{"id":1456,"date":"2018-03-05T10:00:15","date_gmt":"2018-03-05T10:00:15","guid":{"rendered":"https:\/\/www.hrdirectapps.com\/blog\/?p=1456"},"modified":"2022-04-13T14:00:54","modified_gmt":"2022-04-13T14:00:54","slug":"your-guide-to-employee-discipline-and-termination","status":"publish","type":"post","link":"https:\/\/www.hrdirectapps.com\/blog\/your-guide-to-employee-discipline-and-termination\/","title":{"rendered":"Correct and Protect: Your Guide to Employee Discipline and Termination"},"content":{"rendered":"Managers often find disciplining employees and making termination decisions challenging. With every decision you make, there\u2019s risk of a lawsuit. Even the most experienced supervisors encounter stress and anxiety during the process.\r\n\r\nHaving a clear idea of proper disciplinary and termination procedures can prevent you from making costly mistakes. The more you know about how to handle these tricky situations, the more confidence you\u2019ll have knowing you are within the limits of the law.\r\n<h2>Contractual vs. At-Will<\/h2>\r\nEmployment relationships generally fall into two categories: <a href=\"https:\/\/www.hrdirectapps.com\/blog\/at-will-vs-contract-employees-discipline-termination-rights\/\" target=\"_blank\" rel=\"noopener noreferrer\"> contractual and \u201cat-will\u201d<\/a>. If a contract exists, discipline and termination must be handled in accordance with the terms of the contract. Contracts can take many forms, from collective-bargaining agreements to executive-compensation agreements.\r\n\r\nAn employment contract ordinarily dictates your ability to fire as well as the employee\u2019s ability to resign. It may also define the circumstances under which you may terminate the employee <em>(e.g., \u201conly for gross misconduct\u201d)<\/em> and how much advanced notice is required.\r\n\r\nBut much more common is at-will status. Unless your employees have contracts, their status is most likely considered to be at-will employment. Simply put, the at-will doctrine means that the employment relationship may be terminated at any time \u2014 by either the employer or the employee \u2014 for any reason or no reason at all (except illegal ones).\r\n<div class=\"greenBorderTipBox\">\r\n<div class=\"gbTitle\">Survey Says:<\/div>\r\nA survey of <a href=\"http:\/\/stars.library.ucf.edu\/etd\/575\/\" target=\"_blank\" rel=\"noopener noreferrer\"> Progressive and Affirmative Employee Discipline Systems in Florida\u2019s Hospitals <\/a> asked HR Directors and CEOs about their views on discipline.\r\n<div class=\"gbTitle\">Key findings include:<\/div>\r\n<ul>\r\n \t<li>More than 84% say counseling is effective in improving employee compliance.<\/li>\r\n \t<li>Over 35% of the respondents think that non-compliant employees are likely to remain problematic and eventually wind up unemployed.<\/li>\r\n \t<li>On the other hand, a significant percentage \u2014 36.2% \u2014 believe the opposite and think that employee behavior is correctable.<\/li>\r\n \t<li>Over 84% of those surveyed agreed that open communication between supervisor and employee is important in improving behavior and performance.<\/li>\r\n \t<li>More than 65% of respondents believe that existing employee disciplinary systems are effective in improving performance.<\/li>\r\n<\/ul>\r\n<\/div>\r\n<h2>Laws Affecting the Employment At-Will Relationship<\/h2>\r\nAt-will employment sounds clean and neat, but in practice it\u2019s not. That\u2019s because there are exceptions to at-will employment, and these exceptions often give rise to legal claims.\r\n\r\nWhat are the exceptions? When is it against the law to fire an at-will employee? When you break one of these federal laws affecting the at-will relationship:\r\n<ul>\r\n \t<li><a href=\"https:\/\/www.eeoc.gov\/laws\/statutes\/titlevii.cfm\" target=\"_blank\" rel=\"noopener noreferrer\"> Title VII of the Civil Rights Act of 1964<\/a>: Makes it illegal to discriminate or terminate employees on the basis of their race, color, religion, gender or national origin.<\/li>\r\n \t<li><a href=\"https:\/\/www.eeoc.gov\/laws\/statutes\/adea.cfm\" target=\"_blank\" rel=\"noopener noreferrer\"> The Age Discrimination in Employment Act (ADEA)<\/a>: Prohibits negative employment action due to a person\u2019s age for individuals 40 years or older.