Progressive Discipline & Proper Documentation

Presented by: Melissa McIntosh, Affirmative Action & Rose Costello, Human Resources

Date: October 2007

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

Learning Objectives

– How to Diffuse Disciplinary Issues Proactively• Employee Relations• Performance Management

– Practical Tips for Successful Progressive Discipline

– How to Handle Terminations

Learning Objectives cont’d

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

Preventive Measures

How do you become Proactive instead of Reactive?

Proactive instead of Reactive

• Employee Relations

• Performance Management

• Progressive Discipline

Proactive: Employee Relations

• Treat ALL people with:

– Dignity

– Courtesy

– Respect

– Fairness and

– Ethics

Proactive: Employee Relations

• Poor employee relations may result in:

• Absenteeism

• Poor performance

• Low morale

• Turnover

• Litigation

Preventive Measures

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

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

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

Common Discipline Issues

• Performance Problems

• Behavior Problems

Common Discipline Issues

• Performance Problems– Performance issues are not always

completely within the employee’s control– Poor productivity– Failing to meet performance standards

Common Discipline Issues

• Behavior Problems– Behavior problems are usually completely

within the employee’s control– Misconduct– Negligence– Insubordination– Poor Attendance

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

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

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.

Progressive Discipline Steps

• Coaching/Review Expectations/Problem

• Verbal Reprimand

• Written Reprimand

• Suspension

• Termination

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.

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

Step 2: Written Reprimand

• Last chance agreement

• Breach of final written warnings results in discharge

• A final warning offers few alternatives

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

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

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

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.”

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.

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.

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

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

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

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.

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

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.

Step 5: Termination

• Obtain forwarding address for use in sending the year end Tax Forms

• Arrange removal of the employee’s personal items from the workplace At conclusion of meeting, employee should immediately leave the University premises

• Complete all needed forms

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

The EEOC complaint process

• Metro

• EEOC

EEOC Complaints

• A complaint alleging that the employment action was taken because of a person’s 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.

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.

EEOC Responses

• What are we looking for?

What are we looking for?

• Progressive Discipline!• Last chance statements• How were similarly situated people treated?• “But for” the person’s 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?

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.

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!

Questions?

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