It Didnt Happen Legal amp Effective Documentation Judi Clements President of Judi Clements Training amp Development wwwjudiclementscom Sponsored by Judi Clements President of Judi Clements Training and ID: 759583
Download Presentation The PPT/PDF document "If It Wasn't Documented," is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.
Slide1
If It Wasn't
Documented, It Didn't Happen: Legal & Effective Documentation Judi Clements, President of Judi Clements Training & Developmentwww.judiclements.com
Slide2Sponsored by
Slide3Judi ClementsPresident of Judi Clements Training and Development in Clifton Park, NYNENY Girl Scouts “Outstanding Community Leader”Hudson-Mohawk American Society of Training & Development Corporate Trainer of the YearQualified Myers Briggs® Personality Type Trainer & Speaker
About Our Speaker
Slide4To earn RCH you must: Stay on the webinar for the full 60 minutes Be watching the webinar using your unique URL Certificates of Completion Will be delivered electronically to email that you used to register for this webinar Sent to you no later 5pm PDT on 08/29/2012
HRCI Credit
Slide5Agenda
Learn how to
:
Analyze poor work performance
Avoid the negative consequences of inadequate documentation
Utilize the range of disciplinary options
Respond quickly and appropriately to common disciplinary infractions
Keep a legal Performance Log
Distinguish between subjective and objective documentation
Develop Performance Improvement Plans
Write legally safe and highly effective corrective & suspension notices
Q&A session
Slide6What is Discipline?
Formal and informal steps
taken by managers
to turn around poor employee
performance and protect the organization from adverse legal action.
Slide7Why Use Discipline?
To reverse poor performanceTo avoid termination, if possibleTo substantiate employment actionTo protect individuals and organizations from liability
Slide8Consequences of Inadequate Discipline
Discrimination and retaliation lawsuits Management liability Lower productivityPoor moralePoor employee retentionIncreased # of terminationsHigher costs to the organization
Slide9The Pyramid of Success
Employees do best with a healthy foundation consisting of:
Accountability
Clear Expectations
Respectful Relationships
Slide10How to Analyze Poor Performance
Never let poor work go unnoticed.
Does the employee know his work is
unsatisfactory
? Is there a pattern?
---
Let the employee know; provide feedback.
Does the employee know
what
he is supposed to do &
when
to do it?
---
Let the employee know; create a work plan.
Are there
obstacles
beyond his control?
---
Remove the obstacles.
Slide11How to Analyze Poor Performance
Does he know how to do the job? (Train the employee and/or provide practice.) Does he have the needed support? (Provide tangible support & feedback.) Could he do it if he wanted to? (Is it an ability problem or an effort problem?) Does he know the consequences of his unsatisfactory performance? (If not, make it clear.)
Slide12Ability or Effort Problem?
If it’s an ability problem:Provide training and/or coaching.If the employee learns the job, provide reinforcement & follow-up.If the employee doesn't, reassign him to a more suitable job or start appropriate discipline.
Slide13Ability or Effort Problem?
If it’s an effort problem:Provide counseling & consequences.If the employee responds, provide reinforcement and follow-up.If the employee doesn’t, start appropriate discipline.
Slide14Partner with HR
Consult with Human Resources when analyzing & handling performance problems.
Slide15Mantra of Effective Discipline
No surprises!Nip poor performance in the bud!
Slide16How to Give Feedback
Don’t give
too much
feedback at once.
2. Explain the
impact
the employee’s poor performance
has
on the employee, the supervisor, the team, and the company.
Poor
: Bill, can’t you ever get your work done on time?
Good
: Bill, when you don’t get your work done on time, we can’t make quota. This slows up production in other departments too.
3. Check to be sure you are
understood
.
Good
: Marty, please review for me why your performance is unsatisfactory & what the consequences will be if you don’t improve
.
4. Make it specific & behavior-based.
Poor
:
Henry, you are lazy and have a poor attitude.
Good
:
Henry
, you have been late 15 minutes for the last three mornings.
Slide17Mantra of Good Feedback
Offer feedback multiple times in multiple ways.
Slide18Disciplinary Options
Discipline is NOT a step system.Be sure you know your organization’s disciplinary policies and procedures.Most policies allow for a flexible approach on a case-by-case basis, while striving for fairness & consistency.
