Boot Camp Series
Documentation &
Progressive Discipline
WELCOME!
What are your views
about employee
discipline and
documentation?
Session Objectives
• The Good, Bad & Ugly of Documentation
• Benefits of Progressive Discipline
• E-FOSA Documentation System
• Dealing with Employee Reactions
• Common Progressive Discipline Pitfalls
• Creating a Performance Improvement Plan
• Benefits of Using Employee Assistance
Program (EAP)
• When and How to Conduct a Termination
The Good, the Bad and the
Ugly of Documentation
Why Should I Document?
• Its part of your position
• Ensures supervisor can
responsibilities
• You might not remember
what happened later
• Employee goes to another
position
• When done correctly can
protect help employer
avoid liability
explain what is expected
• Assures that the employee
knew or should have
known about rules or
performance standards
• Keeps discussion focused
on the business issue of
performance rather than
the employee as a person
Lacking Documentation
• Extensive research into employee related
lawsuits have revealed that cases that are
weak and hard to prove include five common
characteristics:
1.
2.
3.
4.
5.
Subjective decision making,
Failure to explain expected job performance,
Lack of assistance from management,
Failure to warn employee; and
Testimony that lacks credibility.
Effective Documentation
Discipline is supported by effective
documentation that includes:
1.
2.
3.
4.
5.
Expectations
Facts
Objectives
Solutions
Action
E-FOSA
E-FOSA
Expectations
Does the documentation show that the employee knew or
should have known the rule or performance standard that
was not met?
Facts
Is the disciplinary action based on objective fact?
Objectives
Has the company explained to the employee what he or
she is expected to do in the future?
Solutions
Has the company demonstrated that it is trying to help the
employee succeed?
Actions
Has the employee been told he or she is being disciplined
and what will happen if the employee does not change his
or her behavior?
Questions to ask
• Have I made reasonable efforts to create an opportunity for the
employee to resolve the problem and be a success?
• Have I trained the employee properly on how to do their jobs
and explained how the performance will be measured or what
the work rules are?
• Have I documented that the employee has been trained and
performance objectives have been set or that I have explained
the work rules?
“You should get that
report done as soon
as possible.”
Vs
“I must have the
production report
before 2 o’clock this
Friday.”
Factual Statements
• Factual statements focus on employee
behavior, not on the supervisor’s
conclusions.
Subjective
Factual
“You are habitually late.”
“You were 10 minutes late to work on
March 10 and 15 minutes late on
March 20. You were 30 minutes late
on April 3 and April 30. You did not
call in to report that you would be late.”
“Your work is sloppy.”
“You have made an average of five
errors each week for the last ten
weeks on your cycle counts. Your
errors have required us to conduct a
complete inventory audit.”
Factual Statements
• Factual statements focus on behavior.
• State what happened, where it happened,
who was involved and how it happened.
• Factual statement give a clear picture.
• Factual statements remove emotion.
• Factual statements include:
•
•
•
•
•
I saw…
I heard…
I touched…
I smelled…
I tasted…
Focusing on Behavior
I saw…
I heard…
I touched…
I smelled…
I tasted…
• Lets practice (subjective statements):
•
•
•
•
•
“You have a bad attitude.”
“You have been stealing money.”
“You talk too much when you should be working.”
“You are a poor sales person.”
“You intimidate other employees.”
Ugly Documentation
• Contains emotions
• Is subjective vs. objective
• Attacks the employee vs. focusing on
behavior
• Written unprofessionally with misspelled
words, slang or poor grammar
• Poor documentation can be worse then no
documentation at all
Progressive Discipline
Foundation of Discipline
Steps of Progressive Discipline
Progressive
Discipline:
A graduated set of responses to
employee performance or conduct
problems.
Termination
Written
Verbal
Coaching
Less Serious / Low Frequency
More Serious / High Frequency
Why Progressive
Discipline?
• Establishes expectations and predictability
• Applies consequences fairly and consistently
• Corrects inappropriate behavior and poor
performance
• Helps rehabilitate employees with potential
• Protects against complaints and lawsuits
Principles of Progressive
Discipline
• Your goal is retention, not termination
• Discipline should be proportionate
• Have the facts at your fingertips
• Listen to your employee
• Collaboration is key to success
• Some employment relationships don’t work
out
Benefits of Progressive
Discipline
• Allows supervisor to intervene at the first signs of
•
•
•
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•
•
trouble
Enhances communication between managers and
employees
Helps managers to achieve higher performance and
productivity
Improved morale and retention
Avoids expensive replacement cost
Ensures consistency and fairness in dealing with
employees
Lays ground work for fair, legally defensible
termination for employees that cannot improve
Confronting the Situation
• Gather information – before you act, make
sure you know what happened
• Assess the severity – consider how the
problem is affecting the employee, team and
company
• Decide how to respond – choose the
appropriate disciplinary measure based on
frequency and severity and how company
handled similar issues in the past
Confronting the Situation
• Prepare to talk to the employee – plan your
meeting to include what you will say and how
you will say it
• Meet with employee – talk about what has
happened and collaborate to create an
improvement plan
• Document – make written record of the
discipline imposed and improvement plan
• Follow-up –to make sure the employee is
meeting his/her commitment
Discipline and the Law
• Consistency and fairness
• Retaliation
• Don’t make legal conclusions
• Compromising “At will” status
• Wrongful discharge
• Deal with dangerous situation right
away
• Keep confidential
• You represent the company
Common Discipline Problems
• Attendance
• Performance or
behavior
• Safety
Common Discipline Problems
(cont.)
