Best Practices in Documentation
T. Mike Kilbury
Peterson, Logren & Kilbury, P.A.
RECAP
Last year we showed you the reasons how and
why to do timely documentations; what the
effects of proper documentation are and what an
individual manager’s role is
We reviewed how FMLA, Work Comp and any
incidences must be tracked and when to
report to maintain consistency
We introduced a tool, the
HR Incidence Reporting Form
to help managers report consistently
Village Automotive Group Incidence Reporting Form
Employee Information
Employee Name:
Date:
Employee ID:
Job Title:
Manager:
Department:
Police/Agency
Contact_____________
Witnesses________________
Professionalism/Conduct
Absenteeism/Tardy/Leave Early
Violation of Company Policy(ies)
Substandard Work
Violation of Safety/Work Rules
Compensation
Injury/Health
Other:
Media Contact _________________
Nature of Incident
Details
Description of Infraction:
Initial
Response/Action
Taken:
Consequences of Further
Infractions/Follow Up Required:
HR/Management Use Only
Pending Follow up date: ____________________________
Closure Date: __________________________
Attachments included________________________________________________________
HR/Business file copied
Date
Manager Signature
Date
Witness Signature (if employee understands warning but refuses to sign)
Date
Confusion and
Inconsistencies
• FMLA tracking- If an employee is taking 3 or more days
of vacation to care for a sick family member; why report
it?
• Employee refuses to qualify for FMLA, what do we
do?
• How am I supposed to know when to report FMLA;
what are the triggers or signs? I.e. Sick; dr visit; ill
family member; birth of child; terminal family member
• How and when am I supposed to track time when an
individual is out for sick, FMLA, WC, etc.?
Confusion and
Inconsistencies
• UI claims- Employees with the company less
than 90 days don’t affect our experience rating?
If I hire someone and find out later this individual
is a wrong fit, I can terminate and it won’t affect
our experience rating?
• Employer At Will means I can terminate at any
time for any reason, so why do I have to
document, even for those employees with us
less than 90 days? Why give them a reason?
Confusion and
Inconsistencies
• The company has provided employees with PPE
(personal protective equipment); if they don’t like it or don’t use
and are injured what can we do about it?
• Why is it important that we run WC time off
concurrently with FMLA?
****Mike and Kyle will create a FAQ folder for the
Management Store folders, please jot down any
questions you might have and email to Kyle by
February 13. Mike will prepare answers.
Unemployment
Insurance (UI)
•
Experience rating is based on a 48 month period that ends on June 30 of
previous year.
•
UI rates are assigned to employers based on their business type; higher
rates mostly in the construction related positions.
•
UI rates are calculated each calendar year at 60% of MN’s average
annual wage. The taxable wage base for 2008 = $26,000.
•
UI rates are made up of 2 parts- Base tax rate which is the same for all
employers AND “experience rating” which is based on the employer’s
history of taxable wages and benefits paid in their experience rating
period.
•
The effect of any benefit depends upon the amount collected by the
applicant (AKA former employee) and the amount of total taxable
wages.
UI Claims
•
When an applicant applies for benefits, MN determines whether the
person has enough wage credits to establish a valid benefit account
and whether their former employers will be charged for those benefits.
•
The determination lists the employers he/she worked for and the
wages reported during the recent 12 month period in which the
applicant’s account is based (base period).
•
Most applicants can receive up to 26 weeks of benefits over a 52 week
period.
•
It shows whether you were paid enough wages to be eligible for benefits,
and if so, the weekly benefit amount and maximum - The total amount of
money an applicant can receive in the benefit year. This figure is 26 times
the weekly benefit amount or one-third of the total wage credits the
applicant earned during the base period, whichever is less. amount of
benefits available to you.
UI
•
The weekly benefit amount will be about 50% of the average weekly
wage, up to a state maximum of $566. The maximum total amount of
benefits available will be one-third of your total wages in your base period,
or 26 times your weekly benefit amount, whichever is less.
•
Employers have an opportunity to appeal the determination within
specific time limits; one week from date of mailing.
