Business College at International House

All documentation relating to individuals must be kept as directed by organisational policy and procedures, securely, and accessible only to those with permission to view.
Documenting employee performance should be mandatory. When it comes to performance reviews, it can be very difficult to remember the positive performance of all team members. The key is to establish a system that you will use regularly. Often employee lawsuits can be quickly dismissed if performance logs can clearly demonstrate a history of performance problems leading to the termination. A file for each employee supervised should be created. Include in each file a copy of the employee’s job description, job application, and resume.
A few general guidelines for notes to take include:
“Perfection is not attainable, but if we
chase perfection we can catch excellence.”
Vince Lombardi
Business College at International House
RTO Code: 91109 CRICOS 02623G
Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
info@ihBC.edu.au| www.ihBC.edu.au

1. Include Positive and Negative Behaviours
   Do not show bias, record positive and negative incidents. If you update employee records on a specific day each week, it will be easier to keep accurate and current.
2. Date Each Entry
   Details such as time, date, and day of the week help identify patterns that may indicate an underlying problem before it becomes more serious.
3. Write Observations, Not Assumptions
   Employee records can end up as evidence in a lawsuit. Comments should focus on behaviour that is directly observed. Assumptions should not be made about reasons for behaviour or an employee’s character. Do not make any comments that border on personal comments or that show personal prejudice.
4. Be Specific
   “Team member was late four times in the past month”, is not the way to record the issue. It is far better to be factual: “Team member was 20 minutes late on Mar. 3; stated late babysitter as reason. Team member was 15 minutes late on Mar. 19; stated they overslept. Team member was 45 minutes late on Mar 21; stated reason was traffic. Team member was an hour late on Mar 21; stated reason was car problems.”
5. Keep Out Biased Language
   It is inappropriate to record any references to an employee’s age, sex, race, disability, marital status, religion, or sexual orientation. Don’t suggest reasons for employee actions or make connections between events without direct evidence.
   For example, you may know that Mary’s husband recently filed for divorce, but don’t suggest in the log that her personal problems are the reason her work performance having slipped.
6. Be Brief, But Complete
   Use diary or log entries to record specific examples, rather than general comments. Instead of saying, “Paul’s work was excellent,” say “Paul has reduced the number of data entry errors to less than one per 450 records”.
7. Track Trends
   Business College at International House
   RTO Code: 91109 CRICOS 02623G
   Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
   3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
   info@ihBC.edu.au| www.ihBC.edu.au
   As patterns emerge, make notes in the log or flag prior incidents of the same behaviour. There is no need to discuss every entry with team members. Bring your observations to the employees attention only after you’ve defined a specific problem.
8. Be Consistent
   Comments about behaviour must be consistent. If they are entered in one person’s employee record, the same behaviour must be recorded in other employees records. When in doubt, check to see how similar problems have been documented in the past.
   Always include:
   • Project assignments and deadlines met or not met
   • Your assessment of the quality of an employee’s work, cite attempts you make to help the employee improve
   • Instances of tardiness, work absences, or extended breaks
   • Disciplinary discussions and actions taken
   • Employee responses to problems and questions
   • Positive contributions to the work effort
   • Details of significant personal interactions with the employee.
   Never include:
   • Rumours or speculation about the employee’s personal life
   • Theories about why the employee behaves a certain way
   • Information about the employee’s family, ethnic background, beliefs, or medical history
   • Your opinions about the employee’s career prospects
   • Unsubstantiated complaints against the employee.
   If a Performance Improvement Plan (PIP) is required, you must ensure that you follow- up as agreed and provide further feedback. The team leader or manager must meet their end of the agreed PIP. This includes meetings, payment for courses, assignments, etc. All related documentation must be forwarded to Human Resources.
   It is crucial that all records, including notes on discussions, agreements, etc, are kept securely. That is why they should be forwarded to HR for retention.
   Business College at International House
   RTO Code: 91109 CRICOS 02623G
   Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
   3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
   info@ihBC.edu.au| www.ihBC.edu.au
   System Evaluation and Improvement
   Whenever there is performance-management action, whether constructive feedback (building a new behaviour) or positive reinforcement (acknowledging good behaviour), the manager should review the system from their perspective and experience, and feedback to HR to ensure that the system is continually being reviewed at all levels and appropriate improvements made.
   Grievance Procedures
   Grievances within workplaces can be non-productive, costly and damaging, regardless of the size of the business. Therefore, organisations need to have good working relationships aimed at preventing disputes from arising or if disputes do occur, to have procedures for effectively handling and resolving them.
