The F R I S K Documentation

Workshop Materials

The FRISK documentation model was developed in 1994 by Steven J. Anderson to assist public school
district clientele in proper and effective documentation of employees. Since then, it has been tailored for
various other types of employers. Most recently, it was adapted for private industry.
FRISK is an acronym standing for:
FACTS
RULES
IMPACT
SUGGESTIONS (DIRECTIVES)
KNOWLEDGE
The FRISK documentation model is designed for managers as a practical and straightforward
method for documenting unsatisfactory employee performance.
The primary objectives of FRISK are to:
Effect positive change through clear communication;
Identify the common elements necessary for legally sufficient documentation;
Simplify the drafting of documentation by establishing a framework.
The MAIN Purpose of the FRISK documentation model is to improve employee
performance through direct, honest and constructive communication. Unfortunately, since the
employee cannot always improve, this Model also provides the manager with the necessary
elements for legally sufficient documentation. Legally sufficient documentation of employee
performance deficiencies is the employers primary source of evidence to support
managements position in any subsequent challenge.
This workshop is a condensed version of a more comprehensive half-day seminar for managerial
employees. We hope that you find this exercise as valuable as the literally thousands of managers
who have attended similar workshops in the past.

FACTS
Summary
In stating facts evidencing an employees deficient performance, the evaluator should: (1)
separately pinpoint each deficient performance area; (2) describe the conduct in complete and
explicit terms using plain language and specific factual details; and (3) carefully avoid making
factual errors (e.g. incorrect dates or document references).
The statement of the facts should be a self-contained record of the employees conduct
and should clearly identify the problem.
Examples and samples of the employees work should be used to supplement general or
conclusory statements about poor performance.
QUESTIONS AND PROBLEMS
Whats wrong with this part of a memo?
Dear Bob:
I was upset by your conduct last week. Your attitude indicates a lack
Concern and attentiveness for safety and was insubordinate. If you have any problems, you
should feel free to discuss them with me. If things dont improve, I may have to recommend you
for dismissal.
Whats wrong here?
Dear Mary:
You still did not do what you are supposed to do with your client contacts, which we have talked
about in the past. Sue told me you were aware of my prior memo, which addressed this issue.
Whats right with this part of a memo?
Dear Bob:

On Friday, March 10, 1999, I attempted to inspect your truck prior to your morning run. You
requested that I reschedule the inspection and I explained that the inspection had to be completed
before your first run. You then said: Get off my truck right now or Ill kick you off.
Whats right here?
Dear Mary:

