Progressive Discipline and Disciplinary Documentation

Progressive Discipline and its Legal Considerations

• Due Process– What is Due Process?– Elements of Due Process

• Employment-at-will– Exception

What is Due Process?• Recognizing employee’s right to be

informed of unsatisfactory performance with chance to defend him/herself before action is taken.

Elements of Due Process• Employee must understand your expectations

and the consequences of failing to meet performance standards

• Be consistent in application to your own rules

• Discipline must be appropriate for the offense

• Employee should be given opportunity to respond

• Allow employee reasonable time to improve performance

Employment-at-will• Does not promote job security• Employee may leave at any time• CPM maintains an employment-at-will

structure

• Exception - discrimination

COSTELLO PROPERTY MANAGEMENT PERFORMANCE CORRECTION NOTICE

Employee Name: _____________________________ Department:____________________ Date Presented:_______________________________ Supervisor: ____________________ Disciplinary Level

Verbal Correction - (To memorialize the conversation.) Written Warning - (State nature of offense, method of correction, and action to be taken if offense is repeated.) Investigatory Leave - (Include length of time and nature of review.) Final Written Warning (suspension without pay -for two to four days)

Subject: ___________________________________________________________ Policy/Procedure Violation Performance Transgression Behavior/Conduct Infraction Absenteeism/Tardiness Prior Notifications Level of Discipline Date Subject Verbal Written Final Written Incident Description and Supporting Details: Include the following information: Time, Place, Date of Occurrence, and Persons Present as well as Organizational Impact. ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Performance Improvement Plan 1. Measurable/Tangible Improvement Goals: 2. Training or Special Direction Provided: 3. Interim Performance Evaluation Necessary?

4. In addition, I recognize that you may have certain ideas to improve your performance. Therefore, I encourage you to provide your own Personal Improvement Plan Input and Suggestions: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Outcomes and Consequences Positive: Negative: Scheduled Review Date: Employee Comments and/or Rebuttal _________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

X Employee Signature

(attach additional sheets if needed) Employee Acknowledgment I understand that Costello Property Management is an “at-will” employer, meaning that my employment has no specified term and that the employment relationship may be terminated any time at the will of either party on notice to the other. I also realize that Costello Property Management is opting to provide me with corrective action measures, and can terminate such corrective measures at any time, solely at its own discretion, and that the use of progressive discipline will not change my at-will employment status. I have received a copy of this notification. It has been discussed with me, and I have been advised to take time to consider it before I sign it. I have freely chosen to agree to it, and I accept full responsibility for my actions. By signing this, I commit to follow the company’s standards of performance and conduct. Employee Signature Date Supervisors Signature Date Witness (if employee refuses to sign) Name Date Time Distribution of copies: Employee Supervisor Human Resources

Disciplinary Levels, Subjects and Prior Notifications

• First Four Parts of Write-Up 1) Heading 2) Disciplinary Levels 3) Subject 4) Prior Notification

HeadingCOSTELLO PROPERTY MANAGEMENT PERFORMANCE CORRECTION NOTICE

Employee Name: _____________________________ Department:____________________ Date Presented:_______________________________ Supervisor: ____________________

Paul Smith Maintenance

Friday, May 13, 2005 Jane Doe

Disciplinary Levels Disciplinary Level

Verbal Correction - (To memorialize the conversation.) Written Warning - (State nature of offense, method of correction, and action to be taken if offense is repeated.) Investigatory Leave - (Include length of time and nature of review.) Final Written Warning (suspension without pay -for two to four days)

1)Verbal Correction

2)Written Correction

3)Investigatory Leave

4)Final Written Warning/Suspension without pay

Verbal Correction• First step in formal disciplinary process -document nature of current problem -point to future disciplinary action if improvement doesn’t occur

-common phrase – “further disciplinary action up to and including dismissal”

• Not all infractions need to begin with a verbal correction• Match discipline to offense• Verbal correction should ALWAYS be documented

Written Correction• Serves as a formal notice that a serious

infraction has occurred• OR serves as notice that the directives

outlined in a previous verbal were breached

• Typically affects employee’s annual performance evaluation

Investigatory Leave• Needed when you suspect a worker of

severe violation or infraction but need to conduct an investigation to confirm suspicions

• Not actual part of paradigm but may be necessary

Final Written Warning/Suspension Without

Pay• Last-chance agreement between employer

and employee• Typical language –

– “Should you again at any time within the next 90 days fail to ….., you may be immediately discharged.”

