What are the Essential Elements of Each Progressive Discipline Step?
Implementing Effective Corrective Action and Discipline in Montana Municipalities
Disciplinary actions are often overturned completely or reduced to a lesser level when any of the essential elements of progressive discipline are missing. Essential elements to be considered include:
• Explicitly inform the employee of the unacceptable behavior or performance using specific work-related examples. One must not assume that the employee knows what the problem is, rather, the problem must be fully explained with a solution given.
• Explain acceptable behavior or performance standards using examples and set a reasonable time for the employee to comply.
• Inform the employee of the consequences of failing to comply. This is not a threat, rather it gives the employee reasonable expectations of the consequences if change does not occur.
• Specify exactly which step of the municipality’s progressive discipline policy the employee is currently in.
Sample Corrective Action Steps Include:
1. Verbal warning
• Conduct the oral warning session as the initial step in a "low‐key" manner. Be friendly, yet firm.
• Tell the employee the purpose for the discussion. Identify the problem.
• Have documentation available to serve as a basis for the discussion. Such documentation should include written description of behavior being addressed and the municipal policies that are allegedly being violated.
• Seek input from the employee about the cause of the problem.
• Clarify that the employee understands expectations concerning the situation by asking the employee to state in their own words the preferred behaviors.
• Inform the employee that additional disciplinary action may follow if the problem persists.
• Try to get a commitment from the employee to resolve the problem.
• Schedule a follow‐up meeting date with the employee to review changes in behavior. At this meeting, provide feedback to the employee on how she or he is progressing on solving the problem.
• This step may be repeated with stronger consequence statements. Examples range from a statement that failure to correct this situation "may lead to further disciplinary action" to a statement that "this is a final warning and failure to correct the problem will lead to discharge."
• Document the verbal conversation with the employee in the form of a memo, have the employee sign the documentation and place a copy in the employee’s personnel file.
2. Written warning
• A written warning is the next step in the progressive discipline following a verbal warning and follow-up. The written warning is warranted when the employee has received the verbal warning, but the behavior has not changed.
• The written warning should include:
o A statement about the past, reviewing the employee’s history with respect to the problem.
Make sure the statement focuses on observable behaviors rather than general statements
that are difficult to document or prove such as attitudes or feelings. Refrain from any
personal judgements. Montana Municipal Officials Handbook 98
o A statement about the present, describing the who, what, when, etc. of the current situation, including the employee's explanation.
o A statement of the future, describing your expectations and the consequences of continued
failure.
• The warning should be addressed to the employee.
• This step may be repeated with stronger consequence statements. Examples range from a statement that failure to correct this situation "may lead to further disciplinary action" to a statement that "this is a final warning and failure to correct the problem will lead to discharge."
• Have the employee sign the written warning to acknowledge that they have received the document. Place a copy in the employee’s personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel file. 3. Suspension with or without pay
• The length of the suspension is not as critical as the step of suspension. One to three days emphasizes the seriousness of the situation.
• Under the Fair Labor Standards Act, exempt/salaried employees must be suspended in week long (40 hour) blocks of time.
• The written record of the suspension is prepared after discussion with the employee. It specifies the start and end dates, emphasizes that it is a final warning, states the reason, and is given to the employee at the start of the suspension so that the reasons for not working are clearly understood.
• Document the discipline in writing, have the employee sign that they received the document, and place a copy in the employee’s personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel file.
• MCA 7-33-4123 and 4124 address suspension of municipal fire fighters. If a fire fighter is suspended from duty, they may request that the charges be presented to the City Council/Commission for a hearing. This right is separate from any grievance process. It is important to seek guidance from the City/Town attorney in how to handle such circumstances.
4. Termination
• This is the last step of any progressive discipline system and is used when earlier steps have not produced the needed results.
• Inform the employee about the nature of the problem. See sequence described under an oral warning and written warning.
• Clearly document the nature of the problem in the written termination letter and (where appropriate) list the previous steps of progressive discipline that were utilized leading up to the termination.
• Have the employee sign a copy of the termination letter and place a copy in the employee’s
personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, 3. Governing the Municipality 99 with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel
file.
• The termination letter should specify that the municipality has a grievance process and the employee has the right to utilize the grievance process.
• Attach a copy of the grievance process to the termination letter.
