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8 Things to Ask Before Taking an Adverse
Employment Action


                                                                          1
                          © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Presenters
  Anna M Dailey, E
  A    M. D il    Esq.
  Charleston ^ 304-357-0923
  anna.dailey@dinsmore.com

  Katherine B. Capito, Esq.
  Charleston ^ 304-357-9910
  katherine.capito@dinsmore.com
  katherine capito@dinsmore com




                                                                                  2
                                  © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Remember:
The fair employer usually wins the lawsuit; the
unfair one has stacked the deck against itself
                                        itself…
Even when the law may be on their side; the
employer gave the aces & face cards away.




                                                                              3
                              © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
We’re The Same Except When We Are Different

In some states, juries think:
 Unfair employers = mean employers
 Mean employers = acting with malice
 Malice = Punitive Damage$$$
 KNOW the predilections of jurors in the state or city
   where the employment action is taking place
 Are they mostly union? Is there something unique
           y      y                          g    q
   about state statutes or case law? What kind of
   verdicts are there in employment cases?




                                                                                   4
                                   © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
HERE ARE THE 8 QUESTIONS
      WORTH ASKING
 BEFORE TAKING ADVERSE
   EMPLOYMENT ACTION




                                                               5
               © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 1 How long has the employee
been working here and is this their first
disciplinary issue?
The longer someone has been with an
 employer, the more likely a jury will
     p y ,                 y j y
 believe the employee is entitled to
 “progressive discipline”
  p g                p
An employee of 20 years is viewed
 differently by juries than one working 20
 months or 20 days

                                                                           6
                           © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 2 Have there been any past
warnings?
 In some states, jurors think progressive discipline is a legal
  right (or should be)
 Unless the misconduct is egregious (insubordination,
  serious violations of company p y or p
                             p y policy potentially criminal
                                                      y
  conduct) it is useful to consider whether initiating
  progressive discipline is more appropriate than discharge,
  especially for a minor infraction (or long term employees)
 Put all warnings in writing so they are documented;
  warnings should also say what happens next, including
  potential discharge
 If there are past warnings, this might be the time for
  discharge
                                                                                     7
                                     © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 3 Have you reviewed all the
documentation regarding the incident?
                                    ?
 When a supervisor or manager is ready to discharge –
  emotions are usually running high
 Examine documents to ensure no improper motives
 Is the discipline appropriate to the misconduct?
 Does the documentation support the decision
 Most importantly….
    Look at the documentation to see if an objective
      person (jurors) would find that there was an infraction
      or misconduct and/or the employer is being FAIR


                                                                                    8
                                    © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 4 Has anyone else done this &
been treated differently?
The law calls them Comparators
Juries listen to this evidence of how others
 were treated for the same infractions to see if
 the employer is being FAIR
Judges usually decide in advance of trial if
 the it ti
 th situations are evidence of comparators
                        id      f         t




                                                                               9
                               © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Is Someone A Comparator? Depends On
                p           p
Whether The Employees Are Similarly Situated
The Factors reviewed
Recency vs. remote in time
Different management team
Different education, experience, position
 in the company aptitude
        company,




                                                                              10
                              © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 5 Were there any witnesses?

If there were witnesses, it pays to know:
                        , p y
  Who they are
   What they will say
If an employer conducts a truncated
 investigation without interviewing actual
 witnesses, a jury will second guess the
 Employer’s motivation & any rush to discharge



                                                                              11
                              © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 6 Is the employee a member
of a protected class?
 f                  ?
 To make a prima facie claim of unlawful discrimination,
  the discharged employee need only b able t prove
  th di h         d     l         d l be bl to
  they are a member of a protected class:
 Know if the employee is protected by various federal,
  state and local civil rights laws:
    Age, Gender, Race, National Origin, Religion,
      Disability, Sexual Preference
 Know if there are facts leading to various whistle-blower
  or retaliatory discharge claims:
    Reported violations of law, suffered Worker Comp
      injury, used FMLA time, etc.
        j y,                  ,
                                                                                    12
                                    © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 7 Will co-workers believe the
company was f i ?
              fair?
 Think of your employees as your first jury. This does NOT
  mean you discuss the facts with employees, BUT if they
  knew or know the facts, what would the majority think is fair
 Why does this matter?
 They may be your best witnesses in a trial
 It matters when the majority will be telling the discharged
  employee to go to a lawyer OR the majority are telling the
  discharged employee to get over it, the employee was in
  the wrong
 Too much perception of unfairness often leads to union
  organizing: employees come to believe they need a union
  to protect them from their unfair employer


