SlideShare a Scribd company logo
1 of 3
Download to read offline
Checklist – Best Practices for Disciplining Employees
Updated on: 01/15/2015
Checklist Provided for Use Lexis Practice Advisor by: Barbara E. Hoey, Kelley Drye & Warren LLP
Poor performance, inappropriate conduct, and other violations of company policy and law must inevitably trigger
some form of formal employee discipline such as counselling, verbal and/or written warnings, PIPs (performance
improvement plans), suspensions, and/or terminations. Because employee discipline exposes an organization to
employment claims, a cautious approach and precise documentation are vital to help defend against any claims that
arise. This checklist will help you navigate the pitfalls inherent in employee discipline.
A. Elements of Discipline. When you counsel employers regarding disciplinary issues, you should aim to
ensure that the proposed discipline meets the following standards:
(1) Not Unexpected. The discipline should stem from clearly communicated standards of conduct and
consequences;
(2) Commensurate. The severity of the discipline should accord with the seriousness of the employee’s
infraction and be effective to remedy it;
(3) Fair. In most cases, fairness includes giving the employee a reasonable opportunity to correct the behavior;
(4) Consistent. The discipline should be in line how the company has handled similar circumstances;
(5) Non-Discriminatory. Evaluate this both in terms of protected groups as a whole and the specific
individual(s) at issue; and
(6) Not Infringing on Protected Rights. For example, the discipline should not interfere with the employee’s
legal right to take a protected leave of absence or to raise a protected complaint.
B. Steps to Evaluate the Discipline. You should take the following steps when asked to assess a proposed
disciplinary action:
(1) Review Applicable Company Policies: These include the employer’s discipline policy, standards of
conduct and performance, and other policies that might relate directly or indirectly to the employee’s conduct and
discipline. For example, if the employer seeks to discipline the employee for attendance issues, you should also
review relevant policies such as the company’s attendance, leave of absence, and no show/no call policies. Note that
discipline based on attendance may implicate the FMLA and ADA, as well as similar state and local law.
(2) Consider Documents. Consider the following to determine whether they support or undermine the
impending discipline:
a) Employee’s files;
b) Prior warnings – and, if none exist, determine why;
c) Performance documents, handbook receipts, and training confirmations;
d) Other documents that evidence past conduct, performance, training, and receipt of notices and policies such
as:
i. Awards/commendations;
ii. Raises;
iii. Promotions; and
iv. Acknowledgements of receipt of separately distributed policies (e.g., sexual harassment policy);
(3) Timing of Discipline. Determine the temporal proximity of the discipline to protected activities (e.g.,
taking a leave of absence, filing a complaint or workers’ compensation claim, participating in an investigation);
a) Determine whether a credible basis exists for any discipline imposed close to the employee’s protected
activity. Resolve the question: Why impose the discipline now?; and
b) Determine whether evidence supports the discipline.
(4) Consider Other Relevant Information:
a) Additional details of the infraction;
b) The employee’s relationship with his or her supervisor, manager, and/or other employees;
c) Relevant issues within the department and/or business unit;
d) Whether there are witnesses;
e) Whether the employee received relevant training and/or counseling;
f) Whether others have information about the employee and the specific infraction;
g) Who participated in the decision to discipline the employee, and whether the decision-makers are biased;
h) Whether emails or other documents relate to the employee’s infraction and which may not be included in
the employee’s personnel file. Note that supervisors, managers, and the department sometimes maintain separate
employee files;
i) Whether a contract covers the employee; and
j) The significance of gaps or inconsistencies in the information you received, including those contained in
discipline documents you have reviewed.
(5) Consider Similarly Situated Employees. To determine whether discipline is consistent, particularly when
employees belong to a protected group or engaged in protected activity, you should compare evaluations and/or
disciplinary documentation for similarly situated employees with those of the employee. Generally, “similarly
situated employees” include those with similar job content (e.g., tasks, skill, effort, responsibilities, working
conditions, etc.) and minimum objective qualifications (e.g., specialized licenses or certifications).
(6) Determine Need for Investigation. Depending on what questions are unanswered or unclear, you may
conclude that the employer should conduct an investigation into the underlying infraction prior to implementing
discipline.
C. Documenting the Discipline.
(1) When to Document:
a) When patterns of behavior develop;
b) When the employee’s conduct is serious; and
c) Promptly, but not when angry, frustrated, or agitated.
(2) What to Document:
a) Verbal and written warnings;
b) PIPs;
c) Suspensions;
d) Demotions;
e) Other forms of discipline; and
f) Terminations.
(3) Documentation Content. Disciplinary documentation should include at least the following:
a) The employee’s and manager’s names and titles, and their department;
b) Dates including the date the disciplinary document was prepared, the warning given; and the infraction
occurred;
c) A description of the behavior or performance including the policy or other company standard that the
employee violated;
d) The substance of what the employee said when counselled, including specific statements the employee
makes if he or she acknowledges the justification for the discipline (e.g., “I know I shouldn’t have”) or makes
threatening or other improper remarks to the manager;
e) What the employee has to do to correct the behavior and how much time he or she has to do so (if
applicable);
f) Future consequences, which should be clearly stated – particularly when the next step is termination – and
should correspond to the company’s discipline policy and to consequences for other employees;
g) Identification of witness present when warning is given, including his or her name, title, and department;
and
h) Signatures and notations, including:
i. The manager’s signature;
ii. Signature lines for the employee and witness (typically, HR);
iii. Notation above the employee’s signature line: “Your signature acknowledges that you received a
[warning/suspension/PIP, etc.] and understand what was communicated and what is expected. Your signature does
not mean you agree with the [warning/suspension/PIP];” and
iv. If applicable, a notation that the employee declined to sign as well as an acknowledgement of such by the
witness.
(4) How to Document. Discipline documents must:
a) Be complete, accurate, honest, and detailed. Avoid exaggeration, opinion, ambiguous or vague wording,
and personal agendas;
b) Be consistent with the organization’s policies, practices, and standards of conduct;
c) Align with the job description (and other performance standards) if the discipline is performance-based;
d) Not reference protected characteristics; and
e) Not suggest any interfere with employee rights such (e.g., right to leave, to discuss terms of employment
(e.g., wages, etc.), to file a claim, or participate in an investigation).
End of Document

