Feedback Form
Home Features Mastermind Forums About Advertise Blog Network Contact Be An Author

Protect your Company by Properly Documenting Employee Discipline

Protect your Company by Properly Documenting Employee Discipline

 

Compliance with your important policies is, of course, the primary goal of any disciplinary system. However, when employees cannot be motivated to cooperate, despite your best efforts, employers need a system in place that documents all of the corrective action measures they took.  Without an adequate documentation system, employees become confused about what's really expected of them and your company is vulnerable to the results of that confusion: low morale, decreased production, and wrongful termination suits.

You can avoid this confusion by making employees aware of what exactly is expected of them at their original orientation. This should be reinforced during regular periodic reviews.  However, between reviews, if employee behavior or performance is not adequate, it needs to be discussed immediately with the employee, and those discussions needs to be documented and organized into the employee's file in order to prove "due process" if the matter ever ends up in court.

Proper compliance with due process laws and precedents gets tricky when it comes to documenting a series of violations.  An employee may do many things wrong. Still, the rule of thumb is that an employer needs to document a particular violation or inadequacy, and his or her attempts to improve that situation, at least three times before termination is justified. That's not three violations of some policy.  What's required is generally three violations of the same policy!

Employers with a properly drafted policy and enforcement system may occasionally "bundle" offenses. Bundling allows offenses that are relatively unrelated to be lumped together for purposes of documenting poor performance. The accumulation factor often plays an important role in justifying terminations because it documents that workers are not rehabilitating themselves or taking prior warnings seriously. However, bundling violations is really a fallback position when employers don't have adequate documentation on a particular type of violation.  Documenting and grouping similar violations together is therefore an important goal.

Here are some other important goals in documenting your good-faith efforts to improve behavior/performance:

1. Clearly state in writing the nature of the problem and, if possible, how the employee's performance or conduct damaged the company.

2. Provide a clear and un-equivocal warning that failure to improve will result in discipline, up to and including termination.

3. Provide successive written warnings, proving that the employee's violations or poor performance continued despite repeated efforts to correct the problem.

4. Show that discipline was doled out in a fair and consistent manner, so that any worker would reasonably expect to be terminated under similar circumstances.

The typical progressive discipline formula begins with a verbal warning and progresses to two written warnings before the final written warning is given. The number of warnings, of course depends on the severity of the violation.  If the violation ceases, then the process ceases.  However, if it continues, the progressive disciplinary process continues all the way to termination. 

Prior to termination of the employee, the HR manager will want to double check the records to make sure that action is defensible. Ask yourself if your records would prove to a jury, who is more than likely all rank and file workers, that you did everything possible.  If that answer isn't "Yes," it might be wise to put off termination until you gather more written justification. 

There are basically three ways to document your disciplinary procedures. You could set up a computer data base that will produce reports by employee per type of infraction.  It's important that the employee gets some sort of written notice of deficiency on all but the first warning. (Writing up the first verbal warning is optional.)  It's also important that you note in the report his or her response.  Was the employee belligerent?  Did he or she agree with the criticism?  These are all important notes regardless of the form of documentation. 

The second possible form of documentation would be a simple two part form that details the infraction or deficiency.  The employee would get a copy, and one copy would go in the employee's file.  If this is a repeat offence, you need to attach this report to all other records of a similar offence.  When you have two similar offenses, you need to warn the employee that his/her job may be in jeopardy if the deficient behavior isn't corrected, and document their response to that as well. This gives your documentation "teeth," proving that the employee was informed of the violation and the consequences of not correcting the behavior.

The last documentation option is a multi-part disciplinary form where each sheet is longer than the preceeding one.  You would use one of these for each type of policy violation. This way, the employee gets the top copy and the rest of the form goes in the employee's file for future infractions.  If you use one form for each type of violation, you won't have to manually look through the file for previous offences of a similar nature.  Also, each time you pull the partially used form out of the employee's file, they know what's coming (particularly if sheet 3 or 4 is a pink slip), and this visual aid will help them take the disciplinary action very seriously.   

