This document discusses progressive discipline and termination processes. It defines progressive discipline as a system that provides warnings, counseling, and possible retraining to inform employees of poor performance or behavior issues before termination. The document outlines the steps in progressive discipline, including coaching, performance reviews, oral warnings, written warnings, suspension, and termination. It stresses thorough documentation, treating employees with dignity, and involving HR at all stages of discipline.

1. Coaching,
Progressive Discipline
and Termination
HR Systems, Inc. Copyright 2009

2. Introduction
 In the workplace, what does it mean to discipline
someone?
 Progressive Discipline:
Is a process where information/warning system is utilized

to inform and document poor performance or behavior
that could lead to termination,
Does not always result in termination,

Provides for appropriate counseling, possible

retraining, and written warnings, the behavior should
change for the better.
 Employees can benefit from progressive discipline.
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3. Supervisory Survey
What is your experience level as a supervisor?

Counseling employees?

Oral warnings?

Written warnings?

Suspensions?

Terminations?

Have supervisors ever…

Ignored a situation?

Taken action but didn’t document it?

Taken action with no investigation ?

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4. Coaching and
Performance Appraisals
Coaching

Performance Appraisals

Progressive Discipline

 When do these apply? List ideas.




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5. Coaching an Employee
Observation

Building on employee strengths

Preventing foreseeable problems

or down hill slides
Keeping an open mind focused

on desired results, safe, lawful and
effective methods
Feedback to employees

Recognition

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6. Performance Appraisals
Importance of job descriptions

Set objectives and define results

Honest feedback

Frequency of review

Compensation or incentive issues

Planning and holding the meeting

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7. Employee Issues Brought to Work
List them:









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8. Supervisory History
Progressive discipline is most effective when the supervisor

uses the process outlined.
Sometimes supervisors revert back to their “old way” of

doing things.
Old Way Progressive Discipline
Supervisor discusses issue with Supervisor discusses issue
 
other employees. only with employee involved.
Supervisor made assumptions Supervisor gathered facts
 
based on hearsay. and though through process.
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9. Supervisory History (cont.)
Old Way Progressive Discipline
Based on hearsay, supervisor Based on one-on-one meetings,
 
accused employees of causing supervisor is able to evaluate what
problems happened.
 Supervisor didn’t write down  Supervisor took notes and had
anything – has good memory. discussions with employees.
 Supervisor didn’t have a plan to  Supervisor has a plan to solve
fix situation. the problem.
Upon the supervisor’s Supervisor used the
 
conclusion, told employees to Counseling/Warning report, all
“knock it off.” parties know the issues and what is
expected. Always provide a copy
of report to HR for employee’s file.
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10. Counseling and Warning
Processes
Investigate First

It is imperative that a thorough investigation be

completed by a trained person.
Interview the complainant

Interview the employee suspected of misconduct

Interview all witnesses

Oral Reprimand

Few supervisors enjoy speaking to employees about

performance or behavior problems. The oral reprimand
is generally the first stop in the progressive disciplinary
process.
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11. Counseling and Warning
Processes
Examples of where the oral reprimand should be used:

Poor work performance

The investigation will include reviewing employee

work records, performance and departmental
data, time cards, and other documents.
Improper behavior

This area may require more effort as monitoring

behavior is subjective in nature and may not be
immediately quantifiable.
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12. Counseling and Warning
Processes
Oral reprimand-write it down.

“If it’s not written down, it didn’t happen.”

When conducting the oral reprimand, supervisors should

use the Employee Counseling/Warning form.
Also write down the conversation.

Explain to the employee that the conversation is being

documented for future records.
Don’t take this step in the process lightly.

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13. Counseling and Warning
Processes
Oral Reprimand
When meeting with the employee do the following:

Meet privately.

Be specific why the meeting is being held.

Don’t assume the employee knows why the meeting is being

held.
Address the issues with the employee.

Address the policy or practice that is in question.

Give the employee an understanding of the consequences.

Review the document/discussion with the employee.

Sign and submit a copy to Human Resources.

Note: In this step the employee doesn’t need to sign the

document.
Supervisors are encouraged to keep a copy, however, all

original employee-related documents must be sent to
Human Resources.
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14. Counseling and Warning Processes
Written Warning
Written Warning Process
The same steps as in the oral reprimand. Get the facts

before you start.
Once all the details have been gathered, arrange a

private meeting with the employee.
In this step, it is strongly recommended that a witness be

present for this meeting. Do not use another employee.
Include Human Resources or another supervisor.
Remember this is a private discussion. Find an office

where the meeting can be held without interruption.
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15. Counseling and Warning Processes
Written Warning
Pointers for the Discussion
Complete your investigation and document the issues before the

meeting with the employee.
First explain the reason for the written warning. Be specific.

Depending on the situation, offer some counsel to the employee

on how they can improve.
Explain the consequences if their behavior continues.

Give the employee a chance to ask questions or voice concerns.

