Written Record of Verbal Warning - Perkins School for the ...



Performance Improvement and Disciplinary ActionIt is the policy of Perkins that employees are expected to carry out their assigned tasks and responsibilities as instructed and to conduct themselves in accordance with reasonable rules and expectations for the workplace. Corrective action is taken when such is not the case. Disciplinary Action, up to and including termination, is taken for cause. Infraction of Perkins, departmental or program rules shall be regarded as cause for disciplinary action.Perkins promotes a policy of progressive or corrective discipline, i.e., discipline shall gradually increase depending upon the severity and/or frequency of the infractions. The Supervisor, in conjunction with the department head or program supervisor, will recommend the action appropriate to the infraction up to, and including, a recommendation for termination, considering the severity of the offense, mitigating circumstances, previous infractions, etc. In determining the appropriate action, the Director of Human Resources shall provide advice and counsel. Approval for discharge must be obtained from the Director of Human Resources.It is the responsibility of the Supervisor to inform the employee of the expectations and requirements of the job and to give the employee the opportunity to meet these requirements and expectations. It is also the responsibility of the Supervisor to provide appropriate corrective action through coaching and guidance through consultation.Full Corrective Action Policy can be found in the Employee HandbookObjectives:Describe the process of corrective counselingIdentify performance and behavior gapsDocument performance or behavior discrepancies and take appropriate actionPrepare for and conduct a corrective counseling discussion with the employeeHelp employees develop a positive corrective action planOverview of Corrective CounselingA primary purpose of corrective counseling is gaining the commitment of the employee to achieve high performance in an environment when both the supervisor and the employee feel good about what is happening. To achieve this goal, managers should follow the guidelines below.Instead of:Focus on:Using reprimand and punishmentSupportive positive future actionFocus on past poor behaviorFocus on positive future behavior as a result of a positive action planFeeling responsible for being a “performance cop”Focus on the responsibility of the employee to achieve acceptable performance through a series of positive action stepsThe only person who can change the performance is the individual employee, the person responsible for the action. Management’s responsibility is to function as a coach and trainer to facilitate the employee’s performance changes.Corrective counseling for Progressive Performance ProblemTo ensure consistent application of Corrective Action in all programs and areas of the company, some types of unacceptable employee behavior or performance and the appropriate disciplinary action are identified on the following pages.There are a variety of areas that an employee may need counseling on. These are some of the most common issues a manager may face.Time and attendanceExcessive abseentism or tardinessFailure to follow proper call-out proceduresJob Performance and General BehaviorViolation of job descriptionFailure to follow program-specific policyInsubordination, disrespect, and inappropriate languageSleeping while on a shift that requires staff to be awakeFailure to maintain/complete required documentationFailure to become certified or maintain required certificationsFailure to follow company policySituations that require corrective counseling should be handled on a case by case basis. The examples above, as well as all other performance issues, may result in any of the levels of corrective action that are discussed in this course. In many situations the employee will change their behavior and or improve performance after being coached by their supervisor. However if the performance problem progresses in severity, the counseling process also changes. It is important to note that the performance problems or issues do not need to be related in order to progress to the next step in the disciplinary process.Coaching: Addressing the behavior early “nip it in the bud”.The process of communication between the supervisor and an employee for the purpose of assuring that the employee learns and understands the job duties, performance expectations, and rules of conduct in the work place. Coaching can include oral discussions, the provision of written material (e.g., policies, procedures, processes, rules, and resources), demonstration, training, practice, guidance, correction, reminding, etc. This should be a dialogue between the manager and the employee so the manager is not the “performance cop”. Learning Objectives:Collect accurate facts to use in making decisions about performance improvement or behavioral issues. It is the manager’s job to identify the performance problem and bring the problem to the immediate attention of the employee. Allowing the behavior to continue without addressing it does the employee and Perkins a disservice.Get the employees point of view/their side of the story.Explain the deficiency and/or concern and why the behavior is a problem (if this happens or continues to happen XYZ could result. If possible, take advantage of the opportunity to offer praise. Talk about positive things with the employee’s performance “these are your strong areas…” ; “I know this is within your control” The goal is for the employee to leave feeling you are invested in their improvement.Discuss other variables when necessary (Are things happening outside of work?) offer EAP when necessary: 877-595-5284The goal is to improve performance or correct behavior. *Get the employee to have ownership of their behavior and commit to changing*Follow up with documentation (e-mail to the employee summarizing the conversation, note to file, written report of your meeting- for managers use only)Consult with HR sooner rather than laterWritten Record of Verbal