Whatever documentation option your set up, it's important to follow through on each step consistently and carefully, explaining the issue and recording the employee's response.  If the employer's corrective action program is inadequate, or if any of the required steps in documenting repeated violations of a particular policy are not thoroughly adhered to, your position will more than likely not be defensible, which can be very expensive and a PR nightmare.

Wrongful termination suits are a nuisance at best.  They can cost your company back pay, and damages, and the respect of your employees. Having a proper system of routine disciplinary steps in place and carrying them out consistently improves employee/employer communications.  That improves morale.  In cases of safety violations, careful and consistent enforcement of policy may even save lives. 

Consistency is key to the process. Workers have the right to predictable employer responses when a rule is violated.  Failure to follow through on threatened consequences damages the credibility of the disciplinary program among employees, and sets an unintended precedent.

Discipline also needs to be appropriate for the offense. Occasional poor performance is certainly actionable, but usually not cause for termination. An employee's performance and prior disciplinary record certainly must be taken into account.  You need to consider it, because a jury certainly will! 

The employee also needs a fair opportunity to correct behavior or performance. Administering discipline without allowing an employee to respond is just asking for trouble.  Taking corrective and progressive disciplinary action is really an art.  However, developing that art is an increasingly necessary part of every human resource manager's job description.

 

 

 





Protect your Company by Properly Documenting Employee Discipline - To learn more about this author, visit Hunt Henion's Website.

Like this article? Share it with your friends

Article Feedback
 Article Feedback No article feedback found.
  Leave Your Feedback
article feedback

Article Feedback
Jeff Foster
WebBizIdeas.com is a Minneapolis website design company founded to help people start an internet business by providing them with website, business, and internet resources that help foster the growth of successful online businesses and develop innovative Internet business ideas.  We specialize in internet consulting & internet marketing
- Visit Jeff Foster's Website

John Power
John Power, founder of Biltmore Franchise Consulting, has extensive experience developing and marketing franchises and business opportunities. He has been in and around franchising for over twenty years. From 1980 through 1990 he conceptualized, organized, and developed the American Video Association. He grew AVA to 2,000 national members, before selling the company it 1990. It was later merged into another home video marketing company. From 2000 to 2005 he worked as a contract marketing and human resources consultant to several local and national companies. In 2005 Mr. Power began working as a franchise development consultant on a full-time basis. Since that time he has helped more than three dozen companies initiate and develop their franchising program. He notes that there are many companies interested in developing a franchise program, and who need his specialized assistance. Mr. Power is a “hands-on” franchise consultant. He said, “I am the ‘nuts and bolts’ person who tends to the details for my clients.” Mr. Power holds a B.S. degree with a major in Marketing. See: www.biltmorefranchise.com You may contact Mr. Power at: jpower@biltmorefranchise.co - Visit John Power's Website

Anne Barr
Anne Barr has over 26 years experience in sales and marketing, six years as a franchisee. She has assisted over 367 business owners and purchasers to achieve their goals in career change, transition and exit strategy. She holds the designation of Certified Franchise Executive from the International Franchise Association, Certified Business Intermediary from the International Business Brokers Association and Board Certified Broker from the Texas Association of Business Brokers. Anne is active in professional organizations, networking groups and volunteers for non-profit entities. As owner/operator of four successful businesses, Anne has proven people skills and enjoys helping clients find the right "fit" in business ownership. Visit www.FranchiseOpportunitySpecialist.com for more information about me and my company. - Visit Anne Barr's Website

Joe Dager
Joe Dager is President of Business901, a progressive coaching company providing no-nonsense direction in areas such as Lean Six Sigma Marketing and organized referral marketing. What others say: In the past 20 years, Joe and I have collaborated on many difficult issues. Joe’s ability to combine his expertise with “out of the box” thinking is unsurpassed. He has always delivered quickly, cost effectively and with ingenuity. A brilliant mind that is always a pleasure to work with.” - James R. If you want to learn more about Business901, start a conversation with us. We can be found @ Web/Blog: Business901.com Web/Blog: FundingYourNonprofit.com LinkedIn Profile Follow me on Twitter - Visit Joe Dager's Website

