The Ins and Outs of Progressive Discipline Procedures

Now that we have addressed why progressive discipline is necessary, let’s discuss how to implement it in your practice. Paul Falcone’s book, 101 Write Ups for Documenting Employee Performance Problems, is a great resource for this, providing detailed examples and the logic behind them for many situations.

In a nutshell progressive discipline procedures should generally include a few things:

Be progressive. 

I know this seems obvious, but you need to have clear steps and consequences that gradually become more severe as you progress through the process. Most procedures begin with a verbal warning, followed by a written warning if the employee has not significantly improved their performance. If the employee continues down that path, a performance improvement plan may be assessed — followed by termination if the plan doesn’t show any progress. You should review your state’s laws and consult with a labor attorney before implementing any changes. Your insurance company may provide a certain amount of legal counsel as part of your annual fees; however, you should check with your broker to determine if you have this benefit.

Document everything. 

Verbal warnings or discussions are good to have with the employee, but they will not hold up in court. If you happen to have a specific issue that needs to be addressed, please document it in an email and summarize the conversation, including the expectations going forward. This documentation should be printed out and placed in the employee’s folder. If multiple minor issues have accumulated, be sure to document them as accurately as possible, including dates and instances. In addition to the legal protection, this reinforces the employee’s responsibilities and ensures that there is no miscommunication.

If termination is a potential consequence, inform them. 

This would be further down the line, but be sure to include the phrase consequences up to and including termination. I once lost an unemployment case involving an employee who visited inappropriate websites on a company computer in a retail store because we did not specifically inform the employee that such actions could result in termination, despite having a policy stating that such actions were unacceptable.

Give a timeline and metrics for improvement. 

When you do this, the employee is clear on what is expected of them, and they will either improve or start looking for a job. If this happens, you should follow the voluntary termination best practices outlined in an earlier article.

When you reach the written warning or performance improvement contract phase, provide them with a space to refute the claims.

It is also essential that you make sure they sign off on the document after they receive it. If you go to court, this document shows that this was not a one-sided conversation and serves as proof that they were involved in those conversations. It also gives you one last chance to air misunderstandings and save the employment relationship. Remember, it is almost always in everyone’s best interest to encourage the employee to correct their performance and do a great job. It is your job as the owner to do what you can, within reason, to help that.

Ideally, none of this will ever need to be used, and you will make great hires who will help you build a thriving practice; however, by taking a few simple steps, you can take proactive strides to protect your practice.