Documentation of employee discipline is important for three main reasons: to confirm objectively what did or did not occur, to allow for review and reconsideration of events, and to ensure consistency in disciplinary actions. Discipline should be documented regularly using notebooks, calendars, or journals, and should include details of conversations, training, counseling sessions, good and poor performance, customer complaints, and formal disciplinary actions. The FOSA+ system provides a framework for documenting discipline, with sections for facts, objectives, solutions, actions, and positive efforts to help the employee. Proper documentation involves objectively stating factual details without accusations, gathering the perspectives of all involved parties, analyzing the facts, and ensuring consistency in disciplinary decisions. Meetings

2. Documenting Discipline (pp. 9-11)
 Why is documentation so important?
1. To confirm what did/did not occur (legal)
2. Most objective, can review and reconsider
3. Consistency
 Why do we use discipline?
 Discipline = “To train (a person) to act according to the
expected norm”

3. Documenting Regularly (p. 24)
 How should I document?
 Notebook/Notepad
 Calendar (if electronic mark private)
 Journal in Outlook
 What should I document regularly
 Conversations about work assignments
 Training
 Informal counseling or coaching sessions
 Good work and kudos
 Customer complaints and compliments
 Disciplinary actions (Progressive Discipline)

4. FOSA+ System
(pp. 8-9)
F Facts to define the problem.
O Objectives that explain to the employee how to resolve
the problem
 S Solutions that can help the employee reach the
objectives
A Actions you will take if the problem is not corrected
+ Plus your overall efforts to help the employee succeed

5. Step 1: Facts (FOSA+)
(pp.33-35)
 Avoid Subjectivity & Conclusions
 Remove the accusation
 The 5 W’s
 What happened
 When it happened
 Where it happened
 Who was involved
 Why it happened

6. Step 1: Facts (FOSA+) (pp.
36-38)
 Use your five senses
 “I saw…”
 “I heard…”
 “I touched…”
 “I smelled…”
 “I tasted…”

7. Step 1: Facts (FOSA+)
(pp. 39-41)
 Third Party Observations
 Be careful
 Confront the individual with
the information
 Use Witnesses with
factual information
 Use techniques from
previous slides

8. What not to write…
These individual quotes were reportedly taken from actual employee
performance evaluations in a large US Corporation.
 "Since my last report, this employee has reached rock bottom.....and has
started to dig."
 "I would not allow this employee to breed.“
 "This employee is really not so much of a 'has-been', but more of a definite 'won't be'."
 "Works well when under constant supervision and cornered like a rat in a trap."
 "When she opens her mouth, it seems that it is only to change feet."
 "He sets low personal standards and then consistently fails to achieve them."
 "This employee is depriving a village somewhere of an idiot."
 "This employee should go far...and the sooner he starts the better."

9. Step 1: Facts (FOSA+) (pp. 76-
77)
 Gather the accused employee’s perspective on the
situation if it is a third party claim
1. Approach using the techniques described
○ Five senses
○ Facts
2. LISTEN
○ This will likely be a shock to the employee
○ Assure them you are only investigating, not accusing
○ Take notes and read them back to the employee (Why?)
 Another good approach is copy your notes from that conversation

10. Step 1: Facts (FOSA+)
(pp. 76-77)
 Objectively analyze all the
facts
 Ensures your information is complete
 Ensures you are proceeding in a fair
objective manner
 Opportunity to compare situation to other
disciplinary actions for consistency
 Have a third party review your
conclusions (VP or HR)

11. DECISION POINT
Facts Collected
Documented effectively
Analyzed
Reviewed (with VP or HR)
Decide appropriate discipline
- Training
- Counseling
- Verbal warning
- Written warning
- Final written warning
- Termination

12. Step 2: Objectives (FOSA+)
(pp. 44-51)
 When writing think:
 Specific
 Positive
 Required
 Complete
 Achievable
 Performance Objectives
 Give the employee a specific behavior pattern to follow
OR
 Set specific result for the employee to achieve

13. Step 3: Solutions (FOSA+)
(pp. 51-53)
 “Offering an employee solutions to help
him or her resolve a problem is one of
the most important steps you can take.”
 Solutions don’t have to be elaborate,
just effective.

14. Step 4: Action (FOSA+) (pp. 54-
56)
 What must be communicated in “Action”?
1. The specific action you are taking now and
scheduled follow-up
 e.g.
- Training
- Counseling
- Verbal warning
- Written warning
- Final written warning
- Termination
2. The action you will take if the employee’s
behavior falls short of the objectives.

15. Step 5: Plus (FOSA+) (pp. 57-
59)
 Stay positive and work as a coach
 Communicate that this is to help not hinder.
 Remember definition of discipline
 This is not punitive
 We are communicating the need to change
 If Actions are not met, you defined the consequences in Step 4
(Actions)

16. Progressive Discipline
(p. 60)
 Training
 Counseling
 Verbal Warning
 Written Warning
 Final-Written Warning
 Termination
 Steps are subject to being skipped at discretion of VP and HR
 Consistency = Managing similar situations the same
 e.g. gross misconduct

17. NDUS HR Policy 25:
Job Discipline/Dismissal
 If the Progressive Discipline results in the following
consequences:
 Dismissal from employment
 Suspension without pay
 Demotion to a lower pay rate
 Adhere to requirements set forth in NDUS HR
Policy 25

18. Meeting with the Employee
Step 1: Preparation
Video of a poor review (Click Here)
 Be thoroughly prepared (over-prepared)
 Documentation
 Policies
 Etc.
 Make sure your facts are accurate
 Ask HR and/or another manager to be present
 Why?
 Prepare a written FOSA+ Summary as documentation for the
file
 Add signature lines

19. Meeting with the Employee
Step 2: The Meeting
1. Tell the employee why you are meeting
2. Emphasize the “+” - Plus
 Here to make aware and help
3. Explain the “F” - Facts
 Allow the employee to ask questions
 Do not argue facts
 If an unknown fact presents itself that raises doubt, put the process on hold
immediately
 Ensure the employee understands the purpose and facts
Example Video of miscommunication in the meeting (Click Here)
4. State your “O” - Objectives

20. Meeting with the Employee
Step 2: The Meeting
5. Ask the employee for their suggestions on
how to improve.
 They will likely match, which is good
 Why?
6. State your “S” – Solutions
7. Summarize with your “A” – Actions
8. Sign and Date the form for the file
 Signature acknowledges the information was shared, not that
they agree

21. Meeting with the Employee
Step 3: Follow-up
 Schedule regular follow-ups
 i.e.
○ Daily
○ Weekly
○ Monthly

22. Citations
 Deblieux, Mike. Documenting Discipline. Virginia Beach:
Coastal Training Technologies Corp., 1995.

23. Questions?