“John:
This is a memo to document our recent oral counseling. I put you on notice that your behavior at the staff meeting was unprofessional and inappropriate. Do not do it again, or you will be written up.
Susan”
“September 6, 2021
Gabby:
This is the second time I have disciplined you for being late to work. Seems like you think you are somehow special and the rule doesn’t apply to you. If you do it again, you will be suspended without pay. This is very serious.
Lamont”
“Janine:
I am writing you up because you were disrespectful and insubordinate to me today. I will not tolerate that behavior from you. The next time you do it, I will fire you.
Jeromy”
Over the many years whether working as a management employment lawyer, human resources executive or consultant I have read proposed disciplinary letters similar to the three above. All come from a place of authenticity: the supervisors have observed conduct that is unacceptable in the specific workplace. However, something is missing. As an outsider reading these, many questions come to mind:
- What was the specific workplace conduct that was unacceptable, unprofessional or inappropriate?
- Where and when did it take place?
- Did the employee know it was unacceptable, unprofessional or inappropriate? If so, how?
- Was the conduct reasonably related to the employee’s job description? If so, how?
- Does the disciplinary action fit the infraction?
To draft a concise disciplinary memo, those questions should be answered. It’s important to remember that a third party may end up reading the document, and she or he would have some of the same or similar questions.
Acts and Facts: A Workplace Communication Must – The Critical Tips:
- State the specific workplace conduct (that is the subject of the disciplinary action)*.
- Indicate where and when the conduct took place.
- Remind the employee how she or he knew the conduct was unacceptable, and how it was (reasonably) related to the job.
- Check to ensure the disciplinary action is appropriate to the infraction.
- Ask another person (someone from HR or another peer) to read the proposed document and to indicate what he or she understands took place, and why the disciplinary action or actions were appropriate.
* why is “that the subject of disciplinary action” in parenthesis? Although this blog is focused on disciplinary action, communicating acts and facts is applicable to any workplace situation.
Before we get started applying the tips, visualize an onion and start peeling back the layers. When the individual documenting the conduct does that, he or she can get down to the “acts, facts or events,” avoiding the trap of writing “conclusions, opinions or attribution of motivation” by continually asking him or herself “what, when, where, and how.” The aim is to draft something so clear and fact-based that a neutral third party could read the document and understand exactly what happened that caused the supervisor to mete out disciplinary action. Hopefully, that third party will conclude that the conduct was inappropriate, unprofessional, or unacceptable, which was what the supervisor had concluded based upon her or his understanding of the facts. This goal is particularly important should the employee challenge the disciplinary action to a person or agency that could become involved on the employee’s behalf – someone more senior than the supervisor at work, a union representative, and/or an outside governmental agency.
Now, let’s revisit the disciplinary documents above, and see how the write-ups could have been clearer.
Tip #1: State the Specific Workplace Conduct (that is the Subject of the Disciplinary Action):
“John:
During yesterday’s staff meeting, I observed you with a cellphone on your lap during team member Lucinda’s presentation. Also, I observed you turn to Kelsey, who was seated in front of you, and whisper something into her ear . . .”
“Janine:
Today during a team meeting with two of your subordinates, you interrupted me three times. The first time, I let it pass; the second time, I indicated I wanted to finish and asked that all questions and comments be held to the end. Nonetheless, you interrupted me a third time . .”
Tip #2: Indicate Where and When the Conduct Took Place:
“Gabby:
Today, September 24, 2021, you were 10 minutes late for work. This is the second time this week; you were also tardy on Tuesday, September 21, 2021. On that day you were 15 minutes late for work . . . “
Tip #3: Remind the Employee How she or he Knew the Conduct was Unacceptable, and How it was (Reasonably) Related to the Job.
“John:
In my memo dated October 13, 2019, I advised all staff that we would hold weekly staff meetings each Monday at 3:00 pm to debrief the previous week’s work, and plan for the current week. These meetings are mandatory for all staff members . . .”
“Gabby:
The position you hold – receptionist – is crucial to the operation of the Company, and the person in it must be on time to work to open up the office, receive all voicemail messages and faxes, send them to the appropriate staff member, and answer incoming calls. Please remember that during the interview for this position, I made it clear that the successful candidate must be on time each day and asked “is there anything that would prevent you from being here each day at 8:00 am.” You stated “no, I can commit to being here each day at 8:00 am. . . . “
Tip #4: Check to Ensure the Disciplinary Action is Appropriate to the Infraction:
Consider this: Jeromy advised Janine that the next time she was “disrespectful,” he would terminate her. Digging deeper, we learned that the infraction Janine committed was interrupting Jeromy three times – after having been asked not to do so the second time. Unless Janine has committed numerous other infractions, termination appears too harsh, and seems to be related more to Jeromy’s conclusion as to her conduct and attributing motivation to Janine. He viewed her as disrespectful. What if Janine was merely overly excited and couldn’t wait to get her comments out?
