A progressive discipline policy is one that has a clear progression of disciplinary actions that will be taken when an employee violates the work rules. For example, a typical progressive disciplinary policy might include steps like this:
- Verbal warning – A verbal warning is one that is more informal. It serves to ensure that the employee is aware of the infraction and is given the opportunity to take steps to remedy it. (The warning is verbal, but you should document it.)
- Written warning (one or more) – A written warning is a more formal warning to the employee. It is issued if the verbal warning does not result in a positive change in the employee’s behavior. It usually includes an action plan or next steps that must be taken in order to ensure that there are no further consequences. An employer may choose to have more than one written warning for some infractions. Usually, the employer and employee sign the written warning and it goes into the employee’s personnel file.
- Suspension (with or without pay) – Suspension is generally reserved for major infractions or for situations that require investigation before further action is taken. It can serve as a final warning to the employee that if behavior is not improved, termination will result next.
- Termination – Termination is usually a last resort, but sometimes it cannot be avoided. Documentation is important every step of the way, but especially for any termination decision.
Bear in mind that some infractions may warrant skipping the early steps altogether. Having a progressive disciplinary system in place does not mean that an employer cannot move immediately to termination for serious violations such as violence, harassment, theft, or major safety violations. This should be explained in the policy itself.
Pros and Cons of Progressive Discipline
Here are the pros:
- It provides a clear explanation of the consequences of not following the employer’s rules or not meeting expectations.
- It provides the opportunity for consistency and fairness in disciplinary procedures for different employees.
- It gives the opportunity for an employee to change behaviors. This is especially true in cases where the employee may not have realized they were breaking the rules or causing a problem.
- It gives the employer the chance to explain to the employee what actions can be taken to improve the situation; this is a chance for coaching and mentoring.
- It provides the employer with alternatives to termination for minor infractions. This improves employee retention.
- It also can enhance employee morale when the employees know the employer is not going to fire them for a minor issue. Morale can also be enhanced by the knowledge that poor behavior of others will be addressed.
- It provides evidence that the employer gave the employee every opportunity to improve.
Here are the cons:
- Such a policy can seem inflexible; managers have to make judgment calls when to deviate from the progressive steps (as may be necessary when considering all circumstances).
- If not followed consistently for all employees, this could appear to be discriminatory. (Note: This problem exists any time different disciplinary actions are taken for different employees who have committed the same violation; it is not unique to employers using progressive discipline.) The primary concern here is the potential for litigation if this occurs.
- Some fear that such a policy implies that the steps must be followed before any termination, which could have the effect of an implied contract stating that an employee will never be terminated without these steps. The fear is that this might jeopardize the “at-will” status of the employment.
- It can be time-consuming to use in practice, especially for organizations with limited resources. Not only does the process itself take time but it also requires training in advance, documentation during each incidence, and follow-up.
- For some businesses, especially small organizations, it may not be practical to follow these steps as it may not be practical to keep an employee on staff who violates any rule. Or, it may not be feasible to keep the business running with a suspended employee. It just might not be practical to implement for every organization.
Reference: Bruce, S. (June 25, 2014) Pros and Cons of a Progressive Discipline Program, HR Daily Advisor
