Progressive Discipline & Proper Documentation
Presented by: Melissa McIntosh, Affirmative Action & Rose Costello, Human Resources
Date: October 2007
Progressive Discipline &
Documentation
• Housekeeping Items
– Requested topics?
– Questions and dialog are encouraged,
however, some questions may have to be
“parked” and discussed later.
– Sign In Sheets
– Training Evaluations
Learning Objectives
– How to Diffuse Disciplinary Issues Proactively
• Employee Relations
• Performance Management
– Practical Tips for Successful Progressive
Discipline
– How to Handle Terminations
Learning Objectives
cont’d
– Documentation, Documentation, Documentation
– How the Formal Complaint Process Works
– Required Information for EEO Responses
– Legal Standards
How do you become Proactive
instead of Reactive?
Proactive instead of Reactive
• Employee Relations
• Performance Management
• Progressive Discipline
Proactive: Employee Relations
• Treat ALL people with:
– Dignity
– Courtesy
– Respect
– Fairness and
– Ethics
Proactive: Employee Relations
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Poor employee relations may result in:
Absenteeism
Poor performance
Low morale
Turnover
Litigation
What else can you do to be
Proactive instead of Reactive?
Proactive: Performance Management
• Determine major job duties
– Job Descriptions
• Define performance standards
• Communicate performance & behavior
expectations
– Provide orientation to new employees
 Establish priorities for each employees
 Have written policies, procedures and work
rules
Proactive: Performance Management
 Establish a climate of communication
 Open door policy
– Provide on-going coaching and feedback
– Hold performance discussions
• Document job performance
• Evaluate job performance
• Provide effective training & resources
Common Discipline Issues
• Performance Problems
• Behavior Problems
Common Discipline Issues
• Performance Problems
– Performance issues are not always
completely within the employee’s control
– Poor productivity
– Failing to meet performance standards
Common Discipline Issues
• Behavior Problems
– Behavior problems are usually completely
within the employee’s control
– Misconduct
– Negligence
– Insubordination
– Poor Attendance
Progressive Discipline: What is it?
• A system of increasingly severe penalties
for each time an employee is disciplined
for any of the following during an active
period.
– Same situation
– Similar situation
– Serious
– Series-bundling
Goals of Progressive Discipline
• Correct undesirable conduct, rather than
simply punish
• Communicate problem issues directly, and
in a timely fashion
• Invite employees to participate in the
problem solving process
Goals of Progressive Discipline
• Prove that you made an effort to
rehabilitate employees before the ultimate
decision to terminate.
• Demonstrate no other alternative but to
terminate the employee because they
refused to accept our “invitation” to
improve their performance.
Progressive Discipline Steps
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Coaching/Review Expectations/Problem
Verbal Reprimand
Written Reprimand
Suspension
Termination
Proactive: Coaching &
Re-establishing Expectations
• Goal is to resolve the problem before it
progresses any further
• Address minor infractions now, helps to
prevent major problems later
• Establish a two way communication
• Clearly identify substandard performance
or behaviors.
Step 1: Verbal Reprimand
• Initial formal communication to an employee
• Discussion needs to include:
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Specific incident
Time and place of incident
Effects of the incident
Set Expectations
Possible consequences if behavior/performance does
not improve
– Follow the verbal reprimand with a confirming memo
Step 2: Written Reprimand
• Last chance agreement
• Breach of final written warnings results in
discharge
• A final warning offers few alternatives
Step 2: Written Reprimand
• A written reprimand should contain the
following:
– Prior disciplinary action for the same/similar
offense
– Avoid listing anything over a year old that is not for the
same offense
– Statement of facts
• date, time, place of incident
• description of what happened
Step 2: Written Reprimand
– Statement of the policy, procedure or rule that
was violated
– Actual or potential consequences of the
offense
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Cost to the university, fellow workers or others
Burden on you or other employees
Hazard to employee fellow workers and others
Contribution to a lack of harmony and cooperation in the
workforce
Step 2: Written Reprimand
– Possible consequences should performance
not improve
– State the possible consequences should poor
performance and/or behavior continue, as well as
emphasizing the opportunity for the employee to achieve
the level of proper behavior or performance expected
– Follow up date
– Signature of supervisor and employee and
date issued
Step 2: Written Reprimand
Work Improvement Plan
• Usually 60-90 working days for employee
– depending on the type of improvement that is
required.
