Effective Personnel Documentation - PowerPoint Presentation

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Effective Personnel DocumentationFor Charter Educators

Sara

Hardner

Leon

Powell & Leon, LLP

Austin, Texas

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The Objectives of Effective Documentation

The primary objective for creating effective employee documentation is to:

Improve performance/rehabilitate a struggling employee; and

Establish business-related reasons for removing unsatisfactory employees.

The effectiveness of the documentation will be the evidentiary touchstone in any contested case or outside investigation.

Effective documentation should be consistent with a policy/practice of progressive discipline.

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Memo to FileWhat is it?

Practice Tips

Intended to be maintained by the maker for personal use and reference.

Calendar entries; diary notes

Notes should be detailed enough to refresh memory later.

May be subject to open records/personnel records requests.

Just the facts

Effective administrators have a habit of making contemporaneous notes

Personal diary/calendar

Digital diary

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Sally SmithersSally Smithers is the mother of three and a kindergarten teacher in your school. Rumor has it that she and her husband have separated recently, and gossip in the staff room indicates that Sally may be spending her weekends seeking solace on Sixth Street.

Sally called in sick three times between Thanksgiving and winter break, and arrived to work late after the MLK long weekend.

Sally told your office aide that she had overslept, but when you spoke with her, she indicated her child had been ill.

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Memo to FileDo

Avoid

Include sufficient detail to jog your memory later

Stick to the facts

Discuss your concern with the employee and note that fact in your memo

Using e-mail or text message to reprimand employee

Including information unrelated to the performance issue

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Memo to File Calendar entry for January 18, 2016

Mrs. Smithers arrived late to school at 7:45, stating to Mrs. Jones that she had “overslept.” In my conference with her, Mrs. Smithers said that her child had been ill. Mrs. Smithers was reminded that all personnel are required to call in if they anticipate being late to work, and that future late arrivals could result in disciplinary action.

- N.S.

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Specific Incident MemorandumWhat is it?

Practice Tips

Used where an incident or behavior is serious enough to warrant an immediate conference with the employee.

Prepare the written memo

after

first conferring with employee (get the employee’s input- get the facts right).

Have the employee acknowledge receipt of specific incident memoranda.

Permit a written response if the employee disagrees.

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Patty O’HaraJimmy, a kindergarten student, is served under an IEP for behavioral and cognitive disabilities in Mrs. O’Hara’s class.

Mrs. O’Hara has expressed to other teachers that she believes that Jimmy’s true disability is that his parents spoil the child rotten.

Yesterday, Jimmy experienced a meltdown during story time. Instead of following Jimmy’s behavior plan and escorting Jimmy to a quite corner to de-escalate, Patty firmly grasped Jimmy on his arm, loudly directing him to behave himself.

Mom reported that Jimmy had a bruise when he came home, although the school nurse could find nothing the following day.

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Specific Incident MemorandumDo

Avoid

Conference with employee first- get her side of the story!

Your memo should be on letterhead, be signed and dated, contain a detailed statement of facts, refer to policy and law, include signature of employee acknowledging receipt

Delay in addressing the matter

Writing the memo without employee input

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Specific Incident MemorandumHappy Valley Charter School

February 14, 2016

Mrs. O’Hara: This will follow up on our conference of February 13, 2016 in which I shared my serious concerns arising from an incident in your classroom on February 9, 2016. Jimmy, a student assigned to your class, is served under an IEP that includes a behavior improvement plan. On February 9, you failed to follow Jimmy’s BIP when he experienced behavior difficulties in your classroom.

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Continued Rather than escorting Jimmy to his cooling off space, as required under his BIP, you grabbed Jimmy’s arm and spoke to him in anger, in violation of our school’s student discipline policy and Jimmy’s BIP. Further, your failure to follow Jimmy’s BIP has resulted in a parental report of an injury to the child; this report has been communicated to Child Protective Services.

You indicated in our meeting that you “lost it” when Jimmy acted out that afternoon, and that you regretted your behavior. I appreciate your assurance that such an incident will never happen again.

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Continued This letter will serve as a formal reprimand to be placed in your permanent personnel file. Your breach of school policy and failure to follow a student’s IEP will be documented in your performance appraisal, and will be taken into consideration when making offers of employment for the 2016-17 school year. Should any similar violation of school policy or a student IEP take place, please be advised that your employment may be subject to termination.

