Progressive Discipline m To recognize the application of discipline as a positive tool for employee development = To describe the necessary steps of the progres- sive discipline process KEY TERMS progressive discipline advising counseling warning To examine the use of counseling and advising in attempting to correct poor behavior or work performance punishment reprimand separationProgressive Discipline m CHAPTER 24 Introduction Motivating employees is very tricky and complex. Even more difficult is addressing those personnel performance problems that are not and cannot be addressed and resolved through positive motivation. What do you do about the employee who insists that she will not pick up the pace? The one who has a chronic tardiness problem? The one who always bends, spindles, and muti- lates the company rules? Progressive discipline is the toolset that you need to get out and utilize to deal most effectively with all of these issues. Progressive Discipline Process Progressive discipline is a tool, actually a set of tools, that can help you to maintain a positive and constructive environment while doing the really tough work required to try to resolve the most difficult personnel problems. a structured and consistent ‘This process ensures that you have in place a systematic method for trying to human resource resolve personnel problems for all of your employees in a positive and con- development process that structive manner and even address termination of employment when that is works to gain the best the last resort available, resuits out of dificuit It is unfair to allow someone to continue to fail and bring down the orga- employee performance nization. It does nothing for their morale or their future to allow them to wal-_stuations. low in failure. It is unfair to sentence the rest of the crew to having to overwork and overproduce just to compensate for the shortcomings of one employee. It is certainly unfair to the owners and investors in the company to let one person’s unwillingness to contribute their fair share undo what it has taken a lifetime to build, Performance issues are often not a matter of blame or fault. Rarely is the employee's behavior malicious or intentional. It is not that he is a bad person who is trying to ruin things for everyone else. In the vast majority of cases performance problems fall into one of two categories: (1) the employee does not realize what he is doing wrong or doesn’t know how to change things, or (2) he is in the wrong job and you owe it to him and the organization to do What you can to get him out of that bad situation. | Did Not Realize It Have you ever been in a situation where someone taps you on the shoulder and very politely says, “Pardon me, but you are standing in my way?” Chances are that you did not realize that you were blocking the person. Itis likely that your response goes something like “Oh, excuse me. I did not realize that I was in your way.” This simple, common scenario is very similar to many of the perfor- mance problems that occur in the workplace. In this scenario, all that it took to resolve the problem was to make the offending party aware of what she was doing that was creating the situation, Once advised, she gladly and apologetically moved and, in so doing, resolved the problem. In this case merely taking the time and mustering up the courage to say something led to a speedy and complete resolution to the problem. However, some situations are a bit more complicated than that one. If you pulled up to an intersection in your car and were blocked by the car in front of you, you might use the same technique to get the person to move. However,SECTION 7m Employee Relations what would you do if you asked her to move and she said, “I would be glad to, but the car has a flat tire and I have never fixed one before.” Once notified that she is causing a problem she is, like in the first situa- tion, very willing to move. Unfortunately, she has a problem that she cannot orat least does not know how to quickly resolve. At this point you have sev- eral options. You can: (a) change the tire for her, (b) show her how to change the tire and help her to do it, (c) wait for someone else to help het, or (d) decide that you are more willing to continue waiting than you are to get involved. Both of the scenarios presented are very simple. However, they are simple ‘examples that closely parallel common performance problems that we encounter at work on a regular basis. Fortunately for us, the majority of personnel prob- lems fall into these two categories: ones that require notification and ones that require notification and temporary assistance and training. In both of these groups of issues the first and most important ingredient to success is communication. Most often the one at the center of the problem is, either not aware of the problem or is aware but unable to resolve it alone. Not until you identify the issue at hand and take the time to open a dialogue with the party involved so that she is aware of the problem and offer assistance or guidance will the problem move toward being resolved. ‘The progressive discipline process can be universally applied to deal con- sistently and effectively with these situations. It provides a consistent method for addressing issues ranging from the most simple (our first scenario) to ones ‘that are far more complicated and intense. In the Wrong Place This second group of performance problems are more complicated and, there- fore, difficult to resolve. Jim Collins, in his book Good to Great uses a powerful analogy of “getting the right people on the bus" (Collins, 2001) to