Best Practices for Documenting Employee Discipline and Behavior

Do’s & Don’ts of Documenting Employee Performance, Behavior & Discipline

Speaker: Diane L. Dee, SHRM-SCP, SPHR, CPC, SDEI

The Importance of Documentation

Why Document?

1. Protects the Organization

2. Right thing to do for the Employee

3. Provides future managers with a record

Documentation is essential for Managers & HR staff because they need to make a serious effort to record all of the events in the employment history of their employees – both positive & negative.

✓ Allows managers to organize their thoughts

✓ Provides a “script” for performance/behavioral counseling meetings

✓ Assists employees in knowing what they need to do

✓ Lessens confusion

✓ Allows the Organization’s business reasons to stand up in court

Effective Documentation

❑ Is the document understandable to a stranger?

❑ Does the document make it clear why the issue is serious?

❑ Is the criticism obvious?

❑ If YOU received the document, would you be able to create an action plan from it?

Example of Excellent Documentation Memorandum

To: Joseph Hamilton

From: David Minucci

Date: April 10, 2022

Subject: Job Performance

Recently, several areas regarding your job performance have come to my attention. It is absolutely necessary that your performance in the areas outlined herein immediately improve. This memo sets forth the specific problems, what affect they are having on the organization, and what you can do to correct the problems.

In your last performance appraisal of November 10, 2021, the appraisal noted several problems regarding your lack of effective communication. The appraisal specifically mentioned customers complaining of how you treated them and problems getting along with several team members. You were rated “Fair” under the Communication category. Since that time, I have spoken with you numerous times regarding communication problems, specifically on December 20, 2021, January 13, 2022 and February 28, 2022.

Unfortunately, I have not seen significant improvement in these areas and problems continue to arise.

On March 28, you took a call from Andrea Edwards, Assistant Vice President for Green Leaf Brands, Inc. Ms. Edwards requested that you send her information regarding the product you were working on. Ms. Edwards indicated that you told her you were busy, that you did not have time to talk with her, that she would not understand the product anyway, and that she should contact someone else. Then you hung up on her. Ms. Edwards indicated that she then left you three voice messages and two emails to which you never replied.

After I received an irate call from Ms. Edwards on April 1, I spoke to you about it that same day. You indicated you had spoken with her on March 28, you did tell her you were busy and that she probably should talk to someone in her department. You indicated you did not remember telling her that she would not understand the issue. You did remember hanging up on her and not returning her voice messages or responding to her emails.

The company’s Employee Behavior policy (reference the Employee Handbook on page 28) states: “It is the Company’s policy that certain rules and regulations regarding employee behavior are necessary for the efficient operation of the Company and for the benefit and protection of the rights and safety of all employees. Conduct that interferes with operations or brings discredit to the Company will not be tolerated.”

Even assuming your version is correct, your actions are unacceptable and violated the Company’s Employee Behavior policy. All employees must support our customers. It is extremely important that we give professional, courteous support to every customer. You admitted telling Ms. Edwards that you were too busy, hung up on her and did not return her calls or respond to her emails. These are all examples of poor communication, poor customer service and such conduct clearly brought discredit to the Company.

Effective Investigations

❑ Goals of an effective investigation

▪ Be fair & objective

▪ Come away with a written record that will support a later decision to impose discipline

❑ Key elements

▪ Thorough documentation

▪ Timely notice & opportunity for employee to respond

▪ Appropriate level of discipline is employed

❑ Role of Human Resources

▪ View HR as an ally

▪ Consult HR early in the process

▪ Utilize HR’s expertise

Effective Feedback

✓ Needs to be specific, timely & frequent

✓ Useful feedback focuses on a specific behavior, not the employee

✓ Best feedback is sincerely & honestly provided to help

✓ Successful feedback describes actions/behavior that the employee can do something about

✓ Feedback involves what or how something was done, not why

All employees are expected to meet performance standards & behave appropriately in the workplace. The goal of corrective action is to guide the employee to correct performance or behavior by identifying the problems, causes & solutions, not to punish the employee.

Employee Reactions to Disciplinary Decisions

➢ Sense of unfairness

➢ Surprise

➢ Hurt feelings

➢ Resentment

➢ Sense of injustice

➢ Revenge

Final Actions

➢ Termination should not come as a surprise

➢ Requires honest communications about deficiencies

➢ Complaints of misconduct/poor performance were investigated promptly & thoroughly

➢ Correct action was imposed where misconduct/poor performance was found

➢ Misconduct & poor performance were documented

• Document accurately

• Document facts, not opinions or interpretations of the employee’s actions

• Record direct observations of actions & results

• Do not rely on memory

• Do not include documentation that is not behavioral

• Be consistent

Thank you!