Purpose
This policy outlines how [Organisation Name] handles workplace conduct and performance issues. It provides clarity and fairness by ensuring managers communicate standards early and give employees a chance to correct problems.
Employment at [Organisation Name] is at-will. Either the employee or [Organisation Name] may end the employment relationship at any time, with or without cause or notice. This policy provides operational guidance and is not a contract. It does not guarantee a specific sequence of steps or warnings. [Organisation Name] may repeat, combine, skip, or omit any disciplinary step at its discretion. Only a formal written agreement signed by [Authorized Officer] and the employee can modify the at-will employment relationship.
Working through related paperwork at the same time? See also our Performance Review & One-to-One Template (UK), WARN Act Notice Letter Template and Written Statement of Employment Particulars Template.
Scope and Responsibilities
This policy applies to all employees of [Organisation Name]. Employees must follow all standards outlined in onboarding materials, including the [Employee Handbook / Code of Conduct], as well as safety procedures, role guidelines, and work directives.
Corrective action covers two types of workplace issues:
- Conduct Issues: Behavioral problems, such as attendance infractions, policy violations, and insubordination. Manage these under this policy.
- Performance Issues: Results-based matters, including work quality, productivity, and skill gaps. Manage these through a performance improvement plan or this policy, as appropriate.
Managers must consult [Role] to determine the right management process before issuing formal warnings.
Corrective Action Process
The steps below outline the standard discipline sequence. Use them as a guide. [Organisation Name] may start action at any step or move straight to termination depending on the severity of the issue.
- Coaching: An informal conversation held right after an issue occurs to state the problem and clarify expectations. The manager logs the date and topic discussed.
- Verbal Warning: A formal conversation documented by the manager. It outlines the issue, required changes, timelines for improvement, and consequences if the behavior continues.
- Written Warning: A formal document detailing the factual timeline, prior discussions, required actions, and consequences of further non-compliance. Review this document with [Role] before delivering it to the employee for signature.
- Final Written Warning or Suspension: The final step before termination. Explicitly warn the employee that further infractions may lead to termination. If suspending an employee, establish payment terms (paid or unpaid) under applicable wage-and-hour laws for their classification.
- Termination: The disciplinary end of employment, decided by [Role] in consultation with [Role], using documented factual evidence.
Immediate Escalation and Exclusions
Some misconduct is severe enough to warrant immediate formal action, suspension, or termination without prior warnings. Examples include:
- Theft, fraud, or falsification of records or timekeeping.
- Acts or threats of violence, intimidation, or physical harm.
- Harassment or discrimination.
- Severe safety rule violations that endanger anyone.
- Working or reporting to work under the influence of alcohol or unauthorized drugs.
- Unauthorized disclosure of confidential information or misuse of organizational systems or funds.
In these cases, [Organisation Name] may place the employee on suspension (paid or unpaid, based on legal wage requirements) during an investigation and proceed straight to termination.
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Documentation Requirements
Document every step beyond informal coaching as it happens. Records must include:
- Date and time of the documentation and underlying events.
- Objective, factual description of specific behaviors or events (no subjective opinions).
- Clear statement of the standard or rule violated.
- Specific required changes and a set compliance timeframe.
- Employee’s response or comments.
- Stated consequences for non-compliance.
Give the employee a copy of the written record and ask them to sign acknowledging receipt. A signature proves receipt, not agreement. If an employee refuses to sign, have a witness note the refusal on the document. Employees may submit a written response to attach to the record in their personnel file.
Application Principles
Managers and [Role] must apply these principles when administering discipline:
- Consistency: Evaluate and handle similar situations and infractions consistently across the organization.
- Compliance: Never issue discipline based on protected characteristics or protected activities, such as raising safety concerns, discussing pay or working conditions, filing a complaint, or taking legally protected leave.
- Consultation: Managers must consult [Role] before issuing a written warning, suspension, or termination.
- Recourse: Employees who believe discipline was administered unfairly or discriminatorily may submit a formal statement through [Employee Complaint Process] without fear of retaliation.
Records and Policy Review
Keep disciplinary records in the official personnel file inside [System / Location]. Limit access to authorized personnel, including [Role]. Retain records for [Retention Period].
[Role] reviews disciplinary trends and outcomes on a [Frequency] basis to ensure consistency across departments.
[Role] reviews this policy on a [Frequency] basis.
- Policy Owner: [Role]
- Next Scheduled Review Date: [Date]
FAQs on a progressive discipline policy
What is a progressive discipline policy?
A progressive discipline policy outlines how your organisation handles workplace conduct and performance issues. It provides clarity and fairness by ensuring managers communicate standards early and give employees a chance to correct problems.
Having it written down means the same rules apply to everyone, so managers are not making judgement calls case by case under pressure.
What does a progressive discipline policy include?
This template covers corrective action process, immediate escalation and exclusions, documentation requirements and application principles.
Every section is written to be filled in. The bracketed placeholders mark the decisions that are yours to make, such as timescales, approval owners and retention periods.
How to implement a progressive discipline policy with Whale
Copy this template into Whale and work through the bracketed placeholders so it reflects how your organisation actually operates.
Assign it to the teams it applies to so it sits where people work rather than in a shared drive, and set a review date so it gets revisited on schedule instead of quietly going out of date.
Use our templates to fast-track your documentation
Customize this template and 100s of others for free in Whale, the fastest way to get your team aligned.
