Understanding Progressive Discipline

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Understanding Progressive Discipline David
Vestal Deputy Director ISAC (515)
244-7181 dvestal_at_iowacounties.org CCMS
Supervisors Training Best Inns Suites Des
Moines June 5, 2002
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Employee Discipline Discipline refers to
corrective actions taken by a supervisor when an
employee does not abide by organizational rules
or standards.
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Discipline problems come in three
categories Attendance - unexcused absences,
chronic absenteeism or excessive tardiness Poor
performance - failure to complete work
assignments, producing substandard work product,
failure to meet established work
requirements Misconduct - theft,
insubordination, intoxication, falsifying records
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Exceptions to this at-will employment
doctrine 1)an employee handbook 2)a union
contract 3)promise made by the employer
4)where public policy prohibits termination 5)an
actual employment contract 6) the law protects
the employees job
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The board of supervisors has ultimate authority
over your disciplinary policies.
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Progressive Discipline The county attempts to
correct an employees behavior by imposing
increasingly severe penalties for each
infraction.
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• Progressive discipline has definite advantages
• Reassures employees - they know where they stand
• Assures employees that misconduct by other
  employees will be addressed
• Helps justify any employment decision
• Progressive discipline also has clear
  disadvantages
• Difficult to administer - a lot of documentation
• Requires a formal, written policy
• Locks employer in to certain responses
• Alters at-will status

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Progressive Discipline Must Be Immediate To
be accepted, discipline must quickly follow the
offense. Understood It is more likely that the
discipline will be seen as fair if it is
proceeded by clear warnings Consistent Fair
treatment demands that punishment be
consistent Impersonal Penalties should be
connected to behavior, not the personality of the
violator
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• Any system of discipline must include
• Rules that are work-related
• Adequate notice
• Timely and fair investigation
• Substantial evidence
• Equal treatment
• Penalties in proportion to the offense

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• Performance Reviews
• Job-related
• Consistent and in a timely fashion
• Focus on behaviors
• Adequate Notice

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• Weingarten Principles
• Whenever the employee believes a meeting may lead
  to discipline
• Employee can request representation before or
  during the meeting
• After the request, the employer has three
  choices
• Grant the request and wait for the other employee
• Deny the request and end the meeting
• Give the employee the choice of ending the
  meeting or proceeding without the representative
• Employees must ask for their Weingarten rights.

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• Anderson v. Douglas and Lomason
• 1995 Case
• Employee was fired for possessing company
  property
• Employee sued stating that he was entitled to the
  progressive discipline policy
• Company had a disclaimer in employee handbook
• Courts Decision
• No contract created by the handbook
• Progressive discipline language was not mandatory
• Employee was an employee at will

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• Jones v. Lake Park Care Center
• 1997 Case
• Employee was summarily terminated
• Companys progressive discipline policy required
  a written warning
• Handbook was sufficiently definite to create a
  contract.
• She was awarded 370,000 in actual and punitive
  damages

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Skipping Steps If a problem is serious, the
County may identify the appropriate step to
initiate and not utilize the normal sequence.
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• Oral Warning
• Point out the unacceptable behavior
• Explain the purpose for the rule
• Explain how the employees behavior is causing a
  problem
• Give the employee a chance to respond
• Consequences
• Specific recommendations
• Express confidence in the employee
• Document the meeting

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• Written Warning
• Identify your expectations
• Explain the consequences of continued misconduct
• Document the written warning
• Employee should acknowledge it
• Place a copy in the employees personnel file

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• Rules for Drafting Good Documents
• Be truthful and accurate
• Review the document
• Have someone else review it
• Destroy all drafts
• Contemporaneous is best
• Memorialize earlier undocumented events

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• Documentation Dos
• Be Specific with words, dates and actions
• State objectives for future performance
• State the consequences of not improving
• Have the employee sign to acknowledge receipt

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• Documentation Donts
• Dont delay in documenting the discipline
• Dont write comments that might indicate bias or
  prejudice
• Dont share disciplinary information who does not
  have a need to know
• Dont make accusations without proof

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• Suspension
• Paid or unpaid suspension
• This time out gives the employee the opportunity
  to review his behavior
• If salaried, dont discipline by giving unpaid
  time off for periods of less than one week

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• Termination meetings
• You should
• Prepare what you will say ahead of time
• Give an adequate reason for the discharge
• Allow the employee to have his or her say
• Make it clear that the decision is final
• Briefly run through the benefits
• Explain your countys job reference policy
• Collect county property from the employee

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• Termination
• If terminated for reasons of dishonesty,
  immorality or illegal conduct, the employee is
  entitled to a name-clearing hearing.
• A person must be notified of their opportunity
  for such a hearing.
• A post-termination hearing is sufficient.

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Addendum The County reserves the right to
conduct any investigation that it deems necessary
to determine whether an employee has engaged in
conduct warranting discipline.