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Employee Performance Documentation and Formal Steps of Positive Discipline (FOSA)

I. Objectives

II. Incident Diary

III. Employee Performance Document Form (Instructions)

IV. Case Study and Answer with Exhibits

V. Legal Issues of Performance Appraisal

VI. Blank FOSA Form

VII. Full FOSA Document

SECTION I

OBJECTIVES

This manual will assist you in documenting employee performance after your initial training on performance documentation and performance improvement.

If you have not received training on performance improvement, you should first view the "Documenting Discipline" video. A copy of the video is maintained in Human Resources. The video covers:

• Importance of maintaining an incident diary

• The steps of performance improvement

• Characteristics of good documentation

• Key points of Facts, Objectives, Solutions and Actions (FOSA)

If you would like to receive training on performance improvement, please contact the Compensation and Training Office, in Human Resources at 972-548-6661/6665. The training is approximately 1.5 to 2 hours in length and covers the following:

Why Collin County Community College District is utilizing performance improvement

Twenty minute video on performance improvement

Skits to show the effectiveness of using performance improvement

Explanation of the form and why it should be used

Reviewing a case study and documenting your contacts using the Employee Performance Documentation Form (EPDF)

Legal side of performance improvement

SECTION II

INCIDENT DIARY

The purpose of an incident diary is to record incidents or infractions which occurred that warrant Coach & Counseling and/or a level of formal performance improvement. A regular calendar can be used as a diary. You will want to record Who, What, When, Where, Why, and How?

1. EMPLOYEE NAME: Provide the full name on file in the Human Resources Office.

2. TITLE:  Provide the job title on file in the Human Resources Office.

3. 90-DAY PROBATION: Employees in the 90-Day Probation period are not subject to the Performance Improvement process.  Such employees may receive performance feedback including recognition, positive contact or coaching & counseling.  (See further explanation in appropriate sections below.)

90-Day Probationary period has not changed. The guidelines stated in the Faculty and Staff Handbook under Employee Performance Documentation are accurate.

The purpose of including 90-Day Probation on this form is to ensure consistent documentation among all staff and faculty. During this initial period, you could document "Positive Contacts" for good performance, "Recognition" for going beyond the call of duty or "Coaching and Counseling" to correct a performance problem or to strengthen an employee’s knowledge about the job. You cannot issue any level of formal discipline such as Level I or Level II Warning to an employee during the probationary period. If an employee is having performance problems during the probationary period (90 days), use this form to document the problem, the training you provided to correct the problem and the results. Do not wait until an employee has 91 days of service to determine a performance problem exists. Follow up closely on your new hires to determine if employment should continue beyond the 90 days and communicate with the appropriate Employee Relations representative for your division or department. Once an employee is allowed to continue employment beyond the first 90 days, the employee becomes eligible for the college’s due process procedures should you decide later performance is less than satisfactory.

In addition to documenting performance which is "above and beyond the essential functions", it is also helpful to document other positive behaviors and job performance.

Very few people ever complain about getting too much recognition! The key is to look for small indicators of good performance and recognize them - that is how you improve performance greatly over the long run.

Equally important is identifying areas in which employees are improving and areas where employees routinely do well. This assures that improvement will continue and that the routine good performance will continue.

Give your personal reaction to the good performance and how it impacts the organization.

Do not mix your message by trying to give positive recognition when you have to criticize performance. Feel free to mention things they are performing well but concentrate on the issue of concern.

Positive contacts should be positive, immediate and consistent.

Document positive contacts!  Doing so will be useful later when preparing annual performance evaluations.

Documentation for recognizing good performance ("positive contact") can be maintained by the supervisor or a copy can be sent to Human Resources CPC to be placed in their personnel file using the Employee Performance Documentation Form. Recognition should be given to an employee who, for example, has:

1. performed beyond normal duties and expectations;

2. taken effective action in a crisis or an emergency situation;

3. developed a safety or environmental suggestion or a cost or work-saving idea;

4. provided special training to other employees;

5. completed a major project in a safe, cost-effective and timely manner;

6. achieved and maintained over significant period of time one or more of the following:

• an outstanding attendance record;

• expected performance requirements; and

• a spirit of teamwork and/or positive leadership demonstrated through specific action beyond normal duties and expectations.