On February 7, 1999, I directed you in a conference and by memo to have your calendar of
clients on my desk each Friday by 4:00 p.m.
for the following week. On Friday, February 17, you failed to turn in
your calendar as per my directive.
On Monday February 20, you turned in your calendar, as attached,
which are not in compliance with my directive. This does not account for your whereabouts
during your entire duty day.
How would you add specificity to the following general or conclusory statements?
1. Your cash register receipts, on March 4 1999, were incomplete.
2. Your comments to Linda, on February 20, 1999, were discourteous.
1. In May, you failed to follow directions in making your presentation.
RULES
Summary
In stating the rule, the evaluator is describing what should have happened. In other words, what
was the proper conduct the employee should have followed. Standards for proper conduct may
be found in company policies, collective bargaining contract provisions, job descriptions,
employee handbook provisions, prior directives or instructions, statutory provisions, state,
county or federal mandates, and recognized professional standards, as well as basic accepted
rules of conduct.
To justify disciplinary action, the employee should first be aware of the rule or standard
expected to be followed in order to be accountable for any subsequent recurring
violations.
o Prior violations of the same rules should be noted in the disciplinary document in
order to best document patterns of similar deficient conduct. This approach
underscores the evaluators awareness of the problem and helps justify harsher
corrective action under progressive discipline.
QUESTIONS AND PROBLEMS
What standard(s) of proper performance could be used for the following conduct?
1 Hap Liss told his co-worker and his supervisor that he would not help in completing the
fire sprinkler repair work (even though the new law required proper installation by the
next day) because the job was too messy and he was tired.
1. Ima Nagood, the HR clerk misspelled welcome, human resources, and the company
name on the main employee bulletin board.
1. Mike Tryson told his co-worker Robin Misgivins right in front of a customer that she
was stupid and should consider herself lucky that he didnt sock her.
IMPACT
Summary
In stating the impact, the evaluator is connecting the employees deficient conduct and the
negative effect of this conduct on the company including clients/customers, employees, or
property. The negative impact of the employees conduct is particularly important in
emphasizing the significance of the of the adverse effect on the company and also in establishing
the relationship between remote or abstract employee conduct and the job itself in order to justify
disciplinary action.
Impact evidence includes facts concerning:
The adverse effect of the employees conduct on company operations (e.g. corporate
level or department) and other persons (e.g. clients/customers, other employees, and/or
public)
The adverse effect on the employees effectiveness to do the job based on negative public
notoriety (e.g. to command the respect and confidence of co-workers, managers and/or
public).
o The costs (monetary/non-monetary) of the employees conduct.
QUESTIONS AND PROBLEMS
Whats wrong with this impact statement?
Larry, your repeated failure to be courteous to customers and co-workers has cost the
company lots of money and harmed business.
Identify at least three possible job impact examples, which may be relevant in the above
problem.
How would job impact be relevant in this situation?
Jack, a 21 year old record store clerk asked Jill, a 14 year-old female customer, for a date.
Jack asks Jill not to tell anyone and arranges for the date to occur after he gets off work.
Jack arranges for Jill to meet him in the mall food court, and then they go out to Jacks
car. They are caught by the police in the car and Jill is taken home by the officers. Jack is
not arrested, but Jills mother reports the incident to the store manager.
How would job impact be relevant here?
Jerry, a senior security guard, was arrested and convicted for possession of marijuana
while attending a party during non-work time on a Saturday evening. The arrest and
conviction was reported extensively in the local newspapers. An essential requirement of
Jerrys job is to enforce the safety policies and procedures of the company. Jerrys
effectiveness as a security officer depends on his ability to gain the trust and respect of
the
co-workers and the public.
How would job impact be relevant here?
Marion, a security guard, is responsible for monitoring the parking lot of a company under
expansion. Last week, she left the parking lot without authorization during business hours.
leaving the lot unsupervised for approximately 10 minutes. There was an eight-foot-deep
excavation immediately adjacent to the lot into which visitors could have fallen if distracted by
their activities. The excavation was separated from the lot by a fence with a ten-foot gate that
remained open for the construction workers. The open gate gave visitors easy access to the
excavation.
SUGGESTIONS/DIRECTIVES
SUMMARY
Legally sufficient documentation requires an evaluator to give employees directions on the
proper conduct expected to be followed AND to provide suggestions to assist the employee in
complying with these directions.
Directions must be clear and unequivocal and include effective time-lines and the
consequences if the employee fails to comply.
Suggestions for improvement are important to demonstrate that the employee was given
adequate guidance and thus afforded a reasonable opportunity to improve.
QUESTIONS AND PROBLEMS
Whats wrong with these directives?
1. I can see no reason why you should not be prepared to be at work at 7:30 a.m.
2. It would be better if you do not have your sales people stocking shelves during busy
hours.
3. I suggest that you follow the appropriate reporting procedures in the future.
4. In the future, you are directed to treat your co-workers with more respect.
5. As of this date, you are to refrain from using improper telephone manners.
How would you correct the above directives?
Why are clear and complete directives important?
Why is it important to include the consequences for failing to follow the
directions of an evaluator?
What role does progressive discipline play in drafting the consequence?
statement?
KNOWLEDGE
SUMMARY
Disciplinary memos are written as a result of employee misconduct or deficient performance.
