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Progressive Discipline A Supervisor’s Guide to Managing Performance This Superv

Progressive Discipline A Supervisor’s Guide to Managing Performance This Supervisor’s Guide Is A Publication Of: Indiana University Purdue University Indianapolis Human Resources Administration April 2006 For Questions or Additional Information Please Contact: Employee Relations 620 Union Drive, Room 340 (UN 340) Indianapolis, IN 46202-5168 Phone: 274-8931/ Fax: 274-5481 Email: tmartin@iupui.edu or nchand@iupui.edu www.hra.iupui.edu TABLE OF CONTENTS I. Preface .................................................................................................................................1 II. Introduction ........................................................................................................................2 A. Purpose of Discipline ........................................................................................................2 B. Establishing the Ground Rules...........................................................................................2 III. Principles of Discipline.........................................................................................................3 A. Progressive.......................................................................................................................3 B. Equitable Treatment..........................................................................................................3 C. Past Practice.....................................................................................................................4 1. Uniform Response......................................................................................................4 2. Recurring Situation ....................................................................................................4 3. Substantial Period of Time..........................................................................................4 4. Recognized................................................................................................................4 D. Just Cause........................................................................................................................4 1. Adequate Warning .....................................................................................................4 2. Reasonable, Related Rules..........................................................................................4 3. Fair Investigation.......................................................................................................5 4. Substantial Proof........................................................................................................5 5. Equitable Treatment and Past Practice.........................................................................5 6. Appropriateness of Discipline .....................................................................................5 IV. The Steps of Progressive Discipline ......................................................................................6 A. Importance of the Probationary Period................................................................................6 B. Counseling........................................................................................................................6 C. Oral Warning.....................................................................................................................6 D. Written Warning................................................................................................................7 E. Suspension ........................................................................................................................8 F. Suspension Subject to Termination......................................................................................8 G. Termination.......................................................................................................................8 H. Timeframes.......................................................................................................................9 1. Timeliness of Disciplinary Action ..............................................................................9 2. Time Between Disciplinary Actions ............................................................................9 3. Time to Correct the Problem – Use of Target Dates......................................................9 V. Administering the Discipline............................................................................................... 10 A. The Investigation............................................................................................................. 10 1. Representation ......................................................................................................... 10 2. The Investigatory Meeting ........................................................................................ 10 B. Documenting the Discipline.............................................................................................. 10 1. The Past.................................................................................................................. 10 2. The Present.............................................................................................................. 10 3. The Future............................................................................................................... 10 C. Informing the Employee................................................................................................... 11 TABLE OF CONTENTS (Continued) VI. The Employee’s Right to Appeal Disciplinary Actions ........................................................ 12 A. The Problem-Grievance Procedure................................................................................... 12 1. Settlement on a Merit Basis ...................................................................................... 12 2. Settlement at the Point of Origin ............................................................................... 12 3. Promptness of Action at Each Step............................................................................ 12 B. Management’s Burden of Proof ........................................................................................ 12 1. Relevance................................................................................................................ 13 2. Materiality............................................................................................................... 13 3. Competence............................................................................................................. 13 4. Best Evidence.......................................................................................................... 13 C. Handling a Grievance ...................................................................................................... 13 Appendices A. Supervisor’s Checklist ..................................................................................................... 14 B. Oral Warning................................................................................................................... 16 C. Written Warning.............................................................................................................. 18 D. Letter of Suspension ........................................................................................................ 20 E. Letter of Termination ....................................................................................................... 22 F. Letter of Suspension Subject to Termination...................................................................... 