It s All About that Documentation

Transcription

1 March 2015 It s All About that Documentation Sharon K. Stull, J.D., SPHR-CA, SHRM-CSP HR Specialist Stephenie M. Alexander, Esq. Tracie E. Stender, Esq. Attorneys

2 Our Agenda for Today Why document? How can it hurt if I don t document? When should I document? Legal Issues How to document properly FRISK Method Questions & Answers (c) chartersafe (CCS-JPA)

3 Documentation Why? Creates Credibility Shows Consistency of Treatment Sets Clear Expectations Serves as Critical Evidence Tracks Patterns of Performance (c) chartersafe (CCS-JPA)

4 Documentation Why? What Can Happen If I Don t Document? No back-up for progressing to the next steps (if you have a progressive discipline policy) Misunderstandings and frustration Inconsistency Lack of evidence to support termination or for defense of legal claims (c) chartersafe (CCS-JPA)

5 Documentation When? WHEN THE EVENT IMPACTS THE EMPLOYMENT RELATIONSHIP OR COULD LEAD TO LIABILITY (c) chartersafe (CCS-JPA)

6 Documentation When? Change in Status: Leaves, Layoffs, Terminations Disability Issues / Accommodations Accidents / Workers Compensation Counseling and Discipline Complaints of Harassment, Discrimination, Retaliation Wage and Hour Issues (e.g. meal and rest breaks, clocking in and out) (c) chartersafe (CCS-JPA)

7 Documentation How? Good Documentation Answers These Questions: WHO WHAT WHEN WHERE WHY WITNESSES (c) chartersafe (CCS-JPA)

8 Documentation How? Be Specific Date all documentation (include year!) Include full name(s) at least once of employee at issue and the employee creating the documentation Be Professional Be Consistent Contemporaneous Never back date documents Verified When possible have employee sign If they won t sign witness signature or confirmation (c) chartersafe (CCS-JPA)

9 Documentation How? #1 RULE ON HOW TO DOCUMENT? BE ACCURATE! (c) chartersafe (CCS-JPA)

10 Documentation How? Method: Formal or Informal Appropriate method may depend on severity Informal Documentation Notebook Spreadsheet s Outlook sticky notes or journal Generally, don t record anything in your documentation that you have not communicated to the employee (c) chartersafe (CCS-JPA)

11 Documentation How? Personal Opinions Judgments Accusations Subjective Comments Generalities Overstatements and Exaggerations Reaching Conclusions Without All Facts LEGAL CONCLUSIONS (c) chartersafe (CCS-JPA)

12 Documentation How? Generalities to Avoid: You have a bad attitude You are not a team player You are not a culture fit This is just not working out Performance is inadequate Always, never, invariably Unless you have facts to back up these statements and they are relevant to the employee s duties and qualifications (c) chartersafe (CCS-JPA)

13 Documentation DOWNSIDE It s evidence every is a potential exhibit at trial Too impersonal Tone doesn t always come through and can be misinterpreted If you delete it it s not really gone Too informal Public records!! UPSIDE Immediate Convenient Time stamped Verifiable Permanent (mostly) (c) chartersafe (CCS-JPA)

14 What is the FRISK Method? It is one method of documentation that follows a prescribed outline format that covers all the necessary elements of good documentation: F = FACTS R = RULE I = IMPACT S = SUGGESTIONS K = KNOWLEDGE (c) chartersafe (CCS-JPA)

15 FRISK When to use? Formal, written warnings Make this a face-to-face meeting Memo goes in personnel or incident file Include HR (c) chartersafe (CCS-JPA)

16 FRISK F-R-I-S-K Facts What did the employee do? Rule What rule(s) was broken and what should the employee have done? Impact What was the impact (or possible impact) of the employee s conduct? Suggestions When and what do you want the employee to do to improve performance in the future. What will happen if there is no improvement? How can you help the employee? Knowledge Does the employee understand what the problem is? (c) chartersafe (CCS-JPA)

17 FACTS What did the employee do? Describe the conduct or performance issue in complete and explicit detail Pinpoint specific conduct that is unsatisfactory Don t use subjective or emotional words #1 Rule: Be Accurate! Be specific Wrong: You re always late or You don t show up on time or You don t turn in your grades on time Correct: You have been more than 10 minutes late on the following dates or You failed to turn in your grades on time for the past two semesters, specifically on the following dates (c) chartersafe (CCS-JPA)

18 FACTS Understand the importance of details Reinforces your credibility as evaluator Reduces your reliance on recalling facts on past performance Helps sustain burden of proof Avoid combining deficiencies in one single description Accurate facts help identify patterns of performance Accurate facts create the basis for clear suggestions for improvement or discipline (c) chartersafe (CCS-JPA)