   Grievance procedures are formal procedures that an employer and their employees or representatives have agreed to follow to deal with expressions of dissatisfaction about a work situation. There is a long history of grievance handling procedures in place in more traditional industrial ‘blue collar’ environments. This is because such workers are generally covered by an Award or a Certified Agreement, which must contain grievance handling procedures as specified by the Australian Industrial Relations Commission. Unfortunately, there is no comparative requirement on organisations not covered by Federal or State industrial instruments to have formal grievance handling procedures. This is problematic because an increasing number of grievances are being raised in these commonly ‘white collar’ workplaces. Grievances often concern equal opportunity, work health and safety (including bullying) and more recently privacy issues. Therefore, there is an emerging need for formal dispute resolution procedures in the white collar environment.
   Ignoring complaints is not an acceptable response because failing to address complaints promptly and effectively can have serious legal and reputational consequences. Issues commonly raised by white collar workers involve allegations of discrimination, sexual harassment, privacy breaches and workplace bullying. Another emerging issue in the white collar environment is ‘whistle blowing,’ or allegations of crimes such as theft and fraud.
   Without proper grievance procedures a number of potential problems may arise. These include:
   • Employees may not know whether they can or should raise complaints
   Business College at International House
   RTO Code: 91109 CRICOS 02623G
   Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
   3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
   info@ihBC.edu.au| www.ihBC.edu.au
   • Employees will not know how to raise complaints
   • Increased absenteeism, increased leave due to stress, low morale within the workforce, dysfunctional teams not performing to expectations, increased applications for transfers and a higher turnover of staff
   • Legal costs, management time and damages/ penalties for breach of legislation if they can show that their organisation has not investigated a complaint adequately, (which may arise even if the complaint turns out to be unfounded).
   Although every complaint is different and therefore responses will vary depending on the circumstances of each individual case, there are a number of policies and precautions organisations can put in place that will ensure grievances will be more effectively handled. The following guidelines may be followed to ensure that inappropriate behaviour complaints are managed in an effective, efficient and lawful way.
   The organisation should appoint nominated people as responsible for the handling of grievances/complaints. This ensures that all employees have a ‘contact point’ if they have a complaint.
   Persons responsible for the handling of complaints must:
   • Have a clear understanding of relevant laws and regulations about conduct (such as equal opportunity and occupational health & safety principles)
   • Respond to any complaint quickly, professionally and in confidence to ensure compliance with other pieces of legislation such as the Privacy Act
   • Comply with relevant company policy
   • Be impartial. There should be no conflict of interest in investigating the complaint.
   Develop a Grievance Handling Procedure
9. The scope of the disputes procedure must be clear. For example, it is necessary to set out what steps will be taken, and by whom.
10. All complaints should be treated seriously, be they formal (written) or informal (verbal) complaints.
11. The interests of all parties must be considered.
12. Measures should be in place to ensure complaints are handled confidentially and victimisation is avoided.
13. Time is of the essence. Measures should be in place to ensure complaints are managed effectively and efficiently.
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
14. Document all facts.
15. Notify parties of the outcome.
16. Disciplinary measures should be appropriate and fair. This ensures all employees have confidence in the process.
17. Monitor ongoing behaviour.
    Grievance handling procedures give employees an opportunity to redress injustice and provide a means to ensure and restore good working relationships. If complaints are not successfully managed in-house, they may end up in an external system, for example, an equal opportunity tribunal. Further, an effective and trusted grievance procedure will mean that grievances are more likely to surface earlier, be resolved earlier, and be less likely to escalate. A good grievance handling procedure will therefore mitigate the potential of costly and time consuming litigation, and can minimise the company’s exposure by avoiding litigation.
    Legislation Relating to Performance Management
    Legislation is the act of making or enacting laws. When people talk about ‘the legislation’, they mean a law or a body of laws. The legislation in a state or territory are the laws enacted specifically to control and administer the state or territory.
    Legislation has been designed to ensure that leaders, managers and employees are supported by a clear framework for identifying, managing and documenting instances of unsatisfactory performance, in a manner that is consistent with the principles of natural justice and procedural fairness.
    Careful consideration must be given to ensuring that the implementation is conducted in line with all legislation and policies.
    Following are details of legislation that may relate to performance management.
    • Industrial Relations
    The national industrial relations system (governed by the Fair Work Act 2009) covers private sector workers in all states except Western Australia. Awards and enterprise agreements must also be met.
