Addendum 2
McKinley Paper Company – Washington Mill
Port Angeles Facility
Progressive Discipline Procedures
Discipline is a concept, which is closely related to all other managerial aspects of supervising. Usually, if one hears the word “discipline”, one is inclined to think of the use of authority or force or punishment. However, another way of thinking about discipline is to consider it as a state of affairs – a condition in which there is orderliness, in which employees behave sensibly and conduct themselves according to standards of acceptable behavior as related to the goals of the organization. Discipline can be considered as positive (or good) when employees willingly practice self-discipline and willingly follow the rules of the organization. Discipline is negative (or bad) when employees either follow the rules reluctantly or actually disobey regulations and the standards of acceptable behavior.
The best discipline is “self-discipline”. Self-discipline is based upon the normal human tendency to do what needs to be done, to do one’s share, to do the right thing, and to follow reasonable standards of acceptable behavior. Most employees can be counted on to exercise a considerable degree of self-discipline. In other words, once employees know what is expected of them and feel that the rules by which they are governed are reasonable, they usually will observe them without problems. Employee self-discipline can be greatly enhanced when supervisory personnel and managers clearly explain performance and behavior expectations and demonstrate a high degree of self-discipline and conformance to these established and/or acceptable rules of conduct.
Although the vast majority of employees will exercise a considerable degree of self-discipline, unfortunately, there are always some employees in every organization who, for one reason or another, will fail to observe the established rules and standards even after being informed of them. This is when the supervisor has to resort to the authority inherent in his/her position and move to correct the unacceptable performance.
If the supervisor does not take appropriate action, it may encourage some employees to continue the unacceptable behavior and not discourage others from following the poor example. When defects in discipline become apparent, it is the supervisor’s responsibility to take action firmly and appropriately.
Disciplinary action must be undertaken with sensitivity and sound judgment on the supervisor’s part. Disciplinary action must have as its goal the improvement of the future behavior of the employee and other employees of the organization. The purpose of a supervisor’s actions must be the avoidance of similar occurrences in the future.
Before a supervisor implements some form of disciplinary action, he/she needs to know the facts of the situation. Before doing anything, the supervisor must investigate what happened and why. He/she should also consider the employee’s past performance and the severity of the violation. (Note; regardless of the severity of a violation, the supervisor must not lose control of the situation by losing his/her temper.)
As a general rule, the supervisor should arrange to have disciplinary action, or the discussion of disciplinary action, in private with the employee (and his/her union representative, if necessary) involved.
Once the supervisor knows the facts and is prepared to take action, he/she should proceed along a sequence of steps which make up a progressive disciplinary procedure. The procedure commonly used, and which seems applicable to our mill, includes the following steps:
- Informal talk
- Oral warning or reprimand
- Official warning or written reprimand
- Disciplinary suspension
- Discharge
The Informal Talk
If the infraction is of a relatively minor nature and if the employee is one whose past performance has not prompted previous disciplinary action an informal, friendly talk will probably resolve the problem. The supervisor discusses with the employee his/her behavior in relation to standards which have been established. Communicate to the employee what was expected and by when you expected the change.
During this informal discussion the supervisor should try to determine the underlying reason for the employee’s undesirable behavior, at the same time, he should reaffirm the employee’s sense of responsibility and acknowledge the employee’s positive past performance. The employee should also be made aware of the subsequent steps in the progressive discipline process should further disciplinary action be required.
The supervisor should make a note in his/her files that the informal talk occurred. This documentation will confirm the talk and set the stage for the next progressive step if the employee’s performance does not improve.
Oral Warning or Reprimand
If a friendly talk is not sufficient to bring about desired results, then it will become necessary for the supervisor to take the next step in the progressive disciplinary procedure. Do not repeat the informal talk step unless you failed to communicate to the employee what was expected and by when you expected the change.
In the oral warning or reprimand step the supervisor emphasizes how undesirable the subordinate’s violation is, and that ultimately it could lead to further disciplinary action. Explain again what is expected, what the employee needs to do to come into compliance and by when improvements should occur.
The supervisor should document the warning and oral reprimand and place a temporary record in the employee’s file noting that an oral warning or reprimand has taken place. If no further disciplinary action is required, the temporary record should be removed at the end of one year.