24 1 PREFACE This guide describes the basic elements of a sound progressive disciplinary system and is intended as a supervisory guide for determining when discipline is necessary, what level of discipline is appropriate, and how to administer discipline. The principles of progressive discipline, equitable treatment, past practice, and just cause are set forth. Each step of progressive discipline details how to evaluate a situation prior to taking any disciplinary action, including the investigation process. The guide also outlines the employee's right to appeal disciplinary actions. A checklist of questions is provided to help guide you through the disciplinary process, and a series of sample disciplinary letters is also included. Two important issues need to be emphasized. First, although the bulk of the guide addresses cases which stem from a series of events leading to discipline, such as poor work performance or poor attendance, there are times when major infractions occur which require moving immediately to a suspension or discharge. There are also times when a step may be repeated or skipped. It is advisable to contact Human Resources Administration when these situations occur. Second, the level of responsibility or type of position within the university is a critical criterion in applying the concepts of progressive discipline in any given case. 2 INTRODUCTION Purpose of Discipline Discipline in its literal sense is training that corrects, molds, or improves, and its purpose in the workplace is to correct, mold, or improve job-related performance or behavior. Discipline is to be progressive in nature so that it uses the least severe action necessary to correct undesirable behavior and moves to increasingly severe measures only if the problem is not corrected. These steps include an oral warning, a written warning, a suspension, and a termination. With the exception of the final step, discipline’s primary objective is to correct—not punish—the employee. When properly administered, progressive discipline benefits management and employees and satisfies the scrutiny of third parties (unions, EEOC, arbitrators). For management, progressive discipline maintains order and enforces university rules. It affects employee morale and productivity positively, it helps rehabilitate employees who choose to correct their behavior, and it helps to terminate employees who don’t. For employees, progressive discipline sets clear standards and warns of consequences for noncompliance; it assures predictable, progressive, and equitable treatment; it promotes fair decisions; and it provides a process to appeal disciplinary decisions. For third parties, properly applied discipline meets the test of just cause and satisfies the requirements for progressive, nondiscriminatory, fair, corrective, and consistent decisions. Establishing the Ground Rules As a supervisor, you have inherent responsibilities to promote positive employee morale and to maintain a productive work force. Vital to meeting these responsibilities is the effective handling of discipline; however, these responsibilities begin long before any disciplinary measures are actually necessary. They begin by establishing the “ground rules” by which employees are expected to conduct themselves. Not all work environments are identical; therefore, one set of rules will not apply to all work groups. Supervisors must know the rules that apply to their particular work group, as well as any unwritten practices that have become commonplace. Both existing and newly created work rules should be clear, reasonable, and understandable. Employees are more apt to conform to rules that are understood and that are reasonable than to those that are not. All rules and practices should be reviewed regularly and updated if necessary. You should not assume employees will learn rules by word of mouth. Initially, work rules may be communicated orally, but it is necessary to reinforce this communication in writing. Announcements in newsletters and notices on bulletin boards are the most common forms of communication and may be followed up by inclusion in policy manuals and employee handbooks. Once published and posted, copies of rules and policies should be accessible to management and employees at all times to encourage an atmosphere of open communication and prevent policies from becoming “sacred documents.” Supervisors who enforce work rules consistently and without discrimination gain the respect and cooperation of their employees; however, this respect can be quickly lost if some employees are allowed to “bend the rules.” Being overly lenient or overlooking rules altogether not only invites disrespect; over a period of time, rules become dormant and unenforceable. To enforce a dormant work rule, the rule and the consequence of infraction must be communicated to employees again. By establishing clear, reasonable, and understandable work rules, communicating the rules to employees, and applying the rules consistently, you are setting the standards for employee performance and behavior. As one might expect, not every employee will measure up to performance standards or comply with established work rules. When this occurs, your responsibility is to take the necessary progressive disciplinary action. 3 PRINCIPLES OF DISCIPLINE If discipline is to be effective and accomplish its intended purpose, that is, to correct employee behavior, it has certain fundamental characteristics. Discipline must be progressive; it must consider past practice and equitable treatment; and it must meet the test of just cause. Progressive The principle of “progressive” discipline involves informing the employee of the problem and the need to correct it, and then using increasingly severe disciplinary measures if the employee fails to correct the problem. In most situations the problem will first be brought to the employee’s attention with a counseling session. This initial counseling is not considered part of the formal disciplinary system, and it should impress upon the employee the importance and necessity of correcting the problem. Most employees will correct the problem through such counseling; however, if the problem continues, discipline is initiated as an oral warning. For a problem that persists, the next step is a written warning. If the problem still is not corrected, a stronger warning is imposed as a suspension. It this sequence of progressive disciplinary steps has not brought about the required changes, termination is considered appropriate. There is an expectation that counseling will precede the formal disciplinary process. This formal process includes an oral warning, a written warning, a suspension, and a termination. For most problems, each step in the complete process is necessary; however, for more serious problems the earlier steps may be eliminated. The degree of discipline taken must be relative to the seriousness of the offense and the employee's record and should be the minimum level necessary to bring about correction of the problem. If it is not corrected, more severe action will be taken, up to and including termination. In this sense, the employee actually “fires” himself because it is the employee who has control over whether the progressive disciplinary process continues or ceases. Other factors to consider are the level of the employee’s position and the type of position; for example, managers and supervisors are held to higher standards of performance and behavior. Termination may result if the employee has been provided a reasonable opportunity to correct the problem and has failed to do so. Equitable Treatment Each disciplinary problem is unique and may require some flexibility in order to attain the best solution; however, it is uploads/Finance/ progressive-discipline-guide 1 .pdf