Frisk Documentation Model Training

FRISK DOCUMENTATION MODEL

Practical Guidelines for Evaluators in Documenting Unsatisfactory Employee Performance

Office of Human ResourcesElla Padilla

Mary MinerDina Perfetti-Deany

Damon Brown

THE PURPOSE OF FRISK

1. Improve Employee Performance2. Offer Coaching and Support3. Document Expectations4. Document Non-compliance5. Provide Evidence for Disciplinary Action and Potential

Remediation

WHY DO WE NEED TO PRESERVE A RECORD OF EMPLOYEE PERFORMANCE?

• to document Employee Performance• to meet the Burden of Proof in disciplinary cases• to defend a personnel decision regarding a grievance• to support district’s defense in discrimination and civil rights

complaints or unfair practice charges

OTHER BENEFITS OF FRISK

• It is a framework for positive behavioral change• It is aligned with Master Agreement• It supports the 7 Tests for Just Cause• It is a strategy that uses assertive communication skills • It creates clear understanding of expectations• It creates open, honest and precise communication• It is accountable and considerate

WHY YOU WOULD USE FRISK

FRISK provides a concise and consistent format.

FRISK helps document singular “events” that may demonstrate patterns and may become part of a permanent personnel record.

FRISK can be used to support the termination process

CORE PHILOSOPHY OF FRISK

POSTIVE – emphasis is placed on potential of employees to change/improve their behavior/performance rather than punitive measures.CORRECTIVE – Supervisors have a responsibility to assist employees in modifying their conduct.PROGRESSIVE – By progressively increasing the severity of the communication and discipline imposed for persistent misconduct or failure to meet the established standard it is expected that employees will be given the necessary incentive to take corrective action.

THE COMPONENTS OF FRISK

• F – FACTS evidencing the employee’s unsatisfactory conduct.• R – RULE or authority violated by the employee’s behavior.• I – IMPACT of the employee’s unsatisfactory conduct on the

workplace.• S – SUGGESTIONS to assist the employee in improving

performance and directions as to the proper conduct the employee is expected to follow in the future. Theses directions are also referred to as Directives such as “Immediately you will…”.• K – KNOWLEDGE of the employee’s right to respond to

corrective documentation placed in the personnel file.

THE FRISK PROGRESSIVE PROCESS

1. Verbal Resolution and Coaching2. Written Warning3. Letter of Reprimand4. Unsatisfactory Evaluation5. Suspension Without Pay6. Dismissal

Page 70 -73 When determining discipline. Steps may be skipped based on severity

FACTS RULES IMPACT SUGGESTIONS KNOWLEDGE

FACTS: what did the employee do?• Be specific

-Identify and isolate the issue-Avoid grouping multiple issues together

• Be explicit-Dates, names, events, witnesses, etc.-Acknowledge previous warnings, discussions, employee

admissions, etc.• Be factually accurate

-CAUTION: Have specific, factual information: – Avoid general statements and conclusions


Facts - Examples• BAD LANGUAGE:

“You are frequently late to staff meetings.”

• GOOD LANGUAGE:“You are frequently late to staff meetings. Between

September 1 and November 1, 2012 you were late to staff meetings on September 14 (15 minutes); September 26 (5 minutes); October 10 (10 minutes); and October 22 (10 minutes).


RULES: What should the employee have done?FIRST, DEFINE PROBLEMSECOND, TRANSLATE PROBLEM TO EXPECTED “RULE.”

• The rule(s) should be a statement of specific expectation, standard practice, school or district policy.• Rules must be consistently applied to all employees.• Restating the rule is critical documentation and verifies the

employee was made aware of the issue.• The “rule” is always restated as the directive that the

employee is to follow in the future.


Rules - Examples• “Your conduct violated Article 502, Section 88 of the

Agreement, which requires you to be in your room 15 minutes before the bell rings.”

• “Your conduct violated the memo sent by me in which the staff was directed to no longer have students line up on the west side of the building.”

• “Your conduct violated Board Policy ____-----


Rules - Examples

• PROBLEM: Argumentative/Abrasive Behavior

The PROBLEM with an employee who uses profanity in the presence of students denotes “poor professional judgment.” TRANSLATE the PROBLEM into a “rule.”

Your conduct in front of the class lacked good judgment which requires you to refrain from using profanity in front of, or in conversations with students.


Impact - DefinitionWhat is the impact of the employee’s conduct?• An “impact” is the consequence of the employee’s action on

other individuals or the organization.• The impact is always adverse and substantiates the

seriousness of the inappropriate conduct• An impact statement links the undesired behavior/event to

the broader responsibilities of the employee’s position

Pages 33-42 of FRISK Handbook


Contact HR to brainstorm examples of adverse impact evidence. Include all identifiable examples to make a clear connection between conduct and negative impact.

Impact – Examples• Your lack of supervision of students is a violation of BOE policy JLI

(attached), exposed students to possible injury, and exposed the district to possible liability.

• Your conduct of sending home parent notes with errors negatively

impacted the trust parents have of our school and our instructional competence.

• Your sarcastic and demeaning communication with students had an adverse impact on your teaching effectiveness and relationships with students, resulting in 3 student and parent complaints this school year.


