Question

Give an example of “progressive discipline” in an employment termination situation.

Answer 1

Progressive discipline is an employee disciplinary system that provides a graduated range of responses to employee performance or conduct problems. Disciplinary measures range from mild to severe, depending on the nature and frequency of the problem. For example, an informal coaching session might be appropriate for an employee who is tardy or violates a minor work rule, while a more serious intervention -- or even termination -- might be called for if an employee commits serious misconduct or doesn't improve a performance problem after receiving several opportunities to do so.

Company policies on discipline should strive for fairness by adhering to these criteria:

• Develop clear, fair rules and consequences.
• Clearly communicate policies.
• Conduct a fair investigation.
• Balance consistency with flexibility.
• Use corrective action, not punishment.

4 Steps to Progressive Discipline

1. Verbal Counseling

The first step in a progressive discipline process is to merely have a conversation with the employee.

The conversation should focus on the issue, verification of facts, specifically from the employees’ perspective, clarification of organizational expectations and formal communication about the seriousness of the incident.

This conversation is intended to help the employee understand how their behaviors need to change.

It is not fair to surprise an employee with further disciplinary action or termination if they are not aware of the critical nature of the incident.

After the conversation, the manager should document the date, time, location of conversation, content of discussion and agreed upon behavior changes.

2. Written Warning

The second step should be another conversation that is documented in a written format.

The employee should be coached for a second time about the severity of the issue and how the manager expects their behaviors to change.

The written warning should include a description of the problem, along with the manager’s expectation of the employee’s behavior, description of the consequences, if expectations are not met, and the time frame for meeting expectations.

A copy of the written document should be given to the employee.

3. Employee Suspension and Improvement Plan

The third step is asking the employee to go home and develop a written plan-of-action for improved performance within 24 hours.

The intent of this step is to give the employee a time out to think about the situation and reflect to see if they want to make an effort to improve – and the steps they will take to make that improvement.

When the employee returns, the manager should review the improvement plan with the employee and make adjustments as necessary.

Failure to return with an improvement plan should trigger the termination process.

4. Termination

The fourth and final step is termination.

If the prior three steps are done effectively, this step should not come as a surprise to the employee and there should be sufficient documentation for a successful termination.

Terminations should include a process to make senior leadership aware that the termination is taking place.

Follow-up on employee issues is probably the most critical step in this process and is imperative to ensuring improved employee behaviors.

Using progressive discipline can help you get employees back on track. Done right, progressive discipline can:

• allow managers to intervene and correct employee behavior at the first sign of trouble
• enhance communication between managers and employees
• help managers achieve higher performance and productivity from their employees
• improve employee morale and retention by demonstrating that there are rewards for good performance and consequences for poor performance
• avoid expensive replacement costs
• ensure consistency and fairness in dealing with employee problems, and
• lay the groundwork for fair, legally defensible employment termination for employees who cannot or will not improve.