This is the expected method for the supervisor to discuss work performance improvement expectations with the employee and is not considered part of the disciplinary process.

The objective of performance counseling is to help the employee recognize a performance problem and develop effective solutions for it. Normally, performance problems can be resolved at this level. Documentation of coach and counseling discussions will be maintained by the supervisor using the Employee Performance Documentation Form. This documentation is not to be sent to Human Resources unless the performance is below requirements and moves into a formal level of discipline.

• as a formal conversation between a supervisor and a subordinate about a problem that needs to be corrected;

• during a monthly or regular review session or objective setting meeting. Explain the desired performance (essential functions on the job description) and clearly state your observations of the employee's actual performance. Document under FOSA how you and the employee will meet these objectives. To document training (refer to Section III Number 4 under FOSA);

A supervisor should devote as much time and concern to preparing for a Coach & Counseling session as he or she would to a formal disciplinary step.

The employee should not feel threatened during a Coach & Counseling session. There is a difference between coaching for improvement and getting a commitment, versus a warning of punishment if improvement is not seen and a commitment is not met. You should tell the employee this is not a disciplinary discussion.

Most positive discipline will be accomplished through recognition of good performance, or Coach and Counseling. The following procedures are devoted to the less frequent situations where a level of formal discipline is required.

When an employee fails to respond to Coach and Counseling, or a single incident occurs which is serious enough to warrant a formal step of discipline, the supervisor has several options depending on the seriousness of the performance problem. In most cases, the formal Positive Discipline Process will be implemented beginning with step one - Verbal Warning.

1. Prepare Employee Documentation Form using FOSA.

2. Submit copies of all previous documentation concerning performance problems that substantiates the Verbal Warning to your immediate supervisor with a copy to the appropriate Employee Relations Manager. Your supervisor is responsible for reviewing all disciplinary documentation and must concur with your decision before action is taken. Before issuing a Verbal Warning, you must also discuss this with the appropriate Employee Relations Manager.

3. Arrange for a meeting place. Have all documentation that led to the Verbal Warning in front of you. Never discuss a level of positive discipline in front of other employees. It is permissible to have another manager in the meeting with you.

4. Conduct the meeting with the following components:

• State at the beginning of the contact/meeting that this is a Verbal Warning;

• Provide the facts which lead to the Verbal Warning;

• State the objectives the employee is expected to meet to become satisfactory;

• Establish jointly the solutions which will be implemented to help the employee reach the objective(s);

• State the time frame in which the employee must become satisfactory.

5. Have the employee sign the FOSA document. If the employee refuses to sign the form, have another manager or supervisor witness that you have covered the warning with the employee and initial it.

6. The supervisor issuing the Verbal Warning must verbally tell the employee of the warning and provide a written copy of the warning. Therefore the supervisor must prepare a written summary of the contact reviewing the facts, objectives, solutions and actions that will be taken should the employee fail to meet the objectives within the timeframe. Send original written summary to the employee and maintain a photocopy for the file. Forward the original signed copy of the Verbal Warning, all the documentation that supports the warning and a copy of the written summary to the appropriate Employee Relations Manager.

1. Prepare Employee Documentation Form using FOSA.

2. Submit copies of all previous documentation concerning performance problems that substantiate the Written Warning to your immediate supervisor with a copy to the appropriate Employee Relations Manager. Your supervisor is responsible for reviewing all disciplinary documentation and must concur with your decision before action is taken. Before issuing a Written Warning, you must also discuss this with the appropriate Employee Relations Manager.

3. Arrange for a meeting place. Have all documentation which led to the Written Warning in front of you. Never discuss a level of positive discipline in front of other employees. It is permissible to have another manager in the meeting with you.

4. Conduct the meeting with the following components:

• State at the beginning of the contact/meeting that this is a Written Warning;

• Provide the facts which lead to the Written Warning;

• State the objectives the employee is expected to meet to become satisfactory;

• Establish jointly the solutions which will be implemented to help the employee reach the objective(s);

• State the time frame in which the employee must become satisfactory.

5. Have the employee sign the FOSA document. If the employee refuses to sign the form, have another manager or supervisor witness that you have covered the warning with the employee and initial it.