• Equipment and
materials
• Technology
• Substance abuse
• Harassment, fighting, or
violence
Consistency
• Always follow the
company’s progressive
discipline procedure
and policy
• Respond to all rule
violations immediately
• Use discipline only for
genuine violations
Consistency (cont.)
• Discipline all similar offenses in the same
way
• Make discipline appropriate to the offense
• Give the employee an opportunity to correct
the problem
Progressive Discipline
The Process
Foundations of Discipline
• Questions?
Steps of Progressive Discipline
Progressive
Discipline:
A graduated set of responses to
employee performance or conduct
problems.
Written
Verbal
Coaching
Termination
Progressive Discipline Steps
• Coaching
• Verbal
• Written
• Termination
What is Coaching?
• Offering encouragement and direction to
correct an issue early on
• A less formal way to raise disciplinary
concerns
• The appropriate response to first time
problems that are relatively minor
Types of Coaching
• Simple Requests
• “Next time, you might want to…”
• “Hey, try doing this instead…”
• “Did you consider…?”
• Corrective Action
• “Actually, you can’t do it that way. You need to…”
• “We need to change this. Can you please…”
• Coaching Sessions
• When the problem is more complex, or when you need input
from the employee to craft the solution
• An opportunity communicate change that is necessary and
talk about how to make change happen
Keys to Coaching
1.
2.
3.
4.
5.
Don’t be too formal
Engage the employee
Collaborate on solution
Don’t forget to document
Follow-up to make sure the problem is
resolved
What are Verbal Warnings?
• Gives the employee fair notice that there is
an important problem that must be dealt with
• Formally documented and placed in
personnel file
• Provides a wake up call that the employee is
in the formal disciplinary process
• Obtain employees signature
When to Give a Verbal
Warning
• A verbal warning is probably appropriate if:
• The employee has not responded to Coaching
• The employee has violated a company rule, but it
does not appear deliberate and has not caused
significant harm to the company
• The employees behavior is causing some serious
problems, but the employee seems genuinely
interested in improvement
What Are Written Warnings
• Both a conversation and a document
• Reserved for fairly serious problems
• A measure that typically affects employees
job opportunities
• Often the last opportunity for the employee to
get back on track before termination
When to Give Written Warning
• Employee has not improved after coaching
and a verbal warning
• Employee engaged in a serious violation
• Employee committed misconduct that is
serious but does not warrant termination
Key to Giving Written
Warnings
• For repeated or serious problems
• Involve others in the company (usually HR)
• State the facts clearly and objectively
• Include an action plan for improvement
• Sign and have the employee sign
• Give the employee a copy and file a copy
Before Terminating
• Other options to consider:
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Suspension – with or without pay
Last chance contracts
Day of contemplation
Self Documentation
Performance Probation
Denial of Increase
Reduction in Pay
Suspension
• Confer with HR
• Can occur at all
progressive discipline
steps (typically not
coaching)
• Legal and pay
considerations
• Meet with employee
when they return
Gross misconduct
• Certain offenses so serious that they cause
immediate discharge with no 2nd or 3rd
chance
• Examples:
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Intoxication at work
Sexual harassment
Drinking on job
Theft from employer
Fighting
False information on application form
Unexcused absence for four consecutive days
Before Terminating
• Pre-Termination Checklist
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Make sure you know the facts
Check the employee’s personnel file
Review company policies
Consider statements made to the employee
Consider how other employees have been treated
Consider the timing
Get a second opinion
Termination
• Use only as a last resort
•
•
•
•
or for very serious
violations
Consult with HR and
investigate carefully
Follow required
termination procedures
Meet with the employee
Document the meeting
in a signed report
Dealing with Employee
Emotions Appropriately
• Anger
• Grief
• Anxiety
• Violence
• Silence
• Blame
Techniques for dealing with
behavior
Mistakes Made During
Progressive Discipline
• Jeopardizing “At-Will”
• Skipping Steps
• Not Following Up with Timelines or Not
Sticking with Timelines
• Not Providing Promised Resources
• Not Provided Consistently and Timely
Key Points to Remember
• Steps in progressive discipline: coaching,
verbal warning, written warning, and
termination
• Be consistent and follow company policy
• Help employees correct discipline problems
• Protect yourself and the organization by
documenting disciplinary actions
Sounds Easy. Why So Hard?
• Time consuming
• Fear of conflict
• Lack of understanding of how to document
properly
• Lack of confidence in writing skills
• Ignored to problems so long that supervisor
is unsure where to start