More Related Content

What's hot

Separation & retention
Separation & retentionSeparation & retention
Separation & retentionChirag Tewari
 
Change in Personnel Status
Change in Personnel StatusChange in Personnel Status
Change in Personnel Statusdfag15
 
Disciplinary procedure
Disciplinary procedureDisciplinary procedure
Disciplinary procedureTANEY THAMBY
 
FLSA "Learned or Creative Professional Exemption From Overtime
FLSA "Learned or Creative Professional Exemption From OvertimeFLSA "Learned or Creative Professional Exemption From Overtime
FLSA "Learned or Creative Professional Exemption From OvertimeJames Baker, SPHR Retired, MAS
 
Employment Termination A Guide For Hr by the Cultural Human Resource Council
Employment Termination A Guide For Hr by the Cultural Human Resource CouncilEmployment Termination A Guide For Hr by the Cultural Human Resource Council
Employment Termination A Guide For Hr by the Cultural Human Resource CouncilLakesia Wright
 

What's hot (6)

Separation & retention
Separation & retentionSeparation & retention
Separation & retention
 
Disciplinary action
Disciplinary actionDisciplinary action
Disciplinary action
 
Change in Personnel Status
Change in Personnel StatusChange in Personnel Status
Change in Personnel Status
 
Disciplinary procedure
Disciplinary procedureDisciplinary procedure
Disciplinary procedure
 
FLSA "Learned or Creative Professional Exemption From Overtime
FLSA "Learned or Creative Professional Exemption From OvertimeFLSA "Learned or Creative Professional Exemption From Overtime
FLSA "Learned or Creative Professional Exemption From Overtime
 
