Progressive Discipline
Session Objectives
• Apply progressive discipline steps fairly and
consistently
• Identify laws and policy requirements
affecting discipline
• Conduct effective disciplinary meetings
• Document disciplinary action properly
© Business & Legal Reports, Inc. 0609
Session Outline
• Discipline and the law
• The need for consistency
• Investigations of disciplinary problems
• Steps in progressive discipline
• Disciplinary meetings
• Documentation of disciplinary actions
© Business & Legal Reports, Inc. 0609
Why Progressive
Discipline?
• Establishes expectations and predictability
• Applies consequences fairly and consistently
• Corrects inappropriate behavior and poor
performance
• Helps rehabilitate employees with potential
• Protects against complaints and lawsuits
© Business & Legal Reports, Inc. 0609
Discipline and the Law
• EEO laws
• Consistency and
fairness
• Retaliation
• Wrongful discharge
© Business & Legal Reports, Inc. 0609
Discipline Policy
• Provides legal protection
• Reassures “good” employees
• Puts potential offenders on notice
• Protects employees from inappropriate
actions of co-workers
• Gives violators the opportunity to improve
© Business & Legal Reports, Inc. 0609
Employee Handbook
• Informs employees of
policy
• Advises that the policy
will be enforced
• Allows some flexibility
© Business & Legal Reports, Inc. 0609
Common
Discipline Problems
• Attendance
• Performance or
behavior
• Safety
© Business & Legal Reports, Inc. 0609
Common
Discipline Problems (cont.)
• Equipment and
materials
• Substance abuse
• Harassment, fighting, or
violence
© Business & Legal Reports, Inc. 0609
Consistency
• Always follow the
company’s progressive
discipline policy
• Respond to all rule
violations immediately
• Use discipline only for
genuine violations
© Business & Legal Reports, Inc. 0609
Consistency (cont.)
• Discipline all similar offenses in the
same way
• Make discipline appropriate to the offense
• Give the employee an opportunity to correct
the problem
© Business & Legal Reports, Inc. 0609
Investigations
• Make sure you have all
the facts
• Document findings
• Give workers the
chance to explain
• Interview witnesses
© Business & Legal Reports, Inc. 0609
Foundations of Discipline
• Questions?
© Business & Legal Reports, Inc. 0609
Progressive
Discipline Steps
• Oral warning
• Written warning
• Suspension
• Termination
© Business & Legal Reports, Inc. 0609
Oral Warnings
• Meet privately and state
•
•
•
•
the problem clearly
Listen to the employee’s
explanation
Be sure the employee
understands the rule
Issue the warning and
explain the next
disciplinary step
Agree on an action plan
© Business & Legal Reports, Inc. 0609
Written Warnings
• For repeated or serious problems
• Get prior approval from HR
• State the facts clearly and objectively
• Include an action plan for improvement
• Sign and have the employee sign
• Give the employee a copy and file a copy
© Business & Legal Reports, Inc. 0609
Suspension
• Confer with HR
• Meet with the employee
• Sign the forms
• Meet with the employee
again after suspension
• Follow up
© Business & Legal Reports, Inc. 0609
Termination
• Use only as a last resort
•
•
•
•
or for very serious
violations
Consult with HR and
investigate carefully
Follow required
termination procedures
Meet with the employee
Document the meeting
in a signed report
© Business & Legal Reports, Inc. 0609
Disciplinary Meetings
• Talk privately and
promptly after offense
• Be calm and objective
• Let the employee
explain
© Business & Legal Reports, Inc. 0609
Disciplinary Meetings (cont.)
• Determine the facts
• Emphasize the
seriousness of the
situation
© Business & Legal Reports, Inc. 0609
Disciplinary Meetings (cont.)
• Determine the best discipline
• Agree on a plan of action
• Document the meeting
© Business & Legal Reports, Inc. 0609
Documenting Discipline
• Include key information
• Keep records for as
long as policy mandates
• Remove warnings and
other documentation
when allowed to give
employees a clean slate
© Business & Legal Reports, Inc. 0609
Key Points to Remember
• Steps in progressive discipline: oral warning,
written warning, suspension, and termination
• Be consistent and follow company policy
• Help employees correct discipline problems
• Protect yourself and the organization by
documenting disciplinary actions
© Business & Legal Reports, Inc. 0609