While it’s always best when performance problems can be corrected with adequate coaching, sometimes disciplinary action may be necessary. Documenting disciplinary issues with employees is key to protecting YOU as the employer and provides your employee with clarity about what’s expected. Keep in mind that your company may have to explain a termination decision long after it occurs. The single biggest mistake leaders make when handling progressive discipline and terminations is cutting corners with documentation. Because if it wasn’t documented, it didn’t happen.

For effective, complete, and clear documentation, be sure to cover the facts; the 5 W’s:

Who…
was involved?

What…
happened?
policy, standard, or rule was violated? Be specific. Why was it a problem?

Where…
did it happen? Include the specific location

When…
did it happen? Include the date and time

Witnesses…
that observed what happened

Wrap up the documentation by filling out any other need-to-know items. Also be sure to include:

What…
you expect the employee to do as a resolution
you will do to help the employee in the resolution
disciplinary action you are taking because of the violation
will happen if the employee does not meet the expectations of improvement
A reminder of an employees at-will status, if applicable

When…
applicable, remind the employee of employment at-will status
the circle-back to check in for progress will be

Who…
should sign and date the document? The manager who prepared the document, the involved employee, and a witness (like HR)

Where…
an executed copy should be provided to the employee and put in their personnel file.

Keep in mind that the purpose of this document is to memorialize the conversation you have already had with the employee. They should not be surprised by anything they read here as you will have already asked them probing questions about what happened, why and how they can prevent it from happening again.

If you need a great template and/or a quick counsel about how to best handle and document that sticky employee relations situation, drop us a line! We’d love to help.