Employment Termination A Guide For Hr by the Cultural Human Resource Council
Employment Termination A Guide For Hr by the Cultural Human Resource CouncilEmployment Termination A Guide For Hr by the Cultural Human Resource Council
Employment Termination A Guide For Hr by the Cultural Human Resource Council
 

Viewers also liked

September 2015 - Market Snapshot - General Overvew
September 2015 - Market Snapshot - General OvervewSeptember 2015 - Market Snapshot - General Overvew
September 2015 - Market Snapshot - General OvervewMLSListings Inc
 
Projecto mobilidade sustentavel
Projecto mobilidade sustentavelProjecto mobilidade sustentavel
Projecto mobilidade sustentavelgirasolcontente
 
SHEforSHIELD: Insure Women to Better Protect All
SHEforSHIELD: Insure Women to Better Protect AllSHEforSHIELD: Insure Women to Better Protect All
SHEforSHIELD: Insure Women to Better Protect AllAccenture Insurance
 
Psicología del deporte
Psicología del deportePsicología del deporte
Psicología del deporteAnalia Claudia
 
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜Seungmin Shin
 
01.Презентацiя Mobile Guide UA
01.Презентацiя Mobile Guide UA01.Презентацiя Mobile Guide UA
01.Презентацiя Mobile Guide UAMobile Guide
 
Bolsos(accesorios)
Bolsos(accesorios)Bolsos(accesorios)
Bolsos(accesorios)Sole Soria
 
Epoch-Suite :: Executar Ajustamento 2D
Epoch-Suite :: Executar Ajustamento 2DEpoch-Suite :: Executar Ajustamento 2D
Epoch-Suite :: Executar Ajustamento 2DEngSolvers
 
Fork and Knife Art
Fork and Knife ArtFork and Knife Art
Fork and Knife Artppmateus
 
Video on the Web - the longer version
Video on the Web - the longer versionVideo on the Web - the longer version
Video on the Web - the longer versionDavid King
 

Viewers also liked (20)

Politraumatismo
Politraumatismo Politraumatismo
Politraumatismo
 
Aupaysdes Gabarres
Aupaysdes GabarresAupaysdes Gabarres
Aupaysdes Gabarres
 
September 2015 - Market Snapshot - General Overvew
September 2015 - Market Snapshot - General OvervewSeptember 2015 - Market Snapshot - General Overvew
September 2015 - Market Snapshot - General Overvew
 
suhail
suhailsuhail
suhail
 
Projecto mobilidade sustentavel
Projecto mobilidade sustentavelProjecto mobilidade sustentavel
Projecto mobilidade sustentavel
 
SHEforSHIELD: Insure Women to Better Protect All
SHEforSHIELD: Insure Women to Better Protect AllSHEforSHIELD: Insure Women to Better Protect All
SHEforSHIELD: Insure Women to Better Protect All
 
Psicología del deporte
Psicología del deportePsicología del deporte
Psicología del deporte
 
Al-Ándalus 2
Al-Ándalus 2Al-Ándalus 2
Al-Ándalus 2
 
Animales
AnimalesAnimales
Animales
 
Conceptos y elementos de la circunferencia
Conceptos y  elementos de la circunferenciaConceptos y  elementos de la circunferencia
Conceptos y elementos de la circunferencia
 
Novela contemporánea
Novela contemporánea Novela contemporánea
Novela contemporánea
 
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜
[KGC 2010] 게임과 보안, 암호 알고리즘과 프로토콜
 
01.Презентацiя Mobile Guide UA
01.Презентацiя Mobile Guide UA01.Презентацiя Mobile Guide UA
01.Презентацiя Mobile Guide UA
 
Bolsos(accesorios)
Bolsos(accesorios)Bolsos(accesorios)
Bolsos(accesorios)
 
Los Resistentes 5
Los Resistentes 5Los Resistentes 5
Los Resistentes 5
 
Fotos Desde El Espacio Musica
Fotos Desde El  Espacio MusicaFotos Desde El  Espacio Musica
Fotos Desde El Espacio Musica
 
