Handling Performance

CONTENTA
MANAGING EMPLOYEES AND PROFESSIONALS
Managing Employee
a r t
l i k e
PERFORMANCE
l o o k
s h o u l d
A r t
1
a r t
l i k e
l o o k CONTENTA
Presented by:
s h o u l d
L I E Z E L E VA N G E L I S TA - B A Q U I R A N
Ph.D. in Educational Management
A r t
2
M a n a g i n g E m p l o y e e P e r f o r m a n c e
A r t s h o u l d l o o k l i k e a r t
3
PERFORMANCE ISSUE MODEL
CONTENTA
CONTENTA
Performance Issue Model

P e r f o r m a n c e
a r t
Can occur when the employee If the employee continues to be

Serious and must be nonperforming, you may consider
l i k e
doesn’t think the incident is a

addressed immediately big deal utilizing the progressive discipline
process
l o o k
MANDATED BEHAVIOR
E m p l o y e e
ISSUE PATTERN DISCIPLINARY

ACTION
s h o u l d
M a n a g i n g
Start SINGLE PERSISTENT

A r t
INCIDENT PATTERN
Usually best solved with a If the employee has been

casual conversation to let corrected for a behavior
the employee know what he pattern but continues to
or she did wasn’t exhibit the same behavior
appropriate
4
CONTENTA
Date of incident
Time of incident
Location (if applicable) of incident
A description of the performance issue

a r t
Notes on the discussion with the

employee on the performance issue
l i k e
An improvement plan, if necessary

Next steps, should the employee
l o o k
commit the same infraction

E m p l o y e e
Signatures from both the manager and employee

s h o u l d
Once the issue has been documented, the manager and employee
should meet about the infraction. This type of meeting is called an
investigative interview and is used to make sure the employee is
M a n a g i n g
fully aware of the discipline issue. This also allows the employee the
A r t
opportunity to explain his or her side of the story. These types of

meetings should always be conducted in private, never in the
presence of other employees.
Investigation
In unionized organizations, however, the employee is entitled to
union representation at the investigative interview. This union of Performance
representation is normally called interest based bargaining.
5
Issues
CONTENTA
FIRST OFFENSE
Unofficial verbal warning. Counseling and
Options for
restatement of expectations.
a r t
SECOND OFFENSE Handling

l i k e
Official written warning, documented in

employee file. Performance
l o o k
Issues
E m p l o y e e
THIRD OFFENSE
Second official warning. Improvement
s h o u l d
plan may be developed. Documented in

employee file.
M a n a g i n g
A r t
FOURTH OFFENSE
Possible suspension or other punishment,
documented in employee file. It refers to a series of steps taking corrective action on
nonperformance issues. The progressive discipline process
is useful if the offense is not serious and does not demand
FIFTH OFFENSE immediate dismissal, such as employee theft. The
Termination and/or alternative dispute progressive discipline process should be documented and
resolution. 6 applied to all employees committing the same offenses.
M a n a g i n g E m p l o y e e P e r f o r m a n c e
A r t s h o u l d l o o k l i k e a r t
7
CONTENTA
CONTENTA
The Seven Tests 1. Notice

◦ Prior to imposition of discipline, employee must
of Just Cause have notice of rules and expectations.

a r t
◦ Establish through:
▪ New employee orientation
The seven test[s] of just cause represent a practical and effective way to
l i k e
▪ Orientation checklists
determine whether a proposed disciplinary action is firmly and fairly
▪ Receipts for departmental handbooks
grounded. It is fair to assume that these tests will be applied by arbitrators in
◦ Periodic reinforcement/coaching
the event that disciplinary actions are challenged, and it is therefore good
l o o k
E m p l o y e e
practice to apply them prospectively when considering the imposition of

progressive discipline.
s h o u l d
3. Investigation 2. Reasonable Rules and Orders

◦ Must be thorough; consider all evidence, pro and con. ◦ Cannot be inconsistent with collective bargaining
M a n a g i n g
◦ Must be timely: agreement(s)

▪ Should be completed expeditiously ◦ Cannot be arbitrary or capricious
A r t
▪ Occurs before discipline imposed ◦ Must be reasonably related to business necessity

◦ Give accused opportunity to respond
◦ Allow union representation
8
CONTENTA
4. Fair Investigation
◦ Result must not be forgone conclusion.

