This document discusses the importance of proper documentation of employee performance and disciplinary issues. It provides templates for documenting performance improvement plans and disciplinary actions. The document emphasizes documenting employee conduct, setting clear expectations, providing feedback and support, and ensuring documentation is fair, consistent with company policy, and done in consultation with HR to avoid legal issues. Progressive discipline through verbal, written, suspension and termination should only be done with appropriate documentation.

1. Written Documentation
Steve Lovig, PHR, MS
Do it Well, as Often as Needed

2. The Goal:
The Management Team will become
Experts at Documentation of
Employee issues.

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Fair and Equal
• No Employment Decisions
based on Age, Gender,
Physical Disability, National
Origin, or Race.

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Misconduct v. Poor Performance
• Misconduct: Breaking rules that
govern employee conduct
– Examples….?
• Poor performance: Inability to
perform at an acceptable level
– Examples….?

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Employee Discipline
The Need to Address Misconduct

6. When Do We….
• Document Behavior …?
• Coach & Counsel …?
• Terminate …?

7. REASON
Over the past few weeks, it has
become increasingly evident that you
have not been performing your
assigned work in accordance with
what is expected of a (JOB
POSITION).
There’s a Template for That!

8. You have not kept up with your
assigned duties.
• DUTIES
• CHALLENGES, ETC
…Template (cont’d)
…You are being placed on a written
performance improvement plan. It is essential
to your success as JOB TITLE and the success
of ATI Enterprises this (PROVIDE SPECIFIC
POOR BEHAVIOR EXAMPLES) not continue.

9. CLOSING
As always… Our next scheduled
discussion date is: (DATE?)
Your Signature & Date
…Template (cont’d)

10. In signing this statement, I acknowledge
this performance counseling and I am
committing to make the effort necessary
to meet the performance expectations of
my position. I understand that failure to
meet this standard may result in further
disciplinary actions.
Employee Signature & Date
…Template (cont’d)

11. • I dreamed I was fired, so I didn't bother to get out
of bed.
• I went all the way to the office and realized I was
still in my pajamas and had to go home to
change.
• I couldn't find the right tie, so I had to wait for the
stores to open so I could buy one.
• I stopped for a bagel sandwich, the store was
robbed and the police required everyone to stay
for questioning.
• A bee flew in my car and attacked me, and I had to
pull over.
5 fairly outrageous Excuses for
Being Late to Work
(Source: CareerBuilder.com)

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Conflicting
Documentation?
– Describes inconsistent
behaviors
– Gives employees (and
courts) a choice of
outcomes

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…Ready for the Conversation
• Time and Place
• Agenda
• Documentation for:
– The employee's performance
– Defining performance for that
job

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Across the Table: Discussion
• Two-way “interview”
– Eliminates “because you
never asked me”
• Open-ended questions
– Encourages discussions

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Discipline: What’s Appropriate?
• Not all offenses are equal
• How many offenses?
• Time intervals
• Work history

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from Criticism to Improvement
• “You”
• Performance, not Person
• Clear Standards
• Generalizations &
Absolutes

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Setting Expectations
• Give them Rules
• Tell them
Consequences
• Set Example

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Addressing Conduct Before PIP
• Be specific
• Clear Expectations
• Develop Remedial Plan
• Provide Support

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A Disciplinary Encounter
• To the point
• Why; What….
• Impact
• Next steps
• Summarize
• Follow up!

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Progressive Discipline
• Document,
Document,
Document
• Verbal
• Written
• Suspension - ?
• Termination

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Consult with HR
• If you’re not sure, ASK !!
• Review file
• Similar Infractions?
• Adhere Policy

22. • Partner with HR on
Employee Issues
• No Termination - until
you’ve spoken with HR
Action Plans

23. • First - can we “rehab” Employee?
• Then - what did WE (Managers), do wrong?
Action Plans (cont’d)
• Enough training; Time for
growth?
• Did we give timely/
constructive feedback?
• Written down?

24. Document employee
issues - must have
reasonable legal grounds to
terminate employee IF /
WHEN that becomes
necessary
Documentation,
Documentation, Documentation

25. Managers may be held
personally liable !!
Don’t Set Yourself Up!

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Employees Sue Over Perf Docs
• Performance-perception gap
• Unfair
• Lack documentation
• The moon is full

27. SO…We’ve talked about….
• RECAP....
Document….Document…
Document
• Using this Information
• Fair and Appropriate
Treatment of ALL
Employees

29. Written Documentation