Discipline Done Right

Posted on May 16, 2012 in Consulting

Document, document, document is the drum beating mantra at so many HR and labor law conferences.  We are so proud as HR professionals when the supervisors we work with actually take the time to discipline employees in writing.  But what we really need is for supervisors to document smart.  I offer in this newsletter a slight variation on our traditional hymn: documenting smart is discipline done right.   

TIP ONE: Timely

An employer should discipline an employee soon after any violation of company policy. First, it is easiest to record the facts the closer the discipline follows the infraction.  Second, it gives the employee a fair opportunity to respond when the events are fresh and thereby presents the appearance (and hopefully authenticity) of fairness.  In contrast, waiting too long may provide illegitimate opportunity to a manipulative employee.   For example, an employee who has violated company policy expecting to be disciplined, instead seizes upon the employer’s delay in taking disciplinary action to make some complaint against a co-worker, manager, or the company.  The employee may try to twist the timing and argue that the discipline was retaliation. 

Timely discipline is least complicated with routine matters like absenteeism and tardiness because the policy violation is by definition time sensitive.  It becomes more difficult when the issue is generic work performance or bad attitude.   In these later situations, usually some incident creates the impetus to discipline therefore the discipline should follow soon after the proverbial straw that broke the camel’s back. 

TIP TWO:  Discipline only counts if it is in the personnel file

Documentation in the personnel file is all that will matter when it comes time to contest an unemployment claim, defend an allegation of discrimination, or succeed in front of a jury.  By definition, only written discipline assists an employer when it matters most.  All discipline should be delivered in person first orally and then in writing or simultaneously in writing with an in person meeting to discuss the write-up.  The write-up, which should be signed by the employee and the supervisor, must be kept in the employee’s personnel file.  Smart employers even document “oral warnings,” a common first step in the discipline process. 

A write-up should have a formal appearance specifying the date, the subject matter, the author, and the recipient.  Juries never consider an email as written discipline and so neither should the employer.  

TIP THREE: Clear, concise facts

A well written reprimand is direct even to the extent of being harsh because it gets to the point promptly.  A written reprimand should state key facts, including the date of the infraction(s), the facts surrounding the violation, and witnesses (where applicable).    

Write-ups are more effective when written in the second person (“you”) with short sentences using action verbs.  Thus, “you violated company policy by missing a project deadline” or “you failed to complete the project within the deadline” are powerful sentences.    Contrast these with the less effective: “The employee is in violation of Company policy because he missed a deadline.”

Quite obviously an employer must make sure statements in a disciplinary action are accurate. A falsehood contained in a reprimand is fodder for discrimination claims.   Likewise, supervisors should avoid offering opinions in written reprimands.  Supervisors tend to suggest opinions in the context of an interest (sometimes sincere) to help a struggling employee through difficult times.  However, most managers are not trained or equipped to handle any serious issues that an employee might have. Managers should instead focus on the poor performance about which they have personal knowledge and not try to remedy in a written reprimand or other counseling any personal problems the employee might have that the manager suspects as the root of the problem.

The reprimand should explain how the employee can improve, whenever possible, and in all cases, the employee should be told the consequence of further violations. 

TIP FOUR: Avoid double jeopardy

A person cannot be tried twice for the same crime.  Employers should consider the same concept when disciplining employees.  Once an employer has informed an employee of the selected discipline the employer should not change its mind and inflict harsher discipline.  For example, it just does not make sense for a supervisor to issue a written warning and then have the Vice President later decide to move forward with termination based on the same offense.  An employer needs to make up its mind.

I hope that you found this blog insightful and will share it with others.  As always, feel free to send me a note if you would like me to write about an Employment Matters® topic of interest to you.


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