1.1 Progressive Discipline

Chapter 6 Human Resources > Section 1 Employee Relations

TABLE OF CONTENTS

• Overview/Purpose
• 1.1.1 When Does Progressive Discipline apply
• 1.1.2 Steps/Forms in the Progressive Discipline Process
• 1.1.3 Informal Counseling
• 1.1.4 Notice of Discussion (Verbal Warning)
• 1.1.5 First Written Warning:
• 1.1.6 Second/Final Written Warning:
• 1.1.7 Corrective Action Plan:
• 1.1.8 Suspension or Further Action:
• 1.1.9 Termination:
• 1.1.10 Description of Documentation Needed
• 1.1.11 Forms Location

Overview/Purpose

Progressive discipline is a structured and systematic approach used by employers to address employee performance issues, policy violations, or misconduct with increasing levels of severity if problems persist. It provides a clear, fair, and consistent process that encourages employees to correct their behavior and improve their performance. By offering constructive feedback and opportunities for improvement, progressive discipline helps employees understand areas where they may be lacking, ultimately boosting productivity and performance.

Moreover, this approach not only benefits employees by giving them a chance to improve but also protects the organization from complaints or lawsuits, as all disciplinary actions are well-documented and follow a transparent process. The ultimate goal of progressive discipline is to resolve issues early, encouraging positive changes and reducing the need for more severe disciplinary measures.

Progressive discipline applies in various workplace situations. Progressive discipline is a structured process used by employers to address employee misconduct, performance issues, or policy violations with increasing levels of severity if the problem persists. For managers, progressive discipline simplifies identifying problematic behaviors and taking appropriate action, applying consequences fairly and consistently. It also fosters better communication between employees and employers by providing regular feedback on progress, which can lead to improved employee retention.

1. When to consider progressive discipline:

1. Minor Misconduct
2. Performance Issues
3. Policy Violations
4. Disrespectful behavior/Insubordination

        2. When progressive discipline does not apply:

1. Severe Misconduct or Gross Violations i.e. theft, violence, harassment
2. Immediate Threats to Safety i.e. endangering oneself or others 

In certain situations, immediate corrective action may be necessary without adhering to the typical progression of warnings. For severe violations, where the safety, well-being, or integrity of the workplace is at risk, it is appropriate to bypass the usual steps of progressive discipline. For instances involving Abuse, Neglect, Supervision failures, or Inappropriate behavior (commonly referred to as ANSI violations), it is recommended to follow our Zero Tolerance policy. This policy is designed for serious infractions where immediate, decisive action is required to protect employees, clients, and the organization.

The Zero Tolerance process ensures that these critical violations are addressed swiftly, with the potential for immediate termination or other severe consequences, rather than the gradual escalation typical of less serious offenses.

For more detailed information on handling ANSI violations and implementing the Zero Tolerance process, please refer to the related documents: 1.2 Zero Tolerance Discipline and 1.3 Zero Tolerance Reporting. These documents outline the procedures, reporting requirements, and disciplinary measures specific to Zero Tolerance cases, ensuring that these situations are managed in accordance with company policy and legal standards.

1. Informal Counseling
2. Notice of Discussion (Verbal Warning)
3. First Written Warning
4. Second/Final Written Warning
5. Corrective Action Plan
6. Suspension 
7. Termination

1.1.3 Informal Counseling

• Formality: Informal counseling is a less formal, often casual conversation between a manager and an employee.
• Purpose: Address minor issues early through informal discussions before they escalate.
• Action: Speak with the employee to discuss the concern, clarify expectations, and provide guidance on how to improve.
• Next Step: If the issue persists, escalate to a formal Notice of Discussion (Verbal Warning).
• Note: Depending on the severity of the incident, management may choose to bypass informal counseling and move directly to a more severe disciplinary action.

• Formality: A verbal warning is a formal step in the disciplinary process. It is the first official stage of progressive discipline.
• Purpose: Formally inform the employee of the problem and the need for improvement.
• Action: Have a face-to-face meeting with the employee, clearly outlining the problem, the expected changes, and the potential consequences of not improving.
• Next Step: If there is no improvement, proceed to a written warning.
• Note: In cases of more severe incidents, management may skip the verbal warning and move directly to a written warning or more serious disciplinary action.

1.1.5 First Written Warning:

• Purpose: Provide a documented record of the ongoing issue and the need for immediate improvement.
• Action: Issue a formal written warning to the employee. The letter should:

1. Summarize the problem, including dates and details of previous discussions.
2. Outline specific expectations for improvement.
3. State the timeline for improvement and the consequences of failing to meet expectations.
4. Include a clear statement that this is a formal warning.
   • Next Step: Monitor the employee’s progress. If issues persist, move to a second/final written warning.
   • Note: For more severe issues, management may bypass the first written warning and issue a final written warning or take other appropriate disciplinary action.

