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_________________________

PROGRESSIVE DISCIPLINE POLICY

Effective as of ______________________

_________________________ (the "Employer") is committed to fostering a productive and safe working environment where Employees are professional and respectful of the Employer’s policies, the management, and their colleagues. The primary objectives of this Progressive Discipline Policy (the “Policy") are to correct Employee misconduct or poor performance, prevent recurrence, and impose consistent and appropriate disciplinary actions, including stricter sanctions for persistent or severe unacceptable behavior. The Employer will address Employee misconduct and poor performance in a constructive, fair, and timely manner using the disciplinary actions outlined in this Policy.

The Employer reserves the right to amend or modify this Policy in the future. Any changes to the Policy will be communicated to Employees in a timely manner.

Covered Employees

This Policy applies to all employees (each an "Employee" and collectively the "Employees").

Disciplinary Process

The discipline levels in this Policy are progressive, with the goal of providing Employees with ample opportunities to correct their behavior or improve their performance before the Employer takes any severe disciplinary action.

The Employer will consider the type, severity, and frequency of the violation, and the Employee’s disciplinary record when determining the appropriate disciplinary action for an Employee.

The levels of discipline are as follows:

Step 1: Verbal Warning

A verbal warning is given to an Employee who commits a minor violation. Generally, an Employee’s first infraction only warrants a verbal warning.

An Employee’s immediate supervisor typically issues a verbal warning. Verbal warnings should be issued privately. A verbal warning must inform the Employee of what they have done and the actions the Employee must take to improve their performance or correct their behavior.The immediate supervisor must also inform the Employee of the consequences should the Employee fail to address the issue by a certain date.

The immediate supervisor must document the relevant details of the verbal warning after talking to the Employee, such as the name of the Employee, the name of the immediate supervisor, the date, time, and reason for the warning, and any other persons present during the discussion. The report must detail the plan the Employee and their supervisor agreed upon to improve the Employee's performance or correct their behavior.

The immediate supervisor must submit their report to the Human Resources Department, and it will be added to the Employee's personnel file.

Step 2: Written Warning

A written warning is a formal document issued to an Employee who commits a more serious violation or fails to improve their performance after receiving a verbal warning.

A written warning must include the following information: the name of the Employee, the reason for disciplinary action, the deadline and expectations for improvement, and the consequences if the misconduct or poor performance persists. If the Employee has received previous warnings, verbal or written, this fact and relevant details about the previous warnings must also be included in the written warning.

There must be at least two copies of the written warning. The Employee must acknowledge receipt of the written warning by signing both copies. The Employee will keep a copy, and the Human Resources Department will keep the other copy. The written warning will be added to the Employee’s personnel file.

The Employee has the option to submit a written explanation for their performance or behavior. The Employee’s explanation will also be added to the Employee’s personnel file.

There is no required number of written warnings before the Employer can proceed to the next discipline level.

Step 3: Suspension

The Employer may suspend an Employee who is alleged to have committed a severe violation, such as bullying or harassment, while the Employer investigates the matter.

Generally, the Employer will suspend the Employee if the Employer believes the Employee poses a serious imminent threat to the life or property of the Employer or other Employees.

A suspended Employee cannot come to work or participate in work-related activities during the suspension. The length of suspension depends on several factors such as, but not limited to, the nature and seriousness of the violation, the Employee’s disciplinary history, and any other persons involved. The suspension may be with or without pay, but it cannot be taken with vacation, sick leave, or other paid or unpaid time off.

The Employer must inform the Employee of the suspension by providing them with a notice of suspension. The notice must include the following details: the date and the details of the violation, the details of the suspension, and the investigative process, including the Employee’s right to respond, the expected timeline of the investigation, and potential outcomes of the investigation (e.g. the Employee reports back to work or gets dismissed).

The suspended Employee has the option to provide a written explanation for their performance or behavior, which will be included in the investigation and added to their personnel file.

