📄 SHRS Employee Disciplinary Forms & Procedures

Purpose:

To provide supervisors, program managers, and HR personnel with clear guidance on the use, purpose, and process for issuing disciplinary documentation at SHRS. This helps ensure accountability, transparency, and compliance with internal policies and DBHDS requirements.

The verbal warning, written warning, PIP, and Callout/Tardy/Late form are all located in Lauris and can be completed under each staffs sessions 

🛑 Important Notes for Supervisors:

• Always document facts and observations objectively.
  
  

• Maintain professionalism and confidentiality during all disciplinary meetings.
  
  

• Contact HR for support if you're unsure which form to use or how to proceed.
  
  

• Always give staff the opportunity to respond and ask questions.
  
  

• Escalation sequence (typical): Verbal Warning → Written Warning → PIP → Termination (if applicable)

1. Employee Verbal Warning Form

• Who Completes It: Supervisor
  
  

• When to Complete It: As needed – for initial or moderate concerns about employee performance or conduct
  
  

• Purpose:
  Used to document a verbal discussion with the staff member about:
  
  

  • A specific concern (e.g., tardiness, incomplete documentation, failure to follow protocol, other issues)
    
    

  • Clarified expectations moving forward
    
    

  • An agreed plan of action for improvement
    
    

• How It’s Used:
  
  

  • Although the discussion is verbal, the form is completed to document the occurrence
    
    

  • This serves as an internal record and the first step before further escalation
    
    

2. Employee Written Warning Form

• Who Completes It: Supervisor
  
  

• When to Complete It: As needed, for serious or repeated issues following a verbal warning
  
  

• Purpose:
  A formal document that indicates a more severe concern, including:
  
  

  • Continued or escalated issues despite previous feedback
    
    

  • Specific details of incidents or non-compliance
    
    

  • Clear indication that the next step may be a PIP
    
    

  • Notifies the employee that failure to improve could lead to suspension or termination
    
    

• How It’s Used:
  
  

  • Supervisor meets with the staff member to review the form and allow them to respond
    
    

  • The staff member and supervisor both sign the form (refusal to sign is documented)
    
    

  • A copy is sent to HR and placed in the employee’s file
    
    

  • May include a plan for follow-up or a formal review period
    
    

3. Employee Performance Improvement Plan (PIP)

• Who Completes It: Supervisor or Program Manager
  
  

• When to Complete It: As needed – typically after a written warning has been issued or when performance concerns are significant
  
  

• Purpose:
  The PIP is a formal improvement tool used to assist underperforming employees. It clearly outlines:
  
  

  • Specific areas of concern
    
    

  • Measurable goals or behavior changes expected
    
    

  • Resources or support provided
    
    

  • Deadline for progress review (typically 30, 60, or 90 days)
    
    

• How It’s Used:
  
  

  • Supervisor meets privately with the staff member to review the plan
    
    

  • Both parties sign to acknowledge understanding
    
    

  • Regular check-ins may be scheduled
    
    

  • If the employee does not meet the outlined expectations, further disciplinary action (up to termination) may be taken

4. Call-Out/Late/Tardy Form

• Who Completes It: Supervisor or Program Manager
  
  

• When to Complete It: Any time an employee calls out, arrives late, or fails to report to work as scheduled
  
  

• Purpose:
  To track attendance-related issues and support pattern monitoring, including:
  
  

  • Documentation of the reason provided
    
    

  • Date and time of the incident
    
    

  • Notation of whether the call-out was proper (timely and followed protocol)
    
    

• How It’s Used:
  
  

  • Completed immediately after a tardy, call-out, or no-show
    
    

  • Shared with HR if repeated patterns are observed
    
    

  • May be used to initiate verbal or written warnings if a pattern develops