for behavior are outlined in your company’s policies and procedures. Expectations for performance should be outlined in your employee’s performance goals.

With coaching, you’re applying training or feedback to correct performance. It is true that continued poor performance can result in consequences that are similar to discipline, such as demotion or termination, but they should be handled separately. An employee that continually performs poorly should be given the opportunity to find a position within the company for which he or she is qualified. This may still be a positive, good-natured employee that can be productive somewhere else. If no other positions can be filled by this employee, unfortunately, termination can be the only solution.

Final note: Discipline and performance coaching are a matter of confidentiality. You should not discuss an employee’s participation in discipline or performance coaching to other employees. If asked by other employees, explain that you are helping with a matter that is unprofessional to discuss with others. Explain to your employees that to be considerate and courteous of their co-workers, they should not discuss their co-workers or jump to conclusions about their co-workers.

Progressive Discipline

Progressive discipline is implementing consequences with greater severity if the behavior continues up to termination.

Consequences should include items on this list in order of severity, with the last being the most severe:

Verbal warning
Written warning
Suspension
Demotion
Termination

In some cases, you don’t need to include every step of the process. For example, if an employee embezzled several thousand dollars, you would skip straight to termination. If an employee was late once, you would start with the least severe penalty. You might give the late employee several counseling sessions or warnings until you need to resort to termination.

Equitable Treatment

As we mentioned before, consequences for poor behavior must be implemented by you, the leader. There are a few guidelines you should follow when applying consequences:

The severity of the consequence should match the severity of the poor behavior.
All personnel should be given the same consequences for the same behaviors.
For lesser severity behaviors, progressive discipline should be implemented.

Many organizations put a matrix into place that shows what the appropriate consequence or penalty is for the first, second, and third instances of a particular poor behavior. As the behavior continues, the consequences become more severe.

Here is an example of one such matrix of penalties:

Category / First Offense / Second Offense / Third Offense
Unexcused tardiness / Oral warning to written warning / Written warning to 1 day suspension / 2-day to 5-day suspension
Failure to follow established leave procedures / Written warning to 1-day suspension / 1-day to 5-day suspension / 5-day suspension to termination
Failure to follow written policies where safety to persons or property is not involved / Written warning to 1-day suspension / 1-day to 15-day suspension / 2-day suspension to termination

Documentation

Every step of the way, you as the leader should be keeping written records of each employee’s performance and behaviors. This can be a written form or any electronic record.

This should include good and bad performance and behaviors. One thing to avoid is the “horns or halo” effect. That is documenting only excellent or poor performance and behavior. Make sure you document all performance and behavior. A good rule to follow is to allow yourself a certain amount of time each week to complete documentation on each employee. Schedule this time, if you must. This documented performance and behavior will help again and again from conducting progressive discipline to conducting performance appraisals.

What goes into documentation? It can be anything observed or recorded regarding the employee’s performance or behavior.

The date should be added to every comment.
It should include only the facts.
It should also state that you counseled the employee.
The documentation should note what was agreed upon after the counseling.
It should include only comments appropriate to share with the employee. Don’t put anything into your documentation that the employee should not see.

What are the facts? The facts only state what happened. For example, if you were to watch an employee on a video monitor, what are the behaviors that you could observe? You would not document that they employee was angry, but you would document what the employee did to make you believe he was angry. Only document what you can observe.

Bad example: 5/5/2012: Mark Johnson was having a bad day. He came into work at 7:59 and was rude to every person he met.

Good example: 5/5/2012: Mark Johnson arrived at work at 7:59. When asked by Susan Holmes if he would help her with the morning feeding, Mark shrugged his shoulders and remarked, “Yeah, I suppose. I always have to do everything around here.” Susan asked Mark if anything was wrong. Mark continued to walk towards the break room. I approached Mark and asked if anything was wrong. Mark said he was tired and apologized to Susan for ignoring her.

Documentation should be kept on every employee according to your company’s policy. Remember that if your employees are represented by a union, many aspects of discipline are negotiable. Ensure you work closely with union representatives when creating discipline policies and procedures.

