EFFECTIVE DOCUMENTATION

In Search of Improved Performance

Today, we will discuss...

Why Document

Types of Documentation

Basic Rules of Effective Documentation

Progressive Discipline Process

Personnel Files

Terminations

Top Six Supervisor Excuses Takes too much time The violation wasn’t that serious Last time I got in trouble for

saying the wrong thing I don’t want to be mean Only HR cares about the

paperwork HR never let’s us fire anyone

anyway

Personnel File

Maine Law – “… a personnel file includes, but is not limited to, any formal or informal employee evaluations and reports relating to the employee’s character, credit, work habits, compensation and benefits, and nonprivileged medical records or nurses’ station notes relating to the employee that the employer has in the employer’s possesion (26 M.R.S.A. Section 631)

Types of Documentation

Anecdotal Notes E-Mail (to employee and/or

others) Memo (to self or employee) Letter of Clarification Detailed Performance

Improvement Plan Verbal & Written Warning Annual Performance Evaluation

What is Fair?At-Will Employment

No reason is necessary

Can’t be discriminatory, retaliatory or illegal in any way

No Notice

Exceptions to At Will Doctrine

Statutory Protectioneg: Discrimination, Retaliation

ContractExpressed Specific Agreement

Organizational PolicyHandbook

Tort Public Policy

Just Cause

Pen Bay Healthcare is a “Just Cause” employer for non-supervisory/management employees who have successfully completed their probationary period

Must have “just cause” to discipline, suspend or terminate

What is Fair“Just Cause”

Must have legitimate reason for action

Must follow progressive discipline “guidelines”

Can’t be discriminatory, retaliatory, or illegal in any way

Discrimination Litigation

Employee Prima Facie Case In protected classAdverse ActionCausal Connection

Employee - Final BurdenPretextReal reason is discriminatory

Employer Responds-DefendsArticulate a legitimate non-

discriminatory reason

Risky Business Employment litigation continues to

increase in numbers and $$$ More cases Average EEOC litigation award:

$263,945

Additional Costs Attorneys (Plaintiff & Defendant) Our (employer) time

Personal Liability for Managers In some cases

Why Should We Care?

Best way to improve performance New employee may be hard to find Training Costs Employee Morale Company Reputation Lawsuits are very unpleasant

(and expensive) Personal Liability Others?

Types of Performance Problems

Skills Effort Attitude Misconduct Attendance Others?

Progressive Discipline

Verbal (must be documented in writing

and in Human Resources file)

Written

Suspension

Discharge

Effective Documentation Begins with…...

Open & Honest Communication of performance & behavior expectations

Orientation

90 day Probationary Period Evaluation

Investigating an Issue……before your document

Fact Finding with Employee(s)

Reviewing Legal Compliance

Comparing Successful Human Resource Practices

Aligning with Strategic Goals

Fact Finding with Employee

Explain problem (be specific)

Use facts & observations, not summary conclusions

Ask: Why has their performance/behavior slipped?

Listen to their side of the story

Clarify expectations

Fact Finding with Employee

Ask: What assistance they may need to improve performance

Discuss consequences of continued poor performance

Notify employee that you will follow up with memo, letter or other documentation

Legal Compliance

What are the legal restrictions applicable to this situation?Discriminatory issuesHandbookContractPromiseUsed any benefits, legal rights

Successful HR Practices

What are the relevant human resources issues that must be addressed?MotivationNoticeExperienceRecruitmentOthers?

Strategic Alignment

Mission: With the top talent available, provide the highest quality patient care/service

Culture: Focus is on quality patient care/service and employee development

Values: attention to detail and hard work

Additional Rules for Good Documentation

Relate to other documentation/discussions

Include a date, and be up to date

Make sure it is timely

LISTEN for employee response

Who Prepares and Reviews the Documentation?

First level supervisor/manager Second level manager/VP or

Executive Director Human Resources When applicable - by legal

counsel

Basic Rules

Be specific about the problem

Use facts and observations, not summary conclusions

State the obvious (e.g. this behavior is unacceptable)

Be specific about the expectations

Don’t sugarcoat the issues--explain consequences clearly

Documentation Presentation Not delivered at fact finding session

Review with employee

Solicit Comments

Listen!

Advise employee of grievance rights

Signatures???

Send to Employee’s Human Resources File

Annual Performance Evaluations Ensure that you cover the entire

period and are consistent with other documentation

Don’t be hesitant to be honest - but keep it professional

Recognize the significance of the evaluation

Follow rules for good documentation There should be no surprises for the

employee

Terminations

Must be approved by Human Resources (suspensions too)

Should have two members from management present. This should be a very brief meeting

Do not present the employee with any written documentation a this time

Terminations (cont’d)

Advise employee of grievance rights Refer employee to Human

Resources for what will happen concerning pay, benefits, references, unemployment etc.

Prepare a written summary of the events leading up to the termination and forward to Human Resources

Terminations--Written Reason

“…an employer shall upon written request of the employee give the employee the written reasons for the termination of that person’s employment. An employer who fails to satisfy this request within 15 days of receiving it may be subject to a forfeiture of not less than $50 nor more than $500 (M.R.S.A. Section 630)

Final Words

Focus on positive outcomes!