Regardless of her motivation, since it doesn’t really matter, her conduct was inappropriate. Likely an oral warning or a formal written letter would be sufficient. (NOTE: many supervisors confronted with this fact situation, would interpret Janine’s failure to follow Jeromy’s instructions as insubordination. However, this would only be considered insubordination had Jeromy stated “Janine, I am giving you a direct order. If you fail or refuse to follow it, you will be guilty of insubordination for which you can be disciplined up to and including termination. Janine, are you failing or refusing to follow this direction?”)
What about: Lamont’s comment to Gabby, “Seems like you think you are somehow special and the rule doesn’t apply to you?” Does Lamont know what Gabby thinks? Of course not; regardless of what she thinks, her conduct is what is at issue. And, given Gabby’s position is that of receptionist responsible for many activities commencing at the beginning of the workday, suspension without pay would likely be warranted . . . regardless of what she thinks about the policy.
Before we explore Tip #5, which suggests having a neutral third party read the proposed disciplinary action, let’s rewrite the documents using the tips presented so far.
“September 21, 2021
John:
During yesterday’s staff meeting, I observed you with a cellphone on your lap during team member Lucinda’s presentation. Also, I observed you turn to Kelsey, who was seated in front of you, and whisper something into her ear. In my memo dated October 13, 2019, I advised all staff that we would hold weekly staff meetings each Monday at 3:00 pm to debrief the previous week’s work, and plan for the current week. These meetings are mandatory for all staff members.
As discussed in our oral counseling session, you are a senior member of the team, and my expectation is that you set the standard of conduct expected of all: no use of cellphones during meetings, paying attention to the presenter, and leaving any comments to other staff members for after the meeting. Should you fail to make immediate and sustained improvement, I will put a formal letter of discipline and notice into your personnel file.
Susan”
“September 24, 2021
Gabby:
Today, September 24, 2021, you were 10 minutes late for work. This is the second time this week; you were also tardy on Tuesday, September 21, 2021. On that day you were 15 minutes late. The position you hold – receptionist – is crucial to the operation of the Company, and the person in it must be on time to work to open up the office, receive all voicemail messages and faxes, send them to the appropriate staff member, and answer incoming calls.
Please remember that during the interview for this position, I made it clear that the successful candidate must be on time each day and asked “is there anything that would prevent you from being here each day at 8:00 am.” You stated “no, I can commit to being here each day at 8:00 am.
This formal letter of reprimand will be placed in your personnel file. Further, should you be late again, you will be suspended without pay for three workdays. Failure to make immediate and sustained improvement will lead to further disciplinary action as described.
Lamont”
“September 15, 2021
Janine:
Today during a team meeting with two of your subordinates, you interrupted me three times. The first time, I let it pass; the second time, I indicated I wanted to finish and asked that all questions and comments be held to the end. Nonetheless, you interrupted me a third time. Because of this failure to follow my direct instructions, and because of a recent dispute you had with peer Juan, for which I gave you an oral warning, I am giving you a formal letter of discipline. Failure to make immediate and sustained improvement could lead to further disciplinary action up to and including termination of employment.”
Jeromy”
Tip #5: Ask another (someone from HR or another peer) to read the proposed document and to indicate what he or she understands took place, and why the disciplinary action or actions were appropriate:
The respective HR departments reviewed all of the revised write-ups. These are the comments:
- Susan’s Letter to John: The Company’s HR rep asked why Susan had only given John an oral warning, when the conduct could have merited a formal letter to the file. HR based this upon John’s leadership status in the department, and the need for him to set a good example. Further, the HR rep concluded the conduct (cellphone on lap, ignoring his team member’s presentation, and sharing a secret with another employee) was both inappropriate and unprofessional. Because Susan had not consulted with HR prior to giving out the discipline, she indeed gave him an oral or verbal warning. Thus, the write-up was properly a documentation of an oral counseling. Lesson learned: In the future, Susan will work with HR before meting out disciplinary action.
- Lamont’s Letter to Gabby: Although the HR Director gave a “thumb’s up” to the letter and discipline, she indicated that should Gabby continue with her tardiness, the HR Director wanted to be advised and to assist with formulating a strategy to turn around Gabby’s performance. It was noted that other than tardiness, her work was above expectations. Perhaps a PIP (Productivity Improvement Plan) would be in order.
- Jeromy’s Letter to Janine: The HR Manager assigned to Jeromy’s department indicated that he would assist Jeromy in writing a PIP for Janine. The HR Manager approved of the letter, and expressed concern that perhaps Janine was not cut out to be a supervisor if she could not model better workplace conduct.
Let’s Review: Acts and Facts: A Workplace Communication Must – The Critical Tips:
- State the specific workplace conduct (that is the subject of the disciplinary action)*.
- Indicate where and when the conduct took place.
- Remind the employee how she or he knew the conduct was unacceptable, and how it was (reasonably) related to the job.
- Check to ensure the disciplinary action is appropriate to the infraction.
- Ask another (someone from HR or another peer) to read the proposed document and to indicate what he or she understands what took place, and why the disciplinary action or actions were appropriate.
Photo by Glenn Carstens-Peters on Unsplash.
