View Point Health Basics of Supervision Module 6: Progressive Discipline 1. The Concept of Progressive Discipline 2. Disciplinary Issues 3. Counseling 4. Letter of Expectation 5. Letter of Reprimand 6. Intermediate Steps in Progressive Discipline 7. Dismissal: The Final Disciplinary Action 8. Document, Document, Document 9. Progressive Discipline and Performance Management 10. Bad Attitudes Revised June 2012
1. The Concept of Progressive Discipline Progressive discipline is an employee benefit. VPH invests in each employee s initial orientation and training and is dedicated to enabling employees to succeed on the job. Their doing so is critical to accomplishment of the agency s mission and goals. Both in the selection process and later in training and coaching the new hire, the supervisor s expectation is that the subordinate will be able to perform duties adequately and adhere to terms and conditions of employment. Dealing with the subordinate who is failing to meet those expectations is one of the most challenging aspects of supervision. Under progressive discipline, interventions designed to correct deficiencies in work performance, work habits, or conduct are initiated early, ideally soon after the initial identification of the problem. The idea is that the employee is clearly told: What the problem is, How he will correct it, and Within what time frame. If after an initial discussion, the employee fails to follow through, the disciplinary process progresses to another level. Ultimately, either the problem is corrected or an adverse action occurs. The typical steps are described below. Progressive discipline benefits the troubled employee because he/she is given opportunities and support for correcting identified deficiencies PRIOR to the imposition of adverse actions. Its use by the supervisor also benefits the employee s co-workers who typically may be impacted by the co-worker s failures on the job. Employees knowing that intervention will occur consistently when there is a performance problem boosts morale and can prevent escalation of issues. 2. Disciplinary Issues Under VPH s policy, disciplinary action may be taken against an employee for the following reasons: Failure to perform or negligence or inefficiency in performing assigned duties. Inability or unfitness to perform assigned duties, including failure to maintain requisite licenses or certifications. Insubordination Misconduct Conduct reflecting discredit on VPH Community Service Board. Commission of a felony or other crime involving moral turpitude. Page 2 of 7
Chronic tardiness or absenteeism. Failure to report for or remain at work without justifiable cause. Political activity in violation of VPH policy. Failure to process performance appraisals in a timely manner. Some of these issues are more serious than others. While discipline IS progressive in most cases, it does not always start at the first step. Actual application of the steps depends on the offense, the situation, and other regulations that may apply. The individual situation, the severity of the offense, and its outcome all influence the decision on the level of disciplinary action to be taken. Examples: The supervisor probably would be advised to begin with counseling an employee who is repeatedly late to work or absent, followed if necessary with a letter of expectation, letter of reprimand, etc. (See steps below) However, an employee who fails to maintain the licensure necessary to perform his job duties may progress immediately to a later step, such as suspension without pay or even termination. Such actions are done in consultation with the Human Resources Director. Progressive discipline steps DO NOT apply to problems of serious misconduct, insubordination, or serious negligence. These types of issues go directly to the HR Director and Program Director for investigation and resolution. Employees are obligated to participate in investigations where they may have information related to complaints or violations of agency policy. Withholding information or failing to cooperate with an investigation is a disciplinary issue in itself and may result in disciplinary action up to and including dismissal. 3. Counseling In general, counseling is the first step in the progressive discipline process. In the majority of situations in which employee problems are identified, this first intervention is simply a private, straightforward discussion with the employee about the nature of the problem and what must be done to correct it. It is somewhat similar to the coaching that is done as a part of performance management. There are two major differences: Counseling occurs in response to specific identified issues that have occurred despite previous training and coaching that should have prevented occurrence. Counseling not only informs the employee about the problem and the expected corrective action but also clearly communicates the expectation that unless corrective action takes place, an adverse action may occur. Page 3 of 7
Like coaching, counseling can include strategizing with the employee. What are the steps to resolution? What are the obstacles? Does he need assistance? When can he reasonably expect to resolve the issue? While counseling does not appear in the employee s record, the supervisor does document the occurrence with notes in the supervisory file. Documentation should include the date of the meeting, a summary of the discussion, and notation of an agreed-upon time to review the employee s progress on resolving the problem. 4. Letter of Expectation This tool is generally used when counseling has been unsuccessful. While the problem is not yet serious, the supervisor is dissatisfied with the employee s response to counseling and wishes to call the problem to his attention in a more official manner. The letter of expectation is useful when the supervisor believes the problem can be corrected without the need to impose actual disciplinary action. The letter clearly states the problem and provides, typically in bullet point format, the specific corrective measures the employee is expected to take to resolve the problem. It also includes a timeline for correction and for interim reviews by the supervisor and employee of his steps towards resolution, if appropriate. The letter of expectation may also include a statement that failure by the employee to resolve the issue may lead to disciplinary action. The employee is given the original letter of expectation signed by the supervisor. The supervisor maintains a copy in the supervisory file. While it is part of the progressive discipline process, the letter of expectation is NOT a formal disciplinary action and does not become a part of the employee s personnel file. 5. Letter of Reprimand The letter of reprimand is the first level of formal disciplinary action. It is used as a follow-up when the employee fails to respond to the letter of expectation OR as an initial disciplinary intervention for more serious offenses. Generally, it is advisable to consult with HR prior to taking this step. The HR Director will help you decide on the appropriateness, timing, and content of the letter of reprimand. The letter of reprimand will include at least the following information: a statement of the problem a description of the efforts to resolve the problem that have already taken place a description of the employee s response to those efforts a clear statement of the expectations for correction including a deadline as appropriate Page 4 of 7