Warning This is generally the first step in the formal disciplinary process recognizing employee misconduct, inadequate job performance or infraction of Perkins' rules or policies (such as excessive absence or tardiness). Link the problem to policy. Written Reprimand A written reprimand is normally the second step in the disciplinary process, addressing problems if there is insufficient improvement after a verbal warning; or the first step in the event of a more serious offense as determined solely by Perkins such as negligence or irresponsibility on the job. Suspension A suspension notice from work without pay is normally the next step if misconduct or inadequate performance continues or recurs. Suspension may also be the first step in the event of a serious offense that, under all the circumstances, does not appear to warrant involuntary termination. A suspension may also be appropriate when circumstances require an investigation during which it does not appear feasible or desirable for the employee to continue to work. Involuntary TerminationInvoluntary termination is the disciplinary action used if misconduct or inadequate performance continues or recurs after other disciplinary measures have been taken; or, without regard to prior disciplinary action, in the event of serious misconduct such as, but not limited to, abuse or neglect of a student or client, theft, dishonesty or insubordination. Appeal of Disciplinary ActionAn employee disciplined under this policy has the right to request review of the disciplinary action through the informal or the grievance procedures as detailed in Section 8.00 of the Employee Handbook Resolving Employment Issues in this Employee Handbook.Review:For each of the following behaviors decide which level of corrective action seems most appropriate. Write your answer in the space after the behavior description. Your choices are: documented coaching/supervision, corrective action & level, immediate termination.Failure to complete reports promptly and accurately _______________________Violation of safety rules and practices, resulting in potentially serious injury ______________________________Sleeping during scheduled work hours _________________________________Reporting to work while under the influence of alcohol or drugs _______________________________Taking break periods in excess of authorized time ________________________Smoking anywhere other than designated smoking areas ______________________________Use of improper language (that which is traditionally against generally accepted standards of good taste) ____________________________________________Violation of Sexual Harassment Policy _________________________________ Failure to respond to fire alarms ______________________________________Important Information to IncludeWhen the Corrective Action Form is complete, you will have identified the following:What the problem isWhy it is a problemWhat performance or behavior is desired insteadThe consequences of not changing the performance or behaviorImportant ReminderIt is important to remember that, in each of the steps above for managing progressive discipline, the number of steps may be increased or decreased, consistent with Perkins policy. A variety of factors should be taken into account when determining the level of corrective counseling an employee receives. Each of the factors below should be considered. Each one alone does not constitute a reason for a certain level of corrective action.The type of infractionPrior degree of documentationPrior work history of the employeeLength of service of the employeeRequirements for DocumentationConcise and complete documentation is critical in the process of corrective counseling. Be sure you have addressed each of the following points.Always be specific and factual. General statements (such as frequently late for work, bad attitude or poor care, etc.) are difficult to substantiate if challenged.A clear description of the problemThe facts surrounding the problem such as names and datesPrior problems and datesPrior counseling/supervision involvementStatement of consequences should the employee fail to live up to the agreementClear, legible signature of the manager conducting the processIf an employee refuses to sign the form, be sure to hand-write the following statement at the end of the document and sign your name and date. “The foregoing has been read and fully explained to (employee’s name). However, he/she refused to sign”Questions To Ask Yourself before Taking Disciplinary ActionAs you prepare to address disciplinary action, consider the following questions. Your responses will help to ensure you have sufficient accurate data and have taken the appropriate steps that will ensure you can make a valid and defensible business decision.Have the company policies on the issue been applied consistently to all employees within your area of responsibility?Has an effort been made to discover whether the employee did, in fact, violate or disobey the rule or managerial order?Has the investigation been conducted fairly and objectively?Is there substantial evidence or proof?Where appropriate, has the employee received fair warning of the possible disciplinary consequences of his/her conduct?Does the proposed degree of penalty reasonably relate to the offense?Have the guidelines as described in Perkins’ Progressive Counseling procedure been followed?Have you discussed the discipline with your manager and HR?If each question can be answered “yes”, then every step has been taken to make a justifiable business decision that you can defend.Guidelines for Managers Stay cool. Effective discipline results when emotions, especially tempers, are not allowed to take charge. Do not allow it to become personal. Maintain your professionalism. Discipline now. Be decisive. If the action is not fresh in the mind of the employee, he/she may develop an attitude of antagonism based on the feeling of being picked on.Do it yourself. You are the manager who applies the policies and communicates every day with your employees to get the job done. If you really know the offending employee, you will do the