• Exception – choosing not to discharge• “Last-Step” options

Last Step Options

• Final Written Warning• Probation• Unpaid Suspension

Classifying the Infraction - Subject

Subject: Failure to follow departmental polices & procedures__ X Policy/Procedure Violation Performance Transgression X Behavior/Conduct Infraction Absenteeism/Tardiness

•Allows you to specifically document the particular problem at hand

•Four categories of performance issues

Four Categories of Performance Issues

1) Policy/Procedure Violation2) Performance Transgression3) Behavior/Conduct Infraction4) Absenteeism/Tardiness

Prior Notification

• Properly identifies the employee’s past performance issues

• Review employee’s personnel file• Must be logically tied to the employee’s prior

warnings and performance evaluations

Prior Notifications Level of Discipline Date Subject Verbal 3/26/04 Unacceptable work performance Written Final Written

Incident Descriptions Incident Description and Supporting Details: Include the following information: Time, Place, Date of Occurrence, and Persons Present as well as Organizational Impact. ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ •Document, Document, Document!!!!!!!!!!!!!!!!

•Describe as accurately as possible the specifics of the problem

•Incident descriptions do’s and don’ts

Incident Description Do’s and Don’ts

1) Who-what-where-when-why-how2) Use your senses3) Subjective to objective4) Include negative organizational impact

that resulted from actions5) Write down employee’s response to your

questions

Who-What-When-Where-Why-How• On Friday, May 30, at 2:00pm [when], you engaged in

disrespectful and inappropriate conduct and provided substandard customer service when you told a call-in prospective tenant that you didn’t have time to waste when he asked if you could show him an apartment. You then told the customer that you didn’t care if he went somewhere else and got a better deal. You ended that statement with the disrespectful remark “Geez!” [what]

• When I later questioned you as to how such a conversation could have come about or why you chose to use a sarcastic and demeaning tone, you told me that you didn’t know. You told me you just must have been tired or having a bad day [why/how]

Use your senses• On Wednesday, May 13, at 4:00 in the

afternoon, you walked into my office and loudly complained that the work that I left on your desk should have been done by the other accountant. I saw you place your hand on your hip, cock your head, and point your finger at me when you delivered your message. Others heard you raise your voice and speak rudely to me when you said “So what?” and “Big deal.” When you sat down, you leaned over my desk from the edge of your chair, and I sensed that you were attempting to intimidate me.

Subjective to ObjectiveDon’t state

“You were hostile toward a customer” [subjective].Do state

“You were rude and abrupt with a customer when you told him you didn’t care which loan program he picked” [objective].

Don’t state“You left your work area untidy again” [subjective]

Do state“An eight-inch stack of income work orders was piled on

your desk, your trash can was overflowing, and air conditioning parts were lying on your typing table” [objective]

Don’t state“You appeared at the client’s office under the

influence of alcohol” [subjective]

Do state“The client reported that he heard you slurring

your words and laughing uncontrollably. He reported that he saw that your eyes were glassy and that you tripped over your own feet when walking across the room. He also smelled alcohol on your breath” [objective].

Include negative organizational impact that resulted from

actions“Consequently, you have violated company

standards of performance and conduct.”

“Your repeated abuse of the sick leave system shows that you may not have taken your former warnings seriously. As a result, you are now being placed on a special probation with more stringent requirements.”

“Because your manner could have been perceived as belittling, antagonistic, and intimidating, you violated the sexual harassment policy.”

Write down employee’s response to your questions

• “When I asked you how this occurred, you told me………….”

Performance Improvement Plan Performance Improvement Plan 1. Measurable/Tangible Improvement Goals: 2. Training or Special Direction Provided: 3. Interim Performance Evaluation Necessary? 4. In addition, I recognize that you may have certain ideas to improve your performance. Therefore, I encourage you to provide your own Personal Improvement Plan Input and Suggestions: _______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Measurable/Tangible Improvement Goals

• Inform employee what needs to be done to correct performance

• Written constructively• Establish what is expected of employee• Statements begin with “I expect that……”

Training or Special Direction to Be Provided

• “I am giving you a book on spreadsheet basics. Please familiarize yourself with the essential functions that you need on a day-to-day basis. Then follow up with me three weeks later regarding your progress.”

