Progressive discipline process: steps for managers

For managers handling a performance or conduct problem: misconduct and retaliation checks, coaching, warnings, PIP, final warning and termination review.

Progressive discipline process: steps for managersManagerHRCHECK BEFORE YOU ACTESCALATING STEPSTERMINATION REVIEWYesYesNoNoYes or not sureYesNoNoYesNoNoNoPerformancePartlyNoConductNoNoYesNoYesYesYesYesNot sureYesNot sureManager sees aperformance or conductproblemFor managers: how to handle aperformance or conduct problemstep by step, and when to stop andbring in HR first.General practice, not legal advice.Follow your written policy, unioncontract or employment contractfirst. US federal law is cited.Write down what happened,when, and who saw itStick to facts you saw or can show:dates, missed targets, emails,customer reports. Leave out guessesabout motives or health.Is it serious misconduct?Examples are violence or threats,safety violations that put people atrisk, theft or fraud, harassment anddiscrimination.Contact HR the same dayIf anyone is in danger, call emergencyservices first. HR may place theemployee on paid leave while itinvestigates.HR investigatesInterview the people involved andwitnesses, collect evidence, and keepit as confidential as possible. Theinvestigator should not be theperson accused or their friend.Is the allegationsupported by theevidence?Discipline set by HR, up toterminationClose the investigation inwritingTell the people who raised it that itwas looked into. Watch for anyretaliation against them.No discipline. KeepmonitoringCould action look likeretaliation?Ask whether the employee recentlycomplained about discrimination orharassment, asked for a disability orreligious accommodation, tookprotected leave, or was a witness inan investigation.Also ask whether they raised asafety concern, reported an injury, orjoined coworkers in raising pay orworking conditions.Stop and talk to HR beforeyou actDiscipline soon after protectedactivity can look like retaliation evenwhen the reasons are real. HR willcheck timing, consistency and therecord.Does HR clear you toproceed?Proceed with HR involved ateach stepFollow HR's plan insteadProceed to coachingCoach the employee in aprivate conversationDescribe the gap and the standardyou expect. Ask what is getting in theway and offer training or tools. Notethe date and what you agreed.Improved aftercoaching?Problem resolved. Keepgiving regular feedbackGive a documented verbalwarningSay clearly that it is a formalwarning. Write a short dated note ofwhat you said and when you willreview it.Improved after theverbal warning?Give a written warning withHRState the problem, pastconversations, the standardexpected, the deadline to improve,and what happens if it does not.Ask the employee to sign to showthey received it. Let them add theirown comments.Improved after thewritten warning?Is it aboutperformance orconduct?Put the employee on aperformance improvementplanSet 2 to 4 measurable goals, atimeline (often 30, 60 or 90 days), thesupport you will give, and check-indates.Hold check-ins every weekor twoWrite down progress against eachgoal after every check-in and share itwith the employee.Were the plan goalsmet by the end date?Extend the plan once if yourpolicy allowsPlan not metConduct has continued aftera written warningGive a final written warningSay that the next incident or missedgoal may lead to termination. Set areview date.Improved after thefinal warning?Request a terminationreviewGather the full file for HRCoaching notes, warnings, theimprovement plan, check-in notesand the employee's responses.Is the recordcomplete andconsistent with howothers were treated?Ask HR or employmentcounsel before actingAny protectedactivity since theprocess began?Terminate with HR presentand start offboarding

Check before you act

  1. Manager sees a performance or conduct problemManager

    For managers: how to handle a performance or conduct problem step by step, and when to stop and bring in HR first.

    General practice, not legal advice. Follow your written policy, union contract or employment contract first. US federal law is cited.

  2. Write down what happened, when, and who saw itManager

    Stick to facts you saw or can show: dates, missed targets, emails, customer reports. Leave out guesses about motives or health.

  3. Is it serious misconduct?Manager

    Examples are violence or threats, safety violations that put people at risk, theft or fraud, harassment and discrimination.