- Nancy Sandoval, Principal

My signature below serves to acknowledge that I have received a copy of this memorandum.

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Summary MemorandumWhat is it?

Practice Tips

Use to outline the results of conferences concerning serial incidents, observed performance.

Have employee acknowledge receipt in writing; and

Invite/permit written response if employee disagrees.

Consider whether a growth plan is warranted if you are summarizing a series of incidents of concern.

Let the employee know that these concerns may impact his/her future employment.

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Summary MemorandumDo

Avoid

Include appropriate details

Sign, date, include signature of employee acknowledging receipt

Delay in addressing the matter

Writing the memo without employee input

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Sally SmithersYou attend all of the school’s ARD meetings for grades K-5. Mrs. Smithers is frequently unprepared for these meetings, neglecting to bring information relevant to assess the students’ present level of functioning. You have also noticed that Mrs. Smithers is very resistant to student accommodation requests and she has flat refused to stay after school to assist those students who receive tutoring as part of their IEP.

Sally appears to have very few tools in her professional tool kit to assist her in working with children—both disabled and non-disabled– who experience behavior challenges.

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Summary MemorandumHappy Valley Charter School

February 14, 2016

Dear Mrs. Smithers:

We met this morning to discuss my concerns regarding student behavior in your class and your willingness to carry out your responsibilities with respect to our students with disabilities.

- On September 18, 2015, you came to J.R.’s IEP meeting unprepared to give the committee current data on J.R.’s present level of functioning;

- On October 5, 2015 you similarly were unprepared to assist the IEP team with present levels of functioning for C.P., causing the meeting to be delayed and rescheduled; and

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continued - On January 6, 2016, during P.J.’s ARD meeting, you informed the committee, with the parent present, that your personal child care responsibilities prevented you from being available to tutor A.C. after school, even though the committee had agreed that such tutoring was necessary for A.C.

These incidents reflect either a lack of understanding of or lack of commitment to fully serve the needs of our students with disabilities. My expectation is that you will be a productive, contributing member of each ARD committee meeting, and that you will fully implement individualized student educational programs.

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continued - Additionally, during classroom observations on October 8, November 9, November 18, December 10 and January 18, I observed classroom management issues in your classroom that you and I have discussed previously and which have been documented more fully in the observation reports previously provided to you.

The purpose of this memorandum is to advise you that these observed performance deficiencies are impacting the quality of instruction your students are receiving in the classroom. It is my intention to provide you with a professional growth plan, which will include supports and additional training that are intended to allow you the opportunity to improve in these areas.

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continued I will continue to work closely with you through the remainder of this school year to improve in these areas, and I am hopeful that with additional training and supports, you will be successful in addressing these deficiencies. Lack of professional growth in these areas may result in discipline or dismissal.

- Nancy Sandoval, Principal

My signature below serves to acknowledge that I have received a copy of this memorandum.

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Growth/Improvement Plan DevelopmentWhat is the job duty or function that needs improvement?

What must the employee do to improve?

How will successful completion be determined?

Invite the employee’s input

Follow through on the plan

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10 Tips for All Documentation

Be timely.

Documentation should be created at or near the event.

Keep to the Theme.

Shot-gun documentation is not helpful. Documentation should reflect a consistent theme tying together observed difficulties. Focus documentation on meaningful issues and let the less significant issues pass.

Be Specific.

Use specific examples of the problem or deficiency to illustrate your concern—where appropriate, use these examples to illustrate and develop your theme.

Be consistent

.

Treat similarly situated employees the same.

Share your observations with the employee.

The employee should be informed of your observations and given a meaningful opportunity to improve.

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10 Tips for All DocumentationInvestigate significant issues.

If a significant issue arises, investigate appropriately, using reasonable investigative practices.

Avoid personal criticisms/observations.

Don’t attempt to “connect” with an employee by engaging in armchair psychology; avoid comments on personality quirks and avoid inflammatory (judgmental) language

Use high professional standards.

Use your spell-checker; proof-read the document. Every communication to an employee about his or her performance is important and should reflect an appropriate attention to detail.

Avoid e-mail. E-mail should reflect professionalism at all times, and is

too informal

for many forms of documentation

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10 Tips for All DocumentationObserve the Golden Rule.

A reviewing court or jury will assess the employer’s motives by the tone reflected in the documentation. Treat others as you would wish to be treated.