In general, the disciplinary letter consists of three parts: (1) the salutation, (2) the body, and (3) the manager-employee signature area. The salutation directs the letter to the employee, the body presents the main text of the letter, and the signature area provides lines for, and identifies, the respective signatures of manager and employee.
Obviously, the body of the letter requires the most work, and the most guidance; thus it will be our focus here. Salutations and signature areas will be shown in the sample letters I have included.
Outline for Verbal Discussion
As you know by now, it is critical to document a verbal discussion—what you say to the employee, and what the employee says to you, during the performance counseling session. Don’t forget: if you prepare good, thorough notes for the session, and convey their information to the employee, you will have a head start on this documentation. When organizing the body of your letter, use the outline on the next page and the related comments that follow it.
1. Introduction
• Date and time of meeting
• Statement of employee’s need to devote attention to, and to comply with, goals “as discussed today and outlined in this letter”
2. Issue development
• Stated reason for meeting
3. Main text
• Problem/issue definition; what goals are not being met
• Description of the behavior to change; definition of expectations
• How employee can meet expectations; the performance goals and the plan that manager and employee have agreed on
• Timelines
• Course of action if objectives are not met
4. Closure
• Timetable for follow-up meeting
• Positive statement
Introduction
Writing the introduction can be a difficult task, but it is quite important because it sets the tone for the rest of the letter. Always note the meeting’s date. Including the time is not crucial, but it does emphasize the significance you are attaching to the meeting and disciplinary discussion. Use it as you deem necessary.
You should always state the employee’s need to pay attention to the letter’s contents and to comply with the goals you will specify therein. The phrase as outlined in this letter is a useful modifier. For instance:
This letter serves to confirm our discussion concerning a work-related issue needing your immediate attention as outlined in this letter.
Our meeting today was specifically designed to detail performance expectations for your position as outlined in this letter.
Here are other examples of opening statements:
• Today, [date], at [time], we discussed a work-related issue, outlined below, which needs your immediate attention.
• This letter serves to confirm your need to pay attention to, and comply with, the goals discussed today, [date], and outlined below.
• Per today’s discussion and your agreement, the [performance] issue we discussed will receive your undivided attention.
• It is important for your future employment with the company that you work diligently toward the objective we set today, [date].
• As of today, [date], we discussed your need to improve your performance as specified below.
• As of today, [date], you have agreed to comply with the goals and standards set forth in this document.
• Your continuing attention to the work-related issues we discussed today and outlined below is necessary to demonstrate your commitment to change.
Issue Development
You now start focusing on the issue. A general statement about the issue will prepare the way for further definition in the main text of the letter.
It is often useful to preface such statements with per our discussion or as we have discussed. This reinforces your document’s legal strength because it confirms the discussion. Below are some sample development statements for cases of absenteeism, tardiness, and performance-related issues.
Absenteeism
• This meeting was called because you must improve your overall rate of absenteeism.
• Your continuing absenteeism cannot be tolerated.
• Your failure to adhere to company standards for absenteeism is affecting your ability to meet departmental objectives.
• Your failure to comply with normal rates of absenteeism is negatively affecting your ability to meet your position’s objectives.
• Your absenteeism rate is becoming a morale issue to the department.
• Your pattern of absenteeism is unacceptable.
• Your absenteeism is excessive and unacceptable, and must improve immediately.
Tardiness
• You must find ways to reduce your instances of tardy behavior.
• Your tardy rate is above the departmental average and is interfering with your job performance.
• Per our discussion you must find ways to control your rate of tardiness.
• You need to consider the impact of your tardy behavior on the department [or coworkers].
Performance-Related Issues
• You must develop a more thorough understanding of the process, including [specifics of process].
• You must devote immediate attention to thoroughly understanding the specific job duties of your position, including [specific job duties].
• There are specific aspects of your position where you are not performing up to expectations, including [specific aspects].
• You continue to violate the company’s work rule concerning [smoking, safety, extended break periods, and so forth].
• You must take the time to learn more concerning your assigned tasks, including [specific tasks].
Note the repeated use of including in the samples for performance-related issues. This lets the employee know what the specific area of the problem is and acts as a bridge into further issue definition. A detailed example:
You must take the time to learn more about the assigned tasks, including:
(1) How to enter journal-ledger entries according to GAAP and divisional requirements.
(2) How to quickly retrieve information from the mainframe computer.
The manager who is dealing with this sample issue would detail, in the next portion of the letter (the main text), just what the specific performance problems are; for instance, that the employee’s entries require constant review and that he or she spends excessive time on information-retrieval.
Main Text
This is where you focus on the specifics of the discussion—the issue definition, the goals not being met, your expectations for change, the performance plan you and the employee have agreed on, the timelines, and the course of action you will take if the employee does not improve the problem behavior. (See also page 70, Performance Counseling Format.)
Here is an example for absenteeism:
As we have discussed, you missed nine days of work in the past two months, on January 10, 13, 22, 25 and 27 and on February 9, 12 and 13. This rate of absenteeism is substandard according to company goals and policy, and has had a negative impact on the productivity of the department. This performance is unacceptable. To conform to company standards, you must reduce your absenteeism rate by 60 percent. According to our discussion, you have agreed to meet the company standard from this day forward and to support any absences for medical reasons with a physician’s statement, which will be subject to verification. As you know, failure to meet your stated goal will result in further disciplinary action.
You might personalize some statements by adding an opening phrase such as “Now is the time.” For instance, “Now is the time for you to improve your on time performance, or we will have no choice but to place you on a written.”
