You should document BOTH the positive and negative issues that come to your attention:

• If an employee has done a good job (e.g., worked on a special project, maintained an excellent error rate, was effective with a difficult customer), document these observations and share them with the employee. Positive documentation is a powerful incentive for people to continue to achieve a high level of performance.
• If an employee has exhibited poor work habits, has tardiness or attendance problems, isn’t meeting quality or quantity standards, is discourteous, or has other such performance or conduct problems, you should document your observations relative to these problems and promptly share them with the employee. This sort of documentation should be presented in a constructive manner to assist the employee in improving.

This section explains what the various files are, where they are maintained in the County, and what types of materials should be placed in each file.

1. The Civil Service Personnel File is the official personnel record for each employee and is maintained in the Human Resources Department. This file contains copies of all personnel actions, Leave of Absence forms, performance evaluations, disciplinary letters, reprimands, and other records of an employee’s employment history. An employee must be provided with a copy of any document to be placed in this file.
2. Department Personnel Files are maintained in most departments to provide immediate access to records. These files contain the same material as the Civil Service Personnel file and items that are department specific such as signed policies and training certifications.
3. Supervisory Files are the informal files maintained by supervisors for each of their employees. These files contain permanent records only if the department does not maintain a departmental file, and records of a temporary nature. Examples of records to be maintained on a permanent basis are copies of performance evaluations and documents signed by the employee acknowledging receipt of a policy or procedure (e.g., incompatible activities). Supervisors may also wish to maintain a record of the name and phone number of an individual designated by the employee to contact in case of emergency.

Documents to be maintained on a temporary basis include notes made by the supervisor regarding the employee’s performance or conduct (positive or negative), memos from the supervisor to the employee confirming counseling sessions, memos or notes from third parties regarding the employee, and samples of completed work products. These notes, memos, and work samples form the basis for regular performance discussions, and should be used in preparing evaluations and recommending personnel actions. Any documentation of performance/conduct problems or of superior performance should be shared with the employee as soon as possible. Once an employee has corrected a problem, notes relative to that problem should be purged from the file. For example, documentation of an employee’s attendance problem should be purged from the file once that employee’s attendance record indicates he/she has corrected the problem.

If an employee transfers within his/her department, the supervisory file should be forwarded to the new supervisor, after being purged of any extraneous or outdated records. When an employee terminates employment with the County or moves to another department, these files should be destroyed.

Supervisory Notes – Jill Smith

Administrative Assistant I (1040 hours probationary period)

[PROBATIONARY REJECTION FOR ATTENDANCE]

9/10/10 (Monday, 9 a.m.) – I met with Jill Smith who started her County employment today. We went over the list of written expectations I provided which include department-specific expectations as well as generic expectations as a County employee. We then reviewed the resource materials including the reference manual and her training schedule for the next four weeks. I encouraged her to take notes during our meetings and to keep them in the resource binder that also includes desktop procedures and additional reference materials. We reviewed her work schedule that we had already discussed (8:00 a.m. to 5:00 p.m. with lunch from 12:00 p.m. to 1:00 pm). She provided me her home phone, cell phone, and emergency contact information for our departmental personnel files. I let her know to come to me if she has any questions and/or concerns regarding any instructions given. I explained that we’d initially meet each week to review her work. I then introduced her to her coworker Ben who has been in the department for several years and can provide her assistance in my absence.

9/25/10 (Tuesday, 11 a.m.) – I reviewed the work she had completed the past week that included setting up project files for me and preparing handouts for the meeting last Friday. She also set up the room including the equipment for a PowerPoint presentation by one of the attendees. She handled that last minute request promptly and efficiently and I told her how helpful that was for me. Jill appreciated the positive feedback. She then provided me an overview of her pending assignments and what she expects and/or needs to complete by Friday.