Ask the employee to sign the Employee Counseling/Warning Form.

Document any refusal to sign the form.

Give the employee a copy of the form.

Send the original copy to Human Resources for filing and retention.

Keep a copy in the supervisor file.

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16. Counseling and Warning Processes
Written Warning
Guidelines for Supervisors - Written Reprimand
Don’t make this a personal attack.

Focus on the particular problem.

Counsel the employee.

Give the employee guidance for improvement.

It will help the employee determine if they want to change.

Ask for the employee’s input.

Note: This is not a debate; input is different than opinion and

argument.
Signatures.

Note: The signature does not mean the employee agrees with

the warning, only that he/she acknowledges receiving it.
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17. Suspension
When is suspension/last chance appropriate?

Why suspend an employee?

How long should an employee be suspended?

Is the suspension with or without pay?

Does their status, i.e. exempt vs. nonexempt make a difference?

Two examples to consider:

The employee has been given the oral and written

reprimands for their job performance, yet their performance
has not changed.
An incident occurs in the workplace and the supervisor needs

to complete an immediate investigation. Only a few facts are
known. Does the supervisor leave the employee in the work
area while the investigation is conducted or is the employee
removed from the job prior to the investigation?
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18. Suspension (cont.)
General Guidelines
If an employee is suspended, have Human Resources involved.

Avoid using the “Probation Clause.”

Conduct the investigation as expediently as practically possible.

Suspension period depends on status of employee, i.e. exempt vs.

nonexempt.
Contact Human Resources for assistance.

Compensation during suspension can be paid or unpaid. This

depends on the severity of the issue.
Vacation of Paid Time Off (PTO): Suspension time is not charged to

the employee if an employee is found to have not engaged in gross
misconduct. If misconduct did in fact occur, available
Vacation/PTO time may be deducted from the suspension time.
Documentation: Written documentation of suspension and

resolution needs to be noted and placed in the employee’s
personnel file.
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19. Termination
There are two principle categories of termination:

Performance

Job related including quality of

work, attendance, and behavior.
Behavioral or Gross Misconduct

The employee knowingly and willfully breaks

company policies and procedures or state and
federal laws while on the job. Termination is a valid
component of any disciplinary process.
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20. Termination (cont.)
Items to consider before terminating an employee
When termination is going to occur…

The supervisor should review the proposed termination with his/her

manager.
Involve Human Resources during all steps.

Review all previous documentation: oral, and written warnings.

Is the termination going to be consistent with past practices?

Treat the employee with dignity.

Meet privately with a witness present.

Review the steps taken so far with the employee.

Be specific and direct with the employee. Don’t engage the employee.

Have a plan set up to remove the employee from the facility.

Gather company items being used by the employee.

Follow up with termination documents.

Terminate the employee from payroll.

Send all original documents to Human Resources.

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21. Termination Process
During the termination meeting…

State the reasons for the meeting.

State the facts regarding the situation.

Note: No one should be surprised.

Give the full reason for the termination.

(Give the employee an opportunity to state any comments.)

Take responsibility for making the final decision about the matter.

Note the effective date of the termination.

Explain pay policies and termination provision (if any).

Explain vacation, sick, or PTO time they may have accumulated.

Explain or refer the employee to Human Resources for questions

regarding insurance programs including COBRA.
Collect all Company property: keys, credit cards, equipment, etc…

Gather personal belongings.

Coordinate this with Human Resources.

Have the terminated employee sign any necessary forms.

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22. Summary
Consider the following:

Get Human Resources involved.

Discipline is most effective when it is applies in graduated

steps.
Through the process, employees are given the opportunity to

change their performance.
Progressive discipline enables the supervisors to retain

employees and help them reach their potential as productive
employees.
Progressive discipline steps can be skipped depending on the

severity of the issues.
Progressive discipline should be used as a positive tool to

improve employee performance and improper behavior.
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23. Summary (cont.)
Protect Yourself

What if disciplinary decisions and actions are

challenged?
 Thorough documentation can protect supervisory
decisions.
 By the termination stage, solid documentation
should be on hand to show that a plan was followed
for the progressive discipline decisions.
 At the point of termination, the employee’s file
should contain the facts to back up the disciplinary
decisions.
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24. Compliance Issues
The Equal Employment Opportunity Commission (EEOC) was

created by the Civil Rights Act of 1964 and is responsible for the
enforcement of employment-related provisions of the act. The
agency initiates investigations, responds to complaints, and
develops guidelines to enforce laws.
Based on the evolution of court decisions, current law regulations;

the party charging discrimination must first be:
A member of a protected class.

Must approve that disparate impact or disparate treatment

existed.
From a company perspective, dates of service, specific job

duties, and performance records including annual reviews and
any counseling or warnings should be in the employee’s personal
file. These items are key to successfully defending your actions.
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25. Contact Us!
www.hrsincorporated.com
Email: hrsystems@hrsincorporated.com
Phone: 866-513-5647
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