2/12/14 Strategies for Documenting
Employee Performance
Everything counts – even Post-its!
2014 NMASBO
February 19, 2014 ~ 3:35 – 5:00
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Who Are We?
S  Dr. Kerry Parker, Clovis Municipal School District
S  Executive Director of Human Resources
S  [email protected] ~ 575.769.4322
S  Joe Strickland, Clovis Municipal School District
S  Director of Human Resources
S  [email protected] ~ 575.769.4322
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1 2/12/14 Constructive Conversations
•  The
Essence of Constructive Conversations
•  The Power of Structured Conversations
•  The Benefits of Reflective Conversations
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COMMUNICATING MEANING
Proportion of meaning inferred from
nonverbal and verbal components.
Essence of
Constructive
Conversations
Nonverbal Components 65%: posture,
gesture, proximity, muscle tension,
facial expression.
Verbal Components 35%: pitch,
volume, inflection pace, words
Most of the critical
meaning generated in
human encounters are
elicited by touch, glance,
vocal nuance, gesture, or
facial expression with or
without the aid of words.
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65
0
50
100
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2 2/12/14 Power of Structured
Conversations
S  Think of a conversation you need to have with
an employee. Answer the following questions:
S  What happened, in specific detail?
S  What apparent benefit or harm did it cause?
S  What are the other factors surrounding the
situation?
S  What immediate action should be taken?
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Benefits of Reflective
Conversations
I hear and I forget.
I see and I remember.
I do and I understand.
I reflect and I learn.
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3 2/12/14 Progressive Discipline
•  Constructive
Conversations
•  Written Documentation
•  Sample Letters of Counseling & Reprimand
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Constructive Conversations
S  Who? When? Where? Witnesses?
S  What are the facts around the action or behavior?
S  What rule, regulation, or performance standard was violated?
S  Who is affected by the action?
S  What are the consequence of the action on performance?
S  What is your response or prior interaction with the employee?
S  What is the employee's reaction to your efforts to modify his/her
behavior?
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4 2/12/14 Written Documentation
Written Letters of Warning, Counseling, or Reprimand
S  Individually written
S  Cite regulation, rule, contract, or policy violated
S  Outline all previous oral and written warnings/reprimands
S  Factual, to the point, and objective – prove the misconduct
S  State what the letter is: Warning, Counseling, Reprimand
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Written Documentation, cont’d
Written Letters of Warning, Counseling, or Reprimand, cont’d
S  State expectation for improvement
S  State what will happen if no improvement: VERY
IMPORTANT
S  Letter handed to employee and right to respond noted at the
bottom. DO NOT MAIL
S  Copy to Personnel File
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5 2/12/14 February 27, 2013
Letter of
Counseling
Name of Person
Site
LETTER OF COUNSELING
Dear Name of Person:
This letter is written confirmation of our meeting on Wednesday, February 27, 2013, where we
discussed allegations regarding a possible conflict of interest related to your position in the District.
District Policy G-6150 regarding Nonschool Employment by Professional Staff Members
specifically states that employees are free to carry on individual work or self-employment projects
as long as the work does not interfere with the employees’ performance of District-assigned duties.
A question of conflict of interest would apply when the employee’s position in the District permits
access to information or other advantages useful to the outside employer. Any employee who can
be shown to have willfully violated this policy will be subject to discipline, which may include
reprimand, suspension, and/or dismissal.
AREA OF CONCERN:
On Wednesday, February 27, 2013, during a meeting at Student Support Center, Dr. Kerry Parker,
Mrs. Carolyn Hancock, you, and I discussed a conflict of interest complaint brought against you as
an employee of the Clovis Municipal School District. During the discussion we reviewed Board
Policy G-6150, along with several professional ethics standards in order to determine if the
allegation of misconduct was founded. Based on the investigation, it was clear there had been an
apparent blurring of the boundaries between your employment with the Clovis Municipal School
District and your private practice.
ADMINISTRATIVE ACTION:
In keeping with Board Policy G-6150, you will refrain from using your position in the District as an
advantage for your private practice. Furthermore, you will not recommend your practice or any
members from your practice to students at your school.
TIME LINE:
During our conversation, you confirmed you understood your responsibilities regarding this issue.
We also discussed the need for immediate improvement and the consequences if there is none.
Beginning immediately, you are to comply with all District policies. Another incident of
misconduct may result in further disciplinary action up to and including termination or dismissal.