Resources to reference: Board Policy, Master Agreement, Teacher Quality Standards, Strategic Plan, past directives

Suggestions / Directives – DefinitionWhat should the employee to do to improve their performance?

• To demonstrate good faith and meet legal requirements, the supervisor should provide suggested strategies, resources, and timelines to help the employee meet performance expectations.

• Suggestions should include a directive articulating future expectations for performance – clearly, not ambiguous.

• Suggestions/Directives for improvement are always supported by a statement of consequences in the event of employee noncompliance


Resources to reference: Board Policy, Master Agreement, Teacher Quality Standards, Strategic Plan, past directives

Suggestions / Directives – Examples• Beginning immediately, you are directed to report to all recess duties on time and

provide supervision for student safety. Failure to follow this directive may result in further disciplinary action.

• Effective immediately and until further notice, you are required to proofread all written parent communication and get approval by a school administrator before sending home. Failure to follow this directive will result in further disciplinary action.

• Effective immediately and until further notice, you are directed to discontinue all demeaning and sarcastic remarks to students. You are directed to use positive language and demonstrate good professional judgment when interacting with students. Failure to comply with these directives may result in further disciplinary action, up to and including a recommendation for termination.


Knowledge – Definition• “Knowledge” is the acknowledgement of the employee’s contractual right to

review any document prior to it’s placement in the district personnel file.

• A knowledge disclaimer should always be included at the bottom of the document with the individual’s signature and date beneath it.

Knowledge – Example“Signature indicates you have reviewed and received a copy of this document, and does not imply agreement with it’s content.”

“A copy of this document will be placed in the your personnel file. A formal written response can be submitted to HR within 10 working days from the date of this document.”

•Pages 58-68


Scenario:

Marion, a paraeducator, is responsible for supervising elementary students during the lunch break. On April 10, 2001, she left the campus without authorization during the lunch break, leaving the students unsupervised for approximately 10 minutes. This is the third time the principal has addressed Marion for missing a recess duty assignment.• Facts:• Rules:• Impact:• Suggestion / Directive:• Knowledge:


Scenario:

A teacher repeatedly interacts with her teammates in a disrespectful way, raising her voice and using sarcasm. On Nov. 27, 2012, this teacher became angry with her teammates in a team meeting and yelled at them, “You are so difficult to work with! This is a bunch of crap!” The principal has spoken to her about her unprofessional communication twice prior to this.

• Facts: • Rules:• Impact:• Suggestion / Directive:• Knowledge:


Scenario:

“THIS IS YOUR LIFE”With a partner, talk about a situation you have in your building. What is the next step you think you should take with this employee?

If you decide on a formal write-up, how would you word the situation using FRISK?• Facts: • Rules:• Impact:• Suggestion / Directive:• Knowledge:

FRISK DOCUMENTATION TEMPLATES

Memorandum Shared With/Approved By

Concern Memorandum Principal

Warning Memorandum Principal, Assistant Superintendent, HR

Reprimand Memorandum Principal, Assistant Superintendent, HR

Evaluation Cycle Principal, Asst Supt, HR??

SEVEN TESTS FOR JUST CAUSEAS DEFINED BY ARBITRATOR CARROL R. DAUGHERTY

1. Did the employer give to the employee forewarning or foreknowledge of the possible or probable disciplinary consequences of the employee’s conduct?

2. Was the employer’s rule of managerial order reasonably related to the orderly, efficient, and safe operation of the employer’s business?

3. Did the employer, before administering discipline to an employee, make an effort to discover whether the employee did in fact violate or disobey a rule or order of management?

4. Was the employer’s investigation conducted fairly and objectively?5. At the investigation did the “judge” obtain substantial evidence or proof that the employee was guilty as

charged?6. Has the employer applied its rules, orders, and penalties even-handedly without discrimination to all

employees?7. Was the degree of discipline administered by the employer in a particular case reasonably related to (a) the

seriousness of the employee’s proven offense and (b) the record of the employee in his service with the employer?

The arbitrator explained that:A “no” answer to any one or more of the above questions normally signifies that just and proper cause did not exist. In other words, such a “no” means that the employer’s disciplinary decision contained one or more elements of arbitrary, capricious, unreasonable, and/or discriminatory action to such an extent that said decision constituted an abuse of managerial discretion warranting the Arbitrator to substitute his judgment for that of the employer.

SELF ASSESSMENT TEST

1. Management has the burden of proof in employee discipline hearings. TRUE FALSE

2. Pinpointing specific deficient conduct in documentation is important in TRUE FALSE tracking performance patterns.

3. Photographs cannot normally be used as evidence in a disciplinary hearing. TRUE FALSE

4. All violations of rules by employees must be written up in a disciplinary TRUE FALSE

memorandum.

5. All public school employees have the right to review the contents of their TRUE FALSE personnel files.

6. A written reprimand must always be preceded by a written disciplinary warning. TRUEFALSE

7. It is more important that the facts evidencing deficient conduct be clear and TRUEFALSE

specific than the direction for correcting the conduct.

Education

Frisk Documentation Model Training