provide us some direction on how to deal with these types of personnel issues. As a man- ager and leader it is your responsibility to the organization and to all of your co-workers to “get the right people on the bus.” That is, hire and retain the people with the right knowledge, skills, abilities, and attitudes to help maxi- mize the productivity, profitability, and overall success of the organization. Beyond getting the right people on board, itis critical that you work to get the right people in the right seats. That is, that you know your people and the needs of yout operations well enough to consistently match up the right people with the right jobs and responsibilities. However, occasionally situations arise where you find that you have the wrong person in place. Then what? Is it that you misjudged him in the first place? Did you hire the wrong person? Did you put him in the wrong posi- tion? Or... did he change? In the final analysis it is not nearly as important what the cause is. What is most important is that you recognize that a prob- lem exists, and do something about it. Clearly, the hardest part is acknowledging the problem and taking action. ‘However, once you have overcome this hurdle the problem then becomes one of determining the proper course of action. The best course of action in all personnel problem situations is to proceed through a consistent and steady process of progressive discipline to make every effort to resolve the perfor- mance issues at hand,Progressive Discipline m CHAPTER 24 Discipline or Punishment? Progressive discipline is not a pathway to punishment. It is a system that provides for and assures that a consistent and fair approach is taken to communicate with employees, identifying performance problems, and pro- viding counseling and guidance to resolve performance problems. Finally, and only when all else fails, it provides for disciplinary action up to and including dismissal. The goal of progressive discipline is to resolve the performance issue and save the employee. That is, by separating the performance issue from the per sonality, the goal of this process is to work with the employee to resolve the performance problem. As a result, the ideal ending is to reinstate the employee asa happy and productive member of the team and to eliminate only the sub- standard behavior or performance. Steps in the Process ‘The main steps in the progressive discipline process are Advising Counseling Verbal warning Written warning Written reprimand ‘Written reprimand with penalty Separation from employment As the title indicates, the intent is to have a consistent and logical pathway that you can follow in resolving personnel issues. The tools and steps in the process can be used informally in the case of minor or incidental issues. How- ever, it is important to carefully and methodically follow the procedure to deal with all important or persistent performance issues. Just as it is essential that the process is followed every time, it is critical that it be followed as its name implies, progressively. That is, by following step by step and not by bypassing steps in any but the most extreme cases. It is important to note that there are a few severe incidents that may merit acceler ating the process, but every attempt should be made to follow the process step by step as often as possible. Finally, just as itis important that you understand the steps and the intent of the process, the same is equally true for all your employees. For the process to be most effective it is essential that all of your employees are aware of the steps and the intent of the process so that they understand what you are doing and why you are doing it when you formally enter this process. The employee ‘must have a clear understanding of the positive and corrective intent in which you use this process. Now, let us take a little time to discuss each of the steps of the process in more detail, " Advising Aig Ooi Advising is often considered as a pre-disciplinary step. Regular advising and or notice to an indivi providing consistent and positive feedback should be ongoing in your depart- of their performance or ‘ment. Your employees cannot be assured that they are doing the right things behaviorSECTION 7m Employee Relations @ counseting ‘A formal conversation and discussion with the specific intent of making an employee aware of concerns about performance or behavior @ warning ‘A formal notification either verbally or in writing to inform an employee of unacceptable performance ‘or behavior accompanied by a cear statement of future penalties and consequences ifa substantial improve- ment does not occur unless you provide them with regular feedback to guide them and reinforce their positive actions. Advising is necessary to make sure that employees know when what they are doing is straying from the intended goals and directions of the company. Regular communication and advising is an important foundation to assure positive and properly directed efforts and is essential to minimize the need to move into more formal processes like the remaining steps of progressive discipline, Itis important to note that advising is actually the first step in discipline. Itis your most common and low-key method for answering the all-important question that you as a supervisor must be able to answer: “How can I be sure that my employees know what is expected?” It is only fair to be sure that they clearly and consistently know the rules before criticizing or penalizing them. for not following them. You must have clear evidence that you have exercised this step early and often before you consider