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Disciplinary Procedure

Document Type: Procedure
Version: 1.0
Last Updated: February 2026
Distribute To: Supervisors, HR

Purpose​

Establish a fair, consistent process for addressing employee performance issues and policy violations.

Progressive Discipline Philosophy​

  • Discipline should be corrective, not punitive
  • Employees should have opportunity to improve
  • Severity matches the offense
  • Documentation is essential
  • Consistency across the organization

Progressive Discipline Steps​

Step 1: Verbal Warning​

  • First occurrence of minor issue
  • Private conversation with employee
  • Explain the problem and expectation
  • Document in supervisor notes
  • Not placed in personnel file

Step 2: Written Warning​

  • Continued or repeated issue
  • Formal written documentation
  • Signed by employee
  • Placed in personnel file
  • Improvement plan included

Step 3: Final Written Warning​

  • Serious or continued violation
  • Clear statement of consequences
  • Final opportunity to correct
  • HR involvement required
  • Signed acknowledgment

Step 4: Suspension​

  • Serious violation
  • May be with or without pay
  • Time to investigate
  • Clear return expectations
  • HR approval required

Step 5: Termination​

  • Continued failure to improve
  • Serious policy violation
  • Following due process
  • HR and management approval
  • Documentation complete

When to Skip Steps​

Immediate Termination May Be Appropriate For:​

  • Violence or threats
  • Theft or fraud
  • Gross insubordination
  • Safety violations causing serious harm
  • Drug/alcohol use at work
  • Harassment
  • Weapons violations
  • Falsification of records

Consult HR Before Any Termination​

Documentation Requirements​

Every Disciplinary Action Must Include:​

  • Date and time
  • Specific behavior or incident
  • Policy or standard violated
  • Prior warnings (if any)
  • Expected improvement
  • Consequences if not improved
  • Employee acknowledgment
  • Supervisor signature

Written Warning Form​

================================================================
         EMPLOYEE WRITTEN WARNING
================================================================

Employee Name: _______________________________________________
Employee ID: _________________  Department: __________________
Position: ____________________  Supervisor: __________________
Date of Warning: _____________  Warning Type: ________________
                               ☐ Written  ☐ Final Written

================================================================

NATURE OF VIOLATION:
☐ Attendance/Tardiness    ☐ Performance
☐ Safety Violation        ☐ Policy Violation
☐ Insubordination         ☐ Other: _________________________

================================================================

DESCRIPTION OF INCIDENT/BEHAVIOR:

Date(s) of Incident: _________________________________________

Specific Description:
___________________________________________________________
___________________________________________________________
___________________________________________________________

Policy/Standard Violated:
___________________________________________________________

================================================================

PRIOR WARNINGS:

☐ Verbal Warning  Date: ___________  Issue: _________________
☐ Written Warning Date: ___________  Issue: _________________
☐ None

================================================================

EXPECTED IMPROVEMENT:

___________________________________________________________
___________________________________________________________

Improvement Must Be Demonstrated By: _________________________

================================================================

CONSEQUENCES OF CONTINUED VIOLATION:

___________________________________________________________
___________________________________________________________

================================================================

EMPLOYEE COMMENTS:

___________________________________________________________
___________________________________________________________

================================================================

SIGNATURES:

Employee Signature: _____________________  Date: _____________
(Signature acknowledges receipt, not necessarily agreement)

☐ Employee refused to sign. Witnessed by: ___________________

Supervisor Signature: ____________________  Date: _____________

HR Representative: _______________________  Date: _____________

================================================================

Distribution: ☐ Employee  ☐ Personnel File  ☐ Supervisor Copy

================================================================

Investigation Guidelines​

Before Taking Action:​

  1. Gather Facts

    • What happened?
    • When and where?
    • Who was involved?
    • Any witnesses?
    • What policy was violated?

  2. Interview Relevant Parties

    • Employee
    • Witnesses
    • Others involved
    • Document all interviews

  3. Review Documentation

    • Prior warnings
    • Performance history
    • Similar situations
    • Policy language

  4. Consult HR

    • Review findings
    • Determine appropriate action
    • Ensure consistency

  5. Make Decision

    • Consider all factors
    • Apply appropriate discipline
    • Document thoroughly

Meeting Guidelines​

Disciplinary Meeting:​

Before:

  • Prepare documentation
  • Have witness present (HR)
  • Private location
  • Allow adequate time

During:

  • Explain the issue specifically
  • Reference policy/standard
  • Allow employee to respond
  • Listen actively
  • State expected improvement
  • Explain consequences
  • Provide written warning
  • Obtain signature

After:

  • File documentation
  • Follow up as committed
  • Monitor improvement
  • Document continued issues

Common Disciplinary Issues​

IssueTypical Progression
AttendanceVerbal → Written → Final → Term
PerformanceVerbal → Written → PIP → Final → Term
Minor safetyVerbal → Written → Final → Term
Major safetyWritten → Final or Term
InsubordinationWritten → Final → Term
HarassmentInvestigation → Action (may be term)
TheftTermination

Employee Rights​

  • Explanation of charges
  • Opportunity to respond
  • Representation (per policy)
  • Appeal process
  • Access to documentation

Supervisor Guidelines​

DO:​

  • Document everything
  • Be specific about issues
  • Apply consistently
  • Consult HR when unsure
  • Follow up on improvement
  • Maintain confidentiality

DON'T:​

  • Make it personal
  • Discipline in anger
  • Skip steps without cause
  • Make promises you can't keep
  • Retaliate for complaints
  • Discuss with others
  • Performance Management
  • Termination Procedure
  • Employee Handbook
  • Specific Policies

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