Process checklists and risk assessment for employment actions including terminations, leaves, and investigations. Ensures compliance and reduces legal exposure. Customize with your jurisdiction-specific requirements and company policies.
# Employment Action Navigator
## Overview
Employment actions carry significant legal risk. HR often either over-involves legal (slowing everything down) or wings it (creating liability). This skill provides structured guidance for when actions are routine vs. when they need legal involvement.
## Employment Action Types
```
┌─────────────────────────────────────────────────────────────────┐
│ EMPLOYMENT ACTION TYPES │
├─────────────────────────────────────────────────────────────────┤
│ │
│ SEPARATIONS LEAVES INVESTIGATIONS │
│ ─────────── ────── ────────────── │
│ • Voluntary • FMLA • Harassment │
│ • Involuntary-Perf • ADA Accommodation • Discrimination │
│ • Involuntary-Conduct • Personal/Medical • Misconduct │
│ • RIF/Layoff • Parental • Policy Violation│
│ • For Cause • Military • Whistleblower │
│ │
│ DISCIPLINARY ACCOMMODATIONS POLICY CHANGES │
│ ──────────── ────────────── ────────────── │
│ • Verbal Warning • ADA • Handbook Update │
│ • Written Warning • Religious • Comp Changes │
│ • PIP • Pregnancy • Benefits Changes│
│ • Suspension │
│ │
└─────────────────────────────────────────────────────────────────┘
```
## Termination Decision Tree
### Voluntary Resignation
```
EMPLOYEE SUBMITS RESIGNATION
│
▼
┌────────────────────────────┐
│ Is notice period adequate? │
└───────────┬────────────────┘
│ │
YES NO
│ │
▼ ▼
Accept Negotiate or
standard accelerate
│ │
└────┬────┘
▼
┌────────────────────────────┐
│ Any concerns about: │
│ □ Access to sensitive data │
│ □ Customer relationships │
│ □ Competitive move │
│ □ Exit interview concerns │
└───────────┬────────────────┘
│ │
NO YES
│ │
▼ ▼
Standard Consider:
process • Accelerated exit
• Garden leave
• Restrictive covenant review
```
**Voluntary Resignation Checklist:**
```
VOLUNTARY RESIGNATION CHECKLIST
───────────────────────────────
□ Resignation in writing received
□ Last day confirmed
□ Transition plan discussed
□ Exit interview scheduled
□ Return of company property planned
□ System access termination scheduled
□ Final paycheck timing confirmed (per state law)
□ Benefits continuation info (COBRA) prepared
□ Reference policy communicated
□ Non-compete/NDA reminded (if applicable)
```
### Involuntary Termination - Performance
```
TERMINATION FOR PERFORMANCE
│
▼
┌────────────────────────────┐
│ DOCUMENTATION CHECK │
│ □ Performance issues │
│ documented? │
│ □ Expectations communicated│
│ in writing? │
│ □ PIP completed (if used)? │
│ □ Feedback provided? │
│ □ Opportunity to improve? │
└───────────┬────────────────┘
│ │
YES NO
│ │
▼ ▼
Continue DO NOT PROCEED
to risk Build documentation
assessment first
```
**Performance Termination Risk Assessment:**
```
RISK FACTORS - CHECK ALL THAT APPLY
───────────────────────────────────
PROTECTED CLASS CONSIDERATIONS:
□ Employee is over 40
□ Employee is pregnant or recently pregnant
□ Employee has known disability
□ Employee is member of racial/ethnic minority
□ Employee has religious accommodation
□ Employee is LGBTQ+
□ Employee is veteran
RECENT ACTIVITY (within 6-12 months):
□ Filed internal complaint (discrimination, harassment, safety)
□ Filed external complaint (EEOC, DOL, OSHA)
□ Requested FMLA leave
□ Requested ADA accommodation
□ Participated in investigation as witness
□ Reported compliance concerns (whistleblower)
□ Filed workers' compensation claim
□ Recently returned from protected leave
TIMING CONCERNS:
□ Termination follows closely after protected activity
□ Employee announced pregnancy/medical condition
□ Performance issues documented AFTER protected activity
□ Similar issues not documented for other employees
IF ANY BOX CHECKED → LEGAL REVIEW REQUIRED
```
### Involuntary Termination - Conduct
```
TERMINATION FOR CAUSE / MISCONDUCT
│
▼
┌──────────────────────────────┐
│ Is conduct clearly │
│ terminable per policy? │
└───────────┬──────────────────┘
│ │
YES NO
│ │
▼ ▼
Document Investigate
and proceed further
│ │
▼ ▼
┌──────────────────────────────┐
│ Has similar conduct been │
│ treated consistently? │
└───────────┬──────────────────┘
│ │
YES NO
│ │
▼ ▼
Continue LEGAL REVIEW
to risk REQUIRED
assessment (disparate treatment risk)
```
**For-Cause Termination Checklist:**
```
FOR-CAUSE TERMINATION CHECKLIST
───────────────────────────────
DOCUMENTATION:
□ Incident documented contemporaneously
□ Witness statements collected (if applicable)
□ Policy violation identified specifically
□ Evidence preserved (emails, screenshots, etc.)
