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Three Phases of Discipline and Termination: Expert Advice

Learn how to prepare, document, and deliver disciplinary actions effectively. Discover key protective measures, investigation techniques, and delivery tips for employers. Expert guidance on employee termination and security measures.

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Three Phases of Discipline and Termination: Expert Advice

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  1. DISCIPLINE AND DISCHARGE Virginia Employment Commission 2018 Employer Conference Wytheville, Virginia August 23, 2018 John M. Bredehoft jmbredehoft@kaufcan.com Kaufman & Canoles, P.C.

  2. Three Phases of Discipline • Preparation • Documentation • Delivery

  3. Phase One: Preparation • Purpose of discipline • Can this employee be salvaged? • Economic obligation • Moral obligation • What additional information is needed?

  4. Protective Measures • Interim security to safeguard coworkers • Interim computer monitoring issues to safeguard intellectual property • Monitor emails • Monitor downloads • Protect yourself • More on this later

  5. Phase Two: Documentation • All complaints or infractions • Investigations • Reasons for decisions • Decision makers and dates • Review file objectively

  6. Complaints • In writing • Details forgotten when oral only • To the extent possible, documentation should be in a form independent of the availability of witnesses • Complaint documentation should speak for itself • Print names legibly, use titles, identify decision makers

  7. Starting an Investigation • Understand the documentary record • Decide the order of witnesses to interview • Should accused come first or last? • Prepare questions before the interview – Do not tie yourself to the script • Remind interviewee you will be objective • Remind interviewee you will not retaliate

  8. Conducting an Investigation • APPEAR impartial and BE impartial • Gather information • Do not be confrontational or accusatory • Assure the accused employee her or his side will be heard, decision will be careful and prompt

  9. Promises Made, Promises Broken • Don’t make promises • We will keep this confidential • I’m sure it was just a misunderstanding • Please don’t worry about being fired • We should wrap this up in a week • Promises are unenforceable BUT • Create misunderstanding, anger, animosity, and litigation

  10. Psychology and Self-Preservation • Don’t humiliate anyone • Private interviews are best (see caveat below) • Don’t pit employee against employee • Don’t encourage employees to “work it out” • NO solo interviews • Second person does not participate • Takes notes, observes, witnesses

  11. Conclude the Investigation • Document the reason for any decision • Don’t fudge • Don’t lie • Recognize multiple reasons if they exist • Refer to specific facts for conclusions

  12. Be Succinct and Clear • Document the decision itself • Document stating “Dan was fired July 20” is not ambiguous • For lesser discipline, state that employee has received copy of personnel action • Allow the employee to provide one written response ONLY • End it there!

  13. Phase Three: Delivery • What – Termination or lesser? • Who delivers? • Where? • When?

  14. Security • Should security escort the discharged employee from the premises? • When is this a good idea? • When is this a bad idea? • Policy implications

  15. Protect Yourself • If you’re paranoid, good! • HR pros can be personally liable • FLSA • FMLA • State tort actions, especially DEFAMATION

  16. Avoid Lawsuits (1) • Know the law • Follow the law, not necessarily your supervisor’s orders • Policies up to date, and follow them • Due diligence • Document ALL actions • “If it’s not in the file, …”

  17. Avoid Lawsuits (2) • Communicate with employees • Dignity and respect • Have a witness • Respond promptly and properly to authorities • Consult your employment lawyer when needed

  18. Securing Your Company • Security concerns: keys, keycards, passwords, remote access, computer access • Physical security: security guard should not let in the terminated employee later that night!

  19. Details, Details • Revoke purchasing authority • COBRA, 401(k) • Other benefits • Legal notices

  20. Scan Employee’s Hard Drive and Computer Systems for Violations of Company Policy

  21. Don’t Go it Alone!

  22. Don’t Go It Alone! • One person to observe and take notes • Not a participant • Same gender as disciplined employee

  23. Be Consistent with Past Feedback

  24. Be Consistent • Over Time • Between Employees • With Policy Handbooks

  25. Fire Early in the Week, Last Thing in the Day

  26. Be Brief and to the Point

  27. Don’t Debate

  28. Ask the Employee to Leave Immediately

  29. Retain Control • Of yourself • Of the termination meeting

  30. Ask for a Release with a Severance if Appropriate

  31. Avoid Saying These Things “How’s the family?” “I’m sure you’re surprised.” “I know how you feel.” “Let me know how I can help.” “Take all the time you need.” “This isn’t personal, it’s just business.” “You’re just a bad fit here.” :You have a bad attitude.”

  32. DISCIPLINE AND DISCHARGE Virginia Employment Commission 2018 Employer Conference Wytheville, Virginia August 23, 2018 John M. Bredehoft jmbredehoft@kaufcan.com Kaufman & Canoles, P.C.

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