a warning that further disciplinary action will occur if the problem is not resolved HR can assist you by proofreading and editing your letter as needed. The employee is given the original letter of reprimand signed by the supervisor. The supervisor maintains a copy in the supervisory file and sends one to HR for the employee s personnel file. 6. Intermediate Steps in Progressive Discipline Other steps in the progressive discipline process include suspension without pay, disciplinary salary reduction, and demotion. The selection of any of the intermediate disciplinary steps prior to dismissal is situational. Among the considerations are the nature and severity of the problem, the employee s level of response to prior corrective steps, and the probability of a positive outcome from use of further intermediate steps. 7. Dismissal: The Final Disciplinary Action Georgia law says that employees work at will, the employee may end the employment relationship at any time for any reason and the employer may end the employment relationship at any time for any reason other than a reason prohibited by law. Dismissals for classified employees are governed by the rules of the State Personnel Board. VPH s policy is to administer discipline for both classified and unclassified employees in substantially the same manner. An employee s dismissal may be immediate for serious offenses or may follow one or more of the steps in progressive discipline. VPH supervisors and managers are NOT authorized to dismiss an employee. Dismissals may ONLY be done by the CEO or his designee. Although a dismissal can be done at any time, it is not done arbitrarily. The CEO must be satisfied that dismissal is the appropriate course of action leading from its preceding circumstances. The termination by dismissal is communicated in a formal separation letter signed by the CEO. 8. Document, Document, Document Supervisors frequently contact HR with a request to initiate progressive discipline, but upon questioning, can only discuss the circumstances which led to the request. They have no supervisor s notes regarding verbal discussions with the employee, no performance diary entries related to the problem (see module on performance management), no notes from coaching sessions, or other evidence that the employee has been made aware of the problem and given a chance to improve. Progressive discipline cannot occur without proper Page 5 of 7
documentation. When documentation is absent, the benefit of the doubt goes to the employee. Documentation may be as simple as making notes on a notepad of your direct observations on the employee s performance, your discussions with the employee, or complaints from colleagues or other persons and your follow-up actions. Notes should be dated and kept in a productivity file that you establish for each of your subordinates (see the module on performance management). Copies of other pertinent materials should also be kept in this file. In the case of an employee with disciplinary issues in progress, examples might be the employee s reports that are incorrect, forms that are incomplete/wrong or other evidence of inferior work. Any meetings you have with the employee should be summarized for the productivity file. If you give general training at a staff meeting or other time regarding issues that relate specifically to the employee s performance problems, it is helpful to note in that employee s productivity file that he/she was present for the training. In general, when it comes to documentation supportive of proposed disciplinary action, the rule of thumb is: if it s not documented, it did not happen. 9. Progressive Discipline and Performance Management A request to initiate progressive discipline for an employee is difficult to support when the supervisor has just rated the employee as a successful performer for the same issue(s) on his performance review! Performance and disciplinary issues should be fully documented on the mid-point performance review and in the final performance evaluation. Sometimes it is even appropriate to do a formal interim performance review to be discussed with and signed by the employee as a part of your performance improvement and documentation process for progressive discipline. 10. Bad Attitudes A bad attitude is not an issue for progressive discipline. It is subjective, virtually impossible to document, and is not one of the list of disciplinary issues covered in VPH s policy on progressive discipline. Nevertheless, bad attitudes are troublesome to other employees and are difficult for the supervisor to deal with. There is at least one approach to the problem that potentially does make it a subject for progressive discipline. Every VPH employee is responsible for teamwork and cooperation, customer service, results orientation, judgment and decision-making, and accountability. By state-level mandate, these expectations are included in ALL performance plans. Each is described in detail along with specific performance expectations. In almost every case, a bad attitude is manifested by deficiencies in one or more of these areas. Page 6 of 7
If the employee s bad attitude IS evidenced by poor attention to the need for team work, customer service, results orientation, accountability or judgment/decision-making, it is very appropriate to document the deficiencies thoroughly in the performance evaluation and to rate those responsibilities Successful performer-minus or Unsatisfactory performer. Language from those standards can also appear in letters of expectation or letters of reprimand as a method of reminding the employee of his performance agreement. The attitude is not the problem. The problem is the employee s failure to perform these assigned responsibilities---which IS one of the issues covered by VPH s progressive discipline policy. Thank You for helping us to build commitment and engage our employees in the service of our clients! Page 7 of 7