moving to the next more formal step, counseling. Counseling ‘As you move through the steps of progressive discipline each step builds upon, the previous one and becomes a bit more formal. Counseling is very similar to advising because the message and the intent are to communicate what the required performance is and what the issues and concerns are that you have with their substandard performance. In counseling, the supervisor moves from informal conversation to a mote formal and structured one. At this point we have tried to make the ‘employee aware of the concerns but the performance has not changed, or has not changed enough. Now we need to take the time to make it explicitly clear to the employee that a performance problem exists, that it is a concer, and what the expectations are to address and resolve this issue. Although counseling does not need to be conducted in an intimidating manner, it does require that the supervisor find an appropriate method to be certain that the employee clearly understands the importance of the discus- sion. This is often done by holding a special meeting or discussion with the sole purpose of covering this issue. In that way, it reduces the chances that the employee will take it lightly or dismiss the concerns that are expressed as a suggestion only. Finally, it is highly recommended that the supervisor docu- ment and retain in writing a brief accounting of the meeting as supporting documentation in the event of the need for further discipline. Itis important to point out that this process is not a one-way street. At any time where significant progress is made toward resolving the performance issue at hand the supervisor can move back up the ladder to a more informal step to ensure that the gains are maintained. After results from a counseling session prove successful the supervisor can revert to ongoing advising. How- ever, if counseling does not yield marked improvement and additional action is required, the process then moves on to a formal verbal warning. Verbal Warning Unfortunately, attempts to advise and counsel do not always produce suffi- cient results. In these cases it is important to continue to move forward in the disciplinary process. Its important to remember that the intent of the process,Progressive Discipline m CHAPTER 24 is not discipline but rather resolving performance problems. However, when sufficient progress has not occurred of there is a relapse after a brief improve- ‘ment, a verbal warning is in order. The verbal warning closely resembles the counseling session. It is an event that is intentionally arranged to focus on current specific performance issues. Itis intended that the sole focus of this meeting is making the employee aware of the concerns and also of their gravity. The difference between the counseling session and the verbal warning is the addition of two key ingredients, direct notification that this is a warning and a clear statement that continued concerns may lead to further discipli- nary action. In an ideal sense you hope that the employee understands the gravity of the situation and the need for immediate action. Unfortunately, although this is most often true, there are cases where the employee is either "unwilling or unable to make sufficient progress. In these cases, formalizing the disciplinary process really begins to take shape with the verbal waming. Keeping in mind that the ultimate goal isa resolution of the issue at hand, the threat of direct consequences for continuing with the current behavior and/or lack of performance is brought clearly into the picture. It is essential that the supervisor takes the time to reassure the employee of the ultimate hope for a positive outcome so that this is not seen merely asa punishment. (@9) Punishment [At the same time, the supervisor must be very direct in spelling out in detail penaty that is assessed in the issues in question, what is expected to resolve them, and the consequences jesponsetouinaccentable for failure to resolve them. In the event that noticeable improvement does not fevformanesor behevion result itis necessary to move to the next step, a written warning. Written Warning ‘The final step in the progressive discipline process before implementing penal- ties is the written warning. It is not dramatically different from the verbal warning, It is a progressive (step-by-step or gradual) increase upward from the previous step. ‘When a written warning is given, the employee again has a formal meeting with the supervisor with the sole intent of discussing performance issues. The past history of advising, counseling, and verbal warnings should be recounted to make it clear to the employee that this is not a new issue. The positive intent of the progressive discipline process must also be reviewed and discussed. At this point, however, the employee needs to be clearly advised that the prob- ems, and the resulting lack of progress, have brought the situation to the point where itis now necessary to commit this to writing to be put into their person- nel file. Finally, asa part of this written warning, the employee is eminded that to this point there have been no direct consequences or punishments but that if clear and substantial progress is not immediately evident that the next steps . will include penalties ranging from time off up to and including dismissal, @) Reprimand Just as in all of the previous steps, the Intention is to resolve the defi- A fornal and typically ciency. Also, as in the past, the intention is to turn up the heat to, hopefully, stern warning based on get the employee's undivided attention to the problem and to