Dave Kurlan
Dave Kurlan is the founder and CEO of Objective Management Group, Inc., the industry leader in sales assessments and sales force evaluations, and the CEO of David Kurlan & Associates, Inc., a consulting firm specializing in sales force development. Dave has been a top rated speaker at Inc. Magazine's Conference on Growing the Company, the Sales & Marketing Management Conference and the Gazelles Sales & Marketing Summit. He has been featured on radio and TV, including World Business Review with General Norman Schwarzkopf, in Inc. Magazine, Selling Power Magazine, Sales & Marketing Management Magazine and Incentive Magazine. He is the author of Mindless Selling and Baseline Selling – How to Become a Sales Superstar by Using What You Already Know about the Game of Baseball. He created and wrote STAR, a proprietary recruiting process for hiring great salespeople, and he writes Understanding the Sales Force, a popular business Blog and is a contributing author to The Death of 20th Century Selling and 101 Great Ways to Improve Your Life, Volume 2. - Visit Dave Kurlan's Website

Staging Diva
Debra Gould, aka The Staging Diva®, is President of Six Elements Inc., an internationally recognized home staging company. Inspired by many requests from aspiring home stagers wanting to start similar businesses, Gould created the Staging Diva Home Staging Business Training Program. Gould has trained over 1000 Staging Diva Graduates worldwide to start staging businesses. Buying decorating and selling six of her own homes in four years lead to an interest in real estate staging which she turned into a career with the launch of sixelements.com in 2002. Since then she has staged hundreds of homes in addition to teaching home staging training. Gould is the author of several home staging resources including a series of popular ebooks made up of a Design Guide, Color Guide and Portfolio Guide. For more information about Debra Gould visit stagingdiva.com. - Visit Staging Diva's Website

Linda Richardson
Linda Richardson is the Founder and Executive Chairwoman of Richardson, a global sales training and performance improvement company. As a recognized leader in the industry, she has won the coveted Stevie Award for Lifetime Achievement in Sales Excellence and she was identified by Training Industry, Inc. as one of the “Top 20 Most Influential Training Professionals.” Ms. Richardson is credited with the movement to Consultative Selling and is the author of ten books on selling and sales management, including Sales Coaching — Making the Great Leap from Sales Manager to Sales Coach, and Stop Telling, Start Selling. She teaches sales and management at the Wharton Graduate School of the University of Pennsylvania and the Wharton Executive Development Center. Linda is a frequent speaker at industry and client conferences, has been published extensively in industry and training journals, and has been featured in numerous publications, including The Wall Street Journal, Forbes, Nation’s Business, Selling Power, Success, and The Conference Board Magazine. Learn more about Richardson's sales training and performance improvement solutions at http://www.richardson.com web - Visit Linda Richardson's Website

Jay Kubassek
(Jay's Full Bio: EvanCarmichael.com/jaykubassek)  In five years, Canadian-born entrepreneur Jay Kubassek went from selling mufflers at a Midas franchise to revolutionizing Internet marketing with the 2004 launch of CarbonCopyPRO, a online marketing education company, now worth over $20 million with customers in over 160 countries.

 

As an independent film producer, his upstart film fund Aliquot Films is currently producing a films with Spike Lee and Abel Fererra (starring Ethan Hawke and Dennis Hopper.)

 

Jay's entrepreneurial spirit is irrepressible. He’s the owner of five companies, a professional speaker and trainer, international real estate developer/investor, extreme sport enthusiast and emerging philanthropist. 

 

Jay resides in NYC with his wife Jamie, son Milo and dog Cooper.  Visit Jay's official website: www.JayKubassek.com - Visit Jay Kubassek's Website


To learn more about the Evan Elite Author Program please contact us.

