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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.
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