Epoch-Suite :: Executar Ajustamento 2D
Epoch-Suite :: Executar Ajustamento 2DEpoch-Suite :: Executar Ajustamento 2D
Epoch-Suite :: Executar Ajustamento 2D
 
4
44
4
 
Fork and Knife Art
Fork and Knife ArtFork and Knife Art
Fork and Knife Art
 
Video on the Web - the longer version
Video on the Web - the longer versionVideo on the Web - the longer version
Video on the Web - the longer version
 

Similar to Checklist best practices for disciplining employees

Employee progressive discipline
Employee progressive disciplineEmployee progressive discipline
Employee progressive disciplineSaxbee Consultants
 
Discipline training OpCom May 201010.ppt
Discipline training OpCom May 201010.pptDiscipline training OpCom May 201010.ppt
Discipline training OpCom May 201010.ppttimwood100
 
Code of conduct
Code of conductCode of conduct
Code of conductSKS
 
Week 7 Follow Policies...
Week 7 Follow Policies...Week 7 Follow Policies...
Week 7 Follow Policies...catherinejyoung
 
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09Barbara Richman, SPHR
 
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...Barbara Richman, SPHR
 
Managing Employment Practices Liability
Managing Employment Practices LiabilityManaging Employment Practices Liability
Managing Employment Practices Liabilitybethpatrick
 
Employee Welfare
Employee WelfareEmployee Welfare
Employee Welfaredamleaj
 
Documentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMDocumentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMAtlantic Training, LLC.
 
Documentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMDocumentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMAtlantic Training, LLC.
 
Employee discipline
Employee disciplineEmployee discipline
Employee disciplineGeeno George
 
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docx
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docxCopyright ©2001. All Rights Reserved.Copyright ©2001. .docx
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docxrobert345678
 
Employee evaluation (1)
Employee evaluation (1)Employee evaluation (1)
Employee evaluation (1)Kamal Hassan
 
09 ppt-documentation final
09 ppt-documentation final09 ppt-documentation final
09 ppt-documentation finalRohit Jain
 

Similar to Checklist best practices for disciplining employees (20)

Employee progressive discipline
Employee progressive disciplineEmployee progressive discipline
Employee progressive discipline
 
Code of conduct .
Code of conduct .Code of conduct .
Code of conduct .
 
Discipline training OpCom May 201010.ppt
Discipline training OpCom May 201010.pptDiscipline training OpCom May 201010.ppt
Discipline training OpCom May 201010.ppt
 
Code of Conduct
Code of ConductCode of Conduct
Code of Conduct
 
Code of conduct
Code of conductCode of conduct
Code of conduct
 
Week 7 Follow Policies...
Week 7 Follow Policies...Week 7 Follow Policies...
Week 7 Follow Policies...
 
Disciplining
DiscipliningDisciplining
Disciplining
 
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09
Memphis Biz Journal.Countering Risks Of Employment Related Actions.4.10.09
 
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...
Memphis Business Journal.Increasing The Effectiveness Of The Performance Appr...
 
Employee Handbook
Employee HandbookEmployee Handbook
Employee Handbook
 
Managing Employment Practices Liability
Managing Employment Practices LiabilityManaging Employment Practices Liability
Managing Employment Practices Liability
 
Employee Welfare
Employee WelfareEmployee Welfare
Employee Welfare
 
How to Write Good Policies
How to Write Good PoliciesHow to Write Good Policies
How to Write Good Policies
 
7 Elements of a Strong Work Ethic
7 Elements of a Strong Work Ethic7 Elements of a Strong Work Ethic
7 Elements of a Strong Work Ethic
 
Documentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMDocumentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRM
 
Documentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRMDocumentation Training for Supervisors by SHRM
Documentation Training for Supervisors by SHRM
 
Employee discipline
Employee disciplineEmployee discipline
Employee discipline
 
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docx
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docxCopyright ©2001. All Rights Reserved.Copyright ©2001. .docx
Copyright ©2001. All Rights Reserved.Copyright ©2001. .docx
 