  4. Contact HR the same dayHR

    If anyone is in danger, call emergency services first. HR may place the employee on paid leave while it investigates.

  5. HR investigatesHR

    Interview the people involved and witnesses, collect evidence, and keep it as confidential as possible. The investigator should not be the person accused or their friend.

  6. Is the allegation supported by the evidence?HR
  7. Discipline set by HR, up to terminationHR
  8. Close the investigation in writingHR

    Tell the people who raised it that it was looked into. Watch for any retaliation against them.

  9. No discipline. Keep monitoringHR
  10. Could action look like retaliation?Manager

    Ask whether the employee recently complained about discrimination or harassment, asked for a disability or religious accommodation, took protected leave, or was a witness in an investigation.

    Also ask whether they raised a safety concern, reported an injury, or joined coworkers in raising pay or working conditions.

  11. Stop and talk to HR before you actHR

    Discipline soon after protected activity can look like retaliation even when the reasons are real. HR will check timing, consistency and the record.

  12. Does HR clear you to proceed?HR
  13. Proceed with HR involved at each stepHR

    Then go to step 16, Coach the employee in a private conversation

  14. Follow HR's plan insteadHR
  15. Proceed to coachingManager

Escalating steps

  1. Coach the employee in a private conversationManager

    Describe the gap and the standard you expect. Ask what is getting in the way and offer training or tools. Note the date and what you agreed.

  2. Improved after coaching?Manager
  3. Problem resolved. Keep giving regular feedbackManager
  4. Give a documented verbal warningManager

    Say clearly that it is a formal warning. Write a short dated note of what you said and when you will review it.

  5. Improved after the verbal warning?Manager
  6. Give a written warning with HRHR

    State the problem, past conversations, the standard expected, the deadline to improve, and what happens if it does not.

    Ask the employee to sign to show they received it. Let them add their own comments.

  7. Improved after the written warning?HR
  8. Is it about performance or conduct?HR
  9. Put the employee on a performance improvement planHR

    Set 2 to 4 measurable goals, a timeline (often 30, 60 or 90 days), the support you will give, and check-in dates.

  10. Hold check-ins every week or twoHR

    Write down progress against each goal after every check-in and share it with the employee.

  11. Were the plan goals met by the end date?HR
  12. Extend the plan once if your policy allowsHR

    Then go to step 25, Hold check-ins every week or two

  13. Plan not metHR

    Then go to step 30, Give a final written warning

  14. Conduct has continued after a written warningHR
  15. Give a final written warningHR

    Say that the next incident or missed goal may lead to termination. Set a review date.

  16. Improved after the final warning?HR
  17. Request a termination reviewHR

Termination review

  1. Gather the full file for HRHR

    Coaching notes, warnings, the improvement plan, check-in notes and the employee's responses.

  2. Is the record complete and consistent with how others were treated?HR
  3. Ask HR or employment counsel before actingHR
  4. Any protected activity since the process began?HR
  5. Terminate with HR present and start offboardingHR

Outcomes

Discipline set by HR, up to termination

You get here from step 6, Is the allegation supported by the evidence? (Yes).

No discipline. Keep monitoring

You get here from step 8, Close the investigation in writing.

Follow HR's plan instead

You get here from step 12, Does HR clear you to proceed? (No).

Problem resolved. Keep giving regular feedback

You get here from step 17, Improved after coaching? (Yes), step 20, Improved after the verbal warning? (Yes), step 22, Improved after the written warning? (Yes), step 26, Were the plan goals met by the end date? (Yes), step 31, Improved after the final warning? (Yes).

Ask HR or employment counsel before acting

You get here from step 34, Is the record complete and consistent with how others were treated? (No), step 34, Is the record complete and consistent with how others were treated? (Not sure), step 36, Any protected activity since the process began? (Yes), step 36, Any protected activity since the process began? (Not sure).

Terminate with HR present and start offboarding

You get here from step 36, Any protected activity since the process began? (No).