10/4/10 (Thursday, 9:20 a.m.) – Jill was twenty minutes late to our meeting because she was handling a difficult client on the phone and had emailed me during that call about the situation saying she’d be right in after the phone call. When she arrived, we discussed the phone call and whether further action was needed. She felt she had addressed the client’s concerns but wanted suggestions on how best to handle difficult calls in the future. I provided suggestions that I have found to be effective and recommended she take the County training “Conflict Resolution: Dealing with Difficult People” which others in the department have found useful. I told her I would enroll her through the County’s Learning Management System (LMS) which is accessible online. I encouraged her to review the course catalog to see if there were any other courses she’d be interested in taking. We then reviewed her work the previous week. I commented that the draft proposal document she had typed for Mary, the department director, was completed on time. However, it had several grammatical and typographical errors. Jill explained she couldn’t read Mary’s writing and didn’t want to bother me to clarify what was written. I told her that that was all right and appropriate to ask for clarification before submitting the final draft to me for review. She assured me that she would do so in the future and expects she’ll improve in this area as she becomes more accustomed to Mary’s writing. Since I will be on vacation next week, we scheduled our next supervision for 10/15/10.

10/15/10 (Monday, 2 p.m.) – I met with Mary this morning to review what occurred while I was out last week. Mary mentioned Jill’s attendance last week during my vacation. Jill was late on Thursday (10/11/10 – twenty minutes,) which had been brought to Mary’s attention by Ben, as he had to open the office and cover the reception desk until Jill arrived; he was unable to assist Mary on a project until Jill arrived. Jill had not called Mary that she was going to be late nor did she notify her when she arrived to work. Since Jill had not notified Mary about her tardy when she arrived, Mary asked Jill to come to her office at 9:30 a.m. and let her know she was aware that she was late that morning. Jill explained she set her alarm clock incorrectly so she left her home fifteen minutes late. Mary asked Jill if she was aware of our expectations about calling in no later than thirty minutes prior to start time if she was going to be late. Jill explained she was aware of this expectation and assured Mary it wouldn’t happen again. Jill asked Mary if she could shorten her lunch to forty minutes to make up the time and her request was granted. During our meeting today, I again asked if she had any questions and/or needed clarification about expectations regarding her work schedule and/or calling in if there was any change to that schedule. She told me she understood what’s expected of her and had no further questions. We then reviewed the work she completed during my vacation and let her know that Mary was pleased with the meeting minutes she had prepared for her last week. No additional revisions were needed and Mary was able to distribute them as needed. Jill then asked me if she could change her work hours from 9 a.m. to 6 p.m. I told her that our office hours are 8 a.m. to 5 p.m. and she’s responsible for opening the office and covering the reception desk. I told her I could not adjust her work schedule.

10/26/10 (Friday) – Jill called me at 9 a.m. to say she was sick and would not be coming in. She told me she would bring in a doctor’s note when she returned to work on Monday.

10/29/10 (Monday, 9 a.m.) – I met with Jill to discuss her two unscheduled absences since she started. I explained that it’s crucial that she is reliable; it makes a big impact when she’s not here. I also reiterated that she needs to call Mary or me by 7:30 a.m. – within thirty minutes of her start time – if she’s not coming in so we have time to make alternate arrangements for front desk coverage. Her absence last Friday was her second unscheduled absence. She initially became upset and said that I wasn’t being fair. I told her that the expectations given to her were the same expectations given to other employees in the department and I’m treating her no differently and expect the same from her. She agreed to comply with these expectations and said she would call Mary or me by 7:30 a.m. if she’s late and/or not coming in. I told Jill that minimum improvement would be no more than two unscheduled absences, which includes tardies, in any three-month period.

11/9/10 (Friday) – I met with Jill and we reviewed her work for the previous week and the project due by 11/20. She had typed up the meeting agenda and still had to make copies of the handouts and articles to be included in the participants’ packets – twenty total. She attended the County training course about dealing with difficult people and explained how she can incorporate the information and tips she learned in that class into her work.

11/15/10 (Thursday, 3 p.m.) – I met with Jill and reviewed her “To Do” list for the meeting next week. She’s made the copies of the handouts and still needs to copy the five articles. She expects to complete the participants’ packets by close of business Monday. I told her if she needed any help to ask Ben or me. She said she has everything under control and does not anticipate any difficulties getting the packets done.

11/16/10 (Friday, 3 p.m.) – Left work two hours early – headache.