<\/li>\r\n \t<li><a href=\"https:\/\/webapps.dol.gov\/elaws\/elg\/osha.htm\" target=\"_blank\" rel=\"noopener noreferrer\"> The Occupational Safety and Health Act (OSHA)<\/a>: Protects employees from retaliation for reporting safety violations or participating in a related investigation.<\/li>\r\n \t<li><a href=\"https:\/\/www.dol.gov\/vets\/programs\/userra\/userra_fs.htm\" target=\"_blank\" rel=\"noopener noreferrer\">The Uniformed Services Employment and Reemployment Rights Act (USERRA)<\/a>: Protects workers form adverse employment decisions based on service in the military or armed forces.<\/li>\r\n \t<li><a href=\"https:\/\/www.ada.gov\/pubs\/adastatute08.htm\" target=\"_blank\" rel=\"noopener noreferrer\">The Americans with Disabilities Act (ADA)<\/a>: Prohibits employers with 15 or more employees from negative employment action on the basis of a disability.<\/li>\r\n \t<li><a href=\"https:\/\/www.dol.gov\/whd\/regs\/compliance\/hrg.htm\" target=\"_blank\" rel=\"noopener noreferrer\">The Fair Labor Standards Act (FLSA)<\/a>: Prohibits retaliation against employees who complain of legal violations of the FLSA.<\/li>\r\n \t<li><a href=\"https:\/\/www.nlrb.gov\/guidance\/key-reference-materials\/national-labor-relations-act\" target=\"_blank\" rel=\"noopener noreferrer\">The National Labor Relations Act (NLRA)<\/a>: Protects union and non-union employees from adverse employment decisions based on \u201cprotected\u201d and \u201cconcerted\u201d activity.<\/li>\r\n \t<li><a href=\"https:\/\/www.dol.gov\/general\/topic\/benefits-leave\/fmla#lawregs\" target=\"_blank\" rel=\"noopener no referrer\">The Family and Medical Leave Act (FMLA)<\/a>: For employers with 50 or more employees, this law prohibits retaliation against employees exercising their rights under this law.<\/li>\r\n<\/ul>\r\nThese are the major federal laws that can restrict an employer\u2019s ability to fire an at-will employee. But state laws can also come into play. So it\u2019s important to research those restrictions, as well. But bottom line is you can discipline or terminate an at-will employee for any reason \u2014 except an illegal one.\r\n<h2>Proper Documentation Can Save You<\/h2>\r\nIf you\u2019re taken to court for wrongful termination, the employee must prove that you based your decision on an illegal factor (e.g., age, race, gender, etc.) and not on a legitimate business reason such as poor performance or violation of a work policy.\r\n\r\nIn almost any lawsuit challenging an employment decision, the employer should prevail if records clearly establish a legitimate business reason for the action. For example, if an employee alleges he was terminated unlawfully due to age, but the <a href=\"https:\/\/www.hrdirectapps.com\/blog\/documenting-employee-discipline-7-costly-mistakes\/\" target=\"_blank\" rel=\"noopener noreferrer\">employer\u2019s documents<\/a> establish he was let go for repeated violations of company rules \u2014 and that others who committed similar violations were treated the same \u2014 the employer should have nothing to worry about.\r\n<div class=\"greenBorderTipBox\">\r\n<div class=\"gbTitle\">Examples of Legitimate Business Reasons for Termination:<\/div>\r\n<ul>\r\n \t<li><strong>Poor performance:<\/strong> The usually means an employee has consistently performed below expectations, in spite of you giving clear feedback that improvement was needed.<\/li>\r\n \t<li><strong>Work rule\/policy violation:<\/strong> This usually occurs when an employee\u2019s conduct is in violation of a company policy or the employee has acted in a manner that significantly jeopardized the company or fellow employees.<\/li>\r\n \t<li><strong>Layoff:<\/strong> This usually results from lack of available work or other financial\/budgetary concerns.<\/li>\r\n<\/ul>\r\n<\/div>\r\n<h2>Why It\u2019s Important to Record Performance Issues<\/h2>\r\nFirst, it\u2019s important because it helps employees improve. Employees need to know what they are doing right and wrong to be successful. That\u2019s why annual reviews are important \u2014 as are disciplinary measures. Here are more reasons you should document disciplinary issues:\r\n<ol>\r\n \t<li><strong>It\u2019s Necessary for Fair and Effective Management:<\/strong> Without documentation, a manager may be unable to determine how a particular problem was handled in the past, making it difficult to render decisions that are fair and consistent with past practice.