                                                                                          13
                                          © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Question No. 8 What do you plan to tell the
employee who will be discharged?
 Planning the discharge meeting is crucial to preventing
  future liability
 Best done in person with lawful & actual (generalized)
  reasons given
 Follow any written company policies or procedures
 Bring your own witness to the discharge meeting (another
  supervisor or manager should be present)
 Consider an opportunity to hear their side of the story in
  case you missed something that would change your mind if
  true
 Avoid making careless, discriminatory, or emotionally-
  charged statements


                                                                                         14
                                         © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Other Best Practices
 Use a brief bullet point script for the meeting which
  script is followed
      p
 Consult an objective, impartial experienced person
  (within your organization) for advice (not privileged
  communication)
 Consult an outside HR expert (this is not privileged
  communication either)
CConsult a l
          lt lawyer; b tt yet, consult an expert in L b
                     better t           lt        t i Labor
  & Employment law. If it is a unique situation, you may
  need to consult an L&E lawyer with expertise in the area
  of law i
   fl     involved
               l d
 Never underestimate the power of consulting others
  before taking final action
                 g
                                                                                   15
                                   © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Conclusion
 Asking these questions & using the information you
  receive to make more informed & FAIR decisions results
  in:
    Fewer meritorious cases filed against the employer
    Increase the likelihood of employee witnesses willing
     to testify on behalf of the employer
    Increase employee morale because the majority of
     employees believe their employer is FAIR
    Lower exposures on damages when suits by
     discharged employees are filed
    Lower jury verdicts for discharged employees
    Reduces the likelihood of punitive damages

                                                                                     16
                                     © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com
Questions?
  Anna M Dailey, E
  A    M. D il    Esq.
  Charleston ^ 304-357-0923
  anna.dailey@dinsmore.com

  Katherine B. Capito, Esq.
  Charleston ^ 304-357-9910
  katherine.capito@dinsmore.com
  katherine capito@dinsmore com




                                                                                  17
                                  © 2012 DINSMORE & SHOHL | LEGAL COUNSEL   | www.dinsmore.com

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8 things to ask before taking an adverse employment action

