Documenting Disciplinary Issues

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Documenting Disciplinary Issues
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Introduction

• This sample presentation is intended for
  presentation to supervisors and other individuals
  who manage employees. It is designed to be
  presented by an individual who is knowledgeable
  in both performance management and the employers
  own discipline policy and practices.
• The purpose of this presentation is to provide
  supervisors with the principles of effective
  employee discipline and how to document
  management actions in an appropriate manner.
  Included in this presentation are examples. This
  is a sample presentation that must be customized
  to include and match the employers own policies
  and practices.

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Introduction (contd)

• Documentation of employee performance and/or
  conduct issues is very important to both
  management and to employees.
• Effective documentation can help employees take
  corrective action and ward off potential law
  suites especially if an organization has a
  progressive discipline policy

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Objectives

• At the close of this session, you will be able
  to
• Identify the principles surrounding effective
  discipline.
• Determine when and how to discipline employees.
• Identify your organizations discipline policies
  and practices.
• Use the five principles of effective discipline
  to develop appropriate documentation of
  disciplinary concerns.

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Principles Surrounding Discipline

• Corrective
• Fair
• Consistent
• Progressive
• Due Process

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Progressive Discipline Steps

• Oral Warning
• Written Reprimand
• Suspension
• Disciplinary Demotion
• Termination
• check your organizational policies to verify
  this step is included in your progressive
  discipline process.

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Discipline Employees When

• There are recurring issues such as absenteeism or
  tardiness.
• There are continuing problems adhering to or
  following management instructions despite
  additional training, coaching or counseling.
• As close to the infraction as possible but not in
  the heat of the moment.

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Do

• Investigate each incident regardless of how it
  first appears.
• Select an appropriate time place to meet
  privately with the employee.
• Document!
• Allow the employee to explain his/her
  understanding of the incident.
• LISTEN.
• Confer with HR for their recommendations on how
  to proceed.
• Present the disciplinary action in a calm manner.

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Dont

• Yell, scream or curse.
• Base disciplinary actions on rumors.
• Discuss an employees performance or conduct
  issues with the employees co-workers.

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Dont Discipline

• Employees in public places.
• Employees in the presence of others.
• Employees in the heat of the moment.

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Before Disciplining Consider

• The facts surrounding the incident.
• The seriousness of the infraction.
• Whether the employee was informed of the work
  rules in advance of the infraction.
• Whether the employee was previously advised,
  coached or warned about the issue.

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Also consider

• The degree to which the employees conduct
  hampers the organizations mission or day-to-day
  operation.
• Documentation of previous conduct or performance
  problems within the past 3-6 months or less.

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Other things to consider

• Was the employee provoked?
• How thoroughly have I examined the issue or
  infraction?
• How have other employees who were in similar
  situations disciplined?

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Did I?

• Document the conduct or performance issue with
  just the facts?
• Share this documentation with the employee?
• Outline discipline appropriate to the infraction?

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The Goal of Documentation

• To inform the employee.
• To establish an official record of the
  disciplinary action.

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The 5 Ws of Documentation

• Who
• What
• Where
• When
• Why

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Who?

• Was/is involved?
• And their position within the organization.
• Has first hand knowledge?
• Are there known or potential witnesses?

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What?...

• Describe the incident or recurring issue.
• Describe the specific behavior or actions.
• Use verbs.
• Do not add your comments, insights or
  interpretations.

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Where?

• Describe the location of the incident
• Was it on the workplace or workplace property?
• Was it on the clients/customers workplace or
  workplace property?

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When?

• Did the incident occur during
• Regular work hours?
• Off-duty time?

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Why?

• Dont guess or speculate.
• Investigate and gather information.
• Include knowledge or information to support your
  findings/conclusions.
• Allow employees to present their version of
  events/infraction.

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The Document

• Date at the top of the letter/memo.
• A statement that a copy will be placed in the
  employees personnel file only if your personnel
  policies call for this.
• The employees full and nick names.

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Start With

• An opening statement about the purpose of the
  documentation.
• Proceed with statements describing and defining
  the infraction and supporting information. Be
  sure to include dates.
• DO NOT INCLUDE THE NAMES OF WITNESSES OR
  COMPLAINING PARTIES.

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Continue by

• Stating and describing the disciplinary action
  you are recommending.
• Stating and describing reasons why you are
  recommending the disciplinary action.
• Reference your organizational personnel policies,
  handbook, or code of conduct.

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Dont Forget

• To include a statement about the employees
  rights to
• Share their version of events and place a copy in
  their personnel file if they choose.
• Dispute the proposed discipline by filing a
  grievance or request for alternative dispute
  resolution.
• check your organization policy and include
  only if your policy allows

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What Else to Include

• State the facts and provide details of the
  infraction in language that the employee
  understands while referencing the specific
  sections of the organizations policy, procedure,
  handbook or code of conduct.
• State the circumstances so a reasonable person
  would conclude that the disciplinary action being
  recommended or taken is appropriate.
• Descriptions of previous and/or related
  infractions and disciplinary action which
  occurred within the past 3-6 months.

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Conclude by

• Reminding the employee that another incident may
  result in additional discipline.
• Reminding the employee that correcting their
  behavior is expected and that correction needs to
  be sustained over time.
• Including a statement that the employee has a
  right to present the employees version of events
  to you within a certain time frame.

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An Example..

• Date
• Dear Employee
• The purpose of this letter/memo is to inform you
  of my recommendation to.

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Second Paragraph

• The reasons for my recommendations are based
  on..
• (insert a statement describing the infraction and
  reference the specific organization policy,
  procedure or code of conduct violation)

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Third Paragraph

• Describe previous or related infractions and
  disciplinary action which occurred within the
  past 3-6 months.

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Fourth Paragraph

• Insert a statement with a reminder to the
  employee that another similar or related incident
  may result in further or additional disciplinary
  action.

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Fifth Paragraph

• Should outline due process and a statement that
  the employee has the right to
• Present the employees version of the events to
  management within a specific time frame as
  outlined in your organizational personnel
  policy/handbook.

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Fifth Paragraph - Example

• Within three business days after the receipt of
  this letter, please schedule a meeting with me to
  discuss this issue or reply in writing. I will
  consider the information you provide me at that
  time before I forward my recommendation to HR.

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Summary

• Supervisors/managers should ensure that they have
  applied the five principles of effective
  discipline (corrective, fair, consistent,
  progressive and due process), before disciplining
  employees.
• Use the five Ws of documentation (who, what,
  where, when and why) and the five principles of
  discipline to document performance or conduct
  transgressions.
• Documentation should clarify the nature of the
  infraction, its negative impact and proposed
  management and employee action.

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Questions? Comments?

• Thank you so much for attending this workshop
  today. We hope the information has been helpful
  and meaningful to you!
• Before we leave do you have any additional
  questions, concerns or comments on the
  information or materials presented today?

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Course Evaluation

• Please be sure to complete and leave the
  evaluation sheet you received with your handouts.
  
• Thank you for your attention and interest!