<\/li>\r\n \t<li><strong>It Protects Your Business from Legal Liability:<\/strong> Thorough documentation will protect you and your company in cases challenging an employment decision. By documenting disciplinary issues, you can show that the employee acknowledged your concerns and prove that you addressed it.<\/li>\r\n \t<li><strong>It Reduces Unemployment Compensation Costs:<\/strong> In most states, employers will not be charged for a former employee\u2019s unemployment compensation benefits if the employer terminated him or her for \u201cgross misconduct\u201d or \u201cgood cause.\u201d In other words, the employer must show that the employee caused the employment relationship to end. In unemployment-compensation cases, documentation (or lack thereof) can have a big effect on the decision.<\/li>\r\n<\/ol>\r\n<h2>Document, Document, Document<\/h2>\r\nFailure to <a href=\"https:\/\/www.hrdirectapps.com\/blog\/how-to-properly-document-employee-discipline\/\" target=\"_blank\" rel=\"noopener noreferrer\">maintain proper documentation<\/a> is the single most common mistake managers make when handling discipline or termination. It\u2019s critical to understand that your company may have to explain a termination decision years after it occurs.\r\n\r\nManagers who fail to maintain proper documentation may hurt the employer\u2019s case in unemployment-compensation disputes, workers\u2019 compensation cases and other legal matters challenging employment decisions. In the case of employees terminated for poor job performance or misconduct, this means having to retain all job evaluations, disciplinary write-ups and notes about what was said in each counseling session leading to the termination decision.\r\n\r\n<strong>To maintain effective documentation, consider these tips:<\/strong>\r\n<ol>\r\n \t<li><strong>Include the Facts:<\/strong> Note the date, time and location of the problem. Where applicable, include the \u201cfive W\u2019s\u201c <em>(who, what, where, when and witnesses)<\/em>. Be as precise and thorough as possible.<\/li>\r\n \t<li><strong>Focus on the Behavior \u2014 Not the Person:<\/strong> When describing a problem, focus on the incident or the behavior. Stick to the facts only. Do not comment on personality traits and do not include your personal opinions about the employee.<\/li>\r\n \t<li><strong>Don\u2019t Exaggerate:<\/strong> Avoid words such as \u201calways\u201d and \u201cnever\u201d unless you can substantiate it. Exaggerating, even if done innocently, may cloud your credibility in court.<\/li>\r\n \t<li><strong>Correctly Handle Repeat Occurrences:<\/strong> As a general rule, a formal warning should include any past incidents and counseling \u2014 but only for related offenses. If you are documenting a recurring problem, indicate the problem has occurred in the past or just refer to the previous write-up.<\/li>\r\n \t<li><strong>Don\u2019t Contradict Previous Documentation:<\/strong> If an employee\u2019s annual review says he or she is meeting all goals, for instance, it would be difficult to reconcile a disciplinary report two weeks later stating the employee has failed to meet performance standards. It\u2019s important for documentation to conform with previous records, such as annual evaluations, letters from customers, written complaints or past warnings.<\/li>\r\n \t<li><strong>Identify the Rule or Policy Violated:<\/strong> If the employee has violated a rule or performance standard, specify what that is. Keep in mind that it\u2019s always easier to justify a disciplinary action if the rule or standard is in writing and communicated to employees before discipline is imposed.<\/li>\r\n \t<li><strong> Set Expectations for Improvement:<\/strong> If applicable, indicate exactly what you expect the employee to do to correct the problem. Give a specific directive so that the employee understands exactly what you expect to change.<\/li>\r\n \t<li><strong>Indicate Disciplinary Action Being Imposed:<\/strong> Detail the action you are taking now as a result of the employee\u2019s non-performance or rule violation (e.g., written warning, final warning, probation).