    Internet Guides to Industrial Relations:
    ○ Best practice guide for young workers (http://www.fairwork.gov.au/ ArticleDocuments/711/A-guide-for-young-workers-best-practice-guide.pdf. aspx?Embed=Y)
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
    ○ Employment Law(http://www.aph.gov.au/About_Parliament/ Parliamentary_Departments/Parliamentary_Library/Browse_by_ Topic/ employmentlaw#Legislation)
    ○ Industrial Law (http://www.worldlii.org/catalog/79.html)
    ○ Hot Topics: Employment and the Law (http://www.austlii.edu.au/au/other/liac/ hot_topic/hottopic/2002/2/)
    ○ Things everyone should know (http://www.fairwork.gov.au/find-help-for/young- workers-and-students)
    ○ WebLaw – Industrial Law (http://www.library.usyd.edu.au/libraries/law/lig_ primary.html)
    • Fair Work Act 2009
    The Fair Work Commission (FWC), formerly known as Fair Work Australia (FWA), is the Australian industrial relations tribunal created by the Fair Work Act 2009 as part of the Rudd Government’s reforms to industrial relations in Australia.
    FWC’s functions include the setting and varying of industrial award, minimum wage fixation, dispute resolution, the approval of enterprise agreements, and handling claims for unfair dismissal. It is the successor body to the Australian Industrial Relations Commission, though it also performs functions previously performed by the Workplace Authority and the Australian Fair Pay Commission.
    FWC is an independent body with the power and authority to regulate and enforce provisions relating to minimum wages and employment conditions, enterprise bargaining, industrial action, dispute resolution, and termination of employment.
    The Fair Work Act is an attempt to create a more national system for regulating industrial relations in Australia. Each state has the discretion to hand over some or all of their industrial relations powers to the Commonwealth, and should a state decide to refer their powers to a centralised and national industrial relations system, all the employees of that state would effectively be covered by the national Fair Work Act. This new national body has taken over the roles of the Australian Industrial Relations Commission (AIRC) in matters of workplace disputes and industrial actions. It is also involved in the process of determining national industrial relations policies, including setting minimum wages and regulating the award system. Since the introduction of the Fair Work Act, all states except Western
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
    Australia have referred their powers to the Commonwealth.
    http://www.fairwork.gov.au
    • Equal Employment Opportunity Act (Commonwealth Authorities) 1987
    This Act refers to the right of all employees to be treated fairly and equitably regardless of their culture, religion or beliefs through the recruitment, selection, access to information, supervision and management.
    The main focus of EEO is to ensure:
    ○ Fair work practices
    ○ The making of unbiased decisions
    ○ Recognition and respect of various cultural and social backgrounds of all staff and customers
    ○ Training development which meets employee needs and customer satisfaction.
    The EEO Act looks to dissolve discrimination in the workplace. It works to improving conditions so as to reduce employees feeling any negative attitudes or feeling isolated at work.
    When hired by an organisation, employees are to:
    ○ Work at the best capacity and complete all tasks and duties given to them
    ○ Work in collaboration with all their colleagues, regardless of any cultural diversity that may exist
    ○ Refuse to accept or to tolerate any form of harassment.
    http://www.business.gov.au/business-topics/employing-people/Pages/equal- employment-opportunity-and-anti-discrimination.aspx
    • Australian Human Rights Commission Act 1986
    The Australian Human Rights Commission Act provides for the establishment of the Australian Human Rights Commission to promote an understanding and acceptance of human rights in Australia and to ensure compliance with any international Covenants, Declarations or other international instruments pertaining to human rights, to which Australia is a signatory.
    The Commission is empowered to handle discrimination complaints covered by Federal anti-discrimination legislation, ie. the Racial Discrimination Act, the Sex Discrimination Act, the Disability Discrimination Act and the Age Discrimination Act. The Commission also has limited power to investigate and attempt to conciliate complaints of employment discrimination on each
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
    of the grounds covered by the ILO Convention Concerning Discrimination in respect of Employment or Occupation. These include discrimination on the basis of age, race, colour or nationality, religion, sex, pregnancy, marital status, national extraction or social origin, medical or criminal record, physical, mental, intellectual, or psychiatric disability, impairment, sexual preference, political opinion or trade union activity.
    The Australian Human Rights Commission Act does not in itself render such employment discrimination unlawful. Therefore, recommendations of the Commission are not automatically enforceable. Where there is coverage by specific anti-discrimination legislation, recommendations of the Commission can be enforced through the Federal Court.
    https://www.humanrights.gov.au/our-work/legal/legislation
    • The Anti-Discrimination Act 1977
    Addresses discrimination issues related to:
    ○ Sex
    ○ Race, colour, nationality, ethnic or ethno-religious background
    ○ Physical or intellectual or psychiatric disability, or any organism capable of causing disease
    ○ Homosexuality (male or female, actual or presumed)
    Racial Discrimination, harassment and defamation are all unlawful. People may not be treated unfairly because of their nationality, descent, race, religion or colour. Any behaviour that is unwelcome and puts someone down or embarrasses them relating to any of the things listed earlier is unlawful.
