Documenting discipline is one of the most important tasks you will perform as a manager. Proper documentation will increase the chances that an employee will correct a work related problem. If the problem is not corrected however, your documentation will demonstrate your efforts to work with the employee to correct the problem and will reduce legal liability for you and your organization.
The word "discipline" means, " to train (a person) to act according to the expected norm."
Keeping an incidents journal or diary will assist you in managing your employees effectively. The diary should include events that are of importance in tracking issues of employee performance. Your diary is a record of interactions that relate to a particular employee. This journal is kept with the purpose of helping the employee to overcome difficulties and improve performance. It is not intended to be used to build a case to fire an employee. It is not intended to be secret from the employee. Anything that is important enough to document is also important enough to discuss with the employee directly.
Document things such as:- Conversations about work assignments
- Coaching and problem solving sessions
- Positive feedback about improvements
- Disciplinary action
Where should you keep your diary?
Many managers keep these records in their calendar or on their computer. Some keep a paper file. Where ever you keep it, keep it accessible and keep it up to date.
What to record?
- Accomplishments, positive feedback for the employee
- Document times when the employee meets or exceeds work expectations
- Performance expectations
- Document the details of an assignment or project given to an employee regarding expectations of outcome, deadlines and objectives. You may also document counseling of an employee regarding routine duties and expectations if the employee is having performance problems in those areas
- Corrective conversations
- Note all instances of counseling an employee related to improving employee performance. These conversations may be formal or informal, remember to document issues from an early stage. You must demonstrate that you began addressing the issue with the employee as soon as you became aware of the problem
- Progressive Discipline
- Note each progressive step in your interaction with the employee regarding performance issues. Make brief note of oral and written warnings as well as suspensions and terminations. This information, while also contained in memos or letters, will help to keep your records complete
Your journal is an ongoing record of your work to help your employees succeed in their jobs. It can be used to enhance performance evaluations by providing specific details about improvements and good performance. In the event that the employee is not successful in their job, this record can help to show that you did an effective job of managing the situation.