Employee evaluation (1)
Employee evaluation (1)Employee evaluation (1)
Employee evaluation (1)
 
09 ppt-documentation final
09 ppt-documentation final09 ppt-documentation final
09 ppt-documentation final
 

More from LexisNexis

2022-California-Product-Listing.pdf
2022-California-Product-Listing.pdf2022-California-Product-Listing.pdf
2022-California-Product-Listing.pdfLexisNexis
 
2022-New-York-Catalog.pdf
2022-New-York-Catalog.pdf2022-New-York-Catalog.pdf
2022-New-York-Catalog.pdfLexisNexis
 
2022-Bankruptcy-Product-Listing.pdf
2022-Bankruptcy-Product-Listing.pdf2022-Bankruptcy-Product-Listing.pdf
2022-Bankruptcy-Product-Listing.pdfLexisNexis
 
2022-New-York-Product-Listing.pdf
2022-New-York-Product-Listing.pdf2022-New-York-Product-Listing.pdf
2022-New-York-Product-Listing.pdfLexisNexis
 
2021 Washington State catalog
2021 Washington State catalog2021 Washington State catalog
2021 Washington State catalogLexisNexis
 
2021 Southwest Product Listing
2021 Southwest Product Listing2021 Southwest Product Listing
2021 Southwest Product ListingLexisNexis
 
2021 Southeastern States Product Listing
2021 Southeastern States Product Listing2021 Southeastern States Product Listing
2021 Southeastern States Product ListingLexisNexis
 
2021 Ohio Product Listing
2021 Ohio Product Listing2021 Ohio Product Listing
2021 Ohio Product ListingLexisNexis
 
2021 Illinois Product Listing
2021 Illinois Product Listing2021 Illinois Product Listing
2021 Illinois Product ListingLexisNexis
 
2021 Florida Product Listing
2021 Florida Product Listing2021 Florida Product Listing
2021 Florida Product ListingLexisNexis
 
2021 Estate Planning Catalog
2021 Estate Planning Catalog2021 Estate Planning Catalog
2021 Estate Planning CatalogLexisNexis
 
2021 California Product Listing
2021 California Product Listing2021 California Product Listing
2021 California Product ListingLexisNexis
 
2021 Workers Compensation product listing
2021 Workers Compensation product listing2021 Workers Compensation product listing
2021 Workers Compensation product listingLexisNexis
 
2020 New England Product Listing
2020 New England Product Listing2020 New England Product Listing
2020 New England Product ListingLexisNexis
 
Voss on Delaware Contract Law
Voss on Delaware Contract LawVoss on Delaware Contract Law
Voss on Delaware Contract LawLexisNexis
 
Be Confident in Your Research with LexisNexis
Be Confident in Your Research with LexisNexisBe Confident in Your Research with LexisNexis
Be Confident in Your Research with LexisNexisLexisNexis
 
Legal Research Solutions for Correctional Facilities
Legal Research Solutions for Correctional FacilitiesLegal Research Solutions for Correctional Facilities
Legal Research Solutions for Correctional FacilitiesLexisNexis
 
Real Estate Product Listing
Real Estate Product ListingReal Estate Product Listing
Real Estate Product ListingLexisNexis
 
AHLA Catalog 2019
AHLA Catalog 2019AHLA Catalog 2019
AHLA Catalog 2019LexisNexis
 
CSC legal publications and compliance resources
CSC legal publications and compliance resourcesCSC legal publications and compliance resources
CSC legal publications and compliance resourcesLexisNexis
 

More from LexisNexis (20)

2022-California-Product-Listing.pdf
2022-California-Product-Listing.pdf2022-California-Product-Listing.pdf
2022-California-Product-Listing.pdf
 
2022-New-York-Catalog.pdf
2022-New-York-Catalog.pdf2022-New-York-Catalog.pdf
2022-New-York-Catalog.pdf
 