6. The supervisor issuing the Written Warning must verbally tell the employee of the warning and provide a written copy of the warning. This must include the facts, objectives, solutions and actions that will be taken should the employee fail to meet the objectives within the timeframe and send a copy to the employee and maintain a photocopy for the file. Forward the original signed copy of the Written Warning, all the documentation that supports the warning, to the appropriate Employee Relations Manager to be placed in a confidential file.

Use this section to document the performance of an employee who has met the objectives established during the formal level of discipline. Complete the entire form using (FOSA).

The President reserves the right to suspend an employee immediately with or without pay when any serious misconduct is charged. 

A supervisor must forward all documentation and consult with their supervisor and the appropriate Employee Relations Manager or his/her designee before suspending or terminating an employee.

Use this section to record any other type of documentation necessary which has not been mentioned.

NOTE:   Full-time employees are entitled to all rights of due process as authorized in the college policy. 

This section should be used to assist you in documenting facts, objectives, solutions and actions that were discussed during Coach & Counseling, Verbal Warning, Written Warning, or any other area that you feel needs to be documented.

When documenting facts, be specific; state what, when, where, who, date, time, etc..

For example:

Set specific expectations. Objectives should be measurable and realistic. Use the essential functions of the employee's job description. (To obtain a copy of the job description, contact the Compensation and Training Office in Human Resources.)  If training is needed, include a list of the objectives that are stated in the training materials. Provide a time frame to accomplish the established objectives.

For example:

	Good:			Company's policy is for all employees to be here when scheduled and on time.
	Poor:			You need to be on time everyday.
	Good:			All correspondence will be 100% error free.
	Poor:			I expect no errors.
	Good:			Every week you are to install five computers for the next three months.
	Poor:			Meet the installation schedule.

C. SOLUTIONS:

List what solutions you and/or the employee will take to meet the objectives. Establish a time line in which the employee must meet the established objectives. If training will be given, provide appropriate date you will conduct the training. A supervisor must document how they will assist or help the employee improve their performance.

For example:

	Good:			Lisa will begin using the spell check and proofread all correspondence or reports before submitting them for signature.
	Poor:			Proofreading and spell check will be used.
	Good:			A safety review will be scheduled on January 13th to review the proper clothing to wear while handling chemicals.
	Poor:			Tom will wear gloves in the lab.

D. ACTIONS:

Provide specific time line, next meeting date, what actions could be taken if employee fails to meet the objectives.

For example:

	Good:			We will meet during the week of (provide date) to review the reports you prepared.
	Poor:			I will review the reports with you later.
	Good:			You have three months to meet the objectives we established. I will review with you each month your progress, unless a review is warranted sooner. Failure to meet the objectives could result in further disciplinary action, such as a written warning.
	Poor:			I will review your work monthly. You are expected to meet the objectives we set.
	Good:			I will be observing you daily to see if you have on the proper clothing for lab experiments. Failure to wear proper clothing could cause you to be placed on a level of positive disciplinary, because you are failing to follow the safety procedures for our department.
	Poor:			I will be checking to see if you wear proper clothing. If you don't, you could hurt yourself.

5.  PREPARE BY:

Please print your name and then also sign it. The purpose of printing the name is to clearly know who prepared the form. Signatures are hard to read.

Please provide your title to show that you are in a level of supervision. Only supervisors and managers should prepare this form. Do not have your secretary, administrative assistant or anyone who is not in a supervisory capacity prepare this form.

Ask the employee to sign and date the completed Employee Performance Documentation Form after the discussion. The purpose of having the employee sign and date the form is to document the discussion, in case the employee later claims they were not told they had a problem, did not receive training, or were not placed on a level of warning.

NOTE:  If the employee refuses to sign the form, ask another supervisor or manager to witness you have discussed the warning with the employee (repeat in front of the manager that you are placing the employee on Verbal or Written Warning, whichever is appropriate). Write in the space "employee refused to sign" and have the manager sign their signature on the statement.

A.  OVERALL WORK RECORD:

The purpose of this section is to take into consideration an employee's overall work, attendance, effectiveness with others, or safety record, etc...

