1. Employee File Management & Record-Keeping

📌 HR Responsibilities
✅ HR maintains a comprehensive employee file documenting:

• 30/60/90-day performance evaluations.
• Annual performance appraisals.
• Any behavioral infractions, verbal warnings, and written warnings.
  ✅ Employee files serve as a complete and legally compliant record of an employee’s history at Westside Market.

🚨 All corrective actions must be documented to ensure fairness, consistency, and compliance with labor laws.

2. Performance Management Responsibility

📌 Store Management’s Role
✅ Store Managers are responsible for monitoring and addressing performance or behavioral issues at their respective locations.
✅ Store Managers must follow a structured, step-by-step corrective action process to:

• Address concerns in a timely manner.
• Ensure compliance with company policies and labor laws.
• Provide employees with a fair opportunity for improvement.

🚨 Failure to properly document disciplinary actions may result in legal risk and disputes.

3. Documentation for Termination & Progressive Discipline

📌 Progressive Disciplinary Process
✅ Termination due to repeated infractions requires documented corrective actions.
✅ The corrective action process consists of three stages before termination:

• Step 1: Verbal Warning (documented internally).
• Step 2: First Written Warning (Corrective Action Form).
• Step 3: Second Written Warning (Corrective Action Form).
• Step 4: Third Written Warning, which may lead to termination.

📌 Required Documentation Before Termination
✅ Employees are subject to termination only after three documented written warnings.
✅ Documentation must include:

• One documented verbal warning.
• Two separate written warnings using the Corrective Action Form.
• A third written warning, qualifying the employee for termination.

📌 Management Discretion
✅ Store Managers must consult with the Operations Manager before proceeding with termination.
✅ The Operations Manager will:

• Verify proper documentation is in place.
• Ensure compliance with employment laws and internal policies.
• Confirm termination procedures are followed correctly.

🚨 Terminations without proper documentation may result in legal consequences and disputes.

4. Step-by-Step Corrective Action Process

📌 Step 1: Verbal Discussion (Coaching Conversation)

✅ Conduct a coaching conversation with the employee regarding the performance or behavioral issue.
✅ Explain why the issue is problematic and provide clear expectations for improvement.
✅ Document the conversation internally with a simple written notation for HR records.

🚨 A verbal discussion does not count as a formal written warning but must be noted for tracking.

📌 Step 2: First Written Warning (Corrective Action Form)

✅ If the issue persists, issue a formal written warning using the Corrective Action Form.
✅ The written warning must clearly state:

• The inappropriate behavior or performance issue.
• Consequences of continued violations.
  ✅ Conduct a formal sit-down meeting with the employee and at least two managers present.
  ✅ Employee must sign the Corrective Action Form to acknowledge receipt (signature does not indicate agreement, only acknowledgment).

🚨 Failure to sign does not invalidate the warning—the manager will document refusal.

📌 Step 3: Second Written Warning (Corrective Action Form)

✅ If the issue persists, issue a second formal written warning.
✅ Conduct a formal sit-down meeting with the employee and two managers present.
✅ Reiterate:

• The need for immediate improvement.
• The consequences of further violations.
  ✅ Employee must sign the second written warning.

🚨 At this stage, failure to improve may result in final disciplinary action.

📌 Step 4: Third Written Warning & Potential Termination

✅ If the employee fails to correct the issue after two prior written warnings, issue a third written warning.
✅ Conduct a final meeting with the employee, Store Manager, and Operations Manager.
✅ Store Managers must obtain Operations Manager approval before proceeding with termination.
✅ Complete required termination documentation:

• Final Corrective Action Form.
• State-Specific Employee Separation Form (Available on the Department of Labor website).

📌 Additional Steps Upon Termination
✅ Recover company property, including:

• Store keys, access badges, or security credentials.
• Alarm codes or system access credentials.
  ✅ Notify Accounting/HR to:
• Remove employee from payroll.
• Cancel benefits (if applicable).
• Process final paycheck per labor law requirements.

🚨 Termination is a last resort and must follow all documented steps to ensure compliance.

5. Compliance & Accountability

📌 Employee Responsibilities
✅ Employees must:

• Understand performance expectations and behavioral policies.
• Actively engage in coaching discussions to improve performance.
• Sign and acknowledge corrective action notices when applicable.

📌 Manager Responsibilities
✅ Store Managers must:

• Conduct coaching discussions before issuing formal warnings.
• Document all verbal and written corrective actions properly.
• Ensure disciplinary action is applied fairly and consistently.
• Obtain Operations Manager approval before proceeding with termination.

📌 Consequences of Non-Compliance
❌ Failure to document performance issues may result in an inability to enforce corrective action or termination.
❌ Unfair or inconsistent application of discipline could expose the company to legal risk.
❌ Skipping steps in the corrective process could lead to employee disputes or reinstatement claims.

🚨 All disciplinary actions must be conducted with fairness, consistency, and compliance with employment laws.

6. Summary: Key Takeaways

✔ HR maintains employee files documenting performance, warnings, and evaluations.
✔ Store Managers are responsible for addressing performance issues through structured coaching.
✔ Termination requires three documented written warnings (following a verbal discussion).
✔ The Corrective Action Form must be used for all written warnings and termination documentation.
✔ Store Managers must consult with the Operations Manager before terminating any employee.
✔ HR ensures compliance with labor laws and maintains accurate records.

✔ All conversation must have a witness present and all original paper work must be turned over to Operations Manager.

By following this Employee File Management & Corrective Action Policy, Westside Market ensures fair, consistent, and legally compliant disciplinary procedures while supporting employee improvement and accountability.

Performance Improvement Plan

Disciplinary Form