INVESTIGATION:
□ Employee given opportunity to respond
□ Investigation fair and objective
□ Decision maker not involved in incident
□ Consistency check completed (similar situations)
PROCESS:
□ HR involved before decision final
□ Legal review (if risk factors present)
□ Separation agreement considered
□ Termination meeting planned
□ Final pay calculated per state law
```
### Reduction in Force (RIF) / Layoff
```
RIF / LAYOFF DECISION
│
▼
┌─────────────────────────────┐
│ Number of employees affected│
└───────────┬─────────────────┘
│
┌──────┴──────┐
│ │
<100 ≥100 (or plant closing)
│ │
▼ ▼
Standard WARN ACT ANALYSIS
process REQUIRED
│ │
└──────┬──────┘
▼
┌─────────────────────────────┐
│ Selection criteria │
│ □ Objective (seniority, │
│ skills, performance)? │
│ □ Documented? │
│ □ Applied consistently? │
└───────────┬─────────────────┘
▼
┌─────────────────────────────┐
│ ADVERSE IMPACT ANALYSIS │
│ Required for any RIF │
│ affecting 2+ employees │
└───────────┬─────────────────┘
▼
LEGAL REVIEW REQUIRED
```
**RIF Checklist:**
```
RIF LEGAL REVIEW CHECKLIST
──────────────────────────
WARN ACT (if applicable):
□ Federal WARN threshold analysis (100+ employees)
□ State mini-WARN analysis (varies by state)
□ Notice timing calculated (60 days typical)
□ Notice content prepared
SELECTION CRITERIA:
□ Objective criteria documented
□ Criteria applied consistently
□ Business rationale documented
□ Alternative positions considered
ADVERSE IMPACT ANALYSIS:
□ Age analysis (OWBPA)
□ Race/ethnicity analysis
□ Gender analysis
□ Other protected class analysis
□ Statistical review completed
□ Disparate impact identified: □ Yes □ No
□ If yes, business necessity documented
OWBPA COMPLIANCE (if age 40+ affected):
□ Disclosure requirements met
□ 21/45 day consideration period
□ 7-day revocation period
□ Advised to consult attorney
□ Separation agreement compliant
```
## Leave Administration
### FMLA Workflow
```
FMLA REQUEST RECEIVED
│
▼
┌─────────────────────────────┐
│ ELIGIBILITY CHECK │
│ □ 12 months employment │
│ □ 1,250 hours in past 12 mo │
│ □ 50+ employees within 75 mi│
└───────────┬─────────────────┘
│ │
Eligible Not Eligible
│ │
▼ ▼
Continue Document,
process may still offer
personal leave
│
▼
┌─────────────────────────────┐
│ Provide required notices: │
│ □ Eligibility notice (5 days│
│ □ Rights & responsibilities │
│ □ Designation notice │
│ □ Certification request │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ Track leave: │
│ □ Intermittent vs block │
│ □ 12-week entitlement │
│ □ Recertification schedule │
└─────────────────────────────┘
```
```
CUSTOMIZATION REQUIRED:
┌─────────────────────────────────────────────┐
│ Your state-specific leave laws: │
│ │
│ State family leave law: □ Yes □ No │
│ If yes, name: _____________________________ │
│ Additional entitlement: ______ weeks │
│ Additional qualifying reasons: ___________ │
│ │
│ Paid family leave: □ Yes □ No │
│ If yes, details: _________________________ │
└─────────────────────────────────────────────┘
```
### ADA Accommodation Workflow
```
ACCOMMODATION REQUEST
│
▼
┌─────────────────────────────┐
│ Does employee have │
│ qualifying disability? │
│ (physical or mental │
│ impairment substantially │
│ limiting major life activity│
└───────────┬─────────────────┘
│ │
YES UNCERTAIN
│ │
▼ ▼
Continue Request
process medical
documentation
│
▼
┌─────────────────────────────┐
│ INTERACTIVE PROCESS │
│ □ Meet with employee │
│ □ Understand limitations │
│ □ Identify possible │
│ accommodations │
