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Disciplinary Procedures

This document describes Scott Recycling's progressive discipline process. It exists to ensure that performance and conduct issues are addressed consistently, documented properly, and handled fairly — for the employee, for the manager, and for the business.

The goal of discipline is correction, not punishment. Most issues should be resolved at the verbal warning stage. Progression to written warnings, suspension, or termination is reserved for repeat issues or severe misconduct.

Guiding Principles

  1. Document everything. Every step of progressive discipline must be documented in writing, signed (or noted as "refused to sign"), and filed in the employee's personnel file.
  2. Be consistent. Similar offenses by similar employees should result in similar consequences. Inconsistency creates legal exposure.
  3. Address issues promptly. A problem allowed to continue becomes harder to address later. The first verbal warning should happen within days of the incident, not weeks.
  4. Separate conduct from performance. Performance issues (can't do the job) follow a different path than conduct issues (won't follow the rules).
  5. Avoid surprises at termination. An employee who is terminated should not be surprised — the termination should be the logical next step in a documented process.
  6. Private conversations. Disciplinary discussions happen in private, never in front of coworkers.

Progressive Discipline Steps

Except for severe misconduct (see "Immediate Termination" below), discipline follows these steps in order:

Step 1: Verbal Warning

When to use: Minor infraction, first occurrence, correctable behavior.

Examples: - Repeatedly late for shift start by 5–10 minutes - Forgot to complete a required safety check - Unprofessional tone with a coworker - Missing a routine SOP step

Procedure: 1. Manager meets with the employee in private 2. Manager explains what the issue is, why it matters, and what the expected behavior is 3. Manager confirms the employee understands 4. Manager gives the employee a chance to respond 5. Manager documents the conversation in a brief memo: date, employee name, issue, expected correction, employee's response 6. Memo is placed in the employee's file — not shared with coworkers 7. Manager follows up within 2 weeks to confirm correction

What does NOT belong in a verbal warning: - Threats ("Do this again and you're fired") - Comparisons to other employees - Personal attacks - Public discussion

Step 2: Written Warning

When to use: - Same issue recurs after a verbal warning - More serious first offense than verbal warrants - Multiple minor issues accumulating

Examples: - Continued tardiness after verbal warning - Repeatedly skipping a required SOP step - Minor insubordination (refusing a reasonable task) - Performance below expectations after verbal coaching

Procedure: 1. Manager prepares a written warning document that includes: - Date and location - Employee name and position - Specific description of the issue (factual, not judgmental) - Reference to the prior verbal warning (date) - Expected correction and timeline - Consequences if not corrected (next step) - Signatures of manager and employee 2. Manager meets with the employee in private and reviews the document 3. Employee is given the opportunity to add comments or refuse to sign 4. If the employee refuses to sign, manager notes "Employee declined to sign" and has a witness co-sign 5. Copy provided to employee, original filed in personnel record 6. Manager follows up at the agreed timeline

Step 3: Final Written Warning / Suspension

When to use: - Continued same issue after written warning - Serious breach of policy short of immediate termination - Performance not improving after written coaching

Procedure: 1. Second written warning documented similarly to Step 2, with explicit "FINAL WARNING" language 2. May include a suspension (1–3 days without pay) for serious issues 3. Employee informed that the next incident will result in termination 4. Performance improvement plan (PIP) may be attached with specific, measurable goals and a deadline (typically 30 or 60 days) 5. Signed, filed, and copy provided to the employee 6. Manager schedules weekly check-ins during the PIP period

Step 4: Termination

When to use: - Employee fails to correct after final written warning - Severe misconduct (see "Immediate Termination" below)

Procedure: 1. Manager consults with Dan before proceeding with any termination 2. Termination meeting is held in private, typically at end of shift or end of week 3. Meeting attendees: manager, employee, and a witness (second manager or HR) 4. Manager delivers the news clearly and briefly — this is not a negotiation 5. Reason for termination is explained in plain language, referencing the documented progression 6. Final paycheck procedure explained (per TN law, final pay is due at next regular payday or within 21 days, whichever is earlier) 7. Return of company property (keys, badges, equipment, uniforms) handled 8. System access revoked immediately upon termination (see Exit Procedures) 9. Employee escorted from the facility 10. All documentation filed; COBRA notice mailed (if applicable)

Immediate Termination (Bypass Progressive Discipline)

The following offenses may result in immediate termination without progressive discipline. This list is not exhaustive — Dan has discretion on case-by-case basis.