11/21/10 (Wednesday, 2 p.m.) – I met with Jill and reviewed her work regarding yesterday’s meeting. The packets were completed on time yesterday and the meeting room was set up as I had requested. During the meeting, she periodically checked in with me to see if I needed anything. I told Jill I appreciated her extra efforts.

11/30/10 (Friday) – Jill was a no show/no call (AWOL). I left her messages on her home phone and cell phone around 9 a.m. informing her to call me back immediately. She called me at 12:00 p.m. to say she was too tired and wouldn’t be in. She told me she didn’t call me earlier because she slept in and forgot to call. I told her to plan to meet with me when she returned to work.

12/3/10 (Monday, 10 a.m.) – I met with Jill regarding her AWOL (absence without Leave) last Friday. I explained that her AWOL last Friday was unacceptable and will not be tolerated. I advised her that I had verbally counseled her regarding her attendance about her three unscheduled absences; yet I had not seen any commitment on her part and her unscheduled absence last Friday was considered AWOL. Due to attendance concerns, I advised Jill that she was being rejected during her probationary period, and I gave her a letter prepared by Employee Relations to that effect. If she wanted to resign, she had until tomorrow at 10 a.m. to submit her resignation, and the rejection would be changed to a resignation.

[SEE SECTION 3 FOR MORE INFORMATION REGARDING PROBATIONARY PERIODS]

Documentation is used for:

• Positive Feedback and Acknowledgement
• Career Development
• Showing Patterns
• Probationary Determinations
• Performance Evaluations
• Disciplinary Actions

Documentation should:

• Be a clear record of one-on-one discussions with employees regarding their performance/conduct.
• Be factual and objective.
• Be timely (close to the date of the event being documented.)
• Be dated and signed/initialed by the supervisor/manager.
• Be kept in the supervisory drop file set up for each employee, and consulted in the areas listed above.

Documentation should not:

• Be personal or subjective judgments or opinions. Supervisory files are discoverable and can be subpoenaed.
• Be too informal or anecdotal (it may be used by others in conduct or performance cases.)
• Be too old (documentation should normally not be more than one year old.)
• Be used unless it has been shared with the employee.

Supervisory Notes – Jon Jones

Community Worker II (1040 hours probationary period)

[PROBATIONARY EXTENSION DUE TO PERFORMANCE]

8/6/10 (Monday, 9 a.m.) – I met with Jon Jones who started his County employment today. We went over the list of written expectations provided which include department-specific expectations as well as generic expectations as a County employee. We then reviewed the resource materials including the reference manual and his training schedule. I encouraged him to take notes during our meetings and to keep them in the resource binder which includes additional reference materials. We reviewed his work schedule that we had already discussed (7:00 a.m. to 4:00 p.m. with lunch from 12:00 p.m.-1:00 pm). He provided me his home phone, cell phone, and emergency contact information for our departmental personnel files. I explained that we’d meet biweekly for supervision. If he had any questions or needed any clarification, I advised him to come see me at any time. I then introduced his to his coworkers Anne and Bob who have been in the department for many years and can provide him assistance in my absence.

8/21/10 (Tuesday, 11 a.m.) – I reviewed the work Jon had completed and discussed the outreach client visits he did with Anne and Bob (two visits with each.) Anne let me know that Jon was very quiet during their two visits and he only observed her interaction with the clients. Jon didn’t offer to help her and/or engage in any conversation with the clients. Bob provided me with very different feedback regarding his experiences with Bob on his client visits. Jon was helpful with his clients in getting them in/out of the car and to their respective appointments. He was very pleasant with the clients as well as professional and courteous. When I asked Jon about these client interactions, he explained he felt more comfortable with Bob rather than Anne. When I asked him to explain further, he said that he thought Anne didn’t seem to want him there and was bothered, almost annoyed, in having to train him. Jon thought it was better if he stayed quiet and remained as inconspicuous as possible. I thanked him for sharing this information with me and said that I would speak with Anne. He said he would prefer to handle it himself. I told him I would respect his request and would check with him in our next supervision to find out the status between him and Anne.

