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

contd

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

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

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 employees control Poor productivity Failing to meet performance standards

Common Discipline Issues

Behavior Problems
Behavior problems are usually completely within the employees 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 employees 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 persons 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 persons 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?

Type Header Here

Topic 1
Bullet point 1 (take out if not needed) Bullet point 2 (take out if not needed)

Topic 2
Bullet point 1 (take out if not needed) Bullet point 2 (take out if not needed)
Additional bullet point (take out if not needed)