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Progressive Discipline System

A progressive discipline system is the set of successive consequences administered to redirect employee behavior after a violation of work policy or procedure. Organizations using such systems often respond to misconduct initially with some minimal warning, followed by more severe punishments up to and including termination or discharge. An example of a progressive disciplinary program is outlined as follows:

  • Verbal warning
  • Written warning copied to supervisor's file
  • Written warning copied to human resources (HR) department file
  • Suspension or demotion
  • Termination

Using a progressive approach has two main purposes. First, progressive discipline is a logical and structured way to document infractions. Over time, undesired worker behavior may necessitate weighty human resource decisions such as total compensation decreases, demotions, and termination. Having appropriate documentation in place increases the fairness of these types of actions while protecting the organization from wrongful termination lawsuits. Second, when executed correctly, progressive discipline is effective in extinguishing unwanted behavior through the set of processes implicated in reinforcement theories of motivation. To avoid the negative outcome of the discipline procedures, employees will likely refrain from behavior that they know leads to disciplinary action.

Progressive Discipline System Policy

After putting a general progression of disciplinary actions in place, organizational leaders must then determine the appropriate starting point along the continuum given the severity of each specific violation of policy. To do this, categories of infractions are often created. Each category is associated with a different progression along the discipline continuum. Minor, correctable infractions, such as lateness and absenteeism, lend themselves readily to a multiple-step, progressive discipline approach. A verbal warning is an acceptable consequence for the first incident of lateness. In contrast, severe infractions, such as stealing large amounts of money from operating funds or divulging confidential patient information, can lead to more serious consequences such as immediate termination, and even the pressing of criminal charges. Clearly, severe misconduct should not be handled merely with a verbal warning. A third category of significant but not severe infractions, such as inadvertently misfiling insurance claims, may be disciplined with a written warning as a first step. Progressive discipline steps for each category of infraction should be outlined in an employee handbook.

Any discipline policy should also allow for exemption from progressive discipline if there are mitigating circumstances. Disciplining employees despite such circumstances undoubtedly creates feelings of unfairness and resentment. For instance, accidents and emergencies may be the cause of lateness, absenteeism, or personal use of the company telephone. Alternatively, employees may disclose a medical reason for the infraction. If a medical disclosure is made, a lawyer or HR specialist should be consulted to determine the Americans with Disabilities Act or Family Medical Leave Act implications of the matter.

Using a Progressive Discipline System

Before any discipline takes place, an investigation should be launched to find the causes for the employee's errant behavior, to be sure the employee is to blame. In courts of law, organizations are held responsible for having made a thorough investigation. Employees terminated for behavior that either never occurred or was uncontrollable have won large settlements against former employers.

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