9/5/10 (Wednesday, 11 a.m.) – Jon attended the County Ergonomics course last week and said he found it useful and will incorporate what he learned into his work. He said his interaction with Anne has improved and feels he can work well with her. However, he did say he still feels more comfortable with Bob. He says that Bob seems more receptive to having him around and explains what he’s doing and why. He really appreciates Bob’s time in training him and hopes he can continues to work with Bob. I said I would speak with Bob about being his mentor for the next three months and Jon was very appreciative of this suggestion.

9/20/10 (Thursday, 2 p.m.) – Bob has agreed to be Jon’s mentor for the next three months. He’s let me know that Jon’s been helpful to him and his clients. However, he’s observed that Jon’s relationship with Anne is rather strained, which he personally witnessed before our unit meeting this morning. Prior to my arrival into the conference room, Bob observed Jon and Anne discussing transportation tomorrow for one of Anne’s clients. Anne asked Jon if he could transport one of her clients tomorrow at 9:00 a.m. for a doctor’s appointment at 9:30 a.m. She explained to Jon that she had checked the schedule and it appeared that he was available. Jon told Anne that he couldn’t help her because he was busy and then walked away from her. Bob said that Anne seemed surprised and somewhat offended by Jon’s behavior. She knew that Bob was his mentor and told him after the unit meeting that she didn’t appreciate Jon speaking to her in that manner. When I met with Jon for supervision, I told him that the incident had been reported to me and asked him what had happened with Anne this morning. He said he misread the schedule and could in fact take Anne’s client to the doctor’s appointment. Jon said he didn’t mean to offend Anne in any way and would apologize to her immediately following our meeting. I told him that I expected him to treat everyone including coworkers, supervisors, managers, and clients in a professional and courteous manner at all times and can expect the same from others. He assured me that this incident wouldn’t happen again.

10/3/10 (Wednesday, 10:30 a.m.) – Anne told me that Jon met with her on 9/20 regarding the incident that morning prior to the unit meeting. She said that he had apologized for offending her and promised it wouldn’t happen again. He explained to her that he had misread the schedule and would transport her client to his appointment. She felt his apology was sincere and there have not been any further incidents. Anne said Jon’s been available when she’s requested his assistance. However, two of her clients have reported that he’s late in picking them up and/or getting them to their appointments. I met with Jon and explained that two clients had complained about his tardiness. He said he’s not familiar with the area and has tried to do his best. I told him he needs to review area maps, possibly using Google Maps or MapQuest. I advised him that he needs to allow sufficient time to get clients to/from their appointments so our clients don’t have to wait, which is discourteous, and/or arrive for appointments late, which reflects poorly on the department. He was assigned two new cases and needs to schedule initial appointments with each of them in the next two weeks.

10/12/10 (Friday, 8:30 a.m.) – I checked with Anne and Bob prior to my meeting with Jon and both report no complaints from their clients regarding Jon’s tardiness. When I met with Jon for supervision today, he says he’s getting more familiar with the area and prints online directions whenever he’s making visits and/or transporting clients. I told him to keep up the good work. I did tell him that I recently noticed a change in his progress notes, where he’s not including all information and/or has fallen behind on updating his case files. He told me he doesn’t have enough time to complete the paperwork with the addition of the two new cases. I reviewed with him the requisite information that must be included in progress notes. I explained that should it be necessary for someone else to review the case file, current information and comprehensive information is needed in the case file. I told him that I did not feel that the two additional cases would cause him to fall behind, especially since it only resulted in one meeting with each client. I said I would enroll him in the County “Time Management” training course through the Learning Management System and he should expect to receive an email regarding his enrollment. Upon completion of that course, we will meet to discuss what he learned and how he could incorporate the information into his work.

10/26/10 (Friday, 11 a.m.) – Prior to our supervision meeting, I reviewed Jon’s case files and have found some improvement. He’s approximately one week behind on his progress notes. We reviewed each case and set up a schedule for completing his progress notes. I also told him I was preparing his three-month probationary performance evaluation and he’ll be rating improvement needed overall. I told him I would provide him a draft evaluation in our next supervision which he will have the opportunity to review, provide me comments either verbally and/or in writing, and I will then finalize the draft for his review and signature which will be retained in his Civil Service and departmental personnel files.