resolving it. If unacceptable perloemance this goal is not achieved, the process then proceeds on toa written reprimand. or behavior that includes ‘an immediate penalty Written Reprimand sothetuih ae The written reprimand step in the process, although very similar to the writ- penalties ifthe situation ten warning in content, generally will add two additional and very important isnot resolvedSECTION 7m Employee Relations @ separation “Termination of employment as a result of severe or chronic unresolved performance or behavioral concerns of an employee. characteristics. Typically the written reprimand is conducted by the direct supervisor along with his/her supervisor or a representative from the company’s, business office or human resources department. The inclusion of the next level supervisor demonstrates solidarity and commitment of the entire organization to this course of action and the importance of resolving it immediately. ‘The second additional characteristic is the inclusion of an immediate penalty. Depending on the severity of the infraction this penalty may be a fine, elimination or delay of an expected pay raise, or a suspension from work with ot without pay. The clear intention of the penalty phase is to stress the impor- tance and urgency in resolving the performance problem and the commitment of the organization to taking whatever steps are necessary to resolve it. As with the other steps in this formal process, the written reprimand also includes a clear statement of a plan for corrective action. This plan for correc- tive action will provide guidance and may include some very specific and intentional assignments that are hoped will help in leading to a change in per- formance. The document will also very clearly state the additional steps and penalties in the process if the change does not occur. Depending on the severity of the problem and the policies and procedures of the organization this step may be repeated several times with increasing penalties before moving forward. There is a very delicate balance that must be maintained when a problem has escalated to this high level. It is important to be consistent and persistent in continuing to move forward in the process if significant progress is not evident. At the same time, it is even more important ‘than before to continue to reassure the employee that although the situation is serious, the ultimate hope of the supervisor and the company is that this can finally be resolved, put behind them, and that life can return to normal for all involved. For this reason, the supervisor needs to be patient and allow time between steps so that the employee that is trying hard to change has the ‘opportunity to show progress. Unfortunately, in a handful of cases, in spite of your best efforts to try to guide, direct, and motivate an employee and provide every resource to help them to succeed it just does not happen. This results in the progressive disci- pline process playing out to its final step, and certainly the last resort in any personnel issue, separation from employment. Separation from Employment The final step in the process is separation from employment. Termination of employment is rarely the wish of any employer or employee. After all, you hired this employee because you needed to get a job done. You thought right from the start that he was the best qualified for the job. You have tried to work with him, motivate him, guide him, train him, You have invested a great deal of money and time toward assuring his success and, yet, somehow you have failed. ‘The separation meeting is conducted just as the previous step of written reprimand. A formal meeting is arranged with the direct supervisor and other company official along with the employee. The focus of the meeting is to recount the ongoing performance problems, the repeated attempts to resolve ‘them, and their continuation. Each of the steps moving through the progtes- sive discipline process should be reviewed. Finally, the ultimate decision to terminate employment should be stated along with any plans and scheduling for exit activities, if needed.Progressive Discipline m CHAPTER 24 It is common for a supervisor to feel a great deal of sadness and loss when faced with the unenviable task of calling in an employee to dismiss him. It is truly a lose-lose situation. The company and the department lose all of the time and energy that they have invested in trying to develop a good employee and have to start over at square one, running ads in the paper in the hope of finding someone as skilled and capable as the person they must now disiniss. Certainly for the employee the sadness and loss is very direct and per- sonal, He may feel that he is a failure, he may feel a loss, he may feel angry. It is hoped, however, that through the use of progressive discipline that in most cases the employee is able to see that the intention of the supervisor and the company has been a positive one and that they have tried their best to help. Dealing with Separation Knowing how difficult separation from employment is to any supervisor and to any employee, I would like to take just a few minutes to reflect back to our earlier discussions about “having the right people on the bus” (Collins, 2001), It is unfortunate that in spite of our best efforts that occasionally we choose the wrong employee. This is also true when some major change in the com- pany or the individual occurs that makes a previously good match turn into a chronic problem situation—but it does happen. Progressive discipline and separation from employment is a very intense, emotional, and time-consuming process