Documenting
Discipline: What the Bosses Do
For those stewards
who question why documentation in their grievance work is necessary, I
would like to share with you some information which is put out by human
resource managers. These are the folks who counsel supervisors how to
enforce the infamous rule book our members must live by. This material
is from their training.
According to one source, their primary reason for documentation is to
avoid lawsuits. By logical extension, in a unionized environment, they
use documentation to weaken our challenges in the hearings or the
grievance procedure.
1. Outline only the critical facts: Disciplinary memos should have no
opinion, only facts which can be verified by documentation and
interviews.
2. The 5W's: Just as we use the 5W's for grievance investigation so
should supervisors use this form of investigation to assess discipline.
Who is involved in the rule violation, when did it occur, what rule was
violated, where did it occur, what discipline should be imposed and why
is it appropriate?
3. Identify the rule: The clearest case for discipline is a specific
rule violation. If the supervisor cannot come up with one and is
disciplining on some subjective standard such as "poor judgment" he/she
needs to match that charge against what is understood to be an accepted
standard of behavior or performance. The less precise the write up; the
stronger challenge we have in the grievance procedure.
4. Show that the rules was communicated to the employee: This clearly
comes under the topic of just cause. Employees cannot be expected to
follow rules if they do not know what they are. Supervisors are told to
show how the rule was conveyed to the employee.
5. Bring out the record: Major violations aside (fighting,
insubordination, theft), disciplinary action can involve repetitive
violations such as lateness, poor work performance or attendance.
Managers are counseled to produce the record showing previous related
violations including discipline and/or counseling.
The key for union stewards is that the record must be related to the
alleged violation and it must be timely. Check the time limits spelled
out in the contract. If there is a two year limit, then violations
beyond the two year limit should be pulled. Also, we often are presented
with an entire work record which the employer then uses to characterize
the member as "having a poor work attitude." Don't let this happen.
6. Document the record: Managers should attach any record related to
the rule violation to the disciplinary memo. This is important. It is
used to justify progressive discipline. Attach copies of the rule
violation in itself or incorporate it into the memo.
7. Describe the business reason for enforcing the rule: clarify for
all concerned why the rule exists. This is particularly important in a
non-union setting when an employee chooses to go to court to challenge
discipline.
8. Make clear what are any future expectations: Again this is legal
cover so that discipline is not viewed as punitive. The expectation can
simply be a restatement of the rule.
9. Show how the employer will help: This goes to the issue of
reforming inappropriate behavior and reasonableness on the part of the
employer. One management document states: "Judges and juries like to
review disciplinary documentation which indicates that an employer is
willing to help the employee solve the problem." The memo might mention
additional training or more frequent employer evaluation of work
performance.
10. Date the document and identify the author: If a supervisor ghost
writes the memo for a manager's signature, the manager must be apprised
of the content of the document he/she is signing.
11. Get the employee to sign the document: This is to indicate receipt
of the memo. It does not mean agreement with the substance of the memo.
Refusals to sign must be noted for the record to indicate that the
employee was present with the memo.
Our contention is that there are often two sides to a story and we want
the record to reflect it. This is the time we should try to get our
version of the story on the record. If you can get your version on the
same form, fine. But some managers will not allow this. So you should
get them to attach a statement to the form or letter. If this is
rejected, make a copy of the union statement and file it with the union.
It will then be included in the union record if the discipline is
grieved.
12. Keep records confidential: Only those managers who need to know
should have a copy of the memo.
Advice for the steward: Hold the company to this policy.
By understanding how managers think and why they respond to alleged
disciplinary infractions in a specific way, we can be prepared to
respond in an appropriate manner.