The purpose of such communication is to provide the employee with knowledge that the conduct
or performance in question is unacceptable and to create a paper trail that such notice was
given.
In the event of a subsequent suspension or dismissal where the employee challenges the action,
an arbitrator, hearing officer, other third-party neutral, or court will focus on the following:
Has the employee been put on notice that his/her performance or job conduct is
unacceptable?
Has that notice, if given, included specific examples of unacceptable performance or poor
performance?
Has the employee been specifically told what he/she must do in order to meet the
employers standards?
Has the employee been offered assistance in overcoming the noted deficiencies?
Has the employee been put on notice of the possible consequences of failure to improve?
Has the employee been given a fair opportunity to bring his/her performance or conduct
up to an acceptable level?
QUESTIONS AND PROBLEMS
How should you respond to this situation?
You have been informally recording concerns regarding the performance of Hap Liss,
which have been maintained in your personnel file on the job site for the past six months.
You have notified Hap of your concerns, but never provided him with any
documentation. You determined three months ago that Haps performance deficiencies
could serve as a basis for affecting employment status but didnt think to include the
documentation in his personnel file. Recently, Hap repeated the same unsatisfactory
performance and you now want to include all your information into his personnel file.
PROGRESSIVE DISCIPLINE
SUMMARY
The type of document selected by an evaluator to record unsatisfactory employee
performance is dictated by the progressive discipline process. This process consists of a
series of gradually harsher disciplinary steps, which generally includes the following
sequence:
Oral Warning
Written Warning/ Letter of Reprimand
Final Warning
Suspension Without Pay
Dismissal
Steps may be repeated where the cause for disciplinary action requires persistent
violation of a rule or where the evaluator wants to establish a pattern of deficient
performance.
Steps may be skipped based on the severity of the employees conduct subject to any
limitations in labor contract provisions or company policies.
Caution: Progressive discipline policies must be carefully drafted to avoid creating
unexpected contractual obligations. Counsel should be consulted before any such policy
in implemented.
QUESTIONS AND PROBLEMS
Do you agree with this evaluators progressive discipline approach?
Karen, a delivery driver for Bobs House of Books, failed to deliver to the School of Hard
Knocks as noted in her delivery schedule. This is the second such occurrence during the
past two months. The first time the evaluator discussed the problem with Karen. This
time, the evaluator decided to dismiss Karen.
What if Karen worked for a medical company instead and failed to deliver plasma to the
City Hospital? Would the answer change if a patient died as a result?
Do you agree with this evaluators approach?
Over the past two months, Jay a maintenance worker failed to follow the evaluators
directions on three occasions. As a result, Jay received oral warnings for the first two
incidents and a written warning for the third incident. Recently, Jay again failed to follow
the evaluators directions and the evaluator intends to recommend dismissal.
Do you agree with this evaluators approach?
Mary, a truck driver, inadvertently backed her truck into another vehicle parked in the
transportation yard. This is the first time Mary was involved in an accident while driving
her truck. The labor contract prohibits an employee from receiving a letter of reprimand
unless the employee first receives at least a written warning within the past 12 months
except in extreme cases of willful misconduct The evaluator decided to issue a letter
reprimand.
What if Mary had just had an argument with her supervisor and said Youll see what
happens when people make me angry.
FRISK MULTI-STEP NOTICE TEMPLATE
Sample Employee Performance Notice
Employee Name_______________________Date__________
Site/Position________________________________________
From_________________________Title_________________
This notice is intended to inform you that you performance or conduct has not been
satisfactory and the following action is being taken.
Written Warning Final Warning Suspension Without Pay
F On __/__/__ at Approx. ______ at (Location)_____________________
you were observed/reported by_____________________title_________
to have engaged in the following conduct:
R This constitutes_____________________________________________
in violation of _____________________________________________
You previously violated this____________on_____________________.
I Your conduct negatively impacted_____________________________
inasmuch as ______________________________________________.
S Effective this date you are directed to stop this conduct. Failure to do
so will result in __________________________________________.
To assist in correcting this conduct I offer the following suggestions:
K Your failure to comply with the above directions will result
in_____________________________________________.
FRISK MODEL
QUICK REFERENCE GUIDE
F Facts:
What did the employee do?
Pinpoint the specific conduct and describe the
conduct in complete and explicit terms. If
necessary, supplement general statements with
specific examples to provide a proper factual
foundation.
R Rule:
What should the employee have done?
Include the rule, authority or expectation
relating to the deficient performance, such as
policies, labor contract provisions, or prior
related directives.
I Impact:
What was the impact of the employees
conduct on the company?
Include facts, which describe the negative or
adverse effect of the employees conduct.
S Suggestions/Directives:
When and what do you want the
employee to do to improve
performance? What will happen if there
is no improvement? How
can you help the employee to improve?
Include clear and unequivocal directions in the
proper conduct you expect the employee to
follow the effective time-lines and the
consequences if the employee fails to comply,
AND include suggestions for improvement.
K Knowledge:
Does the employee have knowledge that
the conduct or performance in question
is unacceptable and may lead to further
discipline.
Include language notifying the employee of
the consequences of failure to improve.