When employees act improperly, managers often wonder how to handle the situation and how to document what happened. Good documentation can avoid legal problems and provide evidence to help your company defend against frivolous legal action.
This is a guide for supervisors who need to document problems with employees.
Best Practices for Documentation and Employee Reprimanding
Consider Using Standard Forms
Standard employee discipline forms can help ensure you capture all the important details. This includes fields for the employee’s name, date, time, location, description of the incident, policy violated, and action taken. An example of this form is included on the bottom of this page.
Conduct and Document Investigations
A full and fair investigation of the incident involves talking to key witnesses—people with direct knowledge of the incident. Write down their statements separately to preserve a clear and factual record of events. Here are some best practices:
- Promptness: Initiate the investigation as soon as possible after the incident is reported. Delays can lead to fading memories and loss of critical evidence.
- Impartiality: Ensure the investigation is conducted by an impartial party, preferably someone not directly involved with the incident or the individuals concerned.
- Confidentiality: Maintain confidentiality to protect all parties involved and to prevent undue influence on witnesses or the investigation’s outcome.
- Thoroughness: Collect all relevant information, including physical evidence, documents, and electronic records. Interview all relevant parties, including witnesses, the complainant, and the accused.
- Documentation: Keep detailed records of all steps taken during the investigation, including dates, times, and participants in interviews. Record statements verbatim where possible and have interviewees review and sign off on their statements.
- Clarity and Detail: Write clear, detailed reports that outline the findings of the investigation, the evidence collected, and the rationale for any conclusions reached.
- Consistency: Apply the same procedures and standards to all investigations to ensure fairness and consistency.
- Follow-Up: Communicate the results of the investigation to the relevant parties and take appropriate action based on the findings. Document any follow-up actions taken as a result of the investigation.
- Legal Compliance: Ensure the investigation complies with all relevant laws and regulations. Seek legal advice if necessary to avoid potential legal pitfalls.
Be Objective
Be impartial and focus on facts rather than personal opinions or emotions. Write down the specific actions that were improper instead of character traits.
Example of Bad Documentation:
John is lazy and never completes his work on time.
Example of Good Documentation:
John failed to submit the monthly sales report by the required deadline on three occasions: March 5th, April 7th, and May 10th. Additionally, John did not attend the mandatory team meetings on March 15th and April 12th without providing prior notice or a valid reason.
Communicate Consequences and Expectations
Clearly state the expected corrective actions and the consequences of failing to meet these expectations. This clarity helps the employee understand what is required to avoid further disciplinary actions.
Example:
John must submit the monthly sales report by the 5th of each month. Additionally, John must attend all mandatory team meetings and provide prior notice if he cannot attend for a valid reason. Failure to meet these expectations will result in a written warning and potential suspension. Continued non-compliance may lead to further disciplinary action, including possible termination.
Follow Up
Schedule and document follow-up meetings to review the employee’s progress. This reinforces the seriousness of the issue and provides an opportunity to offer further support or take additional actions if needed.
Train Managers
Regularly train managers on proper disciplinary practices to ensure consistent application of company policies. This training helps in avoiding potential legal issues and promotes fairness across the organization.
What to Include in Your Documentation
Incident Report
- Details: Date, time, and location of the violation.
- Description: Detailed account of the violation.
- Evidence: Any supporting evidence (emails, witness statements, etc.).
Meeting Notes
- Details: Date and time of the conversation
- Attendees: Individuals present during the discussion
- Summary: What was discussed and the employee’s response
- Actions: Agreed action steps
Formal Warning Letter
- Statement: Clear statement of the violation
- Reference: Specific company policy violated
- Previous Warnings: Mention of previous warnings or discussions (if applicable)
- Consequences: Outline future consequences
- Signatures: Signature lines for both manager and employee
Follow-Up Documentation
- Records: Notes on follow-up meetings and progress
- Additional Actions: Any further actions taken
Template: Employee Disciplinary Action
Managers can use this template either (1) for their internal documentation or (2) as a Disciplinary Notice for discussion with an employee.
Employee Information
Employee Name: _________________________________________
Employee ID: _________________________________________
Position: _________________________________________
Department: _________________________________________
Manager Name: _________________________________________
Date of Incident: _________________________________________
Incident Details
Description of Incident (include date, time, location, and detailed account of the violation):
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Policy Violated
Specific Policy or Work Rule Violated:
________________________________________________________________________________
________________________________________________________________________________
Witnesses (if any)
Names and Statements of Witnesses:
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Employee’s Explanation
Employee’s Explanation of Incident:
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
Action Taken
Action Taken (verbal warning, written warning, suspension, etc.):
________________________________________________________________________________
________________________________________________________________________________
Future Consequences
Consequences of Future Violations:
________________________________________________________________________________
________________________________________________________________________________
Signatures
Manager’s Signature: _________________________________________
Date: _________________________________________
I acknowledge that I have received this disciplinary notice and that the contents have been discussed with me. My signature does not necessarily indicate agreement with the details of this notice. If I disagree with this disciplinary notice, I may provide a written response within five business days from the date of this notice. My response will be included in my personnel file along with this notice.
Employee’s Signature: _________________________________________
Date: _________________________________________