About The Author


Hunt Henion
(Visit Hunt's Website) Hunt Henion has a Bachelor of Science in Business Administration with a speciality in Human Resources. He is the president of Hunt Henion, Inc., a 23 year old company specializing in unique and essential Human Resource form systems.

Hunt Henion is a Silver author on EvanCarmichael.com
About The Author

View Author Blog
View Author Blog

View Author Video
View Author Video

Free Downloads


Hunt Henion's

Complete
List Of
Human-Resources
Articles

Name
Email
If you enjoyed this article, get Hunt Henion's Complete List of Human-Resources Articles For FREE!

More Hunt Henion
What 2012 Means to You The Need for Manual Back Up Systems
Protect your Company by Properly Documenting Employee Discipline
Free Downloads


 
 
 


Evan Elite Authors
Leanne Hoagland-Smith  
David Barr  
John Power  
Evan Elite Authors

Become An Author
Have you written articles that would be of value to entrepreneurs? Become an expert on our site by publishing them! Expose yourself to a wide audience, drive more traffic to your website and get more sales! Click Here for details.
Become An Author

Evan's Latest Video
Modeling the Masters: Learn the true secrets behind Walt Disney's business success factors & grow your company! Video produced by Phanta Media
Evan's Latest Video

Business Opportunities
"Learn straight from Evan how you can Make a Full Time Income (And More) from a Website"

How to Start An Online Business

Click Here To Learn More
Business Opportunities



Evan's Newsletter
Get advice & tips from famous business owners, new articles by entrepreneur experts, my latest website updates, & special sneak peaks at what's to come!
Name:
Email:
Evan`s Newsletter

Free Downloads
10 Ways To Go International Icon 10 Ways To Go International
Termination Suit Icon Termination Suit
Customer Retention / Attraction Icon Customer Retention / Attraction
Referral Networking Solution Icon Referral Networking Solution
Mirror Marketing Icon Mirror Marketing
Free Downloads - Complete List

Entrepreneur Tools and Guides
Top 50 Franchising Blogs
Top 50 Franchising Blogs
Top 50 Franchising Blogs
 
Top 50 Productivity Blogs To Watch In 2009
Top 50 Productivity Blogs
Top Blogs To Watch In 2009
 
Entrepreneur Tools and Guides

SEO For Africa
SEO For Africa
Komla Tsali Adidogomé, Togo,
Komla Tsali
Adidogomé, Togo
SEO For Africa

If I Were A Startup...
John Zarei and Shaan Parekh , $516k to $1.5 Mil in 2 years
John Zarei and Shaan Parekh
$516k to $1.5 Mil in 2 years
Geoff Whitlock, $53k to $507k in 3 years
Geoff Whitlock
$53k to $507k in 3 years
If I Were A Startup... - Complete List

Famous Entrepreneurs
Bill Gates, Microsoft
Bill Gates
Microsoft
Julie Aigner-Clark, Baby Einstein
Julie Aigner-Clark
Baby Einstein
Famous Entrepreneurs - Complete List

Entrepreneur Advice
Jay Conrad Levinson, Guerilla Marketing
Jay Conrad Levinson
Guerilla Marketing
Keith Ferrazzi, Never Eat Alone
Keith Ferrazzi
Never Eat Alone
Entrepreneur Advice - Complete List

Popular Articles
(Premium Authors)

     The Thousand-Year-Old Sales Technique
By Ian Traynor
     Paint A Word Picture - Excite Your Customer
By Ian Traynor
     Selling The Sizzle Not The Steak
By Ian Traynor

Have A Suggestion?
Toronto Salsa Classes / Toronto Salsa Lessons Email us your ideas on how to make our website more valuable! Thank you Sharon from Toronto Salsa Lessons / Classes for your suggestions to make the newsletter look like the website and profile younger entrepreneurs like Jennifer Lopez and Sean Combs!
Have A Suggestion?

More Evan Carmichael
More Information