1 Progressive Counseling and Documentation

2 Learning Objectives Elements of managing performance Elements of managing performance Establishing work standards Establishing work standards Importance of the introductory period Importance of the introductory period Performance and corrective action plans Performance and corrective action plans Progressive discipline steps Progressive discipline steps Value of proper documentation Value of proper documentation Termination process Termination process

3 Why is Managing Performance Important? Employee morale, productivity and loyalty Employee morale, productivity and loyalty Avoiding employment related claims Avoiding employment related claims Strict state and federal employment laws Strict state and federal employment laws Extremely high jury awards Extremely high jury awards Well-informed employees Well-informed employees

4 Elements of Managing Performance Clearly communicate company policies and expectations Clearly communicate company policies and expectations Provide feedback Provide feedback Employee’s Responsibility Understand and meet conduct and performance expectations Understand and meet conduct and performance expectations Seek feedback Seek feedback Manager’s Responsibility

5 Establishing Work Standards Create a reference point against which performance can be evaluated Create a reference point against which performance can be evaluated Basis for comparison Basis for comparison Job description Job description Establish GOALS Establish GOALS Should be SMART – Specific, Measurable, Attainable, Realistic, Timely Should be SMART – Specific, Measurable, Attainable, Realistic, Timely

6 What is an introductory period? What is an introductory period? Determines if performance meets the expectations of the position and continued employment Determines if performance meets the expectations of the position and continued employment Introductory Period Importance of an introductory period? Importance of an introductory period? Enables supervisor to structure on-going conversations about performance and expectations Enables supervisor to structure on-going conversations about performance and expectations Provides employee with a more accurate perspective of the job Provides employee with a more accurate perspective of the job

7 Performance Reviews How often? End of Introductory Period End of Introductory Period Quarterly Quarterly Semi-Annual Semi-Annual Annual Annual Purpose Provide feedback Provide feedback Document performance Document performance

8 Corrective Action Plans When to use a Corrective Action Plan Once you have identified a performance problem and are looking for ways to improve the performance of an employee Once you have identified a performance problem and are looking for ways to improve the performance of an employee What is a Corrective Action Plan? Tool uses to monitor and measure employee deficiencies in an effort to improve performance or modify behavior Tool uses to monitor and measure employee deficiencies in an effort to improve performance or modify behavior

9 Effective Counseling Addresses inappropriate conduct and performance issues Direct Direct Honest Honest Timely Timely Apply equally Apply equally Document, Document, Document!

10 Importance of Proper Documentation Shows employer’s willingness to work with employees and correct deficiencies Shows employer’s willingness to work with employees and correct deficiencies Provides detailed observations that add authenticity and credibility Provides detailed observations that add authenticity and credibility Assists in defending claims and is required as a primary defense in case of a lawsuit brought by an employee Assists in defending claims and is required as a primary defense in case of a lawsuit brought by an employee

11 Correctable Conduct or Performance Absenteeism or tardiness Absenteeism or tardiness Performance standards not met Performance standards not met Adverse behavior impacting work environment: Adverse behavior impacting work environment: Dishonesty Dishonesty Harassment Harassment Personal use or damage of company property Personal use or damage of company property Failure to comply with safety rules Failure to comply with safety rules Making threats of violence Making threats of violence

12 Progressive Counseling Steps Verbal counselings Verbal counselings Written warnings Written warnings Final written warning Final written warning Termination Termination Consistency is KEY !

13 Verbal Warnings Issued immediately upon observing improper Issued immediately upon observing improper conduct/performance conduct/performance Must be documented Must be documented Employee is not required to sign Employee is not required to sign

14 Written Warning Delivered when performance falls below expectations Delivered when performance falls below expectations Intended to correct conduct/performance Intended to correct conduct/performance Must be signed by the employee Must be signed by the employee Original placed in personnel file Original placed in personnel file Copy given to employee Copy given to employee Witness present (preferably management) Witness present (preferably management)

15 Written Warning Elements Problem Statement Problem Statement Over the past month, you have been twenty or more minutes late for work on five occasions. The dates involved were… Over the past month, you have been twenty or more minutes late for work on five occasions. The dates involved were… Performance Expectations Performance Expectations The Employee Handbook states that more than three tardies in a 90-day period is grounds for disciplinary action The Employee Handbook states that more than three tardies in a 90-day period is grounds for disciplinary action

16 Written Warning Elements (Continued) Measurement indicating success Measurement indicating success You will incur no more than three tardies over the next 90-day period You will incur no more than three tardies over the next 90-day period You will notify your manager a minimum of thirty (30) minutes prior to your start time if you are going to be late or absent You will notify your manager a minimum of thirty (30) minutes prior to your start time if you are going to be late or absent Timeline for completion Timeline for completion You will be closely monitored over the next 90 days You will be closely monitored over the next 90 days