Official Warning or Written Reprimand
A written warning is an official reprimand and becomes a part of the employee’s personnel file. Written reprimands are particularly necessary as evidence in case of a grievance procedure. The current labor agreements contain sections on discipline. The supervisor should review the section pertaining to discipline before proceeding with the written reprimand step. The labor contracts do not prohibit a supervisor from disciplining an employee, however, they do identify an agreed-to procedure to be used. If the procedure, which is intended to protect the employee and supervisor, is not followed a grievance will likely be filed. This causes a major distraction from the discipline process and can jeopardize the supervisor’s efforts of effectively carry out the disciplinary procedure.
The employee and the Union Standing Committee must receive a copy of the written reprimand which should contain a statement of the violations for problems, disciplinary action taken previously, and the corrective action required and the potential consequence of the inappropriate performance does not cease or reoccurs.
A written reprimand will remain a part of the employee’s file for a period of one year. If there are further performance problems this period of time can be extended.
Suspension for Disciplinary Layoff
This penalty would be next in order if the employee has committed repeated offenses or where previous steps were not successful to correct the problems. The supervisor must determine what is an appropriate length of the suspension. This should depend upon how serious the offense has been and whether the infraction is the first, second, third offence, or beyond. Also, in determining the length of a suspension the supervisor should be consistent with past actions.
Here again, provisions of the Labor Agreement must be followed. Before a written notice of discipline, in this case suspension, the supervisor must discuss the proposed discipline with the employee and his/her Union representative. Once in writing, the notice of discipline must be placed in the employee’s file, a copy given to the employee and a copy given to the Union Standing Committee.
The employee has the right to appeal any and all disciplinary measures. It is important that you anticipate a challenge or an appeal and be well prepared with good documentation of events including previous efforts to resolve the employee’s problems through the use of previously outlined progressive disciplinary procedures. Records of suspension shall remain a part of the employee’s personnel file for two (2) years. This time may be extended if additional or similar performance problems arise.
Discharge
Discharge is the most drastic form of disciplinary action. It should be reserved only for the most serious offenses. Before an employee may be discharged, the employee must be given one (1) prior written warning letter except in the following instances:
- Dishonesty.
- Assault on co-workers or business visitor.
- Violation of the Company’s policy of harassment.
- Failure to comply with the provisions of the Company’s Substance Abuse Policy.
- Deliberate sleeping while on duty.
- Falsification of records or documents.
- Deliberate destruction, sabotage to, or removal of Employer’s or another employee’s property.
- Failure to report to work due to incarceration or court-imposed restrictions resulting from conviction or sentencing of 30 or more days in jail.
- Deliberate use of Company property or resources for an illegal act or purpose.
- Willful and serious violation of the Company’s Firearms Policy.
- Purposeful neglect.
- Promotion or participation in terrorism.
Discharge may also occur if the employee fails to respond to previous disciplinary measures in the progressive process. Failure to respond should be seen as insubordination. Discharging an employee is a serious matter and should only be considered if all other efforts have failed or the severity of the employee’s actions warrants discharge. Because of the severity of this action the Human Resources Manager must be involved before reaching the final decision to discharge an employee. The employee will be notified of the discharge and the reason for the discharge. This will be done in writing. Again, a copy of the discharge notice will be sent to the Union Standing Committee.
Accelerated Discipline
Under certain conditions, the disciplinary process may and should be accelerated through or past steps in the progressive discipline process. The decision to accelerate the process depends upon the severity and/or the frequency of the offenses committed. Accelerating the process may also be needed if response to the supervisor’s initial corrective efforts is ignored. However, the supervisor should always be fair and attempt to achieve improved employee performance, not meter out punishment.
In conclusion, the best disciplinary process is the one which avoids the discipline problems in the first place. A successful supervisor will make sure that his/her employees know the rules, they know what is expected of them and they know the consequences of failing to follow the rules or met the expectations.
The previously outlined progressive disciplinary process is a tool to be used when a disciplinary problem arises. When followed, this process can produce effective results for the supervisors faced with disciplinary issues. The effects of the process are further enhanced when the supervisors act promptly, fairly and consistently.