Documenting Discipline

Documenting Discipline(pp. 9-11)

Why is documentation so important?1. To confirm what did/did not occur (legal)

2. Most objective, can review and reconsider

3. Consistency

Why do we use discipline? Discipline = “To train (a person) to act according to the

expected norm”

Documenting Regularly(p. 24)

How should I document? Notebook/Notepad Calendar (if electronic mark private) Journal in Outlook

What should I document regularly Conversations about work assignments Training Informal counseling or coaching sessions Good work and kudos Customer complaints and compliments Disciplinary actions (Progressive Discipline)

FOSA+ System(pp. 8-9)

F Facts to define the problem.

O Objectives that explain to the employee how to resolve the problem

S Solutions that can help the employee reach the objectives

A Actions you will take if the problem is not corrected

+ Plus your overall efforts to help the employee succeed

Step 1: Facts (FOSA+) (pp.33-35)

Avoid Subjectivity & ConclusionsRemove the accusation

The 5 W’sWhat happened

When it happened

Where it happened

Who was involved

Why it happened

Step 1: Facts (FOSA+)(pp. 36-38)

Use your five senses“I saw…”“I heard…”“I touched…”“I smelled…”“I tasted…”

Step 1: Facts (FOSA+)(pp. 39-41)

Third Party ObservationsBe carefulConfront the individual with

the information

Use Witnesses with factual informationUse techniques from

previous slides

What not to write…These individual quotes were reportedly taken from actual employee

performance evaluations in a large US Corporation.

  "Since my last report, this employee has reached rock bottom.....and has

started to dig."

  "I would not allow this employee to breed.“

"This employee is really not so much of a 'has-been', but more of a definite 'won't be'."

  "Works well when under constant supervision and cornered like a rat in a trap."

  "When she opens her mouth, it seems that it is only to change feet."

  "He sets low personal standards and then consistently fails to achieve them."

  "This employee is depriving a village somewhere of an idiot."

  "This employee should go far...and the sooner he starts the better."

Step 1: Facts (FOSA+)(pp. 76-77)

Gather the accused employee’s perspective on the situation if it is a third party claim

1. Approach using the techniques described○ Five senses○ Facts

2. LISTEN○ This will likely be a shock to the employee○ Assure them you are only investigating, not accusing○ Take notes and read them back to the employee (Why?)

Another good approach is copy your notes from that conversation

Step 1: Facts (FOSA+)(pp. 76-77)

Objectively analyze all the facts Ensures your information is complete

Ensures you are proceeding in a fair objective manner

Opportunity to compare situation to other disciplinary actions for consistency

Have a third party review your conclusions (VP or HR)

DECISION POINT

Facts Collected

Documented effectively

Analyzed

Reviewed (with VP or HR)

Decide appropriate discipline - Training- Counseling- Verbal warning- Written warning- Final written warning- Termination

Step 2: Objectives (FOSA+) (pp.

44-51)

When writing think:SpecificPositiveRequiredCompleteAchievable

Performance ObjectivesGive the employee a specific behavior pattern to follow

OR

Set specific result for the employee to achieve

Step 3: Solutions (FOSA+) (pp. 51-53)

“Offering an employee solutions to help him or her resolve a problem is one of the most important steps you can take.”

Solutions don’t have to be elaborate, just effective.

Step 4: Action (FOSA+)(pp. 54-56)

What must be communicated in “Action”?

1. The specific action you are taking now and scheduled follow-up

e.g. - Training- Counseling- Verbal warning- Written warning- Final written warning- Termination

2. The action you will take if the employee’s behavior falls short of the objectives.

Step 5: Plus (FOSA+) (pp. 57-

59)

Stay positive and work as a coach

Communicate that this is to help not hinder. Remember definition of discipline

This is not punitive We are communicating the need to change If Actions are not met, you defined the consequences in Step 4

(Actions)

Progressive Discipline (p. 60)

TrainingCounselingVerbal WarningWritten WarningFinal-Written WarningTermination

Steps are subject to being skipped at discretion of VP and HR

Consistency = Managing similar situations the same e.g. gross misconduct

NDUS HR Policy 25:Job Discipline/Dismissal

If the Progressive Discipline results in the following consequences: Dismissal from employment Suspension without pay Demotion to a lower pay rate

Adhere to requirements set forth in NDUS HR Policy 25

Meeting with the EmployeeStep 1: Preparation

Be thoroughly prepared (over-prepared) Documentation Policies Etc.

Make sure your facts are accurate

Ask HR and/or another manager to be present Why?

Prepare a written FOSA+ Summary as documentation for the file Add signature lines

Video of a poor review (Click Here)

Meeting with the EmployeeStep 2: The Meeting

1. Tell the employee why you are meeting

2. Emphasize the “+” - Plus Here to make aware and help

3. Explain the “F” - Facts Allow the employee to ask questions Do not argue facts If an unknown fact presents itself that raises doubt, put the process on hold

immediately Ensure the employee understands the purpose and facts

Example Video of miscommunication in the meeting (Click Here)

4. State your “O” - Objectives

Meeting with the EmployeeStep 2: The Meeting

5. Ask the employee for their suggestions on how to improve.

They will likely match, which is good Why?

6. State your “S” – Solutions

7. Summarize with your “A” – Actions

8. Sign and Date the form for the file Signature acknowledges the information was shared, not that

they agree

Meeting with the EmployeeStep 3: Follow-up

Schedule regular follow-upsi.e.

○ Daily○ Weekly○ Monthly

Citations Deblieux, Mike. Documenting Discipline. Virginia Beach:

Coastal Training Technologies Corp., 1995.

Questions?