Leadership: A Progressive Discipline Process

Here is a process for supervisors to consider when responding to a situation where an employee fails to follow policies, including a step-by-step training and progressive disciplinary approach:

Recommended Process for Policy Violations

• Ensure clear policies are in place and communicated to all employees
• Review any associated labor agreements, federal, state and local administrative and civil service rules regulations and laws that may apply to the situation.
• Provide thorough and documented training on policies and procedures
• Document any policy violations thoroughly
• Follow a progressive discipline process for violations

Step-by-Step Training and Progressive Discipline Process:

1. Initial Training

• Provide comprehensive on-boarding and policy training for all new hires
• Conduct regular refresher training on key policies for all employees
• Document employee completion of policy training

2. Verbal Warning

• Meet privately with employee to discuss policy violation
• Explain which policy was violated and why it's important
• Allow employee to explain their perspective
• Clarify expectations going forward
• Document the conversation and warning

3. Written Warning

• Meet with employee to review continued or repeated violation
• Provide the written warning detailing the infraction
• Include consequences of further violations
• Have employee sign to acknowledge receipt
• Place the documentation in the employee's file

4. Performance Improvement Plan

• Develop a formal plan with specific goals and timeline
• Meet to review the plan and expectations with employee
• Schedule regular check-ins to assess progress
• Document all meetings and progress

5. Final Written Warning

• Issue final written warning for ongoing issues
• Clearly state that termination is next step
• Have employee sign to acknowledge
• Place in employee's file

6. Suspension

• Consider unpaid suspension for serious violations
• Typically 1-5 days depending on severity
• Provide written notice of suspension terms
• Use time to determine if termination is warranted

7. Termination

• Meet with employee to terminate employment
• Provide written notice of termination
• Explain reasons for termination
• Follow proper offboarding procedures

Key Principles:

• Be consistent in applying discipline
• Document all steps thoroughly
• Provide opportunities for improvement
• Consult HR and legal counsel as needed throughout the process

References:

AIHR. (2023). HR compliance: A practical guide for 2025. https://www.aihr.com/blog/hr-compliance/

Nolo. (n.d.). What is progressive discipline for employees? https://www.nolo.com/legal-encyclopedia/employee-progressive-discipline-basics-30242.html

Paychex. (2023). Progressive discipline policy & why it's important. https://www.paychex.com/articles/human-resources/what-is-progressive-discipline-policy

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