Documenting Employee Disciplinary Actions Demands Attention to Detail

In the best of all possible worlds, every employee is engaged, productive and compliant with organizational policies. Back here on Planet Earth, most employers must occasionally take disciplinary action against employees.

When this situation arises at your organization, it’s important to bear in mind that you could be on precarious ground. Although you have every right to enforce legally sound employment policies, haphazardly or inconsistently applied discipline can leave you vulnerable to costly lawsuits and hurt your employer brand.

Put it in writing

Proper documentation is among the best ways to help protect yourself and ensure that your disciplinary actions have the desired effect — positive change. You’ve got to put the problem and solution in writing. Here are some best practices to consider:

Define expectations. Many workplace disciplinary issues arise from miscommunications about what employers expect from employees and what employees come to believe they can or should do.

For example, let’s say you have an employee who’s chronically late. Simply telling the person, “Get to work on time,” isn’t ideal. State in the documentation the specific time the employee should be on-site or online and ready to work.

Setting expectations can be trickier for more complex disciplinary issues. In these cases, supervisors may want to meet with human resources staff and others to review the job description of the employee in question and develop clearer instructions on how to proceed.

Describe problems in detail. Vague or confusing descriptions of what prompted disciplinary actions can only exacerbate already contentious situations.

For instance, writing “constantly rude in meetings,” may describe the problem in general but provides no specifics about what’s actually going on. Documentation should include pertinent details about bad behavior such as:

• The date(s) and specific location(s) it occurred,
• The actions that constitute inappropriate behaviors, and
• How those actions violate organizational policy.

Of course, not all disciplinary actions are prompted by bad behavior. Sometimes you need to give guidance to employees who aren’t misbehaving but, rather, falling short of expectations.

In these cases, specificity is also critical. Phrases such as “poor effort” or “lack of productivity” generally aren’t helpful. Instead, express in detail what they’re failing to do and how their shortcomings conflict with their job descriptions and other stated directives.

Give employees a voice. Many employers view disciplinary actions as a one-way street. They inform troubled employees of infractions or shortcomings and mandate corrective measures. Yet doing so tends to create a confrontational and punitive atmosphere that may leave both parties unhappy.

As part of your documentation process, ask troubled employees for their sides of the story. In some cases, how they respond may not materially change the situation in question. However, giving them the opportunity to explain can reveal critical details that may soften your view. It may also reveal needed changes to your policies, procedures, working environment and/or technology.

Create comprehensive action plans. The final section of every employee disciplinary action document should answer the simple question, “What next?” Lay out both the specific actions troubled employees should take and the timeline over which those actions should occur. Set deadlines and be sure supervisors are trained to follow up.

Last, be sure action plans state the consequences of failing to comply. These may include adverse employment actions, such as termination or demotion, so don’t hesitate to consult an attorney to ensure you’re on solid legal footing.

Do your homework

Employees’ misbehavior and lack of productivity can have a serious impact on employers’ financial stability. A well-thought-out documentation process for disciplinary actions can help discourage lawsuits, protect you in court, and convey to staff that you take these matters seriously and have done your homework.

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