1. 1 FRONTLINE SUPERVISOR TRAINING NORTHEAST ARKANSAS SHRM DISCIPLINE, TERMINATION AND DOCUMENTATION Jonesboro, Arkansas August 9, 2011 Rick Roderick Cross, Gunter, Witherspoon & Galchus, P.C. 500 President Clinton Avenue, Suite 200 Little Rock, Arkansas 72201 (501) 371-9999 rroderick@cgwg.com

2. Human Relations  Diversity Mandates Good Human Relations  Participative Management  Employee Involvement  Solicit Input  Listen  Patience  “Golden Rule” 2

3. Human Relations (continued)  Uniform and Consistent Application of Policies and Procedures  Good Communication – clear, concise directions  Let employee “win” one now and then  Learn how to say “I was wrong”  Remember the “Golden Rule” 3

4. Employee Due Process  Notion of basic fairness  Communication (notice) of behavior and job performance standards  Following procedures  A chance to be heard before action is taken 4

5. Employee Due Process (continued)  Full and timely investigation and follow-up (plus cooling off period, too)  A graduated system of penalties  Unbiased review and an appeals process 5

6. Employer Social Responsibility  To “salvage” employee  Better us than society 6

7. Burden on Employer - Heavy  Burden of proof, heavy  Must show procedural fairness and due process  Is “just cause” necessary?  Rules, policies, and discipline must be reasonable  Discipline applied uniformly and nondiscriminately  Documentation – if it’s not written, it didn’t happen 7

8. What is YOUR policy on discipline? Do you know it? 8

9. Employee Responsibilities  Maintenance of production/service standards – quality, quantity and priorities  Responsible use of working time – self and other employees  Cooperation with supervision and other employees  Respect for other employees and their property  Observance of safety and health rules 9

10. Employee Responsibilities (continued)  Proper use and maintenance of company equipment and materials  Maintenance of attendance standards, including notification  Maintenance of housekeeping standards  Personal appearance or dress  Protection of confidential information 10

11. Prohibited Conduct  On the job use or possession of alcohol/illegal drugs (or being under the influence)  Possession of weapons  Sexual harassment  Insubordination  Theft (or unauthorized possession)  Smoking in restricted areas  Falsification of records  Fighting on the job 11

12. What is YOUR policy on conduct? Do you know it? 12

13. Get the Employee’s Side of the Issue 13

14. Get the Employee’s Side of the Story  Listen to the employee carefully  Document exactly what was said  Create accurate historical record  Documentation prevents later fabrication 14

15. DOCUMENT, DOCUMENT! 15

16. The EEOC Says: “If an action is not documented by a written record, state the offense and the resulting action, and explain why it is not recorded.” 16

17. Making Documentation Effective  Do promptly while memories are fresh  Don’t postpone documentation merely because of insufficient time to create a perfect memo  Focus on important incidents and behaviors  Establish internal system to check for consistency  Focus on job-related standards and behaviors  Reflect good faith attempts to salvage the employee  Take action to bridge past warnings 17

18. REMEMBER! UNLESS IT IS DOCUMENTED, IT DID NOT HAPPEN 18

19. Progressive Discipline  Assures due process  Gives employee extra chance  Adequately warns employee 19

20. Warning the Employee  Specific examples of shortcomings or infractions  An opportunity to present their own case  Respect  A clear understanding of the consequences  Specific recommendations to correct performance  A positive attitude from management  A second chance 20

21. Implementing Disciplinary Action 1. Describe facts of incident – don’t judge 2. Ask what happened - Listen to employee’s side 3. State policy violation - Share your point of view - Explain 4. Commit yourself to problem solving approach 5. Get commitment for improvement - State your expectations clearly - Request employee’s cooperation 21

22. Steps of Insubordination 1. Order given - Clear - Concise - Direct 2. Repeat the order - Clear - Concise - Direct - Warning of discipline 3.Ask for explanation – communicate – Why? 22

23. Steps of Insubordination (continued ) 4. Repeat the order (Get a management witness) - Clear - Concise - Direct - Warning of discipline 5.Discipline 23

24. THANK YOU AND GOOD LUCK 24