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?