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Documenting Discipline And Performance
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Documenting Discipline And Performance


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  • 1. Documenting Discipline and Performance Underground Vaults & Storage, Inc. 06/2009
  • 2. Review of Performance Management
    • Set performance expectations
      • Clear, Concise, Comprehensible, Correct
    • Collect data to measure performance
      • Facts, reports, documented, objective
    • Compare results and expectations
      • Honestly, equally
    • Corrective action if needed
    • It is up to YOU
  • 3. Training Overview
    • Reasons for Documentation
    • Rules of Documentation
      • Know your audience
      • Follow the rules
      • Tell the story
    • Review difficult conversation training points
    • Employee signature
  • 4. Reasons for Documentation
    • Critical for substantiation if action is questioned
    • Protects business in your absence
    • Memory alone will not suffice in grievance, unemployment, or any other form of lawsuit
    • Helps to support you as a supervisor
    • Provides documentation that employee heard and understood information presented
    • Helps employee understand difference between corrective action and friendly reminder
  • 5. Reasons for Documentation
    • Improves employee performance
    • Juries distrust employers and expect employers to provide documentation of problems
    • 74% of jurors believe that employers must provide fair warning, must ensure the employee fully understands the policies violated, and employers must show documentation of working with employees to improve
    • 90% of jurors felt employers were negligent if didn’t provide documentation of performance centered conversations
  • 6. Rules of Documentation
      • Know your Audience
        • Primary audience for documentation is employee
        • Secondary audience for documentation is lawyers, judges, juries, supervisors
        • To accurately convey situation and policy breach to all audiences;
          • Tell the story – explain the problem and impact on others
          • Avoid jargon or terms specific to our company
          • Include documented dates and conversations that occurred prior to formal documentation
          • Employee signature or when applicable documentation that employee refused to sign
  • 7. Rules of Documentation
    • Follow the Rules
      • Review handbook, policies and procedures for support and reinforcement
      • Firm, Fair and Consistent
        • How have situations been handled in the past
        • Must treat everyone equally
      • Be aware of employees legal rights
        • HR involvement if needed
  • 8. Rules of Documentation
    • Tell the Story
      • Fact gathering
        • Attach any supporting documents
        • Do not use labels, conclusions drawn, heresay
      • Copy and paste policy violated into the document
      • Highlight any prior conversations concerning the violated policy with dates and detailed information
      • Allow employee to express their opinion
      • Describe behavior expected in future
  • 9. Rules of Documentation
      • Avoid listing timelines until next level of corrective action
      • Include wording stating consequences for not correcting the problem – “will result in corrective action up to and including termination”
      • Avoid noting the employees performance otherwise – no “but” or “usually” situations
        • Ex; you come to work on time, but workplace violence is unacceptable
  • 10. Difficult Conversations
    • Think about it as trying to manage outcomes in the future, not as disciplining for past events
    • Confront the problem, not the person
    • Agenda of issues with factual documentation
    • Practice
    • Consider responses and reactions
  • 11. Difficult Conversations
    • Describe problem specifically
    • Listen and acknowledge their point of view
    • Summarize their point of view
    • Clarify your expectations
    • Agree on a solution
    • Express confidence in employee
  • 12. Difficult Conversations
    • In closing;
      • Clarify who will do what and agree on those items
      • Agree to disagree and commit to joint efforts toward specified outcome
    • Follow-up on commitments and expectations discussed
    • Document every conversation
    • Partner with HR and Supervisor
  • 13. Employee Signature
    • Signing that they will work to change the behavior
    • If they disagree, you have documentation that you discussed this with the employee
    • Employee has the right to disagree with documentation
    • If employee refuses to sign the document, reiterate that the signature is just acknowledging that you discussed the situation with them.
    • If they still refuse to sign, notate the refusal to sign on the document