│ □ Assess effectiveness │
│ □ Assess undue hardship │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ Is accommodation reasonable?│
│ (effective without undue │
│ hardship) │
└───────────┬─────────────────┘
│ │
YES NO
│ │
▼ ▼
Implement Document why,
explore alternatives
LEGAL REVIEW
before denying
```
**Accommodation Documentation:**
```
ACCOMMODATION DOCUMENTATION
───────────────────────────
□ Request documented (date, nature)
□ Interactive process meetings logged
□ Medical documentation (if requested)
□ Accommodations considered
□ Accommodation decision
□ If denied, business rationale
□ Follow-up schedule
```
## Workplace Investigations
### Investigation Triggers
| Trigger | Response Level |
|---------|---------------|
| Harassment complaint | Full investigation |
| Discrimination complaint | Full investigation |
| Retaliation allegation | Full investigation + legal |
| Violence/threat | Immediate action + investigation |
| Theft/fraud | Investigation + possible law enforcement |
| Policy violation | Appropriate level investigation |
| Anonymous complaint | Assess and investigate as warranted |
### Investigation Framework
```
INVESTIGATION PROCESS
│
▼
┌─────────────────────────────┐
│ 1. ASSESS │
│ □ Severity of allegation │
│ □ Immediate safety concerns │
│ □ Need for interim measures │
│ □ Investigator assignment │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ 2. PLAN │
│ □ Scope of investigation │
│ □ Witness list │
│ □ Document collection │
│ □ Timeline │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ 3. INVESTIGATE │
│ □ Interview complainant │
│ □ Interview accused │
│ □ Interview witnesses │
│ □ Collect documents/evidence│
│ □ Maintain confidentiality │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ 4. CONCLUDE │
│ □ Assess credibility │
│ □ Make findings │
│ □ Document conclusions │
│ □ Determine action │
│ □ Communicate results │
└───────────┬─────────────────┘
│
▼
┌─────────────────────────────┐
│ 5. FOLLOW UP │
│ □ Implement remedial action │
│ □ Monitor for retaliation │
│ □ Document closure │
└─────────────────────────────┘
```
### When to Involve Legal
```
ALWAYS INVOLVE LEGAL:
□ Sexual harassment allegations
□ Discrimination allegations
□ Retaliation allegations
□ Whistleblower complaints
□ Allegations involving executives
□ Potential criminal conduct
□ Media or regulatory attention likely
□ Pattern of complaints about same person
□ Complainant has attorney
```
## Documentation Requirements
### Termination Documentation Package
```
TERMINATION FILE CHECKLIST
──────────────────────────
EMPLOYEE RECORD:
□ Application / resume
□ Offer letter
□ Signed acknowledgments (handbook, policies)
□ Performance reviews (all)
□ Disciplinary notices (all)
□ PIP documentation (if applicable)
□ Attendance records
□ Commendations / awards
TERMINATION-SPECIFIC:
□ Termination decision documentation
□ Final incident report (if for cause)
□ Risk assessment completed
□ Legal review (if applicable)
□ Termination letter / notice
□ Separation agreement (if applicable)
□ COBRA notice
□ Final pay documentation
□ Property return checklist
□ Exit interview notes
```
### Retention Requirements
```
CUSTOMIZATION REQUIRED:
┌─────────────────────────────────────────────┐
│ Your document retention (check state law): │
│ │
│ Personnel files: _____ years after term │
│ Payroll records: _____ years │
│ I-9 forms: _____ years after term/hire │
│ Benefits records: _____ years │
│ FMLA records: _____ years │
│ Investigation files: _____ years │
