By Greg Hulsey, FACHE, CMPE

As a medical practice administrator, managing employee performance and behavior is a critical part of maintaining a productive and legally compliant workplace. One tool for addressing employee issues is a progressive discipline policy. This approach not only helps improve employee engagement but also provides legal protection for your practice when termination becomes necessary.

Why Use Progressive Discipline?

Progressive discipline is a stepwise process designed to address employee performance or behavioral issues constructively. It allows employees the opportunity to correct their actions while ensuring that disciplinary measures are fair, consistent, and well-documented. Here’s why it’s indispensable for medical practices:

1. Enhancing Employee Engagement
   • Opportunities for Improvement: Employees are given clear feedback and the chance to rectify their mistakes, fostering accountability and growth.
   • Consistency and Fairness: By applying the same policies to all employees, progressive discipline reduces perceptions of favoritism and promotes trust.
   • Improved Morale: Employees feel secure knowing that mistakes will be addressed constructively rather than punitively.
2. Legal Protection
   • Defensible Terminations: A documented progressive discipline process demonstrates fairness and consistency, reducing the risk of wrongful termination claims.
   • Unemployment Claims: Proper documentation of warnings and efforts to address issues can protect the practice from unfavorable unemployment rulings.
   • Compliance with Employment Laws: Adhering to a structured process ensures compliance with federal and state labor laws, safeguarding your practice from legal disputes.

Steps in a Progressive Discipline Policy

Implementing a progressive discipline policy involves clearly defined steps that escalate in severity if the issue persists. Below is an outline of the common stages:

1. Counseling and Verbal Warning

• Purpose: To address the issue informally and clarify expectations.
• Process: The supervisor discusses the problem with the employee, explains its impact, and outlines corrective actions. This conversation should be documented for future reference.

2. Written Warning

• Purpose: To formally document ongoing issues if verbal warnings are not effective.
• Process: A written notice details the specific problems, previous discussions, expectations for improvement, and potential consequences if the behavior continues. This document becomes part of the employee’s personnel file.

3. Suspension or Probation

• Purpose: To emphasize the seriousness of the issue by temporarily removing the employee from their duties or placing them under close supervision.
• Process: The terms of suspension or probation should be clearly communicated in writing, specifying what improvements are needed during this period.

4. Termination

• Purpose: To end employment when all prior steps have failed to resolve the issue or if the offense is severe enough to bypass earlier steps.
• Process: Review all documentation to ensure compliance with policies and consult legal counsel or HR professionals before proceeding with termination.

Best Practices In Progressive Discipline

1. Document Everything: Maintain detailed records of all disciplinary actions, including verbal warnings, to protect against potential legal challenges.
2. Tailor Policies to Your Practice: Ensure your progressive discipline policy aligns with federal and state labor laws and is outlined in your employee handbook.
3. Train Supervisors: Equip managers with training on how to implement progressive discipline consistently and effectively.
4. Consult HR or Legal Experts: Seek guidance when dealing with complex cases to avoid missteps that could lead to lawsuits.

Conclusion

A well-implemented progressive discipline policy is more than just a disciplinary tool; it’s an investment in your practice’s culture, productivity, and legal security. By fostering accountability and providing employees with opportunities for improvement, you can create a more engaged workforce while protecting your practice from potential legal risks. For medical practices navigating complex HR challenges, progressive discipline is not just important—it’s essential.

Greg Hulsey, FACHE, CMPE is the principal with Hulsey Medical Management.