Access Success Access Success TM Progressive Discipline If necessary, click on the Maximize button above to enlarge this window. Left click to begin slideshow

Access SuccessAccess SuccessTM

Progressive Discipline

If necessary, click on the Maximize button above to enlarge this window.Left click to begin slideshow.

http://www.adpc.purdue.edu/hr/BPM/discipl.htm


Pay Policy

ProgressiveDiscipline

Equal OpportunityAffirmative Action

Antiharassment

Performance Management


Workplace Injuries

Leaves ofAbsence

HiringProcedures






Successful completion of this topic will enable you to:

• Identify the steps in the Progressive Discipline process• Recognize when to implement the Verbal Reprimand• Recognize when to implement the Written Reprimand • Recognize when to implement a Work Improvement Plan • Apply immediate suspensions when necessary• Conduct a termination session• Recognize common reactions to Progressive Discipline• Document verbal and written reprimands, suspensions, and terminations• Identify resources for further information on Progressive Discipline 3 of 26



The purpose of progressive discipline is to provide supervisors with a structured approach for administering discipline in the workplace. The goal with discipline is to correct the behavior that causes negative performance.

Correcting poor performance with progressive discipline is dependent on the use of the Performance Management process, where performance and behavior expectations are first established. More detailed information on this process may be found in the Performance Management module of Access Success.

Progressive Discipline Procedure


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• Have you established performance and behavior expectations with your employee?• Have you established deadlines with your employee?• Are there other reasons, outside of the employee's control, that your employee is not performing at the expected level?• Has the employee received adequate training to perform the job?• Does your employee have the proper resources to perform the job?• Have you asked your employee why he/she hasn’t been able to perform the job?

• How many times has the person performed this behavior?

Using Performance Management Priorto Beginning Progressive Discipline


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Tips for Conducting a SuccessfulProgressive Discipline Meeting withEmployee

• Where? Use a private office or conference room.

• When? Early in the employee’s work shift. Not on Friday - this lessens the chance that the employee will brood all weekend.

• What? Discussion of the performance issue.

• Why? Preserve the employee’s self-esteem for positive results.


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Handling Reactions

Prepare for some common reactions to the discipline process. If an employee:• Gets violent – if you suspect this – please review the PUC Threat Assessment Checklist with HR prior to giving the discipline – there are additional steps to take to protect supervisors and employees. • Cries – be human. Let them get it out. Offer to leave the room and give them a few moments of privacy.• Wants to talk or argue – Listen – determine if there is any validity to their statements – if not, continue on with the discussion.• Refuses to say anything – Ask why? Then if they don’t answer – continue with the discussion.• Becomes ill – Call X2911, and talk calmly to the person. Tell them, “Help is on the way.” “Hang on.”


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http://www.calumet.purdue.edu/hr/threat.pdf




Progressive Discipline Steps

The disciplinary procedure depends upon the problem and related circumstances, but normally consists of one to four progressive steps:

1. A verbal reprimand

2. A written reprimand

3. Suspension from employment

4. Termination


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The supervisor should use a verbal discussion as the initial communication with an employee of dissatisfaction with a particular aspect of the employee's job performance or behavior. This important first step allows the employee to share their side of the story. The supervisor may be unaware of issues affecting performance.

For example, an employee that is consistently late for work may have a child that needs to catch a school bus. If the bus is late, this could affect the time the employee can then arrive at work.

Step 1: Verbal Reprimand


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The discussion should include:• a review of the specific incident(s) that precipitated the discussion,• the time and place of the incident(s) and, • the effects that the incident(s) posed to the University and/or its’ employees. • The supervisor should set expectations for rectifying the problem, with a follow-up date appropriate to the performance or behavior. Also,• the employee should be alerted to the possible consequences should his/her performance or behavior fail to improve.

During the meeting, an employee should be given every opportunity to explain the reason(s) for such actions and behavior. The supervisor should follow the verbal reprimand with a confirming memorandum to document the discussion.

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Example Follow-up Dates

Expected Behavior/Performance Follow-up date

Jane will complete the monthly report by the end of the first full week following the end of the month.

Tom will greet customers with a pleasant tone of voice.

Monthly

Weekly

Sample Verbal Reprimand Document



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http://www.calumet.purdue.edu/hr/sampleverb.pdf



Step 2: Written Reprimand

When the inappropriate performance or behavior outlined in the verbal discussion has not satisfactorily improved by the date agreed upon and more corrective action is in order, the supervisor should prepare and give a written reprimand to the employee. A verbal discussion should almost always precede a written reprimand. A written reprimand may also be used as an initial instrument in cases of a more serious nature. A written reprimand should be reviewed with the department head before presentation to the employee. The written reprimand should be presented in private, within as short a period of time as possible after the act or violation for which the reprimand is issued. A copy of the reprimand should be placed in the employee's departmental personnel file. A copy will be furnished to the Department of Human Resources upon request.


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The written reprimand should contain the following information:

1. Review of the verbal reprimand, if any

2. Statement of facts (not hearsay or assumption) concerning the offense: • Date and time • Place of incident • Description of what happened



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3. Statement of the policy, procedure, or rule that was violated, whether the rule(s) be actual or implied. An example of an implied rule violation is where an employee was disrespectful to a customer.