that none of us, employers or employ- ees, chooses to face. However, in being accountable to our organization and, ultimately, to each other, we must. It is not fair to allow an employee to drag down the ship and for everyone else to have to pay the penalty whether that is in doing extra work or in accepting lower pay because of diminished overall performance. When a situation arises that in spite of our best efforts we cannot resolve, it may seem unfair to the employee to terminate employment. But, itis even more unfair to everyone else who Is doing their job to penalize them by allowing the employee to stay. Finally, although it may not seem so in the short term, it is unfair to allow an employee to stay in a situation where he or she continues to fail. What motivation, what satisfaction, what feeling of self-worth can be gained by wal- lowing in a situation where one continues to underachieve? It is not personal. Itis not that he or she is a bad person, It is that the employee is in the wrong seat and, quite possibly, even on the wrong bus. After all (and to take the anal- ogy a step further), if their intended destination is Denver and you are headed to Miami, it really is better for all concerned to let them know as soon as pos- sible so that they can get on the right bus and that you can fill that vacant seat with someone who will benefit from going where you both want to go, together. Skipping Steps In the intense environment that caused you to utilize progressive discipline it is common that once you have made the determination that there is no other alternative and that you need to move forward that you must strike swiftly and effectively. There is a natural tendency to postpone and avoid entering into a disciplinary situation with an employee. After all, it is an acknowledgementSECTION 7m Employee Relations that all is not well and is the beginning of what may become a long, difficult, and time-consuming process. Unfortunately, most personnel problems do not, go away on their own. Therefore, since it is not going to heal on its own, the longer you wait the worse it gets and the harder it will become to achieve a positive outcome. Many managers, because of the stress and time commitment may try to delay moving into progressive discipline and then want to skip steps and get, right to the penalty and/or separation steps. After all, they've already been too patient and now they have made up their mind. Actually, when a supervisor wants to move to the end of the process what he ot she has most likely done is fail to take the time and make the commit- ment when the problem was first identified, and now is trying to make up for lost time. The supervisor waited too long to make the difficult decision to start the process. In all but a few cases it is the best for the supervisor, the company, and the employee to begin the process and follow the process, step by step, and allow reasonable time between steps no matter how late the process has been started. As in most processes there are exceptions to this rule based on the chronic nature of a problem or its severity. This may warrant in certain conditions to move quickly from step to step or even to skip a step. However, to provide the employee with the best opportunity to correct the problem performance or behavior (which is really the ultimate goal, right?), the thoughtful and method- ical process that is progressive discipline is generally the best solution. The Need for Consistency Progressive discipline is a system and is more than merely a group of tools. It really is part of an organizational philosophy that supports a positive, pre- scriptive approach to addressing personnel problems. It is founded on the concept that the majority of these problems can be resolved amicably and to the best benefit of both the employee and the employer. Following this procedure for all employees is a must if your organization is truly to benefit from all that it can offer. No, of course that does not mean that you are disciplining everyone. It means that you are communicating regularly with everyone. It means that you are advising and guiding everyone on a reg- ular basis so that they know where they stand, what they are doing well, and what they need to improve—remember the first step? That is right, it was advising, An advisory and counseling relationship should permeate your entire organization. This is the best preventative medicine to avoid personnel issues and performance problems. Only through this communication channel can the employee and the employer be confident that they know where they stand and where they are headed. Fortunately, this lends itself very well to moving into formal discipline much more easily and comfortably in the rare ‘occurrence that a problem develops that needs a higher level of attention. Outside Resources Although it is suggested that all supervisors consider this system when work- ing with all personnel issues and concerns it does not mean that you are expected to do it alone, In fact, there are cases where it is highly recom- mended that you involve external assistance.Progressive Discipline m CHAPTER 24 Just as in the case with anything that you do, you need to recognize your strengths and your abilities as well as your weaknesses. Your desire to resolve employee problems and your commitment to progressive discipline does not make you a psychologist, a doctor, or a lawyer. Therefore, it is important that when you become involved in a situation that goes beyond your expertise you draw upon expertise that will help you in these sensitive areas. Situations arise that are the result of causes