<\/li>\r\n \t<li><strong>Include Consequences:<\/strong> A formal write-up should indicate what action you will take if the employee doesn\u2019t meet the stated objectives for improvement. Be sure to also state a deadline and next meeting date, if applicable.<\/li>\r\n \t<li><strong>Get the Signature:<\/strong> You should sign and date the document \u2014 and so should your employee. If an employee refuses to sign, ask another manager to witness and sign, noting the employee\u2019s refusal.<\/li>\r\n<\/ol>\r\n<div class=\"smartTip row\">\r\n<div class=\"col-xs-12 \"><img id=\"SmartTip\" class=\"img-responsive\" src=\"https:\/\/www.hrdirectapps.com\/blog\/wp-content\/themes\/hrdirectapps\/images\/smart-tip.jpg\" \/><\/div>\r\n<div class=\"col-xs-12 smartTipContent\">When confronting your employee, try to maintain a positive attitude and give constructive criticism. Always treat the worker with dignity and respect. The first goal of discipline is not to punish; it\u2019s to help someone learn how to be a more effective and productive employee.<\/div>\r\n<\/div>\r\n<h2>The Last Resort<\/h2>\r\nIf there continue to be issues after counseling, you may have no other choice than to terminate the employee. Here are some tips on handling the termination meeting.\r\n<ul>\r\n \t<li>Be honest and clear about the reason for discharge.<\/li>\r\n \t<li>Have past performance documentation available in case you need it.<\/li>\r\n \t<li>Keep the meeting as brief as possible.<\/li>\r\n \t<li>Be courteous, confident and firm.<\/li>\r\n \t<li>Remember to bring a witness.<\/li>\r\n \t<li>Collect all company property.<\/li>\r\n \t<li>Offer to send the employee his or her personal belongings.<\/li>\r\n<\/ul>\r\n<h2>Make It Easier on Yourself<\/h2>\r\nAddressing employee misconduct can be uncomfortable, but with the right tools and action plan, it\u2019s possible to turn the situation around. Take control of employee discipline with the <a href=\"https:\/\/www.hrdirectapps.com\/progressive-discipline\/\" target=\"_blank\" rel=\"noopener noreferrer\">Progressive Discipline Smart App<\/a>. This affordable solution will serve as your guide to building a consistent documentation process that will help your employees improve \u2014 and protect the business you\u2019ve worked hard to build.\r\n<div class=\"row ebook-banner\">\r\n<div class=\"col-md-5 col-md-offset-1 img-container\"><img src=\"\/img\/who-has-time-to-manage-hr-ebook.png\" alt=\"Who Has Time to Manage HR E-Book\" \/><\/div>\r\n<div class=\"col-md-6 content\">\r\n<div class=\"lima-green\">Free E-Book<\/div>\r\n<div class=\"science-blue\">Who Has Time to <span class=\"no-break\">Manage HR?<\/span> <span class=\"no-break\"><em>You Do!<\/em><\/span><\/div>\r\n<div class=\"bismark\">Here&#8217;s How to Handle It <span class=\"no-break\">Like A Pro<\/span><\/div>\r\n<a class=\"btn cta-btn\" href=\"https:\/\/www.hrdirectapps.com\/resources\/who-has-time-to-manage-hr\/?itm_source_s=blog&amp;itm_medium_s=banner\" target=\"_blank\" rel=\"noopener\">Learn How<\/a>\r\n\r\n<\/div>\r\n<\/div>","protected":false},"excerpt":{"rendered":"Managers often find disciplining employees and making termination decisions challenging. With every decision you make, there\u2019s risk of a lawsuit. Even the most experienced supervisors encounter stress and anxiety during the process. Having a clear idea of proper disciplinary and termination procedures can prevent you from making costly mistakes. The more you know about how&#8230; <a href=\"https:\/\/www.hrdirectapps.com\/blog\/your-guide-to-employee-discipline-and-termination\/\" class=\"readMore\">read&nbsp;more<\/a>","protected":false},"author":13,"featured_media":1511,"comment_status":"closed","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[2],"tags":[34,36,33,9],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v18.0 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Your Guide to Employee Discipline and Termination<\/title>\n<meta name=\"description\" content=\"Meta Description Having a clear idea of proper employee disciplinary and termination procedures can prevent you from making costly mistakes. 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