• Explicitly inform the employee of the unacceptable behavior or performance using specific work-related examples. One must not assume that the employee knows what the problem is, rather, the problem must be fully explained with a solution given.
• Explain acceptable behavior or performance standards using examples and set a reasonable time for the employee to comply.
• Inform the employee of the consequences of failing to comply. This is not a threat, rather it gives the employee reasonable expectations of the consequences if change does not occur.
• Specify exactly which step of the municipality’s progressive discipline policy the employee is currently in.
Sample Corrective Action Steps Include:
1. Verbal warning
• Conduct the oral warning session as the initial step in a "low‐key" manner. Be friendly, yet firm.
• Tell the employee the purpose for the discussion. Identify the problem.
• Have documentation available to serve as a basis for the discussion. Such documentation should include written description of behavior being addressed and the municipal policies that are allegedly being violated.
• Seek input from the employee about the cause of the problem.
• Clarify that the employee understands expectations concerning the situation by asking the employee to state in their own words the preferred behaviors.
• Inform the employee that additional disciplinary action may follow if the problem persists.
• Try to get a commitment from the employee to resolve the problem.
• Schedule a follow‐up meeting date with the employee to review changes in behavior. At this meeting, provide feedback to the employee on how she or he is progressing on solving the problem.
• This step may be repeated with stronger consequence statements. Examples range from a statement that failure to correct this situation "may lead to further disciplinary action" to a statement that "this is a final warning and failure to correct the problem will lead to discharge."
• Document the verbal conversation with the employee in the form of a memo, have the employee sign the documentation and place a copy in the employee’s personnel file.
2. Written warning
• A written warning is the next step in the progressive discipline following a verbal warning and follow-up. The written warning is warranted when the employee has received the verbal warning, but the behavior has not changed.
• The written warning should include:
o A statement about the past, reviewing the employee’s history with respect to the problem.
Make sure the statement focuses on observable behaviors rather than general statements
that are difficult to document or prove such as attitudes or feelings. Refrain from any
personal judgements. Montana Municipal Officials Handbook 98
o A statement about the present, describing the who, what, when, etc. of the current situation, including the employee's explanation.
o A statement of the future, describing your expectations and the consequences of continued
failure.
• The warning should be addressed to the employee.
• This step may be repeated with stronger consequence statements. Examples range from a statement that failure to correct this situation "may lead to further disciplinary action" to a statement that "this is a final warning and failure to correct the problem will lead to discharge."
• Have the employee sign the written warning to acknowledge that they have received the document. Place a copy in the employee’s personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel file. 3. Suspension with or without pay
• The length of the suspension is not as critical as the step of suspension. One to three days emphasizes the seriousness of the situation.
• Under the Fair Labor Standards Act, exempt/salaried employees must be suspended in week long (40 hour) blocks of time.
• The written record of the suspension is prepared after discussion with the employee. It specifies the start and end dates, emphasizes that it is a final warning, states the reason, and is given to the employee at the start of the suspension so that the reasons for not working are clearly understood.
• Document the discipline in writing, have the employee sign that they received the document, and place a copy in the employee’s personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel file.
• MCA 7-33-4123 and 4124 address suspension of municipal fire fighters. If a fire fighter is suspended from duty, they may request that the charges be presented to the City Council/Commission for a hearing. This right is separate from any grievance process. It is important to seek guidance from the City/Town attorney in how to handle such circumstances.
4. Termination
• This is the last step of any progressive discipline system and is used when earlier steps have not produced the needed results.
• Inform the employee about the nature of the problem. See sequence described under an oral warning and written warning.
• Clearly document the nature of the problem in the written termination letter and (where appropriate) list the previous steps of progressive discipline that were utilized leading up to the termination.
• Have the employee sign a copy of the termination letter and place a copy in the employee’s
personnel file.
• If the employee refuses to sign the document, have a witness in the room and then clarify verbally, “am I understanding correctly, that you are refusing to sign the receipt of this document?” If they answer yes, 3. Governing the Municipality 99 with a witness in the room, write, “employee name refuses to sign this document” sign your name, have the witness sign their name and then make a copy for the employee before filing the document in the personnel
file.
• The termination letter should specify that the municipality has a grievance process and the employee has the right to utilize the grievance process.
• Attach a copy of the grievance process to the termination letter.