•
Chargeable claims will be calculated in the employer’s UI experience
rating.
•
Multiple employers may be charged for the benefits paid to an
applicant. Each ER is charged a percentage of the benefits paid
proportionate to the % of wages they paid the applicant in the base period.
•
An “issue” in unemployment is a protest or appeal that has been raised
concerning a UI claim.
Raising an Issue
When a UI claim is filed by applicant, the employer is given an
opportunity to appeal the decision if it impacts the experience rating.
•
The Employer must respond to a questionnaire regarding the termination process of
the employee and show misconduct. Most are up to 6 pages!
•
Under Minnesota Statute section 268.095, an applicant is not eligible for
unemployment benefits if the applicant is discharged for absenteeism or
tardiness, but only if the absenteeism or tardiness was employment
misconduct.
•
The law defines employment misconduct as intentional or negligent conduct
that is a serious violation of standards of behavior the employer has the right to
reasonably expect. Absenteeism or tardiness is employment misconduct if it is
intentional, excessive, or unreported.
•
It might not be employment misconduct if recent absences or tardinesses were
unavoidable or due to illness, or if the applicant was unaware that the absences
or tardiness seriously violated employer standards or expectations.
UI Appeal Process
•
Appeal Information The Minnesota Unemployment Insurance Law provides an opportunity for a
fair and impartial hearing to any party who disagrees with a determination issued by the
Minnesota Unemployment Insurance (UI) Program related to a benefit account, job separation,
eligibility or various employer account related issues. For an explanation of how the appeal
process works and for contact information, read the Appeal Hearing Guide .
•
Appeals must be filed electronically, by mail, or fax within the timeframe specified on the
determination or correspondence to be appealed.
•
FIRST LEVEL HEARING: The hearing will be scheduled with an unemployment law judge. The
hearing will normally be done by telephone. Under unusual circumstances a case will be heard in
person. The written record will be reviewed and parties may provide additional testimony. The
judge will then issue a written decision, either agreeing with, or changing the original decision. If
the appealing party fails to participate in the evidentiary hearing, the unemployment law judge may
summarily dismiss the appeal.
•
REQUEST FOR RECONSIDERATION: Any decision handed down by the unemployment law
judge may be reviewed by the same unemployment law judge that issued the decision if a request
for reconsideration is filed within 20 calendar days of the sending of the unemployment law
judge's decision by any involved applicant, involved employer or the commissioner.
•
COURT OF APPEALS HEARING: Any reconsidered decision by the Unemployment Law Judge
may be taken to the Minnesota Court of Appeals.
UI Hearing
• At the hearing each party will give sworn testimony; can provide
evidence, witnesses and question each other.
• Testimony is recorded by the UI Judge.
• Evidence is anything that supports your testimony. Evidence can be
written policies; warnings; medical statements; contracts; time or
pay records; notes made during employment.
• This hearing is the only chance to tell the story and present
evidence to the judge. Any further appeal will only review
evidence given at this hearing.
UI Hearing
•
Evidence to be considered in the hearing, must be provided prior to the hearing with
the claim response or appeal.
•
Witnesses are those with firsthand
knowledge of what happened.
•
Witnesses can be subpoenaed for
either side, if necessary.
•
If either side does not participate in the hearing, the judge may take testimony and
evidence from the other party and base his or her decision on that information.
Additional evidence can not be provided by the party who does not participate.
Reasons to Terminate
UNEMPLOYED FOR REASONS OTHER THAN LAYOFF
•
If the applicant quit, refused work, or were fired, or on strike, suspension, or a leave
the applicant and the employer will be asked for information about the reason he/she
is not working. Once information is collected, a written determination based on
Minnesota Unemployment Insurance Law will be mailed to applicant and employer.
•
The determination will state whether he/she can receive benefits or not, and why.
This may take up to three weeks from the date you applied. This determination can
be appealed by you or the employer.
•
For most job separations, if you caused your own unemployment without a good
reason, you are not eligible for benefits. This is a broad generalization; the law has
specific requirements for each type of separation.
