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Progressive Discipline Progressive Discipline Training Training

Employee Documentation -- No Surprises --

November 2008

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Definition

Progressive discipline is the process of using increasingly severe steps or measures when an employee fails to correct a problem after being given a reasonable opportunity to do so. The underlying principle of sound progressive discipline is to use the least severe action that you believe is necessary to correct the undesirable situation. Increase the severity of the action only if the condition is not corrected.

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Guidelines

Thoroughly investigate the situation which includes obtaining the employee's explanation or response prior to administering discipline.

Document the process and results of your investigation. It is acceptable to repeat a step if you feel that it will correct the

problem. This may be the case if some time has passed since it was last necessary to address the issue and the situation has only recently reappeared.

If repeating the step works, the situation has been resolved without escalating it unnecessarily. However, be aware that an employee may be led to believe that nothing worse will happen if you continually repeat a step.

If repeating a step does not resolve the problem, you can then move on to a higher step.

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Guidelines

The goal is to modify the unacceptable behavior or improve the performance. The goal is not to punish the employee but to more strongly alert the employee of the need to correct the problem.

There is no rigid set of steps nor is there an inflexible rule that all steps must be followed before terminating an employee. The circumstances of each case and your judgment as to the least severe action that is necessary to correct the situation will help determine which step to use. There does not always have to be a second written warning.

Early, less stringent, measures are skipped for serious offenses such as theft, fighting, drug or alcohol use or sale. All steps are typically used for attendance or general work performance problems.

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Guidelines

While usually unnecessary, it is acceptable to have a witness or note taker present when meeting with the employee during the progressive discipline process. Your witness/note taker should never be a peer of the employee.

Human Resources is available for consultation at any step of the process, but it is especially important at the steps of final written warning and termination.

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Essential Steps

Disciplinary actions are often overturned completely or reduced to a lesser level when any of the essential elements of progressive discipline are missing. The following must occur:

The employee is explicitly informed of the unacceptable behavior or performance and is given specific work-related examples. It is not sufficient to assume that the employee knows what the problem is.

Explain acceptable behavior or performance standards and give the employee reasonable time to comply. This may be a longer time frame if a skill needs to be learned or a shorter time frame if it is a behavior to be changed.

The employee is informed of the consequences of failing to comply. This is not a threat, rather it gives the employee reasonable expectations of the consequences if change does not occur.

These three essential elements need to be present at each step of progressive discipline and are discussed prior to taking disciplinary action.

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The Form – How It Works?

Four part carbonless form Form stays in the employee

file Use one form per issue

being addressed The employee receives a

copy of the form after the issue is discussed

No copy is given at Termination

Contact HR with any questions

Date:

Handbook Policy has been reviewed.

You are receiving this verbal disciplinary warning because of the following:

I have received this verbal disciplinary action and understand that unless this problem is corrected, further disciplinaryaction will be taken up to and including the termination of my employment.

Date:

Handbook Policy has been reviewed. Date:You are receiving this written disciplinary warning because of the following:

I have received this 1st written disciplinary action and understand that unless this problem is corrected, furtherdisciplinary action will be taken up to and including the termination of my employment.

*Note: Your signature indicates that you have received this information.

(Optional)

Handbook Policy has been reviewed. Date:You are receiving this final written disciplinary warning because of the following:

I have received this 2nd and final written disciplinary action and understand that unless this problem is corrected, furtherdisciplinary action will be taken up to and including the termination of my employment.

*Note: Your signature indicates that you have received this information.

Handbook Policy has been reviewed. Date:You are receiving this letter of termination because of the following:

I have received this letter of termination because of the reasons stated above.

*Note: Your signature indicates that you have received this information.

Written Warning #2

Employee Signature*:

Termination

Supervisor's Signature:

Supervisor's Signature:

Employee Signature*:

Mini-Skool Early Learning Centers - Progressive Discipline Process

Supervisor's Signature:

Supervisor's Signature: Employee Signature*:

Verbal Warning

Written Warning #1

Employee Name: Department:

Part 1

Part 2

Part 3

Part 4

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Verbal Warning – Part 1

Verbal Warnings are used to bring a problem to the attention of the employee before it becomes so serious that it has to become part of a written warning.

The purpose of this discussion is to alleviate any misunderstandings and clarify the direction for necessary and successful correction. Most "discipline" problems are solved at this stage.

Date:

Handbook Policy has been reviewed.

You are receiving this verbal disciplinary warning because of the following:

I have received this verbal disciplinary action and understand that unless this problem is corrected, further disciplinaryaction will be taken up to and including the termination of my employment.

Date:

Mini-Skool Early Learning Centers - Progressive Discipline Process

Supervisor's Signature:

Verbal WarningEmployee Name: Department:

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Written Warning #1 – Part 2

Initiate this step by repeating the process used in the verbal warning, i.e., talk before preparing any written action.

After this discussion, prepare the written warning. Build in information, responses, and commitments made in the discussion.

The written warning will have three parts: A statement about the past, reviewing the employee's history with respect to the problem. A statement about the present, describing the who, what, when, etc. of the current situation, including the

employee's explanation. A statement of the future, describing your expectations and the consequences of continued failure.

Handbook Policy has been reviewed. Date:You are receiving this written disciplinary warning because of the following:

I have received this 1st written disciplinary action and understand that unless this problem is corrected, furtherdisciplinary action will be taken up to and including the termination of my employment.

*Note: Your signature indicates that you have received this information.

Supervisor's Signature: Employee Signature*:

Written Warning #1

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Written Warning #2 – Part 3

This step may be repeated with stronger consequence statements. This step should also still contain the same three parts:

A statement about the past, reviewing the employee's history with respect to the problem. A statement about the present, describing the who, what, when, etc. of the current situation,

including the employee's explanation. A statement of the future, describing your expectations and the consequences of continued

failure. This section should contain the written statement that "this is a final warning and failure

to correct the problem will lead to termination."

(Optional)

Handbook Policy has been reviewed. Date:You are receiving this final written disciplinary warning because of the following:

I have received this 2nd and final written disciplinary action and understand that unless this problem is corrected, furtherdisciplinary action will be taken up to and including the termination of my employment.

*Note: Your signature indicates that you have received this information.

Written Warning #2

Supervisor's Signature: Employee Signature*:

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Termination – Part 4 (Final Copy - Retain)

This is the last step of any progressive discipline system and is used when earlier steps have not produced the needed results.

A written notice of termination is prepared after the discussion and consideration of all available information.

This is Part 4 of the form and must be retained in the employee’s file. No copy of the final form is to be given to the employee.

Handbook Policy has been reviewed. Date:You are receiving this letter of termination because of the following:

I have received this letter of termination because of the reasons stated above.

*Note: Your signature indicates that you have received this information.

Employee Signature*:

Termination

Supervisor's Signature:

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Conclusion Q&A

The progressive discipline process provides a fair, consistent method of addressing unsatisfactory performance or inappropriate behavior.

A well executed progressive discipline process will improve morale and productivity.

Questions?For questions after this session please contact:

April McLaughlin, HRAMcLaughlin@mini-skool.com