Progressive Discipline System

By The HR Pros of My HR Support Center

When faced with unsatisfactory employee performance problems, a manager needs a discipline system to respond appropriately and effectively. Acting hastily or ignoring the situation can put the company unnecessarily on its heels. In addressing employee performance issues and establishing specific expectations, progressive discipline – the gradual escalation of responses to specific unresolved performance or conduct problems – is a practical tool to help managers bring employees back up to speed.

The Benefits

  • Employers can help protect themselves from high State Unemployment Insurance rates and gain an added defense against wrongful terminations lawsuits. A documented track record of the employee's performance issues and the recommended remedial actions that were taken (or not) makes it more difficult for employees to justify such claims.
  • The employee gets formal feedback on what he or she is doing incorrectly and an opportunity to adopt the recommended actions needed to correct the problem.
  • The progressive discipline process represents a sound systematic approach to improve employee performance, productivity, and morale.

The Key Elements

  • Information Gathering:Before deciding how to address the issue, what evidence do actually you have?
  • Business Impact:How does the employee's problem disrupt the company’s operations?
  • Degree of Discipline: Does the punishment fit the deed?
  • Employee Meeting: Prepare for the meeting by reviewing anecdotal notes, any other documentation related to the problem, and applicable Employee Handbook policies.
  • Documented Plan: A plan providesproof of the issue as well as the written stepson how to correct the problem.
  • Follow Up: Monitor periodically to ensure the problem doesn’t recur.

The Common Steps

  1. Verbal Warning –A note in the employee’s HR file. This is the first formal step of progressive discipline and is used when the problem persists after you have brought it to the employee’s attention through informal counseling. Whenever the situation permits, be prepared for the meeting with the employee. Make every effort to ensure the employee has a complete understanding of the expectations and the consequences if the problem is not corrected.
  2. Written warning – Copies sent to the employee and entered in the employee’s HR file. When the employee has not satisfactorily corrected the problem as outlined during the verbal warning and when more corrective action is considered necessary, proceed to this next step. Like in the verbal warning step, a similar discussion should take place in terms of expectations and the consequences. Afterthis meeting, document the discussion in the written warning letter, including a recap of any prior related disciplinary action taken, a detailed statement of the circumstances leading to the current disciplinary action, and a clear picture of future expectations.
  3. Suspension – Several days off with a written warning stating that unless improvement is achieved within a specified timeframe further discipline may result. This last corrective step involves temporarily removing the employee from the workplace usually without pay. Suspensions generally average three working days. Ultimately, this is the “last chance” for the employee to correct the problem at issue. As in the previous steps, plan the discussion, review the situation, and allow for employee comments. Also, consider having a third person, preferably from Management, attend the meeting. Afterwards,summarize the discussion in writing, including the specific days for suspension and the date and time the employee is expected to report back to work.
  4. Termination – Employment termination if the required improvement is not performed within the stated timeframe (e.g. within 30 days). If all of the earlier steps have not brought the employee’s performance up to expectations, the individual’s employment may be terminated. If reached appropriately, this final step in the progressive disciplinary process is not subject to reversal.

In all, enforcing a progressive discipline system not only helps employees learn from their mistakes and change their conduct, it represents another way for employers to avoid claims of unfair treatment or discrimination.