  • 1. 8 Things to Ask Before Taking an Adverse Employment Action 1 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 2. Presenters Anna M Dailey, E A M. D il Esq. Charleston ^ 304-357-0923 anna.dailey@dinsmore.com Katherine B. Capito, Esq. Charleston ^ 304-357-9910 katherine.capito@dinsmore.com katherine capito@dinsmore com 2 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 3. Remember: The fair employer usually wins the lawsuit; the unfair one has stacked the deck against itself itself… Even when the law may be on their side; the employer gave the aces & face cards away. 3 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 4. We’re The Same Except When We Are Different In some states, juries think:  Unfair employers = mean employers  Mean employers = acting with malice  Malice = Punitive Damage$$$  KNOW the predilections of jurors in the state or city where the employment action is taking place  Are they mostly union? Is there something unique y y g q about state statutes or case law? What kind of verdicts are there in employment cases? 4 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 5. HERE ARE THE 8 QUESTIONS WORTH ASKING BEFORE TAKING ADVERSE EMPLOYMENT ACTION 5 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 6. Question No. 1 How long has the employee been working here and is this their first disciplinary issue? The longer someone has been with an employer, the more likely a jury will p y , y j y believe the employee is entitled to “progressive discipline” p g p An employee of 20 years is viewed differently by juries than one working 20 months or 20 days 6 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 7. Question No. 2 Have there been any past warnings?  In some states, jurors think progressive discipline is a legal right (or should be)  Unless the misconduct is egregious (insubordination, serious violations of company p y or p p y policy potentially criminal y conduct) it is useful to consider whether initiating progressive discipline is more appropriate than discharge, especially for a minor infraction (or long term employees)  Put all warnings in writing so they are documented; warnings should also say what happens next, including potential discharge  If there are past warnings, this might be the time for discharge 7 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 8. Question No. 3 Have you reviewed all the documentation regarding the incident? ?  When a supervisor or manager is ready to discharge – emotions are usually running high  Examine documents to ensure no improper motives  Is the discipline appropriate to the misconduct?  Does the documentation support the decision  Most importantly….  Look at the documentation to see if an objective person (jurors) would find that there was an infraction or misconduct and/or the employer is being FAIR 8 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 9. Question No. 4 Has anyone else done this & been treated differently? The law calls them Comparators Juries listen to this evidence of how others were treated for the same infractions to see if the employer is being FAIR Judges usually decide in advance of trial if the it ti th situations are evidence of comparators id f t 9 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 10. Is Someone A Comparator? Depends On p p Whether The Employees Are Similarly Situated The Factors reviewed Recency vs. remote in time Different management team Different education, experience, position in the company aptitude company, 10 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 11. Question No. 5 Were there any witnesses? If there were witnesses, it pays to know: , p y Who they are  What they will say If an employer conducts a truncated investigation without interviewing actual witnesses, a jury will second guess the Employer’s motivation & any rush to discharge 11 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 12. Question No. 6 Is the employee a member of a protected class? f ?  To make a prima facie claim of unlawful discrimination, the discharged employee need only b able t prove th di h d l d l be bl to they are a member of a protected class:  Know if the employee is protected by various federal, state and local civil rights laws:  Age, Gender, Race, National Origin, Religion, Disability, Sexual Preference  Know if there are facts leading to various whistle-blower or retaliatory discharge claims:  Reported violations of law, suffered Worker Comp injury, used FMLA time, etc. j y, , 12 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 13. Question No. 7 Will co-workers believe the company was f i ? fair?  Think of your employees as your first jury. This does NOT mean you discuss the facts with employees, BUT if they knew or know the facts, what would the majority think is fair  Why does this matter?  They may be your best witnesses in a trial  It matters when the majority will be telling the discharged employee to go to a lawyer OR the majority are telling the discharged employee to get over it, the employee was in the wrong  Too much perception of unfairness often leads to union organizing: employees come to believe they need a union to protect them from their unfair employer 13 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 14. Question No. 8 What do you plan to tell the employee who will be discharged?  Planning the discharge meeting is crucial to preventing future liability  Best done in person with lawful & actual (generalized) reasons given  Follow any written company policies or procedures  Bring your own witness to the discharge meeting (another supervisor or manager should be present)  Consider an opportunity to hear their side of the story in case you missed something that would change your mind if true  Avoid making careless, discriminatory, or emotionally- charged statements 14 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 15. Other Best Practices  Use a brief bullet point script for the meeting which script is followed p  Consult an objective, impartial experienced person (within your organization) for advice (not privileged communication)  Consult an outside HR expert (this is not privileged communication either) CConsult a l lt lawyer; b tt yet, consult an expert in L b better t lt t i Labor & Employment law. If it is a unique situation, you may need to consult an L&E lawyer with expertise in the area of law i fl involved l d  Never underestimate the power of consulting others before taking final action g 15 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 16. Conclusion  Asking these questions & using the information you receive to make more informed & FAIR decisions results in:  Fewer meritorious cases filed against the employer  Increase the likelihood of employee witnesses willing to testify on behalf of the employer  Increase employee morale because the majority of employees believe their employer is FAIR  Lower exposures on damages when suits by discharged employees are filed  Lower jury verdicts for discharged employees  Reduces the likelihood of punitive damages 16 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com
  • 17. Questions? Anna M Dailey, E A M. D il Esq. Charleston ^ 304-357-0923 anna.dailey@dinsmore.com Katherine B. Capito, Esq. Charleston ^ 304-357-9910 katherine.capito@dinsmore.com katherine capito@dinsmore com 17 © 2012 DINSMORE & SHOHL | LEGAL COUNSEL | www.dinsmore.com