10/31/10 (Wednesday, 9 a.m.) – I met with Jon for supervision. He’s very worried about his three-month probationary evaluation and whether he’s going to be dismissed. I told him I did have concerns regarding his performance but feel with more time, he can perform competently in all aspects of his job. I told him that we’ll meet on a weekly basis to review his case files and progress notes. We created an action plan to address what he needs to complete and due dates for all assignments given.

11/13/10 (Tuesday, 10:30 p.m.) – I met with Jon regarding his pending assignments and provided him with a draft Performance Improvement Plan (PIP.) I explained that I had drafted this document to assist him in improving in specific areas specifically quality of work, quantity of work, and adaptability. He initially was not receptive to the constructive feedback I provided and became upset, slightly argumentative. I explained that it’s being provided to assist him in meeting all aspects of his job. He apologized for his behavior and told me he’s afraid he’s letting me down and doesn’t want to disappoint me. I told me I believe he’s capable of being successful in this position. I explained again that I believe he needs more time and this document should be a helpful reference for him. The PIP was revised incorporating information from our discussion; Jon signed and dated it today.

11/28/10 (Wednesday, 10 a.m.) – I met with Jon for supervision and explained that while I had seen some improvement, he was still behind on his progress notes. He explained he had underestimated a particular assignment which took him much longer than he expected. He admitted he has a difficult time with prioritizing his assignments and with his time management. He had three assignments due this week which he assured me he would complete. He told me he didn’t know what to do so he decided to work on each of them but wasn’t able to finish any. When I asked him why he hadn’t told me earlier, especially since he missed the deadline for distributing the revised educational materials, he didn’t know what to say. I explained that I expect him to keep me well informed regarding his pending projects. If he is uncertain about which projects to work on, he’s expected to address it with me as soon as possible. Regarding the three pending projects, we could have adjusted the due dates for two of those assignments so he could have worked on the educational materials and met that deadline since it impacted others within the division. I also told him I would be enrolling him through LMS in the next County “Time Management” training course. Upon completion of the course, I expect him to review the handouts with me at the next supervision and discuss what he learned and how he could apply it the information to his work.

12/12/10 (Wednesday, 3 p.m.) – I met with Jon for supervision and provided him a copy of his draft performance evaluation, including the rating sheet and narrative citing specific examples. I explained that I had seen recent improvement in several areas but he still needs to improve in meeting deadlines. In order to give him more time to improve his overall performance and for me to assess his performance, I advised him I requested that his probationary period be extended 520 hours (equivalent to three months of full-time service). I told him he would receive a letter from Employee Relations confirming that probation extension. We reviewed his case files for the past week and progress notes prepared. They were comprehensive and concise. I told him he was on the right track and to continue what he was doing. He was receptive to the feedback provided and said he would keep me posted if he needed further guidance. He said he would review the draft evaluation and provide written comment prior to our supervision next week so we could discuss it further.

[SEE SECTION 3 FOR MORE INFORMATION REGARDING PROBATIONARY PERIODS]

Supervisory Notes – Alice Doe file

Administrative Secretary III

[“SPECIAL” BELOW STANDARD EVALUATION]

1/8/10 (Monday, 9 a.m.) – I met with Alice who laterally transferred into the division from another division in our department. She’s been with the County for three years and received overall competent evaluations each year. We went over the list of expectations and resource materials, and assessed her ability regarding scheduling trainings/conferences, developing training schedules, keeping accurate sign-in rosters, developing flyers, etc. I encouraged her to take notes during our meetings to be retained in the resource binder provided. We reviewed her schedule: 9:00 a.m. to 6:00 p.m., 12:30 p.m.-1:30 p.m. lunch break.

1/24/10 (Wednesday, 9 a.m.) – Alice turned in a flyer announcing the “Workplace Violence Prevention” training. She did a good job on formatting, content (covered who/what/when/where.) We went over the distribution process together, and she took notes.

