Progressive Discipline - Definition, Roles, Process, Best Practices -

Progressive Discipline – Definition, Roles, Process, Best Practices, Examples, and more!

Definition

Progressive Discipline is a structured process for employers that helps employees address areas needing improvement and supports them in making necessary changes. The primary goal is to encourage positive behavior and performance by providing clear, documented feedback to the employee. The process involves a supervisor consistently documenting the issue and communicating specific expectations for improvement to the employee. If, after a series of documented discussions and warnings, the employee does not show improvement, the company may proceed with further corrective actions, which could include suspension or termination.

Roles

Typically, three to four individuals may be involved in the progressive discipline process:

The Supervisor

Initiates the process and works directly with the employee, setting expectations for improvement and documenting each step.
The Employee

This the individual being asked to make specific improvements based on feedback.
The Human Resources (HR) Representative

HR may participate in the process as needed. HR often reviews the supervisor’s written documentation, provides guidance, and may consult with the supervisor before any discussions take place to ensure compliance with company policies and legal requirements.
The Supervisor’s Manager

The supervisor’s manager may also be involved in cases of more serious issues, contributing additional oversight and support during the discipline discussions.

Process

The Progressive Discipline process typically involves multiple stages aimed at helping the employee make necessary improvements. This process is initiated by the supervisor through a series of progressively structured warnings. At each stage, the supervisor reviews the required improvements, clarifies the current stage of the disciplinary process, and sets expectations with timelines for the necessary changes. At each step, the employee receives a documented summary outlining the corrective actions, expectations, and deadlines.

In today’s workplace, many companies manage this process through their HR or HCM software, which often includes online tools for tracking and documentation. However, if such functionality is not available, companies may use PDF documents and email to accomplish the process and maintain records.

Stages of Progressive Discipline

While companies can design their own progressive discipline policy and choose the number of stages, most align with guidelines from the Society for Human Resource Management (SHRM). Each formal session is documented, and both the supervisor and employee sign off on the documentation. The typical stages are as follows:

Verbal Warning (although documented in writing)
Written Warning
Final Written Warning (may include suspension)
Termination of Employment

What to do in each Step of Progressive Discipline

The following steps outline the typical approach to implementing progressive discipline for routine behavioral issues (i.e., How to Discipline an Employee). This article does not cover all serious policy violations—such as harassment, theft, fraud, or workplace violence—that may require a formal investigation by HR. A separate article will address handling these more complex situations. Below are the standard steps for addressing common behavioral concerns.

Discuss the area of concern which requires improvement.
1. This should be a direct, factual conversation between the supervisor and the employee.
2. In the Verbal Warning stage, the supervisor should be encouraging and constructive. Each progressive stage takes on a more serious tone; for instance, the First Written Warning is firm but less critical than the Final Written Warning.
3. During the Final Written Warning, the supervisor should clearly communicate that this is the employee’s last opportunity to make the necessary improvements, with termination likely if changes are not made. The employee should be fully informed about the stages of progression. Typically, HR would be involved in this final stage of discipline either to review the documentation or assist the manager.
4. Collaborate on an action plan that details specific actions the employee will take to improve conduct or performance, along with a clear timeline for improvement.

2. Document the plan for improvement.

1. Both the supervisor and employee agree to document the plan for improvement plan referred to here as the counseling record.
  1. Create a separate counseling record for each stage of progressive discipline, outlining the specific corrective actions required. Note any lack of progress or slower-than-expected improvement in the counseling record.
  2. If this stage is the Final Written Warning, HR may join the conversation to provide support and document any objections raised by the employee.
2. The Supervisor sends the counseling record to the employee
  1. Following the initial discussion, the supervisor sends the counseling record to the employee for review and acknowledgment via signature.
3. The Employee reads and acknowledges the document.
  1. The employee reads and acknowledges the counseling record and discusses any remaining concerns with their supervisor. The employee should sign the record and may add notes in a designated section, including any objections to the supervisor’s assessment if needed.
4. The Manager files the Counseling Record in the employee’s personnel file.
5. The Supervisor monitors and measures the employee’s progress.
  1. The supervisor tracks the employee’s progress according to the improvement plan, documenting any further failures to improve. All interactions should remain professional and fact-based. The goal of progressive discipline is to provide constructive feedback so the employee has the opportunity to make necessary changes within the time-line specified.