◦ Test assumptions/bias.
a r t
5. Proof
l i k e
◦ Level of proof is normally substantial evidence.

◦ Greater proof required for more serious allegations.
l o o k
E m p l o y e e
6. Equal Treatment
s h o u l d
Equal treatment must be balanced against just application:

7. Penalty ◦ Rules must be applied even-handedly and without
discrimination.
M a n a g i n g
◦ Must be fair, not arbitrary and ◦ Rules must be applied justly.

A r t
capricious, or based on ◦ Don’t blindly apply the same rule to all situations—managers/
emotional response. supervisors are expected to exercise judgment.
◦ Factor in length of service,
prior performance history, and
previous progressive discipline.
9
CONTENTA
Another option for handling continued

infractions is to consider putting the
employee on an improvement plan, which
outlines the expectations and steps the

employee should take to improve performance.
a r t
The plan is detailed and outlined and ensures

both parties understand the specific
l i k e
expectations for improvement. If the

improvement plan does not work, a
l o o k
progressive discipline process might be used.

E m p l o y e e
s h o u l d
M a n a g i n g
A r t
10
CONTENTA
Another option in handling disputes, performance

issues, and terminations is alternative dispute
resolution (ADR). This method can be effective
in getting two parties to come to a resolution. In

ADR, an unbiased third party looks at the facts in
a r t
the case and tries to help the parties come to an

agreement.
l i k e
Alternative Arbitration Peer resolution system

l o o k
Dispute
E m p l o y e e
A type of ADR in which a third party A system in which a committee of
Resolution
s h o u l d
reviews the case and imposes a management and employees is formed

resolution. to review employee complaints or
discipline issues.
M a n a g i n g
Mediation Step-review system

A r t
Ombudsman system
A type of ADR in which the A system in which a performance
third party facilitates the issue is reviewed by consecutively A system in which a person is selected (or
resolution process, but the higher levels of management, should elected) to be the designated individual for
results of the process are not there be disagreement by the employees to go to should they have a
binding for either party. employee in a discipline procedure. complaint or an issue with a discipline
procedure.
11
CONTENTA
Employee separation can occur

in any of these scenarios.
First, the employee resigns and

decides to leave the organization.

a r t
Second, the employee is

l i k e
terminated for one or more

performance issues.
l o o k
E m p l o y e e
Lastly, absconding is when the

employee decides to leave the
organization without resigning and
s h o u l d
following the normal process. For

example, if an employee simply
Employee Separation
M a n a g i n g
stops showing up to work without

notifying anyone of his or her
A r t
departure, this would be

considered absconding.
12
CONTENTA
Employee Separations
and Layoffs
Resignation
a r t
means the employee chooses to leave the organization.

l i k e
If it is determined an employee should be terminated, different steps

l o o k
E m p l o y e e
would be taken than in a resignation.

s h o u l d
First, documentation is necessary, which should have occurred in the

progressive discipline process. Performance appraisals, performance
improvement plans, and any other performance warnings the employee
M a n a g i n g
received should be readily available before meeting with the employee. It

A r t
should be noted that the reliability and validity of performance appraisals

should be checked before dismissing an employee based upon them.
Questionable performance appraisals come from the real-world conditions
common to rating situations, particularly because of limitations in the abilities
of the raters
13
CONTENTA
Some considerations in developing a

severance package might include the following:
How the severance will be paid (i.e., lump

Employee
a r t
sum or in x equal increments)
Separations
l i k e
Which situations will pay a severance and

which will not. For example, if an
and Layoffs
l o o k
E m p l o y e e
employee is terminated for violation of a

sexual harassment policy, is a severance
still paid?
s h o u l d
A formula for how severance will be paid,

based on work group, years with the
M a n a g i n g
organization, etc.
A r t
Legal documents, such as legal releases