Step 4: Termination of Employment

The Employer may dismiss an Employee who has repeatedly committed severe misconduct or failed to improve their performance or behavior despite receiving numerous warnings. Generally, terminating an Employee is the last resort, and the Employer will only take this action when all other disciplinary measures have been exhausted.

The Employer must document the Employee’s termination and include details such as, but not limited to, the reason for dismissing the Employee, previous disciplinary actions taken to correct their misconduct or improve their performance, the Employee’s last day of employment, and any applicable severance compensation and benefits they are entitled to receive.

The Employer has the discretion to skip or repeat any steps in this Policy if warranted by the circumstances.

Grounds for Disciplinary Action

The following behaviors will be subject to disciplinary action:

Habitual or unreasonable absenteeism or tardiness;
Insubordination or refusal to comply with directions or requests from a supervisor, manager, or other individual that the Employee reports to;
Failure to perform duties or tasks satisfactorily over a period of time without good reason;
Engaging in discriminatory acts or harassment in the workplace;
Endangering self or others by breaching health and safety regulations; and
Violating company policies, procedures, standards or expectations.

Grounds for Immediate Termination

The Employer reserves the right to skip any progressive disciplinary steps listed above and immediately terminate an Employee's employment for certain egregious conduct, including but not limited to physical violence or threats against the Employer and other Employees, theft or destruction of company property, falsification of records, and intoxication or use of illegal drugs while working.

Miscellaneous

Employment-At-Will

The Employees have at-will employment, which means the Employer or the Employees may end the their employment at any time without notice or cause, as long as the reason for the termination is not illegal.

This Policy does not constitute as a waiver of the employment-at-will doctrine.

Inquiries

If you have any questions about the Policy, please contact _______________________________________, __________________________.

ACKNOWLEDGMENT AND ACCEPTANCE FORM

(Human Resources Department Copy)

I acknowledge that I received a copy of _________________________'s Progressive Discipline Policy and that I understand I am fully responsible for reading the contents of _________________________'s Progressive Discipline Policy.

I understand that by signing this Acknowledgement and Acceptance Form, I am agreeing to follow _________________________'s Progressive Discipline Policy.

__________________________________ Employee's Signature	______________________ Date
__________________________________ Employer's Signature	______________________ Date

ACKNOWLEDGMENT AND ACCEPTANCE FORM

(Employee Copy)

Please sign, date, and retain this second copy of the Acknowledgment and Acceptance Form for your reference.

__________________________________ Employee's Signature	______________________ Date
__________________________________ Employer's Signature	______________________ Date

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Progressive Discipline Policy Document Preview

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What is a Progressive Discipline Policy?

A Progressive Discipline Policy aims to improve employee behavior in the workplace. Employers and managers can use it to set consequences for unacceptable conduct.

Often, a Progressive Discipline Policy is given to employees when they are hired to set clear expectations. This can help prevent employee performance issues from reoccurring or occurring at all. An increasing level of discipline means that management can adapt their response according to the severity or amount of the infractions.

What is progressive discipline?

Progressive discipline is the method of increasing consequences after multiple infractions. For example, an employee coming late to work once might get a light consequence, but an employee who is consistently late will receive more serious repercussions.

The severity of the disciplinary action can also depend on the severity of the misconduct or behavior. For example, delivering a project late could result in a verbal warning. A more serious infraction, like harassment, might demand a written warning or suspension.

Common infractions include:

Absenteeism and tardiness
Insubordination
Poor work performance
Discrimination and harassment
Breach of health and safety regulations
Violation of company policies

Some infractions are so severe that they would call for immediate termination. These actions include illegal or violent behavior, such as:

Physical violence or threats
Theft or destruction of company property
Falsification of records
Intoxication or use of illegal drugs while working

What is the purpose of a Progressive Discipline Policy?

A Progressive Discipline Policy focuses on education before punishment. It lets managers choose to be accommodating and understanding as a first response instead of immediately taking strict disciplinary action.

