Employee Performance Documentation & Formal Steps of Positive Discipline (FOSA)

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SECTION IV

CASE STUDY AND ANSWER

CASE STUDY

Exhibit 1

Exhibit 1

You are the office manager of the marketing department for a major sales company. Your company has been grossing over 12 billion dollars per year. Your boss has requested that you submit sales reports from all the sales managers and your secretary is unable to keep the filing current. You realize the filing must be done daily in order for your report analyst to complete the weekly reports. The file clerk’s first responsibility is to file all reports, second, other correspondence, and last, magazines. She will assist the secretary with minor typing or greet customers who wish to do business with the company, after all filing has been completed.

You hired Avana Idle on September 1^st. You trained her for two weeks on your office filing system. For the next two weeks you have been observing her filing techniques. She has been applying the training satisfactorily, filing reports first, correspondence second and magazines last. When you checked her accuracy, everything had been filed correctly. Because of the volume of work at this time, Avana does not have time to help the secretary or assist clients, even though she has an outgoing personality. Two weeks later, your Reports Analyst cannot prepare the weekly reports because the filing has not been done. Your Reports Analyst has spent the last three days compiling the data needed to prepare the weekly report, because she had to get the information out of the pending file folders. When you asked Avana if Division K's reports had been filed, she said yes. However, when you searched for the information you were unable to locate it. You discovered the reports had been misfiled. You searched for other reports and discovered they had been misfiled, also. While searching for various reports you discovered that several days of reports had not been filed at all. It is time for you to discuss Avana's performance with her. What should you do?

Coach & Counseling

During the week of training and two weeks afterward, Avana was able to complete and file all of filing as required. However, for the past two weeks (8^th and 15^th)Avana has failed to file the reports daily causing your department to miss their due date.

Reports that should take one day to complete are taking four days to complete (three days to locate the data and one day to compile) because filing is not done on time. (Affecting cost)

0:	File all reports first, correspondence second and magazines last. Will assist the secretary after all the filing has been completed.

S:	Avana agreed to follow the filing schedule for our office and to slow down filing the reports to prevent misfiling. You stated you will follow-up on her filing weekly for accuracy and completion.

A:	Will meet no later than two weeks (give date) to discuss performance.

NOTE:

Refer to exhibit one (1) for completed documentation form.

CASE STUDY

Exhibit 2

You have been observing Avana's filing techniques and checking her accuracy for the past two weeks. She has filed everything daily and accurately the first week (17^th). However, during the second week (24^th) you observed her assisting clients on Tuesday 27^th and again on Thursday 29^th. When you checked her file folder the mornings after you saw her assisting customers there were reports that had not been filed. You spoke with your assistant who had given Avana permission to assist customers. You and your assistant agreed that Avana will not assist customers unless she is instructed to do so by you. What should you do?

Coach & Counseling

Week of the 17^th everything was filed daily and accurately. You reinforced this performance. The office reports were prepared on time.

Week of 24^th she failed to file all the filing on 27^th and 29^th. Both days you observed her assisting clients.

Due to the volume of filing she does not have time to assist clients.

0:	Filing is required to be done daily according to reports first, correspondence second and magazines last. If time permits after all filing has been done, then she can assist clients or the secretary.

Avana explained she was only going to help one client, but before she realized it she had spent two hours assisting customers because she enjoyed helping people, not because it was busy. She realized this caused her to not complete the filing each day. You explained she will not assist clients unless she was told by you and your assistant is aware of this. Avana said she understood. You will continue to observe her performance.

A:	You explained to Avana that she is on 90-day probationary period. During this frame, you will determine if she can perform the job satisfactorily. You will meet with her on the 29^th to review her three month probationary period.

NOTE:

Refer to exhibit two (2) for completed documentation form.

CASE STUDY

Exhibit 3

You have observed Avana for another month. She has done an excellent job with the filing. Everything was filed accurately and daily. You met with her to reinforce her performance. Same objectives were established as before. You will meet with her in one month, during the week of the 28^th.

It is now Avana's third month and time for you to review her three month probationary performance. She has done another excellent job with the filing for the past two months. You have chosen to keep her. As a requirement of the company you must review the company's disciplinary procedures with all new employees after their 90-day probationary period. What should you do?

Coach & Counseling

F:	She has filed everything in the folder daily for the past two months. All office report due dates have been met. Reports Analyst has reduced her reporting time back to one day. You encouraged Avana to continue following office filing schedule.

0:	Continue to maintain filing daily.

S:	You explained to Avana that she has completed her 90-day probation. You explained the company's disciplinary procedures which are covered with every employee once they are no longer on a 90-day probation.

A:	You will continue to review her performance monthly, during the last week of every month, unless her performance warrants it sooner.

NOTE:

Refer to exhibit three (3) for completed documentation form.

CASE STUDY

Exhibit 4

You checked Avana's file folder on the 5^th, 10^th, 13^th, 17^th, 21^st, 25^th and 27^th. You discovered that she has failed to file the reports on several days (13^th, 25^th, 27^th). On the 13^th and 27^th , when you observed Avana assisting customers at the counter; you questioned her in passing, if she had completed her primary job responsibilities. She assured you she had filed all the reports. When you checked her file folder, she had filed the reports but not the correspondence or the magazines. You have not been able to discuss this with Avana. You did check with your assistant to see if she had given Avana permission to work the counter. She said no. You have been in and out of the office in conferences and your assistant is now on vacation. What should you do?

USE EMPLOYEE DOCUMENTATION FORM TO RECORD YOUR ANSWER

POSSIBLE ANSWER

Coach & Counseling

F:

On 13^th and 27^th you observed Avana assisting customers. The filing was not complete on either day. She did file the reports but not the correspondence and magazines.
Assistant manager did not give her permission to help at the counter.

0:

Her job is to file daily and accurately all the office reports, correspondence, and magazines. She is required to follow the filing schedule according to the way you trained her.

S:

It was agreed upon that Avana will file all reports and correspondence daily and magazines on Wednesday. After all filing has been completed, she will assist customers.

A:

You will review her monthly performance with her during the week of the 27^th. The new filing schedule will be tried for three months. After the trial period, a decision will be made whether to continue this schedule, modify it or terminate it.

NOTE:

Refer to exhibit four (4) for completed documentation form.

SECTION V

LEGAL ISSUES OF PERFORMANCE APPRAISAL
By Richard Abernathy with Abernathy, Roeder, Boyd and Joplin, PC of McKinney, TX

Notes from Presentation

TYPES OF DOCUMENTATION

Verbal-facts
Reporting the facts
Note to the file - your own documentation
Specific event memo
Conference summary memo

FUNCTIONS OF DOCUMENTATION

Employee performance improvement
Prevents later denial of notice
Aids in memory
Minimize misunderstanding
Reveals patterns of deficiencies
Supports successive supervisors

14 RULES OF DISCIPLINE

Conference first and then write - active listener and reflect
FOSA - recite facts first (objectively) and then conclusion (what are expectations and actions)
Avoid fighting words - you are a problem solver
Assume the memo will be read
Avoid jargon
Keep it simple
Do not write while angry
Have an editor available
Treat all employees alike
Emphasize quality not quantity of memo content
Be timely
Do not backdate - don't lie, don't fudge
Avoid mush directives
Do not document unlawful reason for adverse employment action

SECTION VI

BLANK FOSA FORM

Employee Performance Documentation Form
Supervisory Notes and Information Form