Depending on previous contracts, the employee may be
and noncompete agreements
entitled to a severance package. A severance package can
include pay, benefits, or other compensation for which an
How accrued vacation and/or sick leave employee is entitled when they leave the organization. The
will be paid, if at all purpose of a severance plan is to assist the employee while
14
he or she seeks other employment.
CONTENTA
Rightsizing and
Layoffs
Rightsizing refers to the process of reducing the total size of

a r t
employees, to ultimately save on costs. Downsizing ultimately

means the same thing as rightsizing, but the usage of the word
l i k e
has changed in that rightsizing seems to define the

organization’s goals better, which would be to reduce staff to
save money, or rightsize. When a company decides to rightsize
l o o k
E m p l o y e e
and, ultimately, engage in layoffs, some aspects should be

considered.
s h o u l d
First, is the downturn temporary? There is nothing worse

than laying people off, only to find that as business increases,
you need to hire again. Second, has the organization looked
M a n a g i n g
at other ways to cut expenses? Perhaps cutting expenses in

other areas would be advisable before choosing to lay people
A r t
off. Finally, consideration should be given to offering

temporary sabbaticals, voluntary retirement, or changing
from a full- to part-time position. Some employees may even Organizations find they can still keep good people by looking at some
be willing to take a temporary pay cut to reduce costs. alternatives that may work for the employee and the organization,
even on a temporary basis.
15
CONTENTA
If the company has decided the only way to reduce costs is

Rightsizing to cut full-time employees, this is often where HR should be
directly involved to ensure legal and ethical guidelines are
and Layoffs
met. Articulating the reasons for layoffs and

establishing a formalized approach to layoffs is the first
a r t
consideration. Before it is decided who should get cut,

criteria should be developed on how these decisions will be
l i k e
made.
After development of criteria, the next phase would be to

l o o k
E m p l o y e e
sit down with management and decide who does or

doesn’t meet the criteria and who will be laid off. At this
point, before the layoffs happen, it makes sense to discuss
s h o u l d
severance packages.
M a n a g i n g
After criteria have been developed, people selected, and

severance packages determined, it’s key to have a solid
A r t
communication plan as to how the layoffs will be

announced. Usually, this involve an initial e-mail to all
The important thing to remember employees, letting them know of impending layoffs. Speak
during layoffs is keeping your with each employee separately, then announce which
employees’ dignity; they did not do positions were eliminated.
anything wrong to lose their job—it was
just a result of circumstances.
16
M a nAa r gt i ns gh oE uml pd l ol yo eo ek f o a
i kr e
Pl e r ta n c e
r m
17
THANK YOU
CONTENTA

Handling Performance

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CONTENTA

MANAGING EMPLOYEES AND PROFESSIONALS

Performance Issue Model

Can occur when the employee If the employee continues to be

doesn’t think the incident is a

ISSUE PATTERN DISCIPLINARY

Start SINGLE PERSISTENT

Usually best solved with a If the employee has been

A description of the performance issue

Notes on the discussion with the

An improvement plan, if necessary

commit the same infraction

Signatures from both the manager and employee

opportunity to explain his or her side of the story. These types of

SECOND OFFENSE Handling

Official written warning, documented in

plan may be developed. Documented in

The Seven Tests 1. Notice

◦ Prior to imposition of discipline, employee must

of Just Cause have notice of rules and expectations.

practice to apply them prospectively when considering the imposition of

3. Investigation 2. Reasonable Rules and Orders

◦ Must be timely: agreement(s)

▪ Occurs before discipline imposed ◦ Must be reasonably related to business necessity

◦ Result must not be forgone conclusion.

◦ Level of proof is normally substantial evidence.

Equal treatment must be balanced against just application:

◦ Must be fair, not arbitrary and ◦ Rules must be applied justly.

Another option for handling continued

outlines the expectations and steps the

The plan is detailed and outlined and ensures

expectations for improvement. If the

progressive discipline process might be used.

Another option in handling disputes, performance

in getting two parties to come to a resolution. In

the case and tries to help the parties come to an

Alternative Arbitration Peer resolution system

A type of ADR in which a third party A system in which a committee of

reviews the case and imposes a management and employees is formed

Mediation Step-review system

Employee separation can occur

First, the employee resigns and

decides to leave the organization.

Second, the employee is

terminated for one or more

Lastly, absconding is when the

following the normal process. For

stops showing up to work without

departure, this would be

means the employee chooses to leave the organization.

If it is determined an employee should be terminated, different steps

would be taken than in a resignation.

First, documentation is necessary, which should have occurred in the

received should be readily available before meeting with the employee. It

should be noted that the reliability and validity of performance appraisals

Some considerations in developing a

How the severance will be paid (i.e., lump

sum or in x equal increments)

Which situations will pay a severance and

employee is terminated for violation of a

A formula for how severance will be paid,

Legal documents, such as legal releases

Rightsizing refers to the process of reducing the total size of

employees, to ultimately save on costs. Downsizing ultimately