In many cases, a discipline policy functions as a preventative measure. When your employees are aware of the policy, they’ll have the tools they need to avoid behavior that could result in disciplinary actions. Simply having a Progressive Discipline Policy in place incentivizes your workers to follow your company’s guidelines.

When you create a Progressive Discipline Policy for your company, you can:

Help managers and workers navigate discipline
Offer employees an opportunity to learn and grow
Improve communication and establish work expectations
Motivate employees to perform better
Achieve higher retention rates
Ensure termination is fair, documented, and easily defensible

The policy can also help with fair enforcement. Disciplinary actions are easily repeatable between employees because the policy clearly states infractions and corresponding steps. This can help make equal treatment and discipline the norm.

Company policies are crucial to employee management and the success of your company. By creating a Progressive Discipline Policy, you can directly impact your company’s and employees’ well-being.

Learn more about how the right policies can help you support your workers and protect your company by reading our article: Introduction to Essential Company Policies for New Business Owners.

What are the steps of progressive discipline?

Progressive discipline can be divided into four steps of increasing severity. The first two steps give the employee a chance to improve their performance. They will also allow you to offer specific feedback for improvement.

1.Verbal warning

A verbal warning makes the employee aware that they did something wrong. Whether they breached a policy or participated in unwanted behavior, you should inform them exactly what behavior has led to the warning.

You should also:

Offer the employee steps to improve their behavior
Let them know what will happen if they don’t improve
Document that the meeting took place and what was discussed

Suppose one of your employees breaches your Remote Work Policy by not being available during the mandated work hours. You approach them and let them know that they violated a policy.

During the conversation, you explain the policy to them, letting them know what they did wrong and how they can improve. In this case, they need to be available and working during the mandated work hours, even if they work remotely.

You also inform the employee that they will be subject to further disciplinary action (usually a written warning) if this behavior persists.

After the meeting, you document that you gave a verbal warning and what it was about. You add this information, along with the date of the warning, to the employee's file for future reference.

2. Written warning

A written warning is a formal document that lets the employee know they might be in danger of losing their job unless their behavior improves. For employees who received a prior verbal warning, the warning letter will function as a reminder of the correct behavior and a heads-up that termination is a possibility.

When you create an Employee Warning Letter, it should include the following:

The employee’s infraction with as much detail as possible
The consequences of any recurrence
Tips for future improvement

For example, imagine one of your employees doesn’t follow health and safety regulations. You have already given them a verbal warning for this behavior, informing them that more infractions will lead to a written warning.

When you discover them disregarding safety regulations again, you create an Employee Warning Letter.

The letter mentions the previous verbal warning and all the instances where the employee has ignored regulations. It also explains what they should do to follow the rules. Lastly, it warns the employee that a termination might occur if their conduct doesn’t improve.

You make two copies of the warning letter: One for the employee and the other to be kept in the employee’s file. It’s a good idea to ask the employee to sign and acknowledge the letters.

You can use LawDepot’s Employee Warning Letter template to create warning letters for your employees.

3. Suspension

A suspension removes the employee from the workplace, giving management time to investigate and consider the situation. Suspension is often used for more severe employee misconduct that demands investigation.

To suspend an employee, you need to give them a suspension notice that contains the following information:

The date and details of the violation
The details of the suspension
The details of the investigative process
The expected timeline of the investigation
The potential outcomes of the investigation

Once the employee is suspended, an investigator gathers the information necessary so you can decide what happens next. The investigator can be an internal or external hire, but they should be a neutral third party not connected with the employee.

Suppose someone accuses one of your employees of discrimination and harassment. You suspend the employee and request a manager who has no relationship with the employee to investigate the claims.

The investigator first interviews the complainant and gathers evidence from surveillance cameras or digital records. They might also interview other workers who witnessed the situation.

