Progressive Counseling and Documentation

1. Progressive Counseling and Documentation

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

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

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

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

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

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

8. Corrective Action Plans What is a Corrective Action Plan? • Tool uses to monitor and measure employee deficiencies in an effort to improve performance or modify behavior 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

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

10. Importance of Proper Documentation • Shows employer’s willingness to work with employees and correct deficiencies • 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

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

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

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

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

15. Written Warning Elements • Problem Statement • Over the past month, you have been twenty or more minutes late for work on five occasions. The dates involved were… • Performance Expectations • 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 • 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 • Timeline for completion • You will be closely monitored over the next 90 days

17. Written Warning Elements(Continued) • 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

18. Written Warning - Key Points When an employee has received a written warning: • Must maintain successful performance • 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

19. Written Warning Acknowledgement The employee’s signature acknowledges receipt of the document ONLY If the employee refuses to sign: • Refusal to sign does not stop the process • 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

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

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

22. Cause for Immediate Termination • Actions that have an adverse impact on employees, customers, and/or vendors • 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 • Falsification of records, including application, work record, or time card • Theft or pilfering • Harassment • Reporting to work under the influence of alcohol or drugs • Unethical, immoral, or criminal conduct, threats, or assaults • Willful destruction of company property • Sleeping on company time • Possession of weapons or explosives on company premises • Conduct outside the work that adversely affects the company or its employees • Divulging confidential information • Insubordination

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

25. Termination Process:Conducting the Meeting • Communicate privately and face-to-face • Be honest and treat the employee with dignity • Provide the specific reason for the termination • Give the employee their final pay check • 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 • Consider having the employee leave and box up personal items for an after-hours pick up • Document the conversation for their file • Consult with HR to determine how to announce employee’s departure

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

28. Questions & Answers Thank you! www.KimstaffHR.com (800) 601-4800