As mentioned earlier in the guidebook, goals should always be obtainable—they may “stretch” the employee’s abilities, but should never set the employee up for failure. Your discussion of goals should focus only on what the employee can reasonably meet, and the documentation should accurately record that discussion. “Failure goals” will not motivate and are subject to intense scrutiny in wrongful-discharge litigation.
Closure
Set the timetable for follow-up meetings, and end on a positive statement. Emphasize the employee’s commitment to change, and make sure the employee knows you will be available for help at any time. For instance:
• The company expects you to make every effort to comply with the performance improvement plan we discussed and as outlined in this letter. I am confident you will make these efforts, and I am ready and willing to assist you whenever necessary.
• According to your stated commitment, you have agreed to work diligently toward meeting the performance objectives we discussed and as detailed in this letter. I trust you will make every effort to improve. If I can help you in any manner, please let me know.
How does all of the above come together in the actual letter? To find out, take a look the sample document on the next page.
Outline for Written Discussion
As the written discussion is the second step of the disciplinary process, your documentation should specify the employee has not met the goals agreed to in the meeting (performance counseling session), and that further non-compliance will prompt a final. Remember: it is important to validate the document with the employee’s signature to prove he or she received a copy of the document and that the meeting took place.
The outline is similar to that of verbal discussion, but emphasizes the employee’s non-compliance and need to recommit to the change effort. The outline is shown on page 97.
Introduction
State present date and remind the employee of date of session. Also mention the date of any follow-up meeting. Your statement of employee’s need for attention and compliance to agreed-on goals should set those goals in the context of the prior meeting and documentation of that meeting. Be sure it is clear you are restating the goals here. The employee and any third party who sees this document must understand these unmet goals are a continuing problem.
Basically, issue development for absenteeism, tardiness, and performance-related issues is the same as the issue development for verbal discussion. For examples, see previous section on the outline for verbal discussion.
Main Text
Restate the problem definition and explain what goals the employee is still failing to meet. Review your expectations and the details of the performance plan; emphasize that the employee agreed to follow the plan and must begin to comply with that agreement. Set new timelines, and explain that final action will be taken if the goals remain unmet at those times. The main text in the sample letter on the page 98 illustrates the above.
Closure
In closing the letter, you must stress the need for the employee’s recommitment to the performance plan. Always end on a positive note, reminding the employee that you are available for further help. This is important because it not only lets the employee know there is continuing managerial support, but also demonstrates to any third party that such support was offered. For an example, see the sample letter on page 98.
1. Introduction
• Present date; reminder of date of prior meeting (verbal discussion) and date of any follow-up
• Statement of employee’s need to devote attention to, and to comply with, goals “as agreed to during our meeting [and reinforced by any follow-up], as outlined in the record of that meeting, and as restated in this letter”
2. Issue development
• Why meeting took place
3. Main text
• Restatement of problem/issue definition; what goals are still not being met
• Restatement of the behavior to change; redefinition of expectations
• What performance goals and plan manager and employee agreed on, and that have not been met and followed
• Need for employee’s recommitment to change behavior and reach stated goals
• New timelines
• Final action to be taken if goals still are not met by dates specified in timelines
4. Closure
• Emphasis on importance of compliance
• Emphasis on importance of recommitment to meet goals and follow plan
• Positive statement of continuing support
Final Discussion and Its Special Needs
As we have seen, final discussion is the employee’s last chance to alter his or her behavior before termination. It is a wake-up call and your last attempt to get through to the employee, who, for whatever reason, is clearly in a non-compliance mode. Thus effective joint problem solving takes on a heightened sense of urgency. You need to communicate that the employee must change, “or else.” And yes, at this point, discipline does sound more punitive than positive.
Outline for Final Discussion
The outline is essentially the same as the one for written discussion, which you can use as a general guide. However, in your introduction, be sure to remind the employee of the previous verbal and written discussions. Also keep these exceptions in mind:
• The language and tone in the main text should assume a more serious nature, particularly when you are discussing the final action to be taken if goals are not met by the dates specified in the timelines.
• The closure should underscore the seriousness of this final action.
Discussing Final Action. The following examples illustrate the kind of language and tone you need to convey the gravity of this disciplinary step.
• Your failure to comply with the goals set in our two previous discussions leaves the company with no choice but to place you on a final.
• Your reluctance to deal with your performance issues, as we mutually agreed, cannot be ignored and leaves us with no option but to place you on a final.
• The company cannot ignore your continuing reluctance to deal with the performance issues we outlined and discussed on several occasions. You leave us with no option but to place you on a final.
• We have had multiple conversations about your continuing performance problems. These were acknowledged by you on the dates as recorded above. Your failure to live up to your commitment to improve necessitates the need for a final.
Closure. So far, I have emphasized the need to close with as positive a statement as possible, one that will demonstrate your continuing support for the employee. This is still our goal, but now we must lay out in no uncertain terms the seriousness of the final action. For example:
• John, this is your final opportunity to comply with the goals we have now discussed on three occasions. I hope you decide to do so, but you are the only person who can make that happen. I have previously stated to you, and will restate now, that I am available to help you. Your failure to comply at this point, however, must be understood. The company’s next course of action is termination.
• You need to understand the importance of compliance at this stage of our process. Noncompliance is no longer an option, and your failure to comply will lead to termination. I have been available to help you, and I will continue to offer my support.
Our goal with language like this is to leave no room for interpretation. In meeting this goal, you may find the employee particularly reluctant to sign the document; if so, hand-deliver it according to the instructions provided earlier in this chapter.