1.1.6 Second/Final Written Warning:

• Purpose: Emphasize the seriousness of the issue and the need for immediate and sustained improvement, serving as the last step before more severe disciplinary action.
• Action: Issue a second written warning, often referred to as a final written warning. The letter should:
  1. Reference the first written warning and the lack of sufficient improvement.
  2. Provide a detailed account of the ongoing issue and its impact on the workplace.
  3. Reiterate the expectations for improvement and the specific steps the employee needs to take.
  4. Clearly state that failure to improve will result in further disciplinary action, up to and including termination.
  5. Include the employee's acknowledgment of receipt.
• Next Step: If the behavior or performance does not improve after the final warning, implement a corrective action plan.
• Note: In cases of severe misconduct, management may proceed directly to suspension, demotion, or termination without issuing a final written warning.

1.1.7 Corrective Action Plan:

• Purpose: Offer a structured plan to assist the employee in making necessary improvements.
• Action: Collaborate with the employee to develop a corrective action plan that includes:
  1. Specific goals and actions needed for improvement.
  2. A timeline for achieving these goals.
  3. Resources and support available to the employee.
  4. Regular review meetings to assess progress and provide feedback.
• Monitoring: Continuously monitor progress against the plan. Adjust the plan if needed to support the employee.
• Next Step: If the employee fails to meet the goals outlined in the corrective action plan, consider more severe disciplinary actions.
• Note: Depending on the severity of the situation, management may choose to implement more severe actions without a corrective action plan.

1.1.8 Suspension or Further Action:

• Purpose: Address more serious or ongoing issues with stronger measures.
• Action: Depending on the severity and persistence of the issue, consider actions such as suspension with or without pay, demotion, or reassignment. Communicate the reasons for the action and outline expectations for the employee's return.
• Next Step: If there is still no improvement, termination may be the next step.
• Note: In cases of extreme misconduct, management may move directly to termination or another severe disciplinary action without prior steps.

1.1.9 Termination:

• Purpose: End the employment relationship when all other corrective actions have failed.
• Action: Follow company policies and legal procedures to terminate the employee's employment. Provide a final summary of all previous disciplinary steps taken.
• Next Step: Ensure proper offboarding procedures are followed, including a final review of the documentation.
• Note: Termination may be the immediate response in cases of gross misconduct or severe violations of company policy.

1.1.10 Description of Documentation Needed

Documentation is crucial in the progressive discipline process as it provides a clear record of each step taken to address an employee's performance or behavior issues. This helps ensure the process is fair, consistent, and transparent, protecting both the employer and employee. Proper documentation also supports legal compliance and can be vital if further action, such as termination, becomes necessary.

1. Informal Counseling:
   • Notes summarizing the discussion, including the date, issues discussed, and any agreed-upon actions.
2. Notice of Discussion (Verbal Warning):
   • Written summary of the meeting, outlining the issues, expectations, and consequences discussed. Include the date and time of the conversation.
3. First Written Warning:
   • A formal letter detailing the issue, previous discussions, specific expectations for improvement, and the timeline for achieving these improvements. Include a statement that this is the first written warning and document the employee's acknowledgment of receipt.
4. Second/Final Written Warning:
   • A formal letter referencing the first written warning and documenting the continued issues. Clearly outline the expectations for immediate improvement, the steps required, and the consequences of failing to improve. Include a statement that this is the final written warning before further disciplinary action and document the employee's acknowledgment of receipt.
5. Corrective Action Plan:
   • A detailed plan outlining the specific goals, actions required, timelines, and resources available to the employee. Document the initial agreement on the plan, ongoing progress reviews, and any feedback provided during the process.
6. Suspension or Further Action:
   • Detailed documentation of the reasons for the suspension or other actions, including the duration of the suspension and expectations upon return. Record any related meetings or correspondence.
7. Termination:
   • Final documentation summarizing all previous steps, including copies of all warnings, the corrective action plan, the reasons for termination, and evidence that the employee was given opportunities to correct their behavior. Ensure all records are complete and filed appropriately.

This process allows for flexibility in addressing various levels of employee misconduct or performance issues, ensuring that the disciplinary actions are appropriate for the severity of the situation while providing employees with opportunities for improvement.

1.1.11 Forms Location

All necessary forms can be found on the O: drive by navigating through the following path: O: Operations All > Forms for Operations > Forms Alphabetically. This directory is organized to help you quickly locate any specific form by its name, ensuring that the documents are easily accessible and readily available for use.