How should disciplinary action be documented?

There are several documentation methods that can be used, from supervisors originating documents that are in a short summary to reporting on each single behavioral incident. Additionally, forms can be designed to substitute for initiating original documents and that reflect an organization's procedures.

Summaries can be supported with some specific examples. Single incident documentation can be used where an employee may have limited opportunities to perform a particular task during the year. Forms can be modified to add or delete information. Also, a combination of approaches may be used.

Several sources of documentation should be used, since this will save a manager time and also provide observations from a variety of perspectives. Employees may interact differently with managers, coworkers and management.

Include employees. Incorporating employees in the documentation process enables them to keep track of their own performance, get immediate feedback and track their own progress. Employees should also be encouraged to write summaries of manager/employee conferences.

Forms should have a space for employee comments and signature. This technique provides evidence that the discussion occurred and allows the manager to assess whether or not the message came across to the employee. It also clearly creates a record of employee participation (or having the opportunity to participate if the employee refuses to participate) in the event of a future challenge to the process.

The supervisor must sign the form and the employee must be given an opportunity to sign the document. Note if the employee refuses but was given the opportunity. The supervisor's superior should review the document and sign the form.

What information should be included? Documentation should be balanced, reflecting the positive aspects of an employee's performance as well as performance problems. Your policy specifying what must be contained in the documentation of disciplinary action should be typed or written in ink and should:

• Specify the form or the format to be used.

• Provide specific background information-name of employee, employee number (if applicable), department, job title, date of hire, etc.

• Set forth the date the disciplinary document is created.

• Describe the offense and why it is an offense. Include the names of any witnesses, where the offense occurred and any other critical details. Attach duplicates of relevant documents such as time sheets or production records.

• Describe any disciplinary action that was taken or will be taken as a result of the offense.

• Describe and recap any prior verbal conversations or disciplinary actions that have bearing on the incident being documented.

• Describe what behavior is expected from the employee.

• Provide for and include the employee's version of the events.

• Specify the procedure by which an employee may exercise appeal rights, if any.

• Clearly specify what future action will occur if the offensive behavior does not cease.

• Have a space to print (or type) the supervisor's name and the employee's name.

• Specify how many copies there are of the disciplinary form, who has copies and who can have access to the form now and in the future.

• Specify how long the documentation is to be retained. You may wish to provide a method to remove and destroy past documentation from an employee's personnel file after a certain period of time if there are no further disciplinary events. On the other hand, you may not wish to ever remove the documentation and, therefore, it becomes a permanent part of the employee's file and will be retained consistent with recordkeeping requirements for personnel files.