Progressive Discipline

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Progressive Discipline Proper Documentation

• Presented by Melissa McIntosh, Affirmative
  Action Rose Costello, Human Resources

Date October 2007
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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

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Learning Objectives

• How to Diffuse Disciplinary Issues Proactively
• Employee Relations
• Performance Management
• Practical Tips for Successful Progressive
  Discipline
• How to Handle Terminations

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Learning Objectives contd

• Documentation, Documentation, Documentation
• How the Formal Complaint Process Works
• Required Information for EEO Responses
• Legal Standards

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Preventive Measures How do you become
Proactive instead of Reactive?
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Proactive instead of Reactive

• Employee Relations
• Performance Management
• Progressive Discipline

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Proactive Employee Relations

• Treat ALL people with
• Dignity
• Courtesy
• Respect
• Fairness and
• Ethics

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Proactive Employee Relations

• Poor employee relations may result in
• Absenteeism
• Poor performance
• Low morale
• Turnover
• Litigation

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Preventive Measures What else can you do to
be Proactive instead of Reactive?
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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

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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

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Common Discipline Issues

• Performance Problems
• Behavior Problems

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Common Discipline Issues

• Performance Problems
• Performance issues are not always completely
  within the employees control
• Poor productivity
• Failing to meet performance standards

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Common Discipline Issues

• Behavior Problems
• Behavior problems are usually completely within
  the employees control
• Misconduct
• Negligence
• Insubordination
• Poor Attendance

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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

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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

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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.

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Progressive Discipline Steps

• Coaching/Review Expectations/Problem
• Verbal Reprimand
• Written Reprimand
• Suspension
• Termination

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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.

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Step 1 Verbal Reprimand

• Initial formal communication to an employee
• Discussion needs to include
• 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

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Step 2 Written Reprimand

• Last chance agreement
• Breach of final written warnings results in
  discharge
• A final warning offers few alternatives

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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

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Step 2 Written Reprimand

• Statement of the policy, procedure or rule that
  was violated
• Actual or potential consequences of the offense
• 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

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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

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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.

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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.

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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.

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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

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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

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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

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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.

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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

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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.

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Step 5 Termination

• Obtain forwarding address for use in sending the
  year end Tax Forms
• Arrange removal of the employees personal items
  from the workplace At conclusion of meeting,
  employee should immediately leave the University
  premises
• Complete all needed forms

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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

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The EEOC complaint process

• Metro
• EEOC

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EEOC Complaints

• A complaint alleging that the employment action
  was taken because of a persons 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.

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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.

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EEOC Responses

• What are we looking for?

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What are we looking for?

• Progressive Discipline!
• Last chance statements
• How were similarly situated people treated?
• But for the persons 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?

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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.

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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!

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Questions?
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