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Progressive Discipline Access Success Access Success TM Progressive Discipline 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

Progressive Discipline 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 Access Success Access Success TM 4 of 26

Progressive Discipline 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 Prior to Beginning Progressive Discipline Access Success Access Success TM 5 of 26

Progressive Discipline Tips for Conducting a Successful Progressive Discipline Meeting with Employee 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. Access Success Access Success TM 6 of 26

Progressive Discipline 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.PUC Threat Assessment Checklist 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.” Access Success Access Success TM 7 of 26

Progressive Discipline 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 Access Success Access Success TM 8 of 26

Progressive Discipline 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 Access Success Access Success TM 9 of 26

Progressive Discipline Step 1: Verbal Reprimand 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. 10 of 26

Progressive Discipline Example Follow-up Dates Expected Behavior/PerformanceFollow-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 Step 1: Verbal Reprimand Access Success Access Success TM 11 of 26

Progressive Discipline 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. Access Success Access Success TM 12 of 26

Progressive Discipline 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 Step 2: Written Reprimand Access Success Access Success TM 13 of 26

Progressive Discipline 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 Step 2: Written Reprimand Access Success Access Success TM 14 of 26

Progressive Discipline 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 Step 2: Written Reprimand Access Success Access Success TM 15 of 26

Progressive Discipline Step 2: Written Reprimand – Work Improvement Plan Access Success Access Success TM 16 of 26 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 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 outlined in this letter by xyz date may result in further disciplinary actions, including termination.”

Progressive Discipline 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 Access Success Access Success TM 17 of 26

Progressive Discipline 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. Step 3: Suspension of Employment Access Success Access Success TM 18 of 26

Progressive Discipline 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. Step 3: Suspension of Employment Access Success Access Success TM 19 of 26

Progressive Discipline 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 Step 3: Suspension of Employment Access Success Access Success TM 20 of 26

Progressive Discipline 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. Step 3: Suspension of Employment Access Success Access Success TM 21 of 26

Progressive Discipline 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. Access Success Access Success TM 22 of 26

Progressive Discipline 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 Access Success Access Success TM 23 of 26

Progressive Discipline Progressive Discipline 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. Access Success Access Success TM 24 of 26

Progressive Discipline Additional Resources for Progressive Discipline Progressive Discipline Policy Separation Pay Policy – check with Human Resources: or 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 , or Mary Beth Rincon, Director of Human Resources at Access Success Access Success TM 25 of 26

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