How Does Progressive Discipline Work in Real Life? Understanding Each Step and Its Impact

Understanding Progressive Discipline

Progressive discipline means you move through increasingly stronger counseling or training in an attempt to cause or convince the employee in question to bring his or her performance to an acceptable level. The critical ingredients are due notice, a chance to improve, and a review process. The following are the usual steps:

Step 1: Initial Discussion

Talk to the employee and explain what is wrong and what changes must occur.

Step 2: Written Warning

If performance remains unacceptable, tell the employee you appreciate his or her efforts to improve, if there were efforts. Then, place these concerns, a description of the desired improvement, and suggestions for ways to accomplish the improvement in writing. ALWAYS place a warning about the consequences of failure to bring performance to an acceptable level, such as, "If your attendance does not improve and if this improvement is not sustained, you will be subject to discipline." Failure to put this warning in writing will cause an arbitrator or judge to assume the employee did not have sufficient warning of the need to improve before being disciplined. In this case, the judge or labor arbitrator will most often decide for the employee. In fact, step 2, a reprimand, is often considered formal discipline.

Step 3: Follow Through with Discipline

If the employee's performance remains poor and you feel you have provided enough counseling and assistance to cause the employee to bring the performance up to an acceptable level, then follow through with your statement concerning discipline. ALWAYS attach copies of all documentation (counseling memos, witness statements, pictures, etc., that help form the basis of the decision to discipline) to the proposed discipline.

Step 4: Review and Final Decision

Offer to talk to the employee and their representative (union, attorney, fellow employee, friend, relative) before the decision to discipline is final and always check out what they have to say. ALWAYS make sure of what you are doing and that your final decision is fair. At this point, it is important to listen to the employee and to objectively review the evidence from the employee's point of view. Often this objective evaluation is not performed, leading to poor discipline decisions and losing court and arbitration cases.

Step 5: Finalize the Discipline

Finalize the discipline by following your policies. A simple letter informing the employee of the final decision and the effective date of the discipline is the most usual method of informing the employee of the organization's decision. If your policies do not prohibit it, it is best to let the employee go immediately with two weeks of extra pay to soften the blow, thus avoiding any workers' compensation difficulties.

Hi! I look at "Progressive Discipline" as a "step-ladder" approach in imposing a sanction within an organization, based on its Code of Ethics/Discipline and related labor laws.

Understanding Progressive Discipline

Progressive discipline can start from a Verbal Warning and end up in Dismissal. The normal steps are as follows:

First Offense = Verbal Warning

Second Offense = Written Warning

Third Offense = Light Suspension (e.g., 15 workdays)

Fourth Offense = Heavy Suspension (e.g., 30 workdays)

Fifth Offense = Dismissal

The imposition of the "increasing" penalty or sanction presupposes the same type of offense for the same employee within a specified timeframe, normally within the same year.

Exceptions to Progressive Discipline

We have to understand, however, that there are offenses that are "terminable" even with the first offense. Of course, this situation depends on the corporate culture and the labor laws where the company operates.

Due Process in Dismissal

Dismissal must always be imposed with due process. Due process means:

1. Written Notice on the Offense (First Notice)

2. Hearing on the Case (Opportunity to be Heard)

3. Written Notice on the Decision to Dismiss (Second Notice)

Best wishes.

Ed Llarena, Jr.

Managing Partner

Emilla Consulting

CHR makes excellent points regarding discipline. I just want to add two items.

Progressive Discipline for Non-Serious Violations

Progressive discipline is the appropriate response for non-serious violations of company rules, such as bringing food/drink onto the shop floor, operating equipment without proper training, or failing to observe parking/driving regulations within the plant. Suspension, subject to discharge, is the appropriate response for serious breaches of good order, such as fighting, possession of alcohol, drugs, firearms in the workplace, or gross insubordination. The proper procedure would be to direct the employee(s) to leave the plant and return the next scheduled workday for a hearing wherein they could present their reasoning for their actions. Management has the obligation to listen and reflect diligently and then come to a decision. That decision must be communicated to the employee(s) and their representatives, if applicable, in writing.

Severance Pay Considerations

Severance pay, typically "two weeks," is never offered except in difficult or hard-to-prove cases, where a deal is formulated resulting in the employee's resignation versus discharge. In fact, the employee loses all company-provided benefits and, in some cases, even some benefits they have accrued, such as vacation. The forfeiture of benefits is seen as a deterrent to adverse employee action.