2022-Bankruptcy-Product-Listing.pdf
2022-Bankruptcy-Product-Listing.pdf2022-Bankruptcy-Product-Listing.pdf
2022-Bankruptcy-Product-Listing.pdf
 
2022-New-York-Product-Listing.pdf
2022-New-York-Product-Listing.pdf2022-New-York-Product-Listing.pdf
2022-New-York-Product-Listing.pdf
 
2021 Washington State catalog
2021 Washington State catalog2021 Washington State catalog
2021 Washington State catalog
 
2021 Southwest Product Listing
2021 Southwest Product Listing2021 Southwest Product Listing
2021 Southwest Product Listing
 
2021 Southeastern States Product Listing
2021 Southeastern States Product Listing2021 Southeastern States Product Listing
2021 Southeastern States Product Listing
 
2021 Ohio Product Listing
2021 Ohio Product Listing2021 Ohio Product Listing
2021 Ohio Product Listing
 
2021 Illinois Product Listing
2021 Illinois Product Listing2021 Illinois Product Listing
2021 Illinois Product Listing
 
2021 Florida Product Listing
2021 Florida Product Listing2021 Florida Product Listing
2021 Florida Product Listing
 
2021 Estate Planning Catalog
2021 Estate Planning Catalog2021 Estate Planning Catalog
2021 Estate Planning Catalog
 
2021 California Product Listing
2021 California Product Listing2021 California Product Listing
2021 California Product Listing
 
2021 Workers Compensation product listing
2021 Workers Compensation product listing2021 Workers Compensation product listing
2021 Workers Compensation product listing
 
2020 New England Product Listing
2020 New England Product Listing2020 New England Product Listing
2020 New England Product Listing
 
Voss on Delaware Contract Law
Voss on Delaware Contract LawVoss on Delaware Contract Law
Voss on Delaware Contract Law
 
Be Confident in Your Research with LexisNexis
Be Confident in Your Research with LexisNexisBe Confident in Your Research with LexisNexis
Be Confident in Your Research with LexisNexis
 
Legal Research Solutions for Correctional Facilities
Legal Research Solutions for Correctional FacilitiesLegal Research Solutions for Correctional Facilities
Legal Research Solutions for Correctional Facilities
 
Real Estate Product Listing
Real Estate Product ListingReal Estate Product Listing
Real Estate Product Listing
 
AHLA Catalog 2019
AHLA Catalog 2019AHLA Catalog 2019
AHLA Catalog 2019
 
CSC legal publications and compliance resources
CSC legal publications and compliance resourcesCSC legal publications and compliance resources
CSC legal publications and compliance resources
 

Recently uploaded

The Ultimate Guide to Drafting Your Separation Agreement with a Template
The Ultimate Guide to Drafting Your Separation Agreement with a TemplateThe Ultimate Guide to Drafting Your Separation Agreement with a Template
The Ultimate Guide to Drafting Your Separation Agreement with a TemplateBTL Law P.C.
 
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...Anadi Tewari
 
Classification of Contracts in Business Regulations
Classification of Contracts in Business RegulationsClassification of Contracts in Business Regulations
Classification of Contracts in Business RegulationsSyedaAyeshaTabassum1
 
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdf
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdfIslamabad High Court Judges wrote a letter to Supreme Judicial Council.pdf
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdfNo One
 
Patents and AI: Current Tools, Future Solutions
Patents and AI: Current Tools, Future SolutionsPatents and AI: Current Tools, Future Solutions
Patents and AI: Current Tools, Future SolutionsAurora Consulting
 
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...SHRADDHA PANDIT
 
An introduction to Indian Contract Act, 1872 by Shraddha Pandit
An introduction to Indian Contract Act, 1872 by Shraddha PanditAn introduction to Indian Contract Act, 1872 by Shraddha Pandit
An introduction to Indian Contract Act, 1872 by Shraddha PanditSHRADDHA PANDIT
 
xLran: Open source AI for legal hackers.
xLran: Open source AI for legal hackers.xLran: Open source AI for legal hackers.
xLran: Open source AI for legal hackers.mike689707
 