2/9/10 (Friday) – I received a call from Dave Jones (Manager of Comfort Inn); we’d spoken in the past regarding previous conferences. He explained he’d spoken to Alice about the pricing and room reservations for our upcoming conference. He said she seemed confused about what was needed which is why he’d asked so many questions. He’s interested in our business but doesn’t know what’s needed. After providing him with the details, he gave me the pricing information. Afterwards, I spoke with Alice regarding my conversation with Mr. Jones and provided her with the pricing information. She said she didn’t have her notes handy when she called him and apologized for any confusion she caused. We again discussed the need to prepared when making these calls as well as remaining professional.

2/12/10 (Monday, 10:00 a.m.) – Alice called in sick today.

2/13/10 (Tuesday, 9:30 a.m.) – I met with Alice regarding her unscheduled absence yesterday. I explained our department’s expectation that an employee needs to call in at least thirty minutes prior to his/her start time if he/she will be late or not coming to work. She said that wasn’t required of her in her last department and didn’t think she really had to call me by 8:30 a.m. but said she would. I reiterated the expectations, which may differ from her previous supervisors, and she agreed to would call me as required.

3/5– 3/9/10 Alice filled in for Stacy (the downstairs receptionist) and had some difficulties handling the front desk duties. She wasn’t sure how to handle the check-in process and incoming phone calls. She was reluctant to ask for assistance because she knows everyone is busy and didn’t want to bother anyone. I explained that it’s OK to ask for assistance. I suggested that she sit with Stacy for two days to see how she covers the front desk; that may help her on how to handle that desk. She was receptive to this suggestion. I then followed up with Stacy who is very willing to work with Alice.

3/19/10 (Monday) – Alice is very proficient at graphics – she has a good eye for color. Alice redesigned the cover of our upcoming Training Course Brochure to make it more attractive, and I complimented her on it.

4/2//10 (Monday, 10 a.m.) – The Training Course Brochure pages 1-10 that Alice turned in were error-free. However, pages 11-20 had eight spelling, three date/time, and two location errors. I brought those to Alice’s attention. She said she had forgotten to proofread and confirm the information before printing out the brochure. We discussed the importance of making sure the brochure has accurate information, as the entire department relies on it. Alice was receptive to my guidance.

4/16/10 (Monday) – Alice filled in for Stacy (the downstairs receptionist) again as it was Stacy’s flex day and the check-in process went well. I complimented Alice on how she handled this assignment. She explained that sitting with Stacy was very helpful. She said she has difficulty in dealing with angry people on the phone. I recommended she enroll in the upcoming County training “Powerful Telephone Skills” through the online Learning Management System (LMS). Upon completion of the class, Alice will review the handouts with me in her next scheduled supervision and we’ll discuss what she learned and how she can incorporate it into her work.

4/17/10 (Tuesday, 11 a.m.) – At the end of our supervision today, Alice shared with me that she’s going through some personal difficulties. I asked if she needed to take any time off that would provide her support. I also reminded her of the County’s Employee Assistance Program. She appreciated my support and said she would consider utilizing EAP services.

5/2/10 (Wednesday, 3 p.m.) – I met with Alice to review her responsibilities regarding the summer interns we’ve hired. I let her know we would have two interns, one from June 4 to July 13, and the other from July 16 through August 31. She wanted to know if she was going to get paid for supervising the interns as she felt it was outside the scope of her responsibilities. I reviewed her job description with her and explained that these duties were within her scope of responsibilities. She said it had been awhile since she directly supervised any interns and wasn’t sure how to approach it. I provided her with the training schedule I had prepared for the interns who worked in our department last year. While this schedule was used last year, I told her I wanted her to make it her own so if it needed to be revised and/or enhanced in any way, I was open to and welcomed her feedback. I asked her to provide me her comments in our next supervision which she agreed to do. I also recommended that she take the upcoming County “Introduction to Supervision” course since its being offered before our first intern starts his assignment next month.

5/17/10 (Thursday, 10 a.m.) – Alice and I met to review the training schedule for our summer interns. She also said the Intro to Supervision course was really helpful in enhancing the schedule. She told me she feels more confident and actually looking forward to the new responsibility. She provided me with thoughtful feedback both regarding the course as well as the training schedule and I complimented her on her extra efforts. I approved the revised training plan and advised her that if we found it to be effective, we would use it for future intern hires as well.

