Disciplining or firing an employee sucks! However, with a little work companies can make decisions that are defensible, easier, and not a surprise for the person that will be fired.

Here are a few simple questions that companies can ask before they discipline or fire an employee:

Was the Employee Aware of the Company Policy that They Violated?

Every company needs a set of rules in the workplace. An employee handbook tells employees the rules that they need to follow when they call in sick, report a complaint, and do many of the most important day-to-day tasks. It also lays out the relevant punishments for various violations. Without a handbook the employee may not be aware that they violated a rule. Employees should sign an acknowledgement that they received the handbook and companies should give employees a copy of the handbook.

Supervisors need to have an even greater knowledge of the rules than employees to ensure that they treat employees consistently. Supervisors are consistent when they are familiar with these policies and consult them before the supervisor applies any discipline or fires an employee. When a manager decides what the discipline should be “on the fly” he or she risks treating employees differently, which may eventually lead to a discrimination lawsuit.

How Many Times Has the Employee Violated the Policy and Other Policies?

Is this an employee that has had a number of problems or is this the first time that the employee has had a problem? How many times has the employee violated this particular policy? Of course, if the employee has worked at the same company for 20 years, then the supervisor does not need to think about every single time that the employee was late.

If it is the first time that an employee has violated a rule, then many companies meet with the employee to help them. Companies often explain the rules to the employee again and tell employees what they need to do to improve. By working with the employee companies encourage employee growth and, hopefully, the issue does not become something that will continue to be a problem later on.

Did the Company Apply the Progressive Discipline Policy?

One of the most important steps in disciplining or firing an employee is ensuring that employees are treated consistently. A progressive discipline policy removes any subjectivity in determining an employee’s punishment and ensures consistent treatment. Some issues are better suited than others to be governed under a progressive discipline policy. Attendance issues are among the easiest issues. Sexual harassment and similar issues that are very fact specific cannot be treated under a progressive discipline policy. They require too much investigation and individual treatment to be governed by a progressive discipline policy.

Has the Company Documented the Violation and Prior Violations? Was the Corrective Action Documented?

What sort of documentation have you made for any past incidents that occurred? All companies, no matter how small, benefit from a discipline form to document any violations by employees. The form should also have a place for the company to describe any corrective action that it or the employee took. Businesses do this to document their actions and create a record in the event that an employee sues.

What Level of Discipline Does the Employer’s Policy Require?

Supervisors and HR managers can clearly understand what discipline applies in situations where the policy is rather straightforward. For example, failing to meet the required sales quota is usually a pretty easy case and the level of discipline that should be applied is rather obvious especially when every other sales person is meeting their quota.

Many companies will separate offenses into 2 different classes. Certain offenses result in automatic suspension pending termination. These offenses may include using illicit drugs or being under the influence of drugs at work, stealing, or fighting. Lesser offenses result in a smaller a form of discipline such as a counseling or a written warning.

What Discipline Did Other Employees that Have Violated the Policy Receive?

Companies try to ensure that they treat their employees equally. However, sometimes companies inadvertently treat some employees better than others especially when the policy is unclear or unwritten. Companies that treat employees differently encourage discrimination lawsuits against them.

Is There Any Reason to Reduce the Punishment? Are There Mitigating Circumstances?

What were the circumstances under which the employee committed the violation? There are a number of reasons that could reduce or completely eliminate the need to punish an employee. An employee may have needed to leave work early due to a family emergency. A mechanical error could have made it impossible for the employee to properly follow the lockout tagout procedures to safely use a dangerous machine.

Conclusion

Disciplining or firing an employee is not easy, but companies avoid a lot of trouble when they follow some simple steps. Employees generally want to succeed at work. Companies that inform employees of how to improve and what they are doing well can avoid many performance issues. Well-managed companies help employees grow. Poorly managed companies never address employee performance issues and leave employees clueless about how well they are doing their job. Which type of supervisor or company do you want to be?

The information provided in this blog is for educational purposes only and is not legal advice. If you need legal advice, then you should speak with a lawyer about your specific issues. Every legal issue is unique. A lawyer can help you with your situation. Reading the blog, contacting me through the site, emailing me or commenting on a post does not create an attorney-client relationship between any reader and me.

The information provided is my own and does not reflect the opinion of my firm or anyone else.