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...Dr. Oliver Massmann
 

Recently uploaded (10)

The Ultimate Guide to Drafting Your Separation Agreement with a Template
The Ultimate Guide to Drafting Your Separation Agreement with a TemplateThe Ultimate Guide to Drafting Your Separation Agreement with a Template
The Ultimate Guide to Drafting Your Separation Agreement with a Template
 
Criminalizing Disabilities & False Confessions
Criminalizing Disabilities & False ConfessionsCriminalizing Disabilities & False Confessions
Criminalizing Disabilities & False Confessions
 
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...
ArtificiaI Intelligence based Cyber Forensic Tools: Relevancy and Admissibili...
 
Classification of Contracts in Business Regulations
Classification of Contracts in Business RegulationsClassification of Contracts in Business Regulations
Classification of Contracts in Business Regulations
 
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdf
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdfIslamabad High Court Judges wrote a letter to Supreme Judicial Council.pdf
Islamabad High Court Judges wrote a letter to Supreme Judicial Council.pdf
 
Patents and AI: Current Tools, Future Solutions
Patents and AI: Current Tools, Future SolutionsPatents and AI: Current Tools, Future Solutions
Patents and AI: Current Tools, Future Solutions
 
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...
Women and the World of Climate Change- A Conceptual Foundation by Shraddha Pa...
 
An introduction to Indian Contract Act, 1872 by Shraddha Pandit
An introduction to Indian Contract Act, 1872 by Shraddha PanditAn introduction to Indian Contract Act, 1872 by Shraddha Pandit
An introduction to Indian Contract Act, 1872 by Shraddha Pandit
 
xLran: Open source AI for legal hackers.
xLran: Open source AI for legal hackers.xLran: Open source AI for legal hackers.
xLran: Open source AI for legal hackers.
 
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...
Corporate Sustainability Due Diligence Directive (CSDDD or the EU Supply Chai...
 