    Anyone who believes they have been subjected to racial discrimination, harassment or vilification has the option to seek assistance from the relevant Anti-Discrimination Board and/or the Human Rights and Equal Opportunity Commissioner who will advise them of their rights under the legislation.
    Federal, State and Territory laws:
    The laws protecting individuals from being treated unfairly because of their race, colour, nationality, descent, ethnicity or ethno-religious background are the Federal Racial Discrimination Act (1975), and the Racial Hatred Act (1995). Each state and territory has specific legislation cover in this area. Further information is available at https://www.humanrights.gov.au.
    • Disability Discrimination Act 1992
    The Federal Disability Discrimination Act 1992 (D.D.A.) provides protection for everyone in Australia against discrimination based on disability. It encourages everyone to be involved in implementing the Act and to share in the overall benefits to the community and the economy that flow from
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
    participation by the widest range of people.
    Disability discrimination happens when people with a disability are treated less fairly than people without a disability. Disability discrimination also occurs when people are treated less fairly because they are relatives, friends, carers, co- workers or associates of a person with a disability.
    https://www.humanrights.gov.au/our-work/legal/legislation
    • Age Discrimination Act 2004
    Age discrimination occurs when people are treated unfavourably because of their age, or because of assumptions made about people of that age. Common examples of age discrimination include preferring to hire younger over older workers regardless of competence, refusing to consider job applications from people over pension age, or sacking younger workers when they reach the age where adult wages will apply.
    However, specific laws that set age requirements are not age discrimination. For example, laws that limit alcohol sales to adults, or laws requiring that anyone aged between 6 and 17 must attend school, are not age discrimination.
    https://www.humanrights.gov.au/our-work/legal/legislation
    • Racial Discrimination Act 1975
    Racial discrimination is when a person is treated less favourably than another person in a similar situation because of their race, colour, descent, national or ethnic origin or immigrant status. The Racial Discrimination Act aims to ensure that Australians of all backgrounds are treated equally and have the same opportunities.
    This Act makes it against the law to treat you unfairly, or to discriminate against you, on the grounds of race, colour, descent, national or ethnic origin, and immigration status.
    The Act also makes racial hatred against the law. https://www.humanrights.gov.au
    • Sex Discrimination Act 1984
    The Act protects people from unfair treatment on the basis of their sex, sexual orientation, gender identity, intersex status, marital or relationship status, pregnancy and breastfeeding. It also protects workers with family responsibilities and makes sexual harassment against the law.
    https://www.humanrights.gov.au
    Business College at International House
    RTO Code: 91109 CRICOS 02623G
    Level 1, 203 Clarence St, Sydney NSW 2000 | Floor 1, 237 Oxford St, Bondi Junction NSW 2022
    3 Searcy St, Darwin NT 0800 | Level 6, 601 Bourke St, Melbourne VIC 3000
    info@ihBC.edu.au| www.ihBC.edu.au
    • Privacy Act 1988
    The Privacy Act 1988 (Privacy Act) is an Australian law which regulates the handling of personal information about individuals. This includes the collection, use, storage and disclosure of personal information, and access to and correction of that information. The Privacy Act includes:
18. 13 Australian Privacy Principles that apply to the handling of personal information by most Australian and Norfolk Island Government agencies and some private sector organisations
19. Credit reporting provisions that apply to the handling of credit-related personal information that credit providers are permitted to disclose to credit reporting bodies for inclusion on individuals’ credit reports.
    The Privacy Act also:
20. Regulates the collection, storage, use, disclosure, security and disposal of individuals’ tax file numbers
21. Permits the handling of health information for health and medical research purposes in certain circumstances, where researchers are unable to seek individuals’ consent
22. Allows the information commissioner to approve and register enforceable Australian Privacy Principle (app) codes that have been developed by an app code developer, or developed by the information commissioner directly
23. Permits a small business operator, who would otherwise not be subject to the Australian privacy principles (apps) and any relevant privacy code, to opt-in to being covered by the apps and any relevant app code
24. Allows for privacy regulations to be made.
    http://www.oaic.gov.au/privacy/privacy-act/the-privacy-act
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