As part of the investigation, the accused employee may submit a written explanation for their behavior. The investigator would document and store every piece of evidence or information before handing it over to you.

Once you have all the information, you can decide whether to reinstate or terminate the employee.

4. Termination

Termination is the final and most severe step of progressive discipline. If the employee hasn’t changed or improved their behavior after multiple warnings, or they committed a very serious infraction, termination might be the only option.

Read our guide on how to fire an employee to learn more about letting staff go.

As part of the termination process, you will need to give the employee an official termination letter. This letter should contain:

Termination date
Reason for the termination
Dates and details for previous warnings
Details about pay, health benefits, and severance

Imagine one of your employees has received multiple verbal and written warnings for poor work performance. After each warning, they have shown signs of improvement before returning to old habits.

Since you have offered them multiple chances to change their behavior, you choose to terminate their employment.

You use the documentation from the previous warnings to back up your decision to let them go.

Can I change the steps in my Progressive Discipline Policy?

The progressive disciplinary steps aren’t set in stone, and some companies change and adapt them to suit their needs. If you find that the four steps described above don’t work well with your company, you can adjust them for a better fit.

Some changes you can make include:

Giving multiple verbal warnings before proceeding to a written warning
Preempting a verbal warning with an informal coaching session
Adding a performance improvement plan (PIP)

The most important thing about progressive discipline is that employees receive the opportunity to change their behavior. The consequences of multiple infractions should increase in severity to discourage repetition. With this in mind, you can create a unique Progressive Discipline Policy for your company.

How do I create a Progressive Discipline Policy?

You can easily create your Progressive Discipline Policy using LawDepot’s template. To get started, you’ll need the following information:

Employer name
Which employees are covered
Disciplinary actions — use the standard four or create your own
Unacceptable behaviors
A process for appeals, if necessary
Contact person for inquiries about the policy
The date the policy will take effect

You also need to decide if you want employees to sign the policy when they receive it.

Do employees need to sign a Progressive Discipline Policy?

Asking employees to sign your Progressive Discipline Policy is optional. A signed policy means that the employee acknowledges and is aware that the policy exists.

You should note that having employees sign the policy doesn’t make it a legally binding contract. However, it gives you recordable proof that they know about the policy. An acknowledged and signed policy can help protect you if there is ever a dispute relating to disciplinary actions.

What happens after I create a Progressive Discipline Policy?

Once you’ve created a Progressive Discipline Policy for your company, you need to inform your employees about the new policy. You can follow these steps to make sure your employees are aware of the policy:

Add it to your Employee Handbook to provide all employees with a copy
Review it with new employees as part of the onboarding — you can add it to your New Hire Checklist
Display printed copies in breakrooms or hallways
Keep digital copies easily accessible on the company intranet
Arrange regular training and reviewing sessions with all staff

Once you’ve begun implementing your Progressive Discipline Policy, it’s also a good idea to schedule regular employee reviews. By conducting reviews, you can check and follow up on employee improvement to see if it improves. Use Employee Evaluations to revisit and review any behavioral issues.

Finally, you should keep the Progressive Discipline Policy up-to-date with company values. Regularly review your policy to see if anything needs to be updated or changed to align with your business goals. When your company evolves, your policies should follow.

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Free Progressive Discipline Policy

Create Your Free Progressive Discipline Policy

Progressive Discipline Policy

Your Progressive Discipline Policy

Covered Employees

Disciplinary Process

Grounds for Disciplinary Action

Grounds for Immediate Termination

Miscellaneous

Inquiries

What is a Progressive Discipline Policy?

What is progressive discipline?

What is the purpose of a Progressive Discipline Policy?

What are the steps of progressive discipline?

1.Verbal warning

2. Written warning

3. Suspension

4. Termination

Can I change the steps in my Progressive Discipline Policy?

How do I create a Progressive Discipline Policy?

Do employees need to sign a Progressive Discipline Policy?

What happens after I create a Progressive Discipline Policy?

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