Counseling

At the first sign of poor behavior, you need to take action. We mentioned documentation, which is essential. The other part is counseling. You need to address the issue with the employee. Any time you observe job performance or behavior, you should be giving the employee feedback. This includes good feedback or recognition.

You need to approach behavior problems very carefully. If you tell someone he or she has a “bad attitude,” you may make the problem worse. You must approach behavior problems on a job-related basis. In other words, you need to identify how the behavior manifests itself on the job. You need to address the behavior, not the person.

Follow this simple outline when addressing simple behavior problems in the workplace:

Describe the employee’s behavior as you observed it.
Wait.
Describe the impact of the employee’s behavior on company performance.
Gain the employee’s agreement for change.
Document.

Here is a short example…

Manager: Wayne, I noticed you cursed at Mark when he asked you to load the pigs.

Wayne: Yeah. So?

Manager: Everybody in the barn noticed this, as well. Some employees are avoiding you now. We need everyone here to be able to work together to get all of the pigs loaded in time to ship them. Can you make a commitment to me not to curse at your co-workers anymore?

Wayne: I suppose.

Manager: Thanks, Wayne.

Here are a few more tips to remember about these counseling sessions:

Confront the behavior, not the person.
Don’t make threats.
Listen to the employee, but be firm and fair regarding behavior expectations.
Do not raise your voice or show that you are emotionally impacted by the behavior.

If the behavior progresses, you need to add a few steps. Here is how you need to handle a second offense:

Describe the employee’s behavior as you observed it.
Wait.
Explain that this is the second time this has happened. Explain the penalty for the employee’s behavior.
Gain the employee’s agreement for change.
Document.

Here is an example:

Manager: Wayne, I noticed you cursed at Susan when she asked you where the extra gloves were.

Wayne: Yeah. But she should know that! I mean, come on!

Manager: Right now, I want to address the fact that you cursed at Susan, which is the second time this month you have cursed at a co-worker. The second occurrence is addressed by a written warning which I have here. (Manager gives the employee the written warning.) Signing this form does not mean you agree with it; it just means you are acknowledging that you received it. Please sign this.

Wayne: Fine.

Manager: Wayne, I don’t want this behavior to continue. Can you please make a commitment to not do this again?

Wayne: Yes. No more cursing.

Manager: Thanks, Wayne.

Verbal Warnings

A verbal warning is a formal discussion between you and the employee. Even though it’s called a “verbal warning,” you still need to document that it happened. Here are some facts about verbal warning:

This is higher in severity than counseling. At this point, counseling has failed or was not an option.
Unlike counseling, you are not fact-finding. This is a one-way conversation and the employee has no say in it. You’ve already gathered all of the facts.
Verbal warnings are documented, but the employee does not need to sign anything.
Unlike counseling, you explain the consequences if the behavior continues.

Here is an easy process to follow when conducting a verbal warning:

Gather the facts beforehand.
Find a quiet place to discuss the matter where you won’t be interrupted.
Advise the employee of his/her Weingarten rights if the employee is a member of a collective bargaining unit.
Describe the unacceptable behavior.
Describe the impact of the behavior.
Describe the next steps if the behavior is not corrected or happens again.
Gain the employee’s commitment to change.
Go back to work as normal without discussion. Do not treat the employee differently than his/her peers.
Document the conversation and place it in the employee’s performance record or personnel file.

Written warnings

A written warning is exactly like a verbal warning. Here are the differences:

It is more severe.
The behavior is described on paper. (See the ‘Forms’ section of this document.)
A copy of the written warning is given to the employee.
The employee is asked to sign the warning, but it is explained that this signifies that the employee received warning, not agrees with it.
A written warning is kept in the employee’s personnel file.

An employee may also be given an “Employee Final Warning Before Dismissal.” This is a written warning that can follow suspension or demotion. It’s basically a notice saying that if the employee’s performance or behavior does not improve, the employee may be terminated. (See the ‘Forms’ section of this document.)

Suspension

A suspension is a penalty where an employee must take leave without pay for a specified amount of time. In most cases, the amount of time varies according to the behavior.

