Sample Policy: Progressive Discipline — Business Management Daily: Free Reports on Human Resources, Employment Law, Office Management, Office Communication, Office Technology and Small Business Tax Business Management Daily
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The following sample policy was excerpted from The Book of Company Policies, published by HR Specialist, © 2007. Edit for your organization's purposes.


The most reliable way to protect yourself from charges of wrongful dismissal is to establish a policy of progressive discipline. By having such a structure in place and making your supervisors abide by it, you can ensure that any employee fired because of poor performance was treated fairly and in accordance with your company’s policies. Here are the main steps in a solid progressive-discipline policy:

  1. Oral reprimand. As soon as a supervisor perceives a worker’s performance problem, she should issue an oral reprimand. The supervisor should ask the worker if there are any long-term problems or skill deficiencies that need to be corrected. Have the manager prepare a memo to file about the conversation, in case further action is necessary.
  2. Written warning. If the problem persists (or more problems emerge), the supervisor should provide the employee with a written warning delineating the objectionable behavior, along with the consequences. Explain the standards that will be used to judge the employee. Specify the time frame within which performance must improve, and state that continued failure will result in termination. A copy of the memo should be placed in the employee’s personnel file. Have the worker sign a copy to acknowledge receipt. Otherwise, he could claim that he never received a copy.
  3. Final written warning. If performance does not improve, deliver a final written warning, perhaps accompanied by probationary status for the employee. The final warning should contain copies of the previous warnings, indicate specific areas in which the employee must improve and specify the time period within which the worker’s behavior or performance must be corrected.
  4. Termination review. If the problem persists, the supervisor should notify the human resources department or other company authority. In general, supervisors should not be given firing authority. Someone else in the company should evaluate the full range of discharge-related considerations. Some companies suspend the employee while his performance is investigated by a human resources manager or other company official. Witnesses are interviewed, and documents are analyzed. The employee is confronted with the facts revealed by the investigation and is given the opportunity to present his side of the story. Regardless of whether there is a formal investigation, before taking any final action, your company should consider these questions:
    • Does the employee claim that a contractual relationship exists, and if so, does that assertion have merit?
    • Has the employee recently filed a workers’ compensation claim, complained to a government agency about alleged workplace violations or taken any other actions that might make a discharge look like unlawful retaliation by the employer?
    • Is there an issue relating to good faith and fair dealing, especially if the termination involves a long-term employee?
    Even if the answer to any of these questions is "Yes," you can still survive a challenge to a firing; however, you must be able to prove that the circumstances of the case justify your actions.


  5. Termination. Assuming that you decide to support the recommendation of the worker’s supervisor, send a termination letter to the worker and clearly state the reasons for dismissal. Admittedly, this is a time-consuming process. When a worker is not performing his job satisfactorily, you don’t want to have him on the staff any longer than necessary; however, if you dismiss a worker and he can prove that he was treated unfairly, you could be forced to pay a large settlement or reinstate him.

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