5/31/10 (Thursday, 10 a.m.) – I went over distribution of flyers with Alice again, as she couldn’t find her notes from the first time we discussed it. She doesn’t appear to be organized with her notes so I provided her several suggestions. She was receptive to the constructive feedback I provided.

6/12/10 (Tuesday, 10 a.m.) – Alice had reviewed the training catalog and requested to take the following courses: Intermediate GroupWise and MS Project Introduction. After reviewing the course descriptions, I told her I would approve the GroupWise course as it was applicable to her position, especially in sending group emails, reminder emails, and setting up numerous meetings. However, I could not approve the MS Project course at this time but would reconsider later this year. Alice was disappointed that I did not approve both courses and mentioned that she never had any problems signing up for courses with her previous supervisors. I again explained why I could not approve the MS Project class that included operational and staffing needs and would reconsider her request later this year.

6/29/10 (Friday, 10 a.m.) – Cindy (the upstairs receptionist) explained that she had asked Alice for the rosters for training classes being held today. Alice rushed past her and said she was busy looking for something. When Alice finished what she was doing, she returned to the reception area and told Cindy that she couldn’t find the rosters but would continue looking for them. She apologized to Cindy for not having the information readily available. I located the rosters for Cindy as they were needed for the instructors. I then met with Alice about this situation and explained that she should have provided the rosters to Cindy before she left work yesterday, as we previously discussed. We reviewed this expectation during her initial training as well as in previous supervision meetings. She apologized for not being organized and said she struggles with her time management. I suggested she create a daily “To Do” List and provided her with a copy of what I use as a suggestion.

7/12/10 (Thursday) – Alice left me a message at 7:00 a.m. to say her son was sick today and she wouldn’t be in today or tomorrow, 7/13. I called her at home at 9:00 a.m. and did not get any answer. I left her a message expressing my concern regarding her son’s illness. I also requested that she bring in a doctor’s note for this unscheduled absence. I told her to call me immediately and provided both my County extension and cell phone. Alice returned my phone call at 12:00 p.m. and said she couldn’t come in and would meet with me on Monday.

7/16/10 (Monday, 10 a.m.) – I met with Alice to discuss her unscheduled absence. She said she did not take her son to the doctor last Thursday since he wasn’t that ill. I explained that 1) it’s crucial that she be reliable; it makes a big impact when she’s not here and, 2) that her failure to comply with my request to provide the doctor’s note was insubordinate and will not be tolerated. She initially became upset because she felt I was calling her a liar (that she/son weren’t really sick) then calmed down and said she realized what I was saying.

7/31/10 (Tuesday, 10 a.m.) – Meredith (Division Manager) called me to say that Alice was very helpful to her when they attended the budget prep meeting. Meredith needed some last-minute adjustments made to her schedule and Alice was very efficient in making the changes. I let Alice know about Meredith’s appreciation.

8/14/10 (Tuesday, 9 a.m.) – I asked Alice to call several local hotels to find out conference room rates. I mentioned that if we use a hotel as a training site, we can’t use our caterer. I overheard her telling the hotels that we would be bringing in box lunches, which they said wouldn’t be allowed. When I asked her about this, she said she thought it would be worth a try to inquire about it. I told her it makes us sound unprofessional to do so.

8/27/10 (Monday, 11 a.m.) – I asked Alice how many vans she had reserved to transport the 23 people scheduled for XYZ training on 9/5/10. Alice said, “I don’t know, I have it written down.” I explained that Public Works usually doesn’t have large vans, and that the drivers would need special licenses if we were going to get larger vehicles. Alice had only reserved two eight-person vans, so we called and were able to reserve another van last-minute.

9/5/10 (Wednesday, 9 a.m.) – Alice left the class rosters on Cindy’s desk before she left last night. It was discovered that she had listed the participants for the wrong classes causing confusion for the instructors this morning. I met with her to find out what happened and said she was disorganized yesterday. She worked on the TB Prevention Flyer yesterday so she didn’t have as much time as usual to prepare the rosters. She said she prepared them in a hurry and didn’t proof them. I explained that she needs to be more careful with the rosters as it caused confusion for the instructors and reflected poorly on our department. I told her I didn’t expect this to reoccur.

