Staff Management

Handling Employee Terminations and Disciplinary Actions in Optometry Practices

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Best practices for legally sound employment actions

Stuart Oberman, Esq.

March 11, 2026

Employee terminations are among the most sensitive and legally risky management actions an optometry practice can take. From staff disagreements to performance concerns, every disciplinary step should balance fairness, consistency and compliance with the Equal Employment Opportunity Commission (EEOC) and related employment laws. Handled properly, terminations can strengthen workplace culture and reduce liability. Handled poorly, they can lead to wrongful termination claims, discrimination complaints or EEOC investigations.

Here I’ll outline practical and legally sound best practices to help optometry practice owners manage employee terminations and disciplinary issues.

ESTABLISH A WRITTEN DISCIPLINARY POLICY

Your employee handbook should clearly define your disciplinary process and enforce it consistently. Key elements to include:

Progressive discipline steps: verbal warning; written warning; final warning or suspension; termination
Examples of misconduct: Attendance issues, insubordination, patient safety violations or harassment.
Management responsibilities: Identify who may issue warnings and who must review disciplinary actions before termination.

Consistency is critical here. Uneven application of rules across employees or departments can appear discriminatory under EEOC guidelines.

Ask yourself:

Have other employees committed similar violations?
Were the same steps taken?
Were decisions influenced by factors unrelated to performance?

DOCUMENT EVERY PERFORMANCE AND DISCIPLINARY ACTION

The EEOC and courts heavily weigh contemporaneous documentation when reviewing termination claims. Maintain a detailed record of all disciplinary events, including:

Date and details of the incident
Employee’s explanation or response
Action taken (for example, written warning or suspension)
Signatures from both supervisor and employee
Follow-up or improvement plan

If the employee refuses to sign a warning, note that refusal on the document.

Systematic documentation demonstrates fairness and provides a strong defense against claims of retaliation or discrimination.

EVALUATE FOR POTENTIAL EEOC RISK FACTORS

Before finalizing a termination, conduct a pre-termination review to identify potential risk areas.

Consider whether the employee:

Recently filed a complaint (internal, EEOC, OSHA or wage-related)
Has a protected characteristic (race, sex, disability, age, religion, national origin or pregnancy)
Requested reasonable accommodation under the ADA
Took or requested FMLA leave

If any apply, additional legal review is recommended before proceeding with termination to avoid retaliation or discrimination claims.

CONDUCT PROFESSIONAL, NEUTRAL TERMINATION MEETINGS

A termination meeting should be:

Private and brief. Avoid confrontation or lengthy justifications.
Attended by two management representatives (one as a witness).
Documented immediately afterward in the employee’s file.

Use clear, factual language. For example: “Your employment is being terminated effective today due to repeated violations of attendance policy despite prior warnings.” Avoid emotional or subjective comments, such as “You’re just not a good fit,” which can be misconstrued later.

PROTECT CONFIDENTIALITY AND DATA INTEGRITY

After termination:

Disable system and client record access immediately.
Retrieve keys, ID badges and any controlled-substance access tools.
Document the return of property.
Protect client data in compliance with state optometry board regulations and privacy laws.

Keep termination records, including emails, warnings and meeting notes, for at least three years or longer if state law requires.

CONDUCT AN EXIT REVIEW

While not required, an exit interview can provide insight into workplace issues and demonstrate good faith. Exit reviews should always be professional and factual. If any new complaints arise, such as discrimination or harassment, document them immediately and consult legal counsel before finalizing paperwork.

FINAL WORD: CONSISTENCY WINS

Optometry practices thrive when accountability and fairness coexist. By establishing clear disciplinary procedures, consistent documentation and EEOC-compliant review processes, you protect your team and your business from unnecessary risk.

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