A2X Consulting

Definition: Progressive Discipline is the process of using a set of progressive measures when an employee fails to correct his or her unacceptable behavior after being given opportunity to do so.

Unacceptable Behavior: Although the definition depends on the company policy, the following are some examples:

Unethical behavior

• Engaging in acts of dishonesty

• Misuse of work time

• Disclosure or misuse of confidential information

• Misrepresentation or misuse of authority

• Falsification of any XYZ Company record

Unprofessional behavior

• Insubordination or opposition to established authority

• Abusive language at work

• Cheating co-worker

• Treating customers inappropriately

• Excessive absenteeism

• Unreported absences

Illegal behavior

• Harassment in any form

• Theft or fraud

• Possession of a weapon, including but not limited to firearms, ammunition, or any other instrument, device, or substance designed, intended or used to inflict harm upon persons or property at work or while on company property

Guidelines for Progressive Discipline

Investigate: Are you addressing the ‘present’ offense of the employee? Thoroughly investigate the matter and collect relevant facts. This may include recording the employee’s response or explanation, chronology of events, response of people involved in the matter, etc.

Document: Record the results of your investigation.

Witness: It is a good practice to have a witness or note taker unrelated to the employee, for example: HR executive or external consultant.

Progressive Discipline Steps

OWPT model for Progressive Discipline with the following meaning:

O for Oral communication or counseling

W for Written warning

P for Probation or suspension without pay

T for Termination

Step 1. Oral Communication

The initial step in the application of performance improvement is the oral warning and discussion. The objective of this step is to alleviate any misunderstanding and clarify the direction for necessary and successful correction. The manager must meet with the staff member to discuss the unsatisfactory performance or misconduct, and outline the appropriate corrective action. The staff member should be informed that this is the first step in the disciplinary process and that failure to correct the performance or misconduct may result in further disciplinary action. The manager should keep a written record that an oral warning has been given and what corrective action was discussed with the staff member. A copy of this document should be shared with the staff member.

Step 2. Written Communication

The second step in the disciplinary process is the written warning and discussion. The manager, in consultation with a representative of HR, initiates a written warning and discussion. The written warning document to the staff member specifies:

(a) the unsatisfactory performance; (b) the corrective action to be taken by the staff member; (c) notice that continued unsatisfactory performance may result in further disciplinary action, including termination of employment.

When the staff member is given the written warning, the manager should discuss the problem with the staff member. A copy of the warning should be forwarded to HR for inclusion in the staff member’s official personnel record and the staff member is so advised.

The staff member should be advised that he/she may request counseling with HR concerning the problems with performance.

Step 3. Probation

If unacceptable performance continues or recurs, the manager, in consultation with a representative of HR, may place the staff member on probation. The manager should give the staff member a document which outlines:

(a) the unsatisfactory performance; (b) the corrective action to be taken by the staff member; (c) the period of time in which to demonstrate acceptable performance (see below); (d) the date of the follow-up review; (e) notice that continued unsatisfactory performance may result in termination of employment

Note: The length of the probation period should be determined in consultation with a representative of HR.

When the staff member is given the probationary letter, the manager should discuss the problem with the staff member. A copy of the probationary letter is forwarded to HR for inclusion in the staff member’s official personnel record and the staff member is so advised.

During the probationary period, the manager should make every effort to assist the staff member in attaining the desired level of performance or conduct.

Step 4. Termination

If during, at the conclusion of, or subsequent to the probationary period, the staff member’s performance is still unacceptable, the manager, in consultation with a representative of HR, should determine if termination is appropriate. The decision to terminate will be based on a review of the facts and circumstances, the documentation and whether or not the Company policy has been followed. If the decision is made to terminate, the manager should give the staff member a letter outlining the reason for the termination and the effective date of the termination.

[edit] Guidelines for termination decisions

Using constructive discipline instead of punishment helps avoid legal claims and improves employee morale and attitudes. Here are few guidelines in the form of questions to help managers make decision on terminating an employee.

• Are you addressing the ‘present’ offense of the employee?
• Has the employee received fair warning and support for performance improvement?
• Have the Performance Improvement Policy guidelines been implemented?
• Has the investigation been done objectively and fairly?
• Is there substantial evidence that the employee is guilty?

If the answer to all these questions is YES, then your decision of terminating the employee are fair and moral. Remember not to delay the process.

If your answer to these questions is NO, then your decision to terminate the employee is incorrect and lacks reason.

When terminating the employee, provide assistance in redeploying him/her either within the organization or outside with the help of HR. Remember you are attacking the offense and not the offender.