•
UI is now asking, why you hired that person and what you have done to
communicate a bad fit; often the ER will be charged
Reasons to Terminate
Job Separations And Refusals
Applicants may have enough wages in their base period to establish a Minnesota Unemployment Insurance
Benefit Account; however, the reason of separation from their job could make them ineligible to receive
benefits.
These include but are not limited to:
Quits: Applicants who quit employment are not eligible
unless the quit falls into one of the following categories:
–
–
–
–
–
–
–
–
–
quit because of a good reason caused by the employer (one that would compel an average reasonable
worker to quit)
quit to accept better employment
quit because one's serious illness or injury required quitting
quit part-time work if unemployment benefits are based on full-time work that was lost through no fault of
one’s own
quit unsuitable employment within the first 30 days
quit unsuitable employment to enter full time reemployment assistance training
quit because one had been notified of layoff within 30 days
quit because domestic abuse of the applicant or applicant's minor child required quitting.
quit because of the loss of child care if reasonable efforts were made to find new child care
Reasons for Termination
These include but are not limited to:
• Discharged for employment misconduct:
Applicants discharged for employment misconduct are ineligible to receive
benefit payment. Employment misconduct means any intentional conduct,
on the job or off the job that:
– displays clearly a serious violation of the standards of behavior
the employer has the right to reasonably expect of the employee
or,
– displays clearly a substantial lack of concern for the
employment.
Reasons to Terminate
These include but are not limited to:
•
Inefficiency, inadvertence, simple unsatisfactory conduct, poor performance
because of inability of incapacity, or absence because of illness or injury with
proper notice to the employer, are not employment misconduct.
•
Examples of discharges that could potentially make an applicant ineligible
are:
–
–
–
–
–
•
being fired for continued, unexcused absences and/or tardiness
using drugs or alcohol on the job
breaking company rules
willful neglect of duties
insubordination, theft, fighting, or harassment
Discharges that might affect eligibility for benefit payment include:
– absenteeism as a result of illness
– inability to work up to the employer's standards
Reasons for Termination
•
Discharged for aggravated employment misconduct
Applicants discharged for aggravated employment misconduct are ineligible to receive benefit payment. Wages
earned from this employer will be removed from the benefit account. This may cause the account to have
insufficient wages to be payable. Aggravated employment misconduct is any act that is a gross misdemeanor or
felony if it affected the employment.
Examples of aggravated employment misconduct:
• neglect, abuse or financial exploration of a vulnerable adult
• theft of more than $500
• assault and battery, arson, sabotage, or embezzlement
•
Labor Disputes: Applicants who leave employment because they are participating in a strike or are a member of
a striking union at the establishment where they were employed, are ineligible to receive benefit payment during
the strike and throughout the week in which the strike ends. Participation includes the failure or refusal to accept
and perform available and customary work at the establishment where they were employed.
Reasons for Termination
Inefficiency, inadvertence, simple unsatisfactory conduct, poor performance because of
inability of incapacity, or absence because of illness or injury with proper notice to the
employer, are not employment misconduct.
•
Examples of discharges that could potentially make an applicant ineligible are:
–
–
–
–
–
•
being fired for continued, unexcused absences and/or tardiness
using drugs or alcohol on the job
breaking company rules
willful neglect of duties
insubordination, theft, fighting, or harassment
Discharges that might affect eligibility for benefit payment include:
– absenteeism as a result of illness
– inability to work up to the employer's standards
VAG Management Tools
and Process
• Patterned Interview – Consistency with questions and
notes ▼
• Incident Reporting form- Management notes to record
time off or issues ▼
• Performance Reviews- Consistent process of
documenting performance progress and accomplishment
of annual goals/training requirements ▼
• Corrective Actions-Recording the need to improve and
creating awareness of outcome ▼
• Time off- Using multi-purpose form and hr incident form
for tracking needs to be off work ▼
• Exit Interviews- Tracking the reasons why employees
leave; usually only do these for voluntary resignations
Frequently Asked Questions
• Don’t forget to email your questions to
Kyle
• Mike and Kyle will continue to develop
tools to help manage these
Costs and will see you
in August to review more new
tools