that require skills and knowl- edge that you simply do not possess. Family, legal, and psychological issues are just a few general areas where your ability to fully understand and know the proper course of action may be limited by your experience and knowledge. In these cases, involving appropriate external resources must happen at the carliest stages. No matter how good your intentions, without the right skills and expert guidance in these situations you may unwittingly make the situa- tion worse, thus reducing the likelihood of you reaching your original goal, a happy and productive employee. Timeliness Is Essential ‘There is one last and very important principle that you need to follow. That is, being timely with both praise and criticism. This principle can be applied to all of the relationships that you have with your employees. However, just as it, is important to recognize and reward exceptional performance or exemplary behavior when you see it so that you reinforce it, itis also true that you must address negative situations in a timely manner. If your true goal is to identify, acknowledge, and correct the behaviors or other problems you must not hesitate to take action. The closer that the cor- tective action follows the offense, the more likely that positive results will ‘occur. This timeliness allows for you to discuss the issues while they are still fresh in everyone's minds. If it has risen to the level where some penalty is jus- tified, it helps to make a clear connection between action and consequence. Failure to act quickly confuses the situation. This delay can have a strong demoralizing effect on the employee. The employee may feel that you are opening up old wounds weeks or months after the incident. Rapid response simplifies the situation. it helps to keep the employee from feeling like he or she is a failure and limits it to “I made one mistake.” Seeing a direct link between error and consequence makes taking corrective action easier for both employer and employee. [summary One of the most misunderstood principles in personnel devel ‘opment is the use of progressive discipline as an approach to imorove employee performance. Discipline is too often seen as 2 last resort method of dealing with and dismissing the employee who has gone off track and for whom there is no other reasonable alternative other than termination of employ- ment. For this reason the process of discipline i 00 often delayed well beyond when it should have been initiated Progressive discipline is a development-oriented process of identifying and methodically defining, following up with, and addressing performance issues in the workplace. Its primary intents that through advanced warning, appropriate ‘guidance and counseling, and consistent follow up that mary dificult situations can be resolved. Therefore, valuable ‘employees can be retained, Punishment and separation from employment are treated as lastresort options within this process, Although itis hoped that in the vast majority of ‘cases taking proper preemptive action will correct perfor mance, the progressive discipline process also provides methodical and well-documented audit tral in the unfortu- nate circumstances that the final inevitable result is termina- tion of employment.SECTION 7m Employee Relations I PRACTICING THE PRINCIPLES 1. The practice in progressive discipline that is considered a pre-disciplinary step is a. termination b. counseling written reprimand, dd. achising, 2, When going through the disciplinary process it is impor- tant that the manager is careful not to a. let them see you sweat. b. start the disciplinary process too soon, . skip any steps in the disciplinary process. d, allof the above. 3. AS a manager you may find it very appropriate to 2 a part an effective disciplinary process. a. skip right to termination, b. goitaone. . seek outside assistance. skip as many steps as necessary, 4, Started eatly and followed step by step, ‘aan be an effective tool in employee development. ‘progressive discipline b. harsh punishment . providing unannounced bonuses. d. none of the above, 5. is essential in helping the employee be able 10 see the direct relationship between their performance problems and the consequences of their actions. a. Empathy. bb. Sympathy. c. Inconsideration d, Timeliness 6 Once an employee has been advised and counseled about an ongoing performance problem and has had a BP Rererence Collins, J, Good to Great: Why Some Companies Make the Leap and Others Don't (New York: Harper Business, 2001), 10, verbal warning ifthe performance does not improve, the ‘ext step in progressive discipline is ‘a. avritten warning b. immediate termination, . notice of termination if not resolved. d, a second verbal warning. The difference between a is that one simply makes the employee aware that & problem exists while the other provides immediate nega- tive consequences. ‘a. reward and punishment, b. termination and a separation. c. day off without pay and separation, d warning and a reprimand. Too often managers see discipline only as a means of ‘@ counseling employees. b. punishing employees. c getting employees to quit d. two or more answers are correct. Effective methods used to get the employee to improve their performance are ‘a. counseling and advising b. threatening and docking their pay. ‘c. advising and threatening termination. warning and punishing. The primaty goal of the Progressive Discipline Process isto ‘fre ungrateful and unproductive employees. b. be a too! to help improve employee performance. ‘c. protect the company from lawsults, d. punish poor performance and performance, reward good