Staff are important – they help keep our municipal entities running! However, there may come a time when personnel action is needed, such as discipline or termination of employment. To help cultivate a strong, reliable staff and mitigate the risk of employment and personnel claims, use both documentation and the four steps of progressive discipline.
Discipline and documentation
All members should develop a robust employee discipline policy and place a copy of the policy in their employee handbook, which should be given to employees upon hire. It is also recommended that members require employees to sign an acknowledgement that they have received and read the policy. This is the first step of discipline and documentation.
Documentation is not just to report an employee behavioral problem; the main purpose is to record that a supervisor communicated with the employee regarding the behavior. The documentation should follow a discussion and allows you to have a comprehensive timeline of behavioral issues discussed and recommendations given to correct them. It also gives the employee the ability to identify and improve their own behavioral issue. This level of documentation is invaluable when defending workplace claims.
Progressive discipline
Progressive discipline is a common and recommended process for managing employee actions and performance improvement. The employer progresses through each step before proceeding to the next. But it can also allow some discretion, giving supervisors flexibility to administer verbal warnings, suspensions, multiple times before moving on to the next step.
Step 1: Verbal warning
The supervisor informs the employee of their concerns and listens to information provided by the employee. If discipline is warranted, a verbal warning is given to establish the problem and the process of correction. There should also be a warning that failure to correct or future concerns can lead to further discipline up to and including termination. The verbal warning should be documented in writing in their personnel file.
Step 2: Written warning
The supervisor meets with the employee to discuss the concern or problematic behavior, and the employee is given the opportunity to share their side of the issue. The warning should be delivered in writing and relayed verbally to the employee in this meeting. This should be documented in their personnel file.
Step 3: Suspension
The supervisor suspends the employee from working, if this includes without pay, it is recommended to consult legal counsel prior to proceeding without pay. Suspending with pay can be done more easily. The employee should be given written notice of the issue and alleged violations with evidence if possible. The employee should then be allowed to state their case and correct any factual errors about the issue prior to the supervisor rendering a decision on suspension. Another supervisor or Human Resources staff should attend this level of meeting as well and assist in the note-taking process. It is recommended to wait at least a day after the meeting before rendering a suspension decision.
Step 4: Termination
Legal counsel and RMSA staff should be consulted prior to finalizing any investigation or delivering any written documentation to an employee regarding termination. A Loudermill hearing is required prior to termination, and the employee’s personnel file should be well documented of all prior steps and meetings before finalizing the termination. A second suspension can be administered before termination.
Each step of progressive discipline should have clear and specific information for the employee on areas for improvement, appropriate measurements and time frames for the improvement, and consequences for no improvement.
For more information and forms you may be able to utilize as you document employment issues, check out Zywave. Questions? Contact RMSA staff.