• ”Failure to improve as outlined in this letter
by xyz date may result in further
disciplinary actions, including termination.”
Step 4: Suspension of Employment
• Normally used during investigation of facts
• Provides “breathing space” to deal with
what appears to be a serious misconduct.
• Allows time for consultation with higher
levels of authority who are not readily
available.
Step 4: Suspension of Employment
• Never terminate on the spot even if the
employee has seemingly made a dischargeable
offense, instead investigate.
– Collect evidence from both sides of the story and get
HR involved.
– During interviews a more relaxed approach will gather
more information.
– Investigate within 48 to 72 hours after the event.
• Make sure that other employees have been
treated in the same way in other similar
circumstances.
Step 4: Suspension of Employment
• Last means of corrective disciplinary
action prior to discharge.
• Normal length should not exceed 3
working days (Tues, Wed and Thurs)
• Non-working and non-paid status of
employment
– Employee does not accrue vacation, sick
leave, or holiday
Step 4: Suspension of Employment
• A suspension letter should include
– Review of past disciplinary action, if any
– Specific reason for suspension
– Expected behavior or performance
– That suspension is their last warning
– Further violation may result in discharge
– The length of suspension
– The date and time the employee is to resume
work
Step 5: Termination
• Never terminate on the spot
– Suspend the employee “…subject to
discharge pending further investigation.”
• Get all the facts first to make sure your
investigation is thorough, complete, and
well documented.
• Pinpoint the reason of the discharge
Step 5: Termination
• Advise your supervisor and HR before
termination
• Have another supervisor with you when
employee is told
• Following appropriate disciplinary
measures help support a legally defensible
practice.
Step 5: Termination
• The last resort
• Used for repeated occurrences or severe
violations
• Give an employee the opportunity to be
heard prior to making a final decision to
terminate – due process
Step 5: Termination
• Letter of discharge should include:
– Reason for discharge
– Review of prior disciplinary action
– Effective date of termination
• Secure or arrange the return of any keys,
tools, clothing, books, parking permit, staff
identification, and other IPFW property.
Step 5: Termination
• Obtain forwarding address for use in
sending the year end Tax Forms
• Arrange removal of the employee’s
personal items from the workplace At
conclusion of meeting, employee should
immediately leave the University premises
• Complete all needed forms
Step 5: Termination
– Separation Pay Policy
• Termination effective date of meeting
• Final paycheck will include separation pay plus
payment for any unused personal holiday/vacation
• Contact Staff Benefits about retirement benefits
• Medical coverage ends on date of termination
• Employee will receive information about COBRA
via mail
The EEOC complaint process
• Metro
• EEOC
EEOC Complaints
• A complaint alleging that the employment
action was taken because of a person’s
status in a legally protected class.
• Protected classes include age, race,
religion, national origin, color, sex, or
disability. With Metro, on a limited basis,
sexual orientation.
EEOC complaint process
• What Happens?
– Letter is received.
– Documents are gathered.
– Interviews are conducted.
– Response is drafted.
– Response is submitted to WL and Counsel.
– Response is submitted to EEOC/Metro.
EEOC Responses
• What are we looking for?
What are we looking for?
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Progressive Discipline!
Last chance statements
How were similarly situated people treated?
“But for” the person’s status in a protected class,
the same action would have been taken.
• Any bias demonstrated in statements or actions?
• Why was the action taken now?
Purdue Complaint Procedure
• Formal complaints are investigated.
• There are more protected classes than
under the law, to include: age, race,
religion, national origin, color, sex,
disability, sexual orientation, marital status,
parental status, veterans status.
Purdue Complaint Procedure
• What do we look for in an investigation?
– The same things we look for in an EEOC
Response.
– Documentation and Progressive Discipline
are key!
Questions?
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