17 Written Warning Elements (Continued) Specific consequences Specific consequences If you fail to improve attendance OR if you slip back into a pattern of being late, you will be subject to further disciplinary action, up to and including termination If you fail to improve attendance OR if you slip back into a pattern of being late, you will be subject to further disciplinary action, up to and including termination

18 Written Warning - Key Points When an employee has received a written warning: Must maintain successful performance Must maintain successful performance May be terminated if sufficient progress is not made or if improvement is not sustained May be terminated if sufficient progress is not made or if improvement is not sustained Should not be promoted or receive merit increases until performance has improved Should not be promoted or receive merit increases until performance has improved

19 Written Warning Acknowledgement If the employee refuses to sign: Refusal to sign does not stop the process Refusal to sign does not stop the process Instruct the employee to indicate their refusal on the form and initial their statement Instruct the employee to indicate their refusal on the form and initial their statement Have the witness (preferably another manager) sign the document stating the employee refused to sign Have the witness (preferably another manager) sign the document stating the employee refused to sign The employee’s signature acknowledges receipt of the document ONLY

20 Final Written Warning Final opportunity to correct conduct/performance Final opportunity to correct conduct/performance Failure to comply will result in termination Failure to comply will result in termination File original notice in employee’s personnel file File original notice in employee’s personnel file

21 Termination Wrongful termination & “at-will” employment Wrongful termination & “at-will” employment What is considered “High Risk”? What is considered “High Risk”? Retaliation? Retaliation? Are they protected under ADA? Are they protected under ADA? Make sure you have proper documentation Make sure you have proper documentation Be aware of the final pay rules Be aware of the final pay rules Consider severance & release agreements Consider severance & release agreements

22 Cause for Immediate Termination Actions that have an adverse impact on employees, customers, and/or vendors Actions that have an adverse impact on employees, customers, and/or vendors Conduct or actions contrary to the company’s values and goals Conduct or actions contrary to the company’s values and goals NOTE: When terminating an employee in California, the final check, including all accrued vacation hours, must be handed to the employee at the time of termination.

23 Causes for Immediate Termination Willful destruction of company property Willful destruction of company property Sleeping on company time Sleeping on company time Possession of weapons or explosives on company premises Possession of weapons or explosives on company premises Conduct outside the work that adversely affects the company or its employees Conduct outside the work that adversely affects the company or its employees Divulging confidential information Divulging confidential information Insubordination Insubordination Falsification of records, including application, work record, or time card Falsification of records, including application, work record, or time card Theft or pilfering Theft or pilfering Harassment Harassment Reporting to work under the influence of alcohol or drugs Reporting to work under the influence of alcohol or drugs Unethical, immoral, or criminal conduct, threats, or assaults Unethical, immoral, or criminal conduct, threats, or assaults

24 Termination Process: Planning the Meeting Work with Human Resources to have paperwork and final check ready Work with Human Resources to have paperwork and final check ready Anticipate questions and prepare responses Anticipate questions and prepare responses Reserve a quiet, confidential room to meet Reserve a quiet, confidential room to meet Consider asking Human Resources to attend Consider asking Human Resources to attend

25 Termination Process: Conducting the Meeting Communicate privately and face-to-face Communicate privately and face-to-face Be honest and treat the employee with dignity Be honest and treat the employee with dignity Provide the specific reason for the termination Provide the specific reason for the termination Give the employee their final pay check Give the employee their final pay check Collect security/ID badge and other company property (Termination checklist) Collect security/ID badge and other company property (Termination checklist) The employee should never be surprised!

26 Termination Process: After the Meeting Determine if the employee should be escorted out Determine if the employee should be escorted out Consider having the employee leave and box up personal items for an after-hours pick up Consider having the employee leave and box up personal items for an after-hours pick up Document the conversation for their file Document the conversation for their file Consult with HR to determine how to announce employee’s departure Consult with HR to determine how to announce employee’s departure

27 Summary Address inappropriate conduct or performance issues directly, honestly, consistently, and timely Address inappropriate conduct or performance issues directly, honestly, consistently, and timely Determine the type of action to be taken Determine the type of action to be taken progressive counseling progressive counseling immediate termination immediate termination Communicate clearly what it takes to be successful, the measurements used, and the consequences Communicate clearly what it takes to be successful, the measurements used, and the consequences Work with Human Resources Work with Human Resources Document Document Document Document Document Document

28 Thank you! Questions & Answers (800)