Documenting Discipline

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  • Analyze data – Example: Employee builds wall in 7 days, standard in community is 5 days.
  • Documenting Discipline

    1. 1. 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”
    2. 2. 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)
    3. 3. 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
    4. 4. Step 1: Facts (FOSA+)(pp.33-35) Avoid Subjectivity & Conclusions  Remove the accusation The 5 W’s  What happened  When it happened  Where it happened  Who was involved  Why it happened
    5. 5. Step 1: Facts (FOSA+) (pp.36-38) Use your five senses  “I saw…”  “I heard…”  “I touched…”  “I smelled…”  “I tasted…”
    6. 6. Step 1: Facts (FOSA+) (pp. 39-41) Third Party Observations  Be careful  Confront the individual with the information Use Witnesses with factual information  Use techniques from previous slides
    7. 7. 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 wont 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."
    8. 8. 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
    9. 9. 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)
    10. 10. 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
    11. 11. Step 2: Objectives (FOSA+)(pp. 44-51)  When writing think:  Specific  Positive  Required  Complete  Achievable  Performance Objectives  Give the employee a specific behavior pattern to follow OR  Set specific result for the employee to achieve
    12. 12. 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.
    13. 13. 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 - Termination2. The action you will take if the employee’s behavior falls short of the objectives.
    14. 14. 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)
    15. 15. Progressive Discipline (p. 60)  Training  Counseling  Verbal Warning  Written Warning  Final-Written Warning  Termination Steps are subject to being skipped at discretion of VP and HR Consistency = Managing similar situations the same  e.g. gross misconduct
    16. 16. 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
    17. 17. Meeting with the EmployeeStep 1: PreparationVideo of a poor review (Click Here) 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
    18. 18. Meeting with the EmployeeStep 2: The Meeting1. Tell the employee why you are meeting2. Emphasize the “+” - Plus  Here to make aware and help3. 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
    19. 19. Meeting with the EmployeeStep 2: The Meeting5. Ask the employee for their suggestions on how to improve.  They will likely match, which is good  Why?6. State your “S” – Solutions7. Summarize with your “A” – Actions8. Sign and Date the form for the file  Signature acknowledges the information was shared, not that they agree
    20. 20. Meeting with the EmployeeStep 3: Follow-up Schedule regular follow-ups  i.e. ○ Daily ○ Weekly ○ Monthly
    21. 21. Citations Deblieux, Mike. Documenting Discipline. Virginia Beach: Coastal Training Technologies Corp., 1995.
    22. 22. Questions?

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