9/17/10 (Monday, 2 p.m.) – I thanked Alice on her hard work this week – we were up against several deadlines and she put forth a lot of effort in getting everything out in time. Alice said she was more interested in the graphic design aspects of the job rather than the conference logistics planning aspects. I explained that both are very important. I do 60% of the planning work and she does 60% of the design projects – but it’s crucial that she can do both of them well.

10/2/10 (Tuesday, 9:30 a.m.) – Alice came to me in a panic – she couldn’t find the final draft of TB Prevention flyer, and it needed to go to the Copy Center today for printing. We searched her desk area and eventually found it, as well as her original notes regarding distribution of flyers. I showed her my system for organizing my desk, and we discussed how she could better organize her work.

10/16/10 (Tuesday, 9 a.m.) – Alice called me over to look at how she has organized her workspace. She said the hard part for her will be to keep it going. I encouraged her to do so, as it makes life easier for both of us if we need to find something on her desk. There’s a County class offered on enhancing one’s organizational skills that she should take and told her I would enroll her through LMS in the next session.

11/1/10 (Thursday, 2 p.m.) – I told Alice that her annual performance evaluation was coming up in the next month. I explained I had concerns regarding her attendance and performance that would be addressed in her evaluation. I told her I would provide the draft evaluation to her in our next supervision. She could then provide me her comments either verbally and/or in writing within the following ten days. We could then meet to discuss further and I would then prepare the final draft for her review and signature.

11/15/10 (Thursday, 3 p.m.) – I provided Alice with the draft evaluation which included the rating sheet and detailed narrative. I explained why I was rating her overall “improvement needed” and placing her on special 30-day performance evaluations for the next 3 months. She said she would review the draft and provide me her comments by our next meeting. I also provided Alice with the draft Performance Improvement Plan and asked her to review it and provide any comments to me. I explained that the PIP is intended to be a collaborative process between us and I wanted to provide her assistance in being successful in this position. I advised her that I had made a job performance referral for her to the County’s Employee Assistance Program. She appreciated the referral and said she would call today for an appointment.

11/28/10 (Wednesday, 3 p.m.) – I met with Alice regarding her written comments to the draft evaluation. I explained I had considered her comments in good faith and made some revisions. I added the additional examples she had provided which further supported the ratings given. I said I would not remove the information regarding her unscheduled absences. She said she likely wouldn’t sign the evaluation unless that information was removed. I told her not signing the final draft was her choice and I would note “Declined to Sign” on the final draft, date it, give her a copy and then process it as usual for the department. I also advised her she could write a rebuttal to the evaluation which would be attached and filed in her personnel files, both Civil Service and departmental.

• Many times, simply documenting and sharing problems with employees often helps to resolve them.
• You cannot expect improvement on an employee’s part if you do not share your concerns that a problem exists and discuss alternatives for their performance or conduct.
• If the problem persists and you must take corrective or disciplinary action, the documentation is necessary to serve as a record of your previous efforts to bring the problem to the employee’s attention and to assist him/her in resolving the problem.
• Documentation is an invaluable tool to help you more quickly and effectively prepare comprehensive and meaningful performance evaluations. It is much easier to review a written file than to try to remember an entire year of employee performance.

With regards to documentation, managers need to ensure that each supervisor has established a file for each of his/her own direct reports that contains:

1. A copy of the employee’s standards and objectives dated as to when they were shared with the employee.
2. Procedures or plans for workload reviews, work in process reviews or customer surveys.
3. Documented meetings with the employee where internal memoranda or department procedures were introduced and discussed.
4. A schedule for periodic meetings with the employee to discuss performance and conduct issues. A supervisor may meet with an employee on a more frequent basis (e.g. weekly) while meeting with other employees in the unit less frequently (e.g. biweekly.)
5. Feedback given to the employee, in written form, regarding the employee’s progress in meeting the standards, exceeding them, or their deficiencies.
6. A performance appraisal prepared within the last year, which covers one year (unless it was a Special Review or a probationary evaluation.)