Slide19Disciplinary Options
CounselingCounseling with Verbal ReprimandCounseling with Written Reprimand Performance Improvement Plan (PIP)SuspensionTermination
Slide20Characteristics of Fair Discipline
Focused toward improvementFair & consistentEqual for similarly situated employeesSituationalIn concert with Human Resources
Slide21Options, Not Steps
Your written policies should allow you to exercise management discretion with disciplinary options, particularly in serious matters.
Never lock yourself into a “step system.”
Serious infractions may require moving immediately to suspension or termination.
Most companies
consider these grounds for immediate dismissal:
theft, violence, property damage, falsification of records, illegal drug or alcohol use, bringing firearms to company premises, & ethics violations.
Slide22When to Counsel
If the problem occurs once, it’s a mistake. If it happens more than once, it could be a pattern of behavior. Take action if there is a pattern of negative behavior.Never let poor work or negative actiongo unnoticed!
Slide23When to Counsel
LatenessSubstandard WorkLeave Time AbuseBad Mouthing the CompanyCell Phone AbuseBad Mouthing other EmployeesInternet AbuseBad Mouthing SupervisorsSafety ViolationsComplaints About AssignmentsPolicy & Procedure ViolationsPeer ConflictsRefusal to Follow DirectionsThreatening BehaviorMistakesHarassing BehaviorPersonal Problems Affecting the JobSubstance Abuse
23
Take action if there is a
pattern of negative
behavior.
Slide24Why Document?
To create a collective memoryTo track performanceTo record important interactionsTo record corrective action and improvement plansTo make sure employees understand the consequences of their behaviorTo protect from liability
24
Slide252 Types of Documentation
Formal Documentation Maintained byHR
Informal Documentation Maintained by Managers
Slide26Types of Formal Documentation
Performance AppraisalsPerformance Improvement Plans (PIPS)Counseling Memos
Suspension MemosTermination Notices
Slide27What All Documentation Has In Common
It must be behavior-based!Labels & descriptions of attitudes have no place in documentation. Delete personal opinions or judgments.All documentation must be accurate, specific, and focus on only observable behavior.
27
Slide28Behavior vs. Attitude
A behaviorCan be observedIs a written or verbal statement about actions people do on their jobs; performanceCan be discussed objectively
28
Slide29Behavior vs. Attitude
An attitudeIs a subjective conclusion or label describing an employee It cannot be measured or objectively discussedIt can lead to an employee’s defensive reaction
Slide30Behavior vs. Attitude Example
Behavior:Jennifer has not been delegating routine work and has therefore missed 2 important deadlines on monthly reports.Attitude (Label):Jennifer does not take her work seriously and is lazy.
30
Slide315 Behavior vs. Attitude Examples
Mike does not put a lot of effort into his work.Sue Ellen has not completed her last two week’s time sheet’s within the 7-day deadline.Jeff seems distracted when I assign tasks to him. Ann solved the problem concerning lack of coverage for early morning calls by instituting a regular rotation schedule among the staff.Sue does not take her work seriously.
31
Slide3232
Just the facts, ma’am. Just the facts.
Slide33Documentation Formats
Performance LogsPerformance GoalsPerformance Improvement Plans (PIPS)Counseling MemosSuspension Memos
33
Slide34Informal Documentation: The Performance Log
Everyday documentationBrief notes on good & poor performance highlightsMaintained & stored by managersCan be SUBPEONEDServes as a collective memory for performance appraisals, discussions, & documentationCan be kept in notebooks, file folders, index cards, computer files, iPad, etc.
34
Slide35Types of Performance Log Entries
Name, date, & time of each incidentPositive PerformanceCoaching SessionsTraining SessionsInvestigationsDisciplinary Actions
Slide366 Ways to Keep Performance Logs Legal
Keep language simple.Use objective measures.Be specific.Document everyone you manage.Ask HR oversight from time to time.Keep your log in a safe place.
36
Slide37Performance Log Examples
Positive Performance Friday April 15, 2012 9:00 AMSenior management recognized Hugh’s service when handling the product complaint as courteous and prompt. Counseling Session Friday March 3, 2012 2:30 PMSecond time in 2 weeks, Jon was 20 minutes late from lunch. Reminded him of company lateness policy, and told him he would be written up next time. He said he would be on time from now on.
