Documenting Discipline and Performance Underground Vaults & Storage, Inc. 06/2009
Review of Performance Management <ul><li>Set performance expectations </li></ul><ul><ul><li>Clear, Concise, Comprehensible...
Training Overview <ul><li>Reasons for Documentation </li></ul><ul><li>Rules of Documentation </li></ul><ul><ul><li>Know yo...
Reasons for Documentation <ul><li>Critical for substantiation if action is questioned  </li></ul><ul><li>Protects business...
Reasons for Documentation <ul><li>Improves employee performance </li></ul><ul><li>Juries distrust employers and expect emp...
Rules of Documentation <ul><ul><li>Know your Audience </li></ul></ul><ul><ul><ul><li>Primary audience for documentation is...
Rules of Documentation <ul><li>Follow the Rules </li></ul><ul><ul><li>Review handbook, policies and procedures for support...
Rules of Documentation <ul><li>Tell the Story </li></ul><ul><ul><li>Fact gathering </li></ul></ul><ul><ul><ul><li>Attach a...
Rules of Documentation <ul><ul><li>Avoid listing timelines until next level of corrective action </li></ul></ul><ul><ul><l...
Difficult Conversations <ul><li>Think about it as trying to manage outcomes in the future, not as disciplining for past ev...
Difficult Conversations <ul><li>Describe problem specifically </li></ul><ul><li>Listen and acknowledge their point of view...
Difficult Conversations <ul><li>In closing; </li></ul><ul><ul><li>Clarify who will do what and agree on those items </li><...
Employee Signature <ul><li>Signing that they will work to change the behavior </li></ul><ul><li>If they disagree, you have...
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Documenting Discipline And Performance

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Documenting Discipline And Performance

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

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