When the employee returns to work, conduct business as usual. The employee has fulfilled his/her obligation and now should be treated the same as the rest of the employees.

It’s okay to tell the employee, “It’s good to have you back. We need you.”

Demotion

Typically, termination follows a suspension. However, a demotion can be a disciplinary action or a performance action. Demotions would normally only happen if an employee is incapable or unwilling to perform at his/her current job responsibilities. An employee is moved down a position or given a position or lesser responsibility or required skill. The employee’s amount of time serving the company is not affected, but the employee’s seniority may be affected.

Demotions can be temporary. If the employee’s performance or behavior improves and stabilizes, you may move him/her back to his/her previous position.

Termination

Termination is removing the employee from the company, permanently. This is usually the most severe and last step in progressive discipline.

At this point, the employee cannot ‘save’ him or herself. The decision has been made. There is no discussion, only formality. It is better to have this employee gone than it is to have him/her stay and suffer through poor behavior. You can re-delegate the work once the employee is gone. Do not attempt to do it while the employee is still employed and you’re awaiting approval to terminate him/her.

Terminate an employee once all paperwork has been completed. You may want to consider having security come and escort the employee off the premises if you predict an outburst or altercation may follow.

Do not allow the employee the opportunity to gather his/her things (coat, hat, gloves, car keys, etc) unless absolutely necessary. Advise the employee that you will personally inventory, box, and ship the employee’s belongings to his/her address of record.

You want to expedite removing the employee from the workplace as soon as possible to avoid any damage he/she may do to company equipment, or the employee’s former co-workers. Stay with the employee while he/she gathers his/her things.

Ensure the employee is not given time to take trade or company secrets with him/her.

If you want to avoid unnecessary litigation, a termination notice can be the most important document you’ll ever write. Some states may require it. Be sure to check your local and state guidelines and policies. Most discipline and termination litigation occurs when the employer cannot demonstrate objective reasons for the action. Claims of discrimination are then common. You need to be able to explain and document why the employee was terminated (i.e. the employee either broke a company policy or was not able to perform to standards). Just like documentation, you need to describe specific observations. Describe exactly what the employee did to receive termination as a penalty.

(See ‘Employee Notice of Dismissal’ in the ‘Forms’ section of this document.)

Forms

Employee Disciplinary Action Form

Employee Written Warning

Employee Final Warning Before Dismissal

Employee Notice of Dismissal

Manager’s Termination Checklist

Sample COBRA letter

Employee Disciplinary Action Form Verbal Warning

Employee Name ______

Date ______

Title ______

Department ______

Direct Supervisor ______

Type of Action: Verbal

Reason for disciplinary action:

Attendance

_____Leaving work without permission____Excessive absenteeism

_____No call/no show_____Tardiness

Job performance (explain in detail in comments section)

_____Unsatisfactory performance_____Misconduct

_____Lack of qualifications _____Other

Comments:
______

______

Supervisor Signature ______Date ______

Witness Signature ______Date ______

I have read and understand the disciplinary action taken above.

Employee Signature ______Date ______

Employee Comments:
______

______

Employee Written Warning

Date: ______

To: ______

______

You are hereby advised that your work performance/conduct is unsatisfactory for the following reasons:
______

______

We expect immediate correction of the problem; otherwise we shall have no alternative but to consider termination of your employment.If there is any question about this notice or if we can help you improve your performance or correct the difficulties, then please discuss this matter with your supervisor at the earliest possible opportunity.

Signed ______Signed ______

ForManagement Employee

Employee Final Warning Before Dismissal

Date: ______

To:______

______

You have been previously warned of certain problems in your performance/conduct as our employee.These problems include:
______

______

There has not been a satisfactory improvement in your performance since your last warning.Accordingly, any continued violations of company policy or failure to perform according to the standards of our company shall result in immediate termination of your employment without further warning.Please contact the undersigned or your supervisor if you have any questions.

Signed ______Signed ______

ForManagement Employee

Employee Notice of Dismissal

Date: ______

To: ______

______

Your employment with the firm shall be terminated on ______ (date) because of the following reasons: ______