Checklist best practices for disciplining employees

  • 1. Checklist – Best Practices for Disciplining Employees Updated on: 01/15/2015 Checklist Provided for Use Lexis Practice Advisor by: Barbara E. Hoey, Kelley Drye & Warren LLP Poor performance, inappropriate conduct, and other violations of company policy and law must inevitably trigger some form of formal employee discipline such as counselling, verbal and/or written warnings, PIPs (performance improvement plans), suspensions, and/or terminations. Because employee discipline exposes an organization to employment claims, a cautious approach and precise documentation are vital to help defend against any claims that arise. This checklist will help you navigate the pitfalls inherent in employee discipline. A. Elements of Discipline. When you counsel employers regarding disciplinary issues, you should aim to ensure that the proposed discipline meets the following standards: (1) Not Unexpected. The discipline should stem from clearly communicated standards of conduct and consequences; (2) Commensurate. The severity of the discipline should accord with the seriousness of the employee’s infraction and be effective to remedy it; (3) Fair. In most cases, fairness includes giving the employee a reasonable opportunity to correct the behavior; (4) Consistent. The discipline should be in line how the company has handled similar circumstances; (5) Non-Discriminatory. Evaluate this both in terms of protected groups as a whole and the specific individual(s) at issue; and (6) Not Infringing on Protected Rights. For example, the discipline should not interfere with the employee’s legal right to take a protected leave of absence or to raise a protected complaint. B. Steps to Evaluate the Discipline. You should take the following steps when asked to assess a proposed disciplinary action: (1) Review Applicable Company Policies: These include the employer’s discipline policy, standards of conduct and performance, and other policies that might relate directly or indirectly to the employee’s conduct and discipline. For example, if the employer seeks to discipline the employee for attendance issues, you should also review relevant policies such as the company’s attendance, leave of absence, and no show/no call policies. Note that discipline based on attendance may implicate the FMLA and ADA, as well as similar state and local law. (2) Consider Documents. Consider the following to determine whether they support or undermine the impending discipline: a) Employee’s files; b) Prior warnings – and, if none exist, determine why; c) Performance documents, handbook receipts, and training confirmations; d) Other documents that evidence past conduct, performance, training, and receipt of notices and policies such as: i. Awards/commendations; ii. Raises; iii. Promotions; and iv. Acknowledgements of receipt of separately distributed policies (e.g., sexual harassment policy); (3) Timing of Discipline. Determine the temporal proximity of the discipline to protected activities (e.g., taking a leave of absence, filing a complaint or workers’ compensation claim, participating in an investigation); a) Determine whether a credible basis exists for any discipline imposed close to the employee’s protected activity. Resolve the question: Why impose the discipline now?; and b) Determine whether evidence supports the discipline. (4) Consider Other Relevant Information: a) Additional details of the infraction;
  • 2. b) The employee’s relationship with his or her supervisor, manager, and/or other employees; c) Relevant issues within the department and/or business unit; d) Whether there are witnesses; e) Whether the employee received relevant training and/or counseling; f) Whether others have information about the employee and the specific infraction; g) Who participated in the decision to discipline the employee, and whether the decision-makers are biased; h) Whether emails or other documents relate to the employee’s infraction and which may not be included in the employee’s personnel file. Note that supervisors, managers, and the department sometimes maintain separate employee files; i) Whether a contract covers the employee; and j) The significance of gaps or inconsistencies in the information you received, including those contained in discipline documents you have reviewed. (5) Consider Similarly Situated Employees. To determine whether discipline is consistent, particularly when employees belong to a protected group or engaged in protected activity, you should compare evaluations and/or disciplinary documentation for similarly situated employees with those of the employee. Generally, “similarly situated employees” include those with similar job content (e.g., tasks, skill, effort, responsibilities, working conditions, etc.) and minimum objective qualifications (e.g., specialized licenses or certifications). (6) Determine Need for Investigation. Depending on what questions are unanswered or unclear, you may conclude that the employer should conduct an investigation into the underlying infraction prior to implementing discipline. C. Documenting the Discipline. (1) When to Document: a) When patterns of behavior develop; b) When the employee’s conduct is serious; and c) Promptly, but not when angry, frustrated, or agitated. (2) What to Document: a) Verbal and written warnings; b) PIPs; c) Suspensions; d) Demotions; e) Other forms of discipline; and f) Terminations. (3) Documentation Content. Disciplinary documentation should include at least the following: a) The employee’s and manager’s names and titles, and their department; b) Dates including the date the disciplinary document was prepared, the warning given; and the infraction occurred; c) A description of the behavior or performance including the policy or other company standard that the employee violated; d) The substance of what the employee said when counselled, including specific statements the employee makes if he or she acknowledges the justification for the discipline (e.g., “I know I shouldn’t have”) or makes threatening or other improper remarks to the manager; e) What the employee has to do to correct the behavior and how much time he or she has to do so (if applicable); f) Future consequences, which should be clearly stated – particularly when the next step is termination – and should correspond to the company’s discipline policy and to consequences for other employees; g) Identification of witness present when warning is given, including his or her name, title, and department; and h) Signatures and notations, including: i. The manager’s signature;
  • 3. ii. Signature lines for the employee and witness (typically, HR); iii. Notation above the employee’s signature line: “Your signature acknowledges that you received a [warning/suspension/PIP, etc.] and understand what was communicated and what is expected. Your signature does not mean you agree with the [warning/suspension/PIP];” and iv. If applicable, a notation that the employee declined to sign as well as an acknowledgement of such by the witness. (4) How to Document. Discipline documents must: a) Be complete, accurate, honest, and detailed. Avoid exaggeration, opinion, ambiguous or vague wording, and personal agendas; b) Be consistent with the organization’s policies, practices, and standards of conduct; c) Align with the job description (and other performance standards) if the discipline is performance-based; d) Not reference protected characteristics; and e) Not suggest any interfere with employee rights such (e.g., right to leave, to discuss terms of employment (e.g., wages, etc.), to file a claim, or participate in an investigation). End of Document