An effective discipline program is beneficial to both the employer and employee. It helps employees correct any shortcomings with the goal of becoming a valuable, contributing member of the workforce. Documentation created as a result of the discipline process can also help protect an employer in the event that a termination or other adverse employment decision becomes necessary. It is useful to view the matter of discipline as having several components: issues that must be addressed before administering discipline; methods of disciplining, how to provide employees with an opportunity to respond to discipline, and laws relevant to termination.
Dan’s Management Company’s progressive discipline policy and procedures are designed to provide a structured corrective action process to improve and prevent a recurrence of undesirable employee behavior and performance issues. Outlined below are the steps of Dan’s Management Company’s progressive discipline policy and procedures.
Step 1: Counseling and Verbal Warning
This is the opportunity for the immediate supervisor to bring the existing performance, conduct, attendance, or other issues to the attention of the employee. The supervisor should discuss with the employee the nature of the problem or the violation of Company policies and procedures that occurred. The supervisor is expected to clearly describe expectations and steps the employee must take to improve his or her performance or resolve the problem.
Prior to speaking with the employee, the supervisor will prepare written documentation of the verbal counseling to present to the employee. The employee will be asked to sign this document to demonstrate his or her understanding of the issues and the needed corrective action moving forward. The supervisor is then required to send the written documentation to the Human Resources Department within seven days.
Step 2: Written Warning
A written warning involves more-formal documentation of the performance, conduct, attendance, or other issues. During Step 2, the immediate supervisor will meet with the employee to review the past warning(s) and any additional incidents that have occurred. The immediate supervisor will also go over any past corrective action plans that have not been met and discuss the immediate need for corrective action.
The immediate supervisor will also outline the consequences for the employee if continued failure to meet performance or conduct expectations continue. The written warning may also include a statement indicating that the employee may be subject to additional discipline, up to and including termination, if immediate and sustained corrective action is not taken.
Prior to speaking with the employee, the supervisor will prepare written documentation of the written warning to present to the employee. The employee will be asked to sign this document to demonstrate his or her understanding of the issues and the required corrective action that is needed. The written documentation should be sent to the Human Resources Department within seven days.
Step 3: Final Written Warning or Suspension
A final written warning may accompany, at the discretion of the Operations Manager and Human Resources, a five-day unpaid suspension. A final written warning is the last chance agreement to correct the continued performance, conduct, attendance, or other issues. Failure to make improvements or recurrence of inappropriate behavior or conduct could result in disciplinary action, up to and including termination.
Suspensions that are recommended as part of the normal sequence of the progressive discipline policy and procedures are subject to approval from Human Resources. If a suspension is warranted, the employee may be suspended without pay in full-day increments consistent with federal, state, and local wage and hour employment laws. Nonexempt/hourly employees may not substitute or use an accrued paid vacation or sick day in lieu of the unpaid suspension. In compliance with the Fair Labor Standards Act (FLSA), unpaid suspension of salaried/exempt employees is reserved for serious workplace safety or conduct issues. Human Resources will provide guidance to ensure that the discipline is administered without jeopardizing the Fair Labor Standards Act exemption status.
Prior to speaking with the employee, the supervisor needs to reach out to Human Resources to obtain approval for a final written warning or suspension. If needed Human Resources may assist in the preparation of the written documentation for the Final Warning, corrective action, and if applicable, a five-day unpaid suspension. The employee will be asked to sign this document to demonstrate his or her understanding of the document. The written documentation should be sent to the Human Resources Department within seven days but may be required sooner.
Step 4: Recommendation for Termination of Employment
The last and most serious step in the progressive discipline process is a recommendation to terminate employment. Generally, Dan’s Management Company will try to exercise the progressive nature of this policy by first providing warnings, issuing a final written warning, or suspending the employee from the workplace before proceeding to a recommendation to terminate employment. However, Dan’s Management Company reserves the right to combine and skip steps and employees may be terminated without prior notice or disciplinary action depending on the circumstances of each situation and the nature of the offense.
All involuntary terminations of employment must be approved by Human Resources. All terminations need to be documented on the Termination Form and presented to the employee at the time of termination. The employee will have an opportunity to fill in his or her statement of termination and will be asked to sign and date the termination form. If an employee refuses to sign the paperwork the manager should put “refusal to sign” in their signature space.
All termination forms should be signed and dated by the manager. Dan’s Management classifies the termination date as the last date the employee worked. Significant detail should also be provided on the termination form. Sometimes further evidence or a witness signature will be requested by Human Resources. Termination forms need to be sent to Human Resources within five days; sometimes sooner if applicable.
Dan’s Management Company reserves the right to combine or skip steps depending on the facts of each situation and the severity of the offense. Some of the factors that will be considered are whether the offense is repeated despite coaching, counseling, or training; the employee’s work record; and the impact the conduct and performance issues have on fellow employees, the organization, and the customers we serve.