• “A copy of our attendance policy is attached. Please reread the rule and ask me any questions to help you understand it.”

• “On Friday, September 9, you are scheduled to attend a workshop on Excel in order to increase your level of computer competence.”

Interim Performance Evaluation Necessary?

• Account for current behavior or performance problems during evaluation

• Tough but fair

Employee’s Personal Improvement Plan Input and Suggestions

• Key part of overall performance improvement plan

• Promotes open communication

Outcomes & Consequences

1) Conduct a good faith investigation2) Reach a fair and reasonable conclusion

• Predictability• Consistency

Outcomes and Consequences Positive: If you meet your performance goals, no further disciplinary action will be taken regarding this issue. In addition, you will successfully complete the terms of your introductory period and gain more independence on your job. Negative: You are not currently meeting company work performance standards. If you are unable to meet company performance requirements at any time within the remainder of your introductory period (through January 21, 1999) you will be dismissed. A copy of this document will be place in your personnel file. Scheduled Review Date: One week (December 8, 1998) Employee Comments and/or Rebuttal

X Employee Signature

(attach additional sheets if needed)

Outcomes and Consequences Positive: If you meet your performance goals, no further disciplinary action will be taken regarding this issue. In addition, you will successfully complete the terms of your introductory period and gain more independence on your job. Negative: You are not currently meeting company work performance standards. If you are unable to meet company performance requirements at any time within the remainder of your introductory period (through January 21, 1999) you will be dismissed. A copy of this document will be place in your personnel file. Scheduled Review Date: One week (December 8, 1998) Employee Comments and/or Rebuttal

X Employee Signature

(attach additional sheets if needed)

• Thirty days – poor performer

Example – I know from your past performance that you are capable of executing all aspects of the clerical specialist position. However, your failure to process incoming records over the past three weeks is unacceptable. If in the next 30 days you fail to meet the performance standards outline in the disciplinary memo, further discipline up to and including dismissal may occur.

• Sixty days – salespeople

Example – You are currently not meeting our company’s sale production standards. If you fail to meet established production benchmarks at any time within the next sixty days, you may be placed on a sixty-day final written warning. If you fail to meet sales production standards in that sixty-day final written warning period, you may be dismissed.

• Ninety days – tardiness and absenteeism problems

Example - You are now being placed on a final ninety-day warning. If at any time within this ninety day period you incur two more incidents of unscheduled absence, you may be immediately dismissed

• Six months – middle/senior managers

Example – The current level of sales in your Western U.S. region is not acceptable. The next six months will consequently serve as a probationary period for you. If you do not meet the production goals and specific benchmark measurements outline in this memo, you may be dismissed.

Consequences without Time Limits• Sexual or verbal harassment• Sleeping on the job• Undermining supervisor’s authority• Demonstrating gross negligence in job performance

We are not terminating you at this time. We are, instead, giving you another chance. If you ever again engage in conduct with a supervisor, coworker, or vendor that could be considered hostile or offensive, you maybe immediately discharged.

• “If at any time, during the next ___ days…….”

Employee Comments and/or Rebuttal

X Employee Signature

(attach additional sheets if needed)

Personal Commitment Agreement Employee Acknowledgment I understand that Costello Property Management is an “at-will” employer, meaning that my employment has no specified term and that the employment relationship may be terminated any time at the will of either party on notice to the other. I also realize that Costello Property Management is opting to provide me with corrective action measures, and can terminate such corrective measures at any time, solely at its own discretion, and that the use of progressive discipline will not change my at-will employment status. I have received a copy of this notification. It has been discussed with me, and I have been advised to take time to consider it before I sign it. I have freely chosen to agree to it, and I accept full responsibility for my actions. By signing this, I commit to follow the company’s standards of performance and conduct. Employee Signature Date Supervisors Signature Date Witness (if employee refuses to sign) Name Date Time Distribution of copies: Employee Supervisor Human Resources

Commonly Asked Questions and Sample Write-ups

Refer to attachments