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Documentation & Progressive Discipline
Boot Camp Series Documentation & Progressive Discipline
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Welcome! What are your views about employee discipline and documentation?
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Training Ground Rules What is said in training stays in training
Don’t criticize – offer constructive alternatives Participate When discussing examples do not use employee names Have fun
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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
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The Good, the Bad and the Ugly of Documentation
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Why Should I Document? Its part of your position responsibilities
You might not remember what happened later Employee goes to another position When done correctly can protect help employer avoid liability Ensures supervisor can 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
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Lacking Documentation
Extensive research into employee related lawsuits have revealed that cases that are weak and hard to prove include five common characteristics: Subjective decision making, Failure to explain expected job performance, Lack of assistance from management, Failure to warn employee; and Testimony that lacks credibility.
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Effective Documentation
Discipline is supported by effective documentation that includes: Expectations Facts Objectives Solutions Action E-FOSA
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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?
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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.” “I must have the production report before 2 o’clock this Friday.” Vs
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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.”
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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…
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Focusing on Behavior Lets practice (subjective statements):
I saw… I heard… I touched… I smelled… I tasted… Focusing on Behavior 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.”
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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
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Progressive Discipline
Foundation of Discipline
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Steps of 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
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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
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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
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Benefits of Progressive Discipline
Allows supervisor to intervene at the first signs of 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
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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
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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
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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
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Common Discipline Problems
Attendance Performance or behavior Safety
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Common Discipline Problems (cont.)
Equipment and materials Technology Substance abuse Harassment, fighting, or violence
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Consistency Always follow the company’s progressive discipline procedure and policy Respond to all rule violations immediately Use discipline only for genuine violations
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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
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Progressive Discipline
The Process
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Foundations of Discipline
Questions?
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Steps of Progressive Discipline
A graduated set of responses to employee performance or conduct problems. Termination Written Verbal Coaching
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Progressive Discipline Steps
Coaching Verbal Written Termination
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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
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Types of Coaching Simple Requests Corrective Action Coaching Sessions
“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
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Keys to Coaching 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
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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
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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
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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
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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
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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
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Before Terminating Other options to consider:
Suspension – with or without pay Last chance contracts Day of contemplation Self Documentation Performance Probation Denial of Increase Reduction in Pay
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Suspension Confer with HR
Can occur at all progressive discipline steps (typically not coaching) Legal and pay considerations Meet with employee when they return
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Gross misconduct Certain offenses so serious that they cause immediate discharge with no 2nd or 3rd chance Examples: Intoxication at work Sexual harassment Drinking on job Theft from employer Fighting False information on application form Unexcused absence for four consecutive days
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Before Terminating Pre-Termination Checklist
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
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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
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Dealing with Employee Emotions Appropriately
Anger Grief Anxiety Violence Silence Blame Techniques for dealing with behavior
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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
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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
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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
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