Offense Why
Theft (of customer property, company property, or coworker property) Criminal act, direct business harm
Workplace violence, threats, or assault Safety of other employees
Sexual harassment Legal liability, hostile workplace
Drug or alcohol use on the job Safety — especially in DOT, forklift, and processing roles
Falsification of records (time sheets, DOT logs, destruction certs) Legal liability, compliance violation
Deliberate HIPAA breach or data theft Criminal, regulatory, reputational
Refusal to perform an assigned task after a direct order (insubordination) Undermines authority
Safety violation causing injury or serious near-miss Cannot risk continued exposure
Conviction of a crime related to the job Dealer-license / DOT compliance
Unauthorized access to or disclosure of confidential company information Data security, customer trust
Gross negligence causing property damage or injury Risk management

Immediate termination still requires: - Consultation with Dan before execution - Private termination meeting - Witness present - Documentation of the specific incident and decision - Preservation of all evidence (especially for theft or misconduct that may result in prosecution)

Performance vs. Conduct

Performance issues (can't do the job to the required standard): - Follow progressive discipline with a Performance Improvement Plan (PIP) - Provide coaching, training, and clear measurable goals - Give reasonable time to improve (typically 30–60 days) - If no improvement → terminate for performance

Conduct issues (won't follow the rules): - Follow progressive discipline with behavioral expectations - No training typically required — employee knows better, chose otherwise - Shorter timelines to correct - If no correction → terminate for misconduct

Mixing these up creates problems. A performance issue treated as misconduct feels unfair. A misconduct issue treated as performance lets the behavior continue.

Documentation Requirements

Every disciplinary action must have:

  • Date, time, location of the incident
  • Specific factual description (what happened, not interpretation)
  • Witnesses (names, statements if relevant)
  • Prior disciplinary history (reference to verbal/written warnings)
  • Manager's expectations going forward
  • Consequences of non-compliance
  • Employee's response (or refusal to respond)
  • Signatures (manager, employee, witness if applicable)
  • Date filed in personnel record

Retention: Per Record Retention Policy, personnel records are kept for 7 years post-termination.

Employee Rights

Throughout any disciplinary process, employees have the right to: - Know what they're being accused of - Respond to the allegations - Have the documentation explained to them - Add their own written comments to the record - Refuse to sign (which does not prevent the discipline from taking effect) - Be treated respectfully and in private - Expect confidentiality (disciplinary matters are not discussed with coworkers) - Appeal to Dan if they believe discipline was unfair (within 5 business days)

Common Mistakes to Avoid

  • Discussing discipline with coworkers. Violates privacy, creates favoritism perceptions.
  • Verbal threats without documentation. "Do that again and you're fired" — if you don't document and the behavior continues, you've created an expectation that nothing happens.
  • Skipping steps. Going from verbal to termination without written warning creates legal exposure except in severe misconduct cases.
  • Inconsistent application. Disciplining one employee for behavior ignored in another creates discrimination risk.
  • Delayed action. Addressing an issue weeks after it happened weakens the action.
  • Emotional delivery. Discipline should be businesslike and calm, not angry.
  • Making it personal. "You're lazy" vs. "You've missed your production target 5 weeks in a row" — the second is actionable, the first is an attack.

When to Consult Dan

Before taking action in any of these situations: - Any termination (progressive or immediate) - Any written warning for an employee with fewer than 30 days of employment - Any disciplinary action involving a protected class concern (age, race, gender, religion, disability, etc.) - Any suspension - Any situation involving a police report or potential legal action - Any employee whose discipline touches on wage and hour issues - Any employee with an open workers comp claim

Review & Training

  • Annual review of this policy by Dan + legal counsel
  • New manager training includes walking through this document
  • Refresher training annually for all managers who conduct discipline