PROCEDURES AND GUIDELINES

Formal Steps of Positive Discipline (FOSA)

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SECTION III

EMPLOYEE PERFORMANCE DOCUMENTATION FORM INSTRUCTIONS
 

FOSA Form

1. EMPLOYEE'S NAME: Provide the full name that is on file in the Human Resources Office.

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

3. THIS CONVERSATION IS INTENDED TO BE:

Please check the appropriate box which describes the type of conversation you will be having with the employee.

A.  DURING 90-DAY PROBATION:

If you check this box, then you must also check Recognition or Coach & Counseling.  (See Recognition or Coach & Counseling for explanation)

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 satisfactory performance, "Recognition" for going beyond the call of duty or "Coach 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 Verbal or Written Warning to an employee during their probationary period. If an employee is having performance problems during their probationary period (90 days), use this form to document the problem and the training you provided to correct the problem and the results. Do not wait until an employee has 91 days of service to determine they have a performance problem. 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 has been rated satisfactory on their 90-day appraisal or 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 their performance is less than satisfactory.

B.  POSITIVE CONTACT:

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.

Be specific (more likely to repeat behavior).

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.

C.  RECOGNITION:

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.

D.  COACH & COUNSELING:

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.

The following are ways Coach & Counseling can be used:

• 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);

REMEMBER:   Coach and Counseling is not a "step" of positive discipline.

1. It is to prevent a formal level of discipline being necessary, such as a verbal warning.

2. It is to explain the impact an the organization of not meeting the required standards or objectives.

3. It is to tell the employee how and when you plan to follow-up.

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.

FORMAL LEVELS OF POSITIVE DISCIPLINE

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.

E.  Verbal Warning (Step 1):

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.

F.  Written Warning (Step 2):

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.

G.  Objectives Met, Suspension or Termination, Other

OBJECTIVES MET:

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).

SUSPENSION or TERMINATION:

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.

OTHER:

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. 

4.  DOCUMENTING FOSA:

FACTS - OBJECTIVES - SOLUTIONS -  ACTIONS

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.

A.  FACTS:

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

For example:

B.  OBJECTIVES:

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.

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.

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.

6.  TITLE:

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.

7.   EMPLOYEE SIGNATURE:

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.

1. EMPLOYEE'S NAME: Provide the full name that is on file in the Human Resources Office.

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

3. DATE:  Provide the date.

4. OTHER FACTORS I SHOULD CONSIDER IN EVALUATING PERFORMANCE:

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.

Space has been provided to document additional details covering FOSA, if it is needed.