B.  SHOULD I DISCUSS THIS PROBLEM WITH MY SUPERVISOR?

Before issuing a verbal or written warning, suspension, or termination, you must have discussed this with your supervisor, as well as discussed and forwarded a completed Employee Performance Documentation Form to substantiate your decision to the Employee Relations Manager representing your area.

C.  IS THE EMPLOYEE CURRENTLY ON AN ACTIVE WARNING?

If yes, provide date and reason. This section is used as a check and balance. If you are going to place an employee on a Written Warning, more likely they would have already been placed on a verbal. There could be circumstances where a written could be issued rather than a verbal. This is why you must discuss your decision with the Employee Relations Manager representing your area. Every situation will be evaluated individually.

 SECTION IV

CASE STUDY AND ANSWER

CASE STUDY

 

Exhibit 1

You are the office manager of the marketing department for a major sales company. Your company has been grossing over 12 billion dollars per year. Your boss has requested that you submit sales reports from all the sales managers and your secretary is unable to keep the filing current. You realize the filing must be done daily in order for your report analyst to complete the weekly reports. The file clerk’s first responsibility is to file all reports, second, other correspondence, and last, magazines. She will assist the secretary with minor typing or greet customers who wish to do business with the company, after all filing has been completed.

You hired Avana Idle on September 1^st. You trained her for two weeks on your office filing system. For the next two weeks you have been observing her filing techniques. She has been applying the training satisfactorily, filing reports first, correspondence second and magazines last. When you checked her accuracy, everything had been filed correctly. Because of the volume of work at this time, Avana does not have time to help the secretary or assist clients, even though she has an outgoing personality. Two weeks later, your Reports Analyst cannot prepare the weekly reports because the filing has not been done. Your Reports Analyst has spent the last three days compiling the data needed to prepare the weekly report, because she had to get the information out of the pending file folders. When you asked Avana if Division K's reports had been filed, she said yes. However, when you searched for the information you were unable to locate it. You discovered the reports had been misfiled. You searched for other reports and discovered they had been misfiled, also. While searching for various reports you discovered that several days of reports had not been filed at all. It is time for you to discuss Avana's performance with her. What should you do?

Coach & Counseling

F:

During the week of training and two weeks afterward, Avana was able to complete and file all of filing as required. However, for the past two weeks (8th and 15th)Avana has failed to file the reports daily causing your department to miss their due date. Reports that should take one day to complete are taking four days to complete (three days to locate the data and one day to compile) because filing is not done on time. (Affecting cost)

 

0:	File all reports first, correspondence second and magazines last. Will assist the secretary after all the filing has been completed.

 

S:	Avana agreed to follow the filing schedule for our office and to slow down filing the reports to prevent misfiling. You stated you will follow-up on her filing weekly for accuracy and completion.

 

A:	Will meet no later than two weeks (give date) to discuss performance.

 

NOTE:

Refer to exhibit one (1) for completed documentation form.

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CASE STUDY

 

Exhibit 2

You have been observing Avana's filing techniques and checking her accuracy for the past two weeks. She has filed everything daily and accurately the first week (17^th). However, during the second week (24^th) you observed her assisting clients on Tuesday 27^th and again on Thursday 29^th. When you checked her file folder the mornings after you saw her assisting customers there were reports that had not been filed. You spoke with your assistant who had given Avana permission to assist customers. You and your assistant agreed that Avana will not assist customers unless she is instructed to do so by you. What should you do?

Coach & Counseling

F:

Week of the 17th everything was filed daily and accurately. You reinforced this performance. The office reports were prepared on time. Week of 24th she failed to file all the filing on 27th and 29th. Both days you observed her assisting clients. Due to the volume of filing she does not have time to assist clients.

 

0:	Filing is required to be done daily according to reports first, correspondence second and magazines last. If time permits after all filing has been done, then she can assist clients or the secretary.

 

S:

Avana explained she was only going to help one client, but before she realized it she had spent two hours assisting customers because she enjoyed helping people, not because it was busy. She realized this caused her to not complete the filing each day. You explained she will not assist clients unless she was told by you and your assistant is aware of this. Avana said she understood. You will continue to observe her performance.