4. 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, or others

• Contribution to a lack of harmony and cooperation in the workforce



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5. Prior disciplinary action for same or similar offense (avoid listing anything over a year old that is not for the same offense)

6. Statement of 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

7. Follow-up date

8. Signature of supervisor and date when issued

Sample Written Reprimand Document



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http://www.calumet.purdue.edu/hr/samplewrite.pdf



Step 2: Written Reprimand – WorkImprovement Plan


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Sample Work Improvement Plan

Some discipline situations warrant a more definitive approach to the written reprimand. Human Resources may recommend utilizing a Work Improvement Plan. It is written with the same guidelines as in the written reprimand with two exceptions:

1. Work Improvement Plans are 60 - 90 working days for employees depending on the type of improvement that is required.

2. Work Improvement Plans must have the wording, “Failure to improve as outlinedin this letter by xyz date may result in further disciplinary actions, including termination.”

http://www.calumet.purdue.edu/hr/samplewip.pdf



Step 3: Suspension of Employment

The supervisor should use suspension of employment as the last means of corrective disciplinary action prior to actual discharge. The supervisor should seek guidance from Human Resources prior to implementing this disciplinary step. Verbal and written reprimands should precede suspension except in those cases where serious misconduct, behavior, or poor performance by an employee warrants immediate suspension, but not discharge. The normal length of suspension should not exceed three (3) working days (preferably Tuesday, Wednesday and Thursday).

Sample Immediate Suspension Document


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http://www.calumet.purdue.edu/hr/sampleimmsusp.pdf



Suspension is a non-working and non-paid status of employment during which an employee does not accrue vacation, sick leave, holiday, or other benefits which are based on time paid. However, an employee placed on suspension will not lose previously accrued vacation or sick leave credits, and will be permitted to participate in group insurance programs. Normally length of service credit will also continue through the period of suspension.



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Suspension may also be appropriate as a management action when additional time is needed for investigation of facts or for consultation with higher levels of authority who are not readily available. The employee’s supervisor will designate the suspension status for a specified period of time. An employee suspended and later found not at fault should be reinstated to his/her normal duties, classification and rate of pay and he/she will receive pay at the individual's regular rate for the regular shift hours lost due to suspension. Prior approval by the department head and the Department of Human Resources is required for suspension for investigative purposes in excess of three (3) working days.



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Supervisors will review the letter of suspension with the department head before presentation to the employee. The notice to the employee should state :

• A review of past disciplinary action, if any, • The specific reason for suspension • The proper behavior or performance expected • That the suspension is the last warning • Further violation may result in discharge • The period of the suspension • The date and time the employee is to resume work

Sample Suspension Document



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http://www.calumet.purdue.edu/hr/samplesusp.pdf



The original suspension notice should be placed in the department personnel file, and a copy should be forwarded to Human Resources. In any instance, when suspension is the action taken, the employee is to return to work status in the same job and at the same pay rate which he/she held prior to suspension. If, by his/her own volition, an employee does not return to work as specified at the end of the suspension period, and fails to produce an acceptable reason for not doing so, the individual will be discharged from employment by the department head and/or supervisor.



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Step 4: Termination

If after all appropriate disciplinary actions, the employee has not improved his/her performance and/or behavior in the manner specified, he/she may be terminated from employment. The supervisor should seek guidance from Human Resources prior to implementing this disciplinary step. The supervisor should prepare a letter of termination, to be given to the employee. This letter should list the reason(s) for termination, and the effective date of the termination. The letter of termination may include a review of prior disciplinary action only when the termination is a result of many infractions and/or poor performance or behavior.


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For potential future use, the supervisor should maintain a written record of any disciplinary discussion/action, as well as the dates and descriptions of the incident(s) involved. A copy of all disciplinary letters should be forwarded to Human Resources.

Sample Letter of Termination Document

Step 4: Termination


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http://www.calumet.purdue.edu/hr/sampleterm.pdf



Communicating this information is a key way to avoid misunderstandings regarding policy information and to help relieve employee fears regarding how progressive discipline is administered.

A recommended communication approach is sharing the steps of the progressive discipline procedure with employees.

• Invite staff members to ask questions if they are unsure of how or when progressive discipline is used.

• Answer questions or refer to Human Resources for assistance.


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Additional Resources for Progressive Discipline

• Progressive Discipline Policy

• Separation Pay Policy – check with Human Resources: http://www.purdue.edu/oop/policies/pages/human_resources/iv_14_1.html or

http://www.adpc.purdue.edu/hr/BPM/layoff.htm

• Form 19E - Official University notice of non-renewal of contract form.

Call 2251 or visit Human Resources in LAWS 212 for copies.

• PUC Threat Assessment Checklist• Further questions or comments? Contact Human Resources at 989-2251, or email Mary Beth Rincon, Director of Human Resources at [email protected]


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http://www.purdue.edu/oop/policies/pages/human_resources/iv_14_1.html

http://www.adpc.purdue.edu/hr/BPM/layoff.htm


mailto:[email protected]


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