19 Conclusions vs. Facts General Conclusions: Numerous, frequently, often Is frequently tardy Supporting Facts: Eight times, Project Name, Due Dates and Dates Completed Was more than 12 minutes late to work on February 10, 13 and March 2, Work Station is unclean Custodial supply room at MRC on May 3, June 4 and 6 th, 2008 was found to have used rags on the work bench, open containers of solvent, and equipment on the floor John Smith failed to follow instructions On Dec. 12, 2007, at 10:30 am and again at 1:45 pm, John Smith was directed by his supervisor to repair the lock on the door at Room 25. At 3:15 pm he still had not followed this directive. (c) chartersafe (CCS-JPA)

20 RULE What should the employee have done? What rule was violated? The standard, authority, direction, expectation Important to relate rule to unsatisfactory performance Usually tied to written standard: Performance Standards: job descriptions and department or individual goals Organizational Standards: handbooks, school policies, administrative regulations, conduct rules Generally Accepted Practices (c) chartersafe (CCS-JPA)

21 RULE Keep track of rule violations Include prior violations of the same rule Emphasize recurrent conduct Establish patterns of similar conduct You previously received an oral warning on Sept. 15, Now you are being given a written warning. Justification for harsher action Awareness Supports management s burden of proof (c) chartersafe (CCS-JPA)

22 IMPACT What is the impact or possible impact of the employee s conduct on the school? Negative impact on school operations Negative impact on instructional program Negative impact on employees Shows degree of seriousness Helps tie the unsatisfactory conduct to job Be specific (c) chartersafe (CCS-JPA)

23 IMPACT Example: Your [conduct] failure to manage student behavior disrupted the classroom and interfered with normal instruction, causing student distraction and lack of attention to your lessons. Your inadequate classroom control impaired your ability to command the respect and confidence of your students as evidenced by the significant increase in student referrals to the vice principal for discipline. (c) chartersafe (CCS-JPA)

24 IMPACT Example: Your [conduct] failure to clean the kindergarten lunch area created an unsafe environment for students. There was rotten food and containers with spoiled milk on the benches and tables and litter on the ground. This caused an infestation of flies and other insects which required the area to be closed to student access. (c) chartersafe (CCS-JPA)

25 IMPACT Example: Your [conduct] failure to provide prior notice of your absence on Friday, February 26, 2012, prevented the school from canceling the IEP reevaluations in a timely manner. This caused a substantial disruption in the work schedules of staff members and inconvenienced affected parents and other representatives that were required to attend the IEP meeting. (c) chartersafe (CCS-JPA)

26 SUGGESTIONS What does the employee need to do to improve performance? Directions /Expectations for future conduct or level of performance Must be clear and unequivocal Leave no room for interpretation Consequences for failing to correct problem areas Timelines Held accountable for non-compliance Consequences of non-compliance Suggestions or recommendations to assist the employee in meeting these requirements. Shows reasonable opportunity to correct deficiencies. (c) chartersafe (CCS-JPA)

27 SUGGESTIONS Bad Language: Perhaps you should be friendlier to the other employees. Failure to follow my directive may result in further disciplinary action. Good Language: I expect you to refrain from using derogatory language such as stupid and dumb towards your co-workers. Failure to follow my directive may result in further disciplinary action up to and including termination. (c) chartersafe (CCS-JPA)

28 SUGGESTIONS Bad Language: In the future, you are directed to treat your co-workers with more respect. Good Language: To assist in correcting this conduct, please review the Code of Conduct set forth in the Employee Handbook again to re-familiarize yourself with your obligations. If you have any questions concerning your responsibilities, schedule a meeting with me to review the information. (c) chartersafe (CCS-JPA)

29 KNOWLEDGE Does the employee have knowledge of the performance/conduct issues and been given a reasonable time to cure the deficiencies? The document should be reviewed with the employee in a face-to-face meeting Employee should be asked to sign that he or she received a copy of the document Employee may file a written response to the document Should be placed in the employee s personnel file (c) chartersafe (CCS-JPA)

30 Let s write a FRISK memo: FRISK Memo You have just received another complaint about a teacher (Ms. Jones) who has used profanity during class, directed at students (called students derogatory names (little bastards, idiots); and made the statement, this world is in trouble if this class represents its future leaders. A parent has called with the complaint which you have now verified by speaking with several students. You have previously counseled this employee about the exact same behavior, verbally on October 15, 2016 and by on Nov. 27, (c) chartersafe (CCS-JPA)

31 FRISK Memo FRISK: Facts Rule Impact Solution Knowledge (c) chartersafe (CCS-JPA)

32 THANK YOU! Contact us anytime. Tracie E. Stender, Esq. Associate Attorney Procopio, Cory, Hargreaves & Savitch, LLP Stephenie M. Alexander, Esq. Associate Attorney Procopio, Cory, Hargreaves & Savitch, LLP (c) chartersafe (CCS-JPA)