Before You Terminate an Employee

With today’s legal environment, it is more important than ever to carefully document your progressive discipline process with an employee before termination. Those in the industry call this ‘peppering the file.’ It builds a case for ‘just cause’ termination even if you proceed with a ‘without cause’ end of employment. Unlike coaching, progressive discipline conversations and steps occur when the employee does not seem to have the ability and/or the potential to perform. These are the last attempts to right a recurring lack of performance or correct behaviour, and your role is to offer support and be crystal clear on expectations and repercussions for failure to do so.

peppering the file

Progressive Discipline: A Structured Approach to Employee Correction

In organizational management and human resources, progressive discipline stands as a cornerstone principle, a structured approach aimed at correcting employee behaviour and performance issues. It embodies a series of escalating actions, ensuring that employees are given reasonable opportunities to amend their behaviour or performance before any severe disciplinary action is taken. This article delves into the essence of progressive discipline, outlining its definition, guidelines, essential elements, and typical steps.

For a more specific approach to your circumstance, please email me at sara@strategichrservices.com, as I regularly offer a free presentation and consultation on the subject.

Defining Progressive Discipline

Progressive discipline is a meticulous process that employs increasingly severe measures when an employee fails to rectify a problem despite being afforded reasonable opportunities to do so. The philosophy anchoring this approach is the utilization of the least severe action deemed necessary to amend the undesirable situation, escalating the severity only if the initial corrective actions prove ineffective.

Before You Start Progressive Discipline

Initially, you must ensure that you have exhausted all efforts at training/mentoring. When you observe an employee making an error, your role (as their manager) is to train or mentor them on the correct process/procedure. Quite often, that is all that the employee requires. If the incident is severe in nature and/or is a safety breach, you would skip this step and go straight to either a verbal warning or, if severe enough, straight to written warning/suspension or termination with/without cause.

Documentation, as mentioned, is a crucial aspect, ensuring that the process and outcomes of the training/mentoring are meticulously recorded, fostering transparency and accountability.

The ultimate objective of performance management is not punitive but corrective. It aims to foster an environment where employees can rectify their behaviour or performance issues, aligning them with organizational standards and expectations. The severity of disciplinary actions is adaptable, contingent on the nature of the offence and the discernment of the necessary severity to facilitate correction. (Be sure to engage the advice of an HR professional to do this properly.)

doumentation is crucial

Essential Elements of Progressive Discipline

Progressive discipline is underpinned by several essential elements that bolster its effectiveness. Clear communication is pivotal, necessitating that employees are unequivocally informed of unacceptable behaviours or performance deficits, supplemented by specific, work-related examples. This clarity in communication extends to the articulation of expected behaviours or performance standards, coupled with a reasonable timeframe within which compliance should be achieved.

Furthermore, employees should be apprised of the consequences accompanying failure to comply with the expected standards, ensuring that they harbour realistic expectations regarding potential outcomes if the improvement is not manifested.

Summary – The Progressive Discipline Steps Unveiled

The progressive discipline process unfolds through a series of structured steps, each escalating in severity.

• As mentioned above, the journey often commences with training/mentoring, a low-key, empathetic approach aimed at identifying and resolving the problem through constructive discussion. This stage fosters an environment conducive to mutual problem-solving, encouraging employee commitment to the resolution of the issue.
• If training/mentoring proves ineffective, the process escalates to a verbal warning. While still documented, it is a conversation that clearly articulates the expectations, accountabilities, and repercussions of failing to comply.
• If the verbal warning does not bring about the desired outcome, proceed to a written warning. This more formal step involves the documentation of the issue, the expectations, and the potential consequences of non-compliance. It serves as a tangible record of the efforts made to facilitate the employee’s improvement.
• Many organizations will look for at least two written warnings or peppering of the file before even beginning a discussion with HR on end-of-employment options.
• In some cases, the breach is one of such severity that an investigation is required (i.e., a safety breach), during which the employee may be suspended with or without pay. This step underscores the gravity of the situation, emphasizing the urgent need for improvement. It is a stern measure reflective of the organization’s commitment to upholding its standards and expectations.
• Termination, the culmination of the progressive discipline process, is invoked when all preceding steps fail to yield the desired improvements. It signifies the termination of the employment relationship, an unfortunate but sometimes necessary action to uphold organizational integrity and standards.

at least two written warnings

Remember that the steps may not be sequential, so obtaining guidance on best practices is essential.

Consultation with a Human Resources professional is advisable, especially at crucial steps like suspension and termination.

Essential Elements of Each Step

• Clear Communication: Clearly inform the employee about the unacceptable behaviour or performance, providing specific examples.
• Explanation of Expectations: Clearly outline the expected behaviour or performance standards and give reasonable time for compliance.
• Explanation of Consequences: Inform the employee about the potential consequences of failing to improve.

Termination should always be the final step, never the first, and only taken when previous measures have not led to the necessary improvements.

Each step is conducted with a structured approach, ensuring that the employee is given a fair chance to correct their behaviour or performance and the actions taken are legally sound and justifiable.

If you would like to speak to me, please contact me at sara@strategichrservices.com or 780-938-2488.