7 Questions to Ask When Establishing Cause for Disciplining and Terminating Employees

Agenda

Was the Rule or Policy Violated Known to the Employee?

• Where Is the Policy Located? How Did the Employee Receive the Policy? Does the Manager Just Have All the Policies in His/Her Head?
• The Employee Should Sign the Handbook Acknowledgement and All Separate Issued Policies to Prove That They Were Received

Was This His/Her First Violation of the Rule or Policy or Did Other Violations Precede It?

• You Should Consider the Level of Discipline to Give Based on the Number of Offenses
• Is the Employee a Problem Employee and/or a Repeat Violator? What Steps Have You Taken in the Past to Address the Issue? What Worked and What Did Not?

Was Progressive Discipline Applied to This Violation and Any Prior Violations?

• You Should Always Apply Progressive Discipline for Routine Workplace Violations (Absences)
• Some Issues May Be More Fact Specific and Require a Tailored Response (Sexual Harassment, Discrimination, etc.)

Is There Written Documentation to Support This and Any Prior Violations and the Required Corrective Action?

• You Should Record Every Workplace Violation. This Helps Protect You From Claims of Discrimination and Other Issues Should the Employee Continue the Behavior
• You May Need to Document the Response to the Discipline or Solution to the Problem. For Example, During an Investigation of a Workplace Incident It May Be Necessary to Change an Employee's Shift or Department. You Should Monitor the Employee to Determine If Any Adjustments Are Necessary After the Change Has Been Implemented

Does This Violation Warrant Termination or the Level of Discipline Applied?

• Check Your Policy. What Does It Require?
• Is This an Incident That Requires a Tailored Response? Do You Need to Consult With Legal Counsel Due to the Severity of the Situation? For Example, Was There a Major Injury or Death, Is an Employee Claiming Sexual Harassment, or Are There Wage Claims Being Made?

Have All Other Employees Who Violated the Rule or Policy Been Similarly Disciplined or Terminated?

• Your Policy Must Be Applied Consistently. Do Not Treat Employees Differently Unless the Facts Require It

Are There Any Extenuating Circumstances That Would Mitigate the Level of Discipline or Termination?

• You Should Communicate With the Employee Before Taking Final Action
• If the Employee Raises as an Excuse a Disability or If the Incident Involves Needed Medical Leave, Then You Should Likely Adjust Your Response

Credits

Faculty

Brett Holubeck

Alaniz Law & Associates, PLLC

• Associate attorney at Alaniz Law & Associates, PLLC
• Author of the Texas Labor Law Blog (https://texaslaborlawblog.com/)
• Conducted seminars and workshops at the United Way, AmericanHort, HR Houston and many other groups
• Regularly support clients facing investigations concerning wage and hour, discrimination, retaliation, and harassment charges by government agencies including the Equal Employment Opportunity Commission and the Department of Labor
• J.D. degree, University of Iowa; M.A. degree in curriculum and instruction, B.A. degree in philosophy and political science, Ohio State University