37
Slide38SMART Goal Documentation
S
pecific:
Clear & unambiguous
M
easurable:
Able to be quantified
A
ctionable:
Clearly identified by action item steps
R
ealistic:
Doable by the majority within given parameters
T
ime-based:
Defined with a clear schedule of start & end dates and milestones
Slide39SMART Goal Example
SpecificComplete monthly reports on time.MeasurableEach monthly report will be submitted by the last Friday of the month by close of business.ActionableJoe will work with Susan to review how to write the reports & get the next 3 month’s reports reviewed by Susan prior to submitting them.RealisticSusan will devote one hour each week to coach Joe on report writing for the next 3 months.Time-basedThis will begin immediately as of 7/26/12.
39
Slide40Performance Improvement Plans (PIPS)
Description of the performance problemDescription of the needed performance improvementDetailed action planFollow-up procedureEmployee comments (optional)Signatures
40
Slide41PIP Example
Performance Problem: Randy has been 20-30 minutes late to work everyday over the past week from July 9-13. When he arrives, he does not get to work promptly. Instead he takes time to get coffee and talk to co-workers. He does not check his email or in-basket for new assignments and thus misses important work assignments. He is often late to meetings or doesn’t show up for them at all. Needed Improvement: Randy needs to come to work promptly at 8:00 AM. If he wants coffee, he needs to arrive earlier to arrange for that before work time. He needs to check his email and in-basket to be sure he gets his current work assignments and gets to meetings on time and participates constructively. Action Plan:Randy will report to me briefly each morning at 8:15 AM over the next month (Aug. 2012) with an overview of his projects & meetings of the day and again at 3:15 PM with his accomplishments of the day.Follow Up:After August 2012, we will meet bi-weekly to review his progress.
41
Slide42Counseling Memos
Also known as “Verbal Warnings and “Written Warnings.”Check your organization’s policy for the number of warnings and format.They serve as written records of the discussions between managers and employees about substandard job performance.They have the same 5-6 parts as a PIP:
Slide43Suspension Memo Example
To: Randy O’ Hara
From: Cliff Randall
Date: July 26, 2012
Subject: Suspension for Poor Work Performance
On May 8, you received an initial written warning
and on June 1 you received a second written warning which detailed several serious problems in your work performance. I have been monitoring your work, and you have not made sufficient improvement in the areas we discussed. Immediate and sustained improvement is necessary in the following areas:
You need to arrive on time and be ready to work by 8:00 AM sharp.
You need to read all your email and in-basket assignments by 8:15 AM.
You need to report to me by 8:15 AM to go over the day’s assignments.
You need to attend all meetings and complete all given tasks promptly.
You have been employed in our department for over a year and during this time your work has continued to decline. Because of this unacceptable level of performance you are being suspended without pay for three (3) days (August 6,7, & 8). You are expected to return to work at 8:00 AM on Thursday August 9. Unless your performance improves and remains positive, your employment will be terminated.
Slide44Review
Never let poor work go unnoticed.Offer feedback multiple times in multiple ways.Work closely with HR.Use behavior-based feedback & documentation; eliminate labels.
See discipline as a system of options, not steps.
Use both formal and informal documentation.
Be consistent & fair.
Take the time to document now and save time LATER.
If it wasn’t documented, it didn’t happen!
Slide45Your Trainer Today Has Been…
Judi ClementsJudi Clements Training & Developmentwww.judiclements.com
Slide46Questions?
Slide47Delivered to those attendees who stay for full webinar
Will be delivered electronically to email that you used to register for this webinarSent to you no later 5pm PDT August 29th
Certificates of Completion
Slide48Sustainability for the HR (RCH 1.0 - HRCI)Aug. 9, 10am PDTEVerify: Getting Started (CREDITS PENDING)Aug. 16, 10am PDT
MORE HRCI WEBINARS
Slide49AscentisHuman Capital Management Softwarewww.Ascentis.cominfo@ascentis.com800.229.2713
Contact Us
Judi Clements Training & Development518-371-9184 info@judiclements.comTwitter:@judiclementswww.judiclements.com