│ EEO-1 reports: _____ years │
│ │
│ Reference: [state DOL / legal guidance] │
└─────────────────────────────────────────────┘
```
## State-Specific Considerations
### Final Pay Timing
| State | Voluntary | Involuntary |
|-------|-----------|-------------|
| **California** | 72 hours (immediate if 72hr notice) | Immediate |
| **New York** | Next regular payday | Next regular payday |
| **Texas** | Next regular payday | Within 6 days |
| **Illinois** | Next regular payday | Next regular payday |
| [Your state] | _____________ | _____________ |
```
CUSTOMIZATION REQUIRED:
┌─────────────────────────────────────────────┐
│ Your state final pay requirements: │
│ │
│ State: _______________________ │
│ Voluntary resignation: ______________ │
│ Involuntary termination: ____________ │
│ Unused PTO payout: □ Required □ Per policy │
│ Waiting time penalties: □ Yes □ No │
└─────────────────────────────────────────────┘
```
### At-Will Exceptions
```
COMMON AT-WILL EXCEPTIONS:
□ Implied contract (handbook language)
□ Public policy (refusing illegal act, whistleblowing)
□ Covenant of good faith (some states)
□ Discrimination (federal/state protected classes)
□ Retaliation (for protected activity)
HANDBOOK DISCLAIMER:
Ensure at-will disclaimer is:
□ Clear and conspicuous
□ In offer letter
□ In handbook
□ Not contradicted by other language
```
## Quick Reference: Escalation Triggers
```
╔════════════════════════════════════════════════════════════════╗
║ ESCALATE TO LEGAL IF: ║
╠════════════════════════════════════════════════════════════════╣
║ ║
║ TERMINATIONS: ║
║ □ Any protected class concern ║
║ □ Recent protected activity ║
║ □ Inconsistent treatment concern ║
║ □ Executive termination ║
║ □ RIF of 2+ employees ║
║ ║
║ INVESTIGATIONS: ║
║ □ Harassment or discrimination allegation ║
║ □ Retaliation allegation ║
║ □ Executive involved ║
║ □ Potential criminal conduct ║
║ ║
║ LEAVES/ACCOMMODATIONS: ║
║ □ ADA denial contemplated ║
║ □ FMLA abuse suspected ║
║ □ Leave law uncertainty ║
║ ║
║ WHEN IN DOUBT → ASK LEGAL ║
║ ║
╚════════════════════════════════════════════════════════════════╝
```
## Resources
### references/
- **state-requirements-guide.md** — State-by-state employment law summary
- **investigation-protocols.md** — Detailed investigation procedures
- **documentation-templates.md** — Template letters and forms
### scripts/
- **risk-assessor.py** — Termination risk factor checker
- **final-pay-calculator.py** — Calculates final pay by state
### assets/
- **termination-checklist.xlsx** — Comprehensive termination checklist
- **investigation-tracker.xlsx** — Investigation documentation tracker
- **separation-agreement-template.docx** — Template separation agreementFramework for documenting and applying contract negotiation positions by clause type. Enables sales and procurement to negotiate effectively without involving legal for every term. Customize with your company's specific positions, thresholds, and red lines.
Risk assessment methodology for scoring contracts before detailed review. Enables prioritization and right-sized review effort based on quantified risk dimensions. Customize with your company's risk tolerance and dimension weights.
Decision framework for routing legal requests - when legal review is required vs. when business can self-serve. Reduces legal bottleneck while ensuring appropriate oversight. Customize with your company's thresholds, approved templates, and routing rules.
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