 

A:	You explained to Avana that she is on 90-day probationary period. During this frame, you will determine if she can perform the job satisfactorily. You will meet with her on the 29th to review her three month probationary period.

 

NOTE:

Refer to exhibit two (2) for completed documentation form.

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CASE STUDY

 

Exhibit 3

You have observed Avana for another month. She has done an excellent job with the filing. Everything was filed accurately and daily. You met with her to reinforce her performance. Same objectives were established as before. You will meet with her in one month, during the week of the 28^th.

It is now Avana's third month and time for you to review her three month probationary performance. She has done another excellent job with the filing for the past two months. You have chosen to keep her. As a requirement of the company you must review the company's disciplinary procedures with all new employees after their 90-day probationary period. What should you do?

Coach & Counseling

F:	She has filed everything in the folder daily for the past two months. All office report due dates have been met. Reports Analyst has reduced her reporting time back to one day. You encouraged Avana to continue following office filing schedule.

 

0:	Continue to maintain filing daily.

 

S:	You explained to Avana that she has completed her 90-day probation. You explained the company's disciplinary procedures which are covered with every employee once they are no longer on a 90-day probation.

 

A:	You will continue to review her performance monthly, during the last week of every month, unless her performance warrants it sooner.

 

NOTE:

Refer to exhibit three (3) for completed documentation form.

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CASE STUDY

 

Exhibit 4

You checked Avana's file folder on the 5^th, 10^th, 13^th, 17^th, 21^st, 25^th and 27^th. You discovered that she has failed to file the reports on several days (13^th, 25^th, 27^th). On the 13^th and 27^th , when you observed Avana assisting customers at the counter; you questioned her in passing, if she had completed her primary job responsibilities. She assured you she had filed all the reports. When you checked her file folder, she had filed the reports but not the correspondence or the magazines. You have not been able to discuss this with Avana. You did check with your assistant to see if she had given Avana permission to work the counter. She said no. You have been in and out of the office in conferences and your assistant is now on vacation. What should you do?

USE EMPLOYEE DOCUMENTATION FORM TO RECORD YOUR ANSWER

POSSIBLE ANSWER

Coach & Counseling

 

F:	On 13th and 27th you observed Avana assisting customers. The filing was not complete on either day. She did file the reports but not the correspondence and magazines. Assistant manager did not give her permission to help at the counter.

 

0:	Her job is to file daily and accurately all the office reports, correspondence, and magazines. She is required to follow the filing schedule according to the way you trained her.

 

S:	It was agreed upon that Avana will file all reports and correspondence daily and magazines on Wednesday. After all filing has been completed, she will assist customers.

 

A:	You will review her monthly performance with her during the week of the 27th. The new filing schedule will be tried for three months. After the trial period, a decision will be made whether to continue this schedule, modify it or terminate it.

 

NOTE:

Refer to exhibit four (4) for completed documentation form.

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SECTION V

LEGAL ISSUES OF PERFORMANCE APPRAISAL
By Richard Abernathy with Abernathy, Roeder, Boyd and Joplin, PC of McKinney, TX

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Notes from Presentation

TYPES OF DOCUMENTATION

§           Verbal-facts

§           Reporting the facts

§           Note to the file - your own documentation

§           Specific event memo

§           Conference summary memo

FUNCTIONS OF DOCUMENTATION

§           Employee performance improvement

§           Prevents later denial of notice

§           Aids in memory

§           Minimize misunderstanding

§           Reveals patterns of deficiencies

§           Supports successive supervisors

14 RULES OF DISCIPLINE

1.     Conference first and then write - active listener and reflect

2.     FOSA - recite facts first (objectively) and then conclusion (what are expectations and actions)

3.     Avoid fighting words - you are a problem solver

4.     Assume the memo will be read

5.     Avoid jargon

6.     Keep it simple

7.     Do not write while angry

8.     Have an editor available

9.     Treat all employees alike

10.  Emphasize quality not quantity of memo content

11.  Be timely

12.  Do not backdate - don't lie, don't fudge

13.  Avoid mush directives

14.  Do not document unlawful reason for adverse employment action

SECTION VI

 

BLANK FOSA FORM

 

Employee Performance Documentation Form Supervisory Notes and Information Form