best job of disciplining him/her, and he/she will respect you for it.Be flexible. Your technique, your tone of voice, and your approach are all important. And so is the personality of the employee. Approach him/her accordingly.Discipline privately. Make every effort to find a private, quiet area. This shows that you respect the employee and will build his/her respect for you. Attack the action, not the person. Make the focus of the discussion the problem at hand, trying not to have the employee feel he/she is personally being attacked.Explain why and seek understanding. All Perkins’ standards for performance exist for a reason and can be explained. When an employee understands and accepts the “why”, compliance usually follows. Ask the employee if what you have discussed is clear, and if he/she has any questions about what future performance you expect.If an employee disagrees with what is documented, invite him/her to explain in writing on the form any points of disagreement and add his/her signature to them.Don’t hold a grudge. Drop the matter after it has been discussed and believe that the situation has been taken care of. If you hold a grudge, you will keep looking for reasons for holding that grudge, and the employee will provide them for you real or imagined. Move on!Avoid emotional involvement. Solve the problem if you can, but do not let the employee’s problem become your problem. Remember, in this instance you must be the employer, not the caregiver. Friend v. Friendly.Admit when you are wrong. This is the hallmark of a confident leader. Anyone can be mistaken. Explain why it happened and apologize, but do not become defensive.Case Study Exercise:With your group, review the facts and circumstances of the case study below. Answer the following questions: What is the behavior you need to address? Be specific. Include what happened, when it happened, and anything else of significance.Why did the behavior need to be addressed? How did it impact other people and the work itself?What action(s) did you take to improve the employee’s behavior? Two male TA’s engage in a verbal disagreement that escalated into an argument where both parties were using offensive profanity. This argument was witnessed by other staff and also took place in front of a student. Both of the employees involved in the argument have been at Perkins for 2 years. One of the employees received a written warning 6 months ago. An employee calls a CRL at 9pm and questioned the dollar amount and hours on her paycheck. While the CRL was explaining the hours to the employee the employee began talking over the CRL, began yelling and continued to yell when the CRL asked her to stop. The CRL had to end the call because the employee would not calm down. The employee has been at Perkins for 1 year.A cook in Yarmouth Cottage got into a disagreement with the SRL over a meal selection for dinner the following evening. The Cook told the SRL she did not know about meal planning and he was the professional Food Services representative. This cook has a history of outbursts (none of which were documented but has a reputation for being argumentative) and has trouble with authority. The cook has been an employee for 7 years and received a verbal warning for tardiness 1 year ago. A 10 year AON was caught sleeping by a TA coming on shift at 7am. When questioned by the SRL the AON denied sleeping on shift. He claimed he was resting his eyes but adamant he was not sleeping. He has no corrective actions on file.The assumptions for Corrective Action are:The Corrective Action the Supervisor should take is:The reason(s) for this action is:One person will play the role of the employee, manager and a second manager as the witness when meeting with the employee. Key Points to Remember- SummaryTaking action to confront problems early helps to solve them more easily and more positively. Accurate documentation is the foundation for positive corrective counseling. Use the following points as reminders in the corrective action process.Document. Document. Document.Take written statements. Be sure all dates, times and any other relevant statistics are recorded specifically and accurately.Investigate to be sure you have all the relevant data. Always be specific and factual.Document all face-to-face discussions, phone conversations and meetings. Track the 5 W’s. If it’s appropriate, have a witness.Accurately record the involved employee’s responses or reasons for non-compliance.Obtain written statements from witnesses or others involved.Be sure to consult with HR for the following:Initial guidanceDocumented warningsSuspensionTerminationDocument. Document. Document. DISCIPLINARY ACTION(Place an X on the appropriate action line)_____Written record of verbal warning_____Written reprimand_____Suspension for ______days_____TerminationEmployee_____________________________ Job Title _______________________________________ Employment Date______________________Supervisor______________________ Title_______________________ Department_________________Disciplinary action being taken on ____________ for the following reasons (include date(s) of infraction):Explain (including dates and explanation of previous relevant discussion and/or discipline):The following corrective action is expected of the employee:Future infraction(s) may result in:TO BE COMPLETED ONLY WHEN AN EMPLOYEE IS SUSPENDED WITHOUT PAY(Place an X on appropriate line)_____Disciplinary suspension for _____day(s) beginning on _________________ Time_______ AM/PM_____ The employee is to return to work beginning on ______________________ Time_______ AM/PM Signatures__________________________ __________________________Employee Date Supervisor Date(Employee signature indicates receipt of form and does not necessarily indicate concurrence.)____ Employee declined to sign; Supervisor’s Signature _______________________________________ DateA copy of this form will be placed in the official employee file in the Human Resources DepartmentDistribution of copiescopy to employeecopy to supervisor1 copy to employee file ................
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