Best Practices for Developing a Progressive Discipline Policy

HR Best Practices

Create a Comprehensive Written Policy: Outline the progressive discipline process, including definitions, purpose, stages, expectations, and step-by-step guidance on implementation.
Allow Flexibility for Severe Violations: Specify that certain serious infractions (e.g., abusive behavior, fighting, etc.) may justify skipping stages, with HR approval. Include this exception in the policy.
Specify infractions not subject to the Policy. Criminal acts such as theft, destruction of company goods or property, working under the influence, time fraud, or acts of violence may not be subject to progressive discipline and may result in immediate termination.
Ensure Accessibility: Make the policy available to all employees through a handbook, policy guide, or video format.
Provide Manager Training: Conduct training sessions for new managers to familiarize them with the progressive discipline process and address any questions they may have.
Define an Appeal Process: Outline a clear appeal process for employees who wish to challenge a supervisor’s assessment or discipline stage, with HR’s involvement in any appeal.
Set a Timeline for Record Expiration: Establish guidelines for when an employee’s discipline record is considered inactive or “rolled off” from influencing future disciplinary actions. For example, after a significant period of improvement without further incidents, an employee may be eligible to return to a “clean slate.” Detail these rules in the policy.

Manager Best Practices

Practice Empathy: Train managers to empathize with employees, particularly those who are new or experiencing difficulties due to personal issues (e.g., family illness or divorce). Encourage managers to consult HR when external events may be impacting an employee’s performance.
Communicate Impact: Help employees understand how their actions or behavior affect coworkers, workplace culture, or the company’s financials.
Discuss Confidentially: All meetings or discussions with an employee should be conducted in a private area or confidentially. Always follow the leadership principle “”Praise in public, Criticize in private”
Be Consistent: Managers must treat employees fairly for policy violations. Be inconsistent in applying discipline across the organization can lead to fairness complaints and possible discrimination.
Seek HR Support: Encourage managers to reach out to HR if they are uncertain about implementing the policy or determining the appropriate disciplinary stage.

Example of Progressive Discipline Policy Implementation

The following example illustrates how a supervisor can apply progressive discipline in a structured manner, using documented steps to address issues while giving the employee opportunities for improvement.

Employee: Jon Smith
Supervisor: Dan Williams

Jon is an employee at a retail clothing store. Before starting, Jon completed training on company policies and procedures.

First Verbal Warning

On Jon’s first two days, he arrived late for his shift. After verbally reminding Jon on the first day about the importance of being on-time, Dan issued a formal verbal warning when Jon was late again on the second day. Dan met with Jon privately to emphasize the importance of punctuality, not only for the store’s operations but also as a courtesy to coworkers. Dan sent Jon a copy of the attendance policy and asked Jon to acknowledge receipt by signing the form. Jon assured Dan he would improve his punctuality.

First Written Warning

As part of Jon’s responsibilities, he was trained to perform end-of-day inventory checks for high-end jewelry, which required documenting each count with a coworker’s verification. Despite this training, Jon missed the inventory check twice in one week. Dan met with Jon privately to reiterate the critical importance of securing valuable inventory daily. Dan issued a First Written Warning, documented their discussion, and had Jon sign it as an acknowledgment. Jon committed to being more diligent about his inventory responsibilities.

Final Written Warning

While Jon generally tried to improve, he occasionally struggled with customer interactions. One day, a customer returned a high-end item Jon had sold just an hour earlier. Upset about potentially losing a commission, Jon attempted to dissuade the customer from returning the item, which led to a tense exchange where Jon said, “I hope you’re happy; you just cost me part of my rent.” Jon’s conduct violated the store’s policy of handling returns smoothly. Dan held a private meeting with Jon to address this behavior, issuing a Final Written Warning and requiring Jon to complete additional training on customer service and emotional management. Jon acknowledged the warning and agreed to follow the return policy without exception.

Termination

Two months later after the Final Written Warning, Jon missed another inventory check. After consulting with HR, Dan determined that Jon was not meeting the store’s requirements. Following company procedure, Dan moved forward with Jon’s termination, documenting all steps of the termination process.

For a free online fillable Counseling Record form for use with Progressive Discipline, email us below and put in the the Message “Free Counseling Form”.