Sincerely,
Nannette Sherman
Executive Director of Student Services
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Letter of
Reprimand
with
Insufficient
Information
December 12, 2013
Suzanne Rebman
3604 Lew Wallace Drive
Clovis, New Mexico 88101
LETTER OF REPRIMAND
Dear Ms. Rebman:
This letter of reprimand is given to you with the intention of bringing important issues to your attention and
to present you with my expectation that you will immediately address these behaviors.
AREA OF CONCERN:
Truancy has been addressed with you via a verbal warning on Tuesday, September 3, 2013. This morning
you did not arrive at school until 8:33. Students were not properly supervised for 48 minutes. Your
reporting time is 7:45-3:30.
ADMINISTRATIVE ACTION:
A meeting was held on 12-12-13 at 3:30 with Carlyn Hancock to discuss the issue of your tardiness. You
were directed to call on any occasion that you might be late for work or away from the building to conduct
school district business.
TIME LINE:
Beginning immediately, you are to comply with all District policies. Another incident of misconduct may
result in further disciplinary action up to and including termination or dismissal.
Sincerely,
Jay Brady
I have received, read, and understand this letter.
____________________________________
Employee
C:
__________________
Date
Employee
Personnel File
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6 2/12/14 Letter of
Reprimand
with Details,
Page 1
Clovis Municipal
Schools
P.O. Box 19000
1009 Main Street
Clovis, New Mexico 88102-9000
575.769.4300 FAX 575.769.4333
www.clovis-schools.org
Terry Myers, Superintendent
Cindy Martin, Deputy Superintendent for Instruction
Jody Balch, Deputy Superintendent for Operations
Board
of
Education
Charles Guthals, President
Paul Cordova, Vice President
Kenneth Urban, Secretary
Terry Martin, Member
Kyle Snider, Member
May 6, 2013
Conley Gutierrez
Mesa Elementary
Clovis, NM 88101
LETTER OF REPRIMAND
Dear Ms. Gutierrez:
This letter of reprimand is given to you with the intention of bringing important issues to your attention and to
present you with my expectation that you will immediately address these behaviors.
AREA OF CONCERN:
Allegations of improper conduct have been made against you and have been investigated. As a result
of this investigation, it has determined that you must make specific changes to your interactions with
students to avoid any occurrence or appearance of impropriety. Thus, please be advised that you are
expect to abide strictly by the following guidelines, as well as all applicable District policies,
regulations, and procedures. Any deviation from these guidelines and requirements will be deemed to
be insubordination, warranting immediate and more severe discipline, up to and including discharge
or termination.
Your conduct toward students is deemed to be disruptive and inappropriate for a professional
educator. This unprofessional and inappropriate conduct includes the following:
1. After the March 2013 character assembly at Mesa Elementary School, you entered your
son’s fifth-grade classroom and told the students in the class that you would give them 10
character tickets if they voted for your son, in their next class character award election.
2. After the April 2013 character assembly, you again entered your son’s fifth-grade class,
asked each student how that student voted in the class character award election, and
distributed character tickets to the students who said that they had voted for your son.
3. When you met with Ms. Howell on May 2, 2013, your response to the letter of reprimand
you were given and the comments as to the corrective action needed was unprofessional
and insubordinate.
Please be advised that such conduct by an employee violates District policies and state regulations.
Both District Policy G-0650 GBEA, entitled “Staff Ethics,” and the Code of Ethical Responsibility of
the Education Profession set forth in NMAC 6.60.9.8, adopted by the Public Education Department
(“PED”), require teachers to “deal justly and considerately with each student.” Policy G-0650
GBEA, page 1; NMAC 6.60.9.8(A)(1). See also NMAC 6.60.9.9(B)(5), which prohibits giving “a
gift to any one student unless all students situated similarly receive or are offered gifts of equal value
for the same reason.”
The mission of the Clovis Municipal Schools, an alliance highly committed to educational excellence, is to equip each
student with the knowledge and skills needed for a productive life of creative thinking, continuous learning,
and exemplary character through challenging and engaging learning experiences led by a dedicated,
unified team in vital partnership with family, church, and community.
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Letter of
Reprimand
with Details,
Page 2
District Policy G-0850 GBEBB, entitled “Staff Conduct with Students,” states in part that at all times,
teachers “will accord students the dignity and respect that they deserve, and avoid embarrassing any
student unnecessarily,” and will “relate to students of the District in a manner that maintains social
and moral patterns of behavior consistent with community standards and acceptable professional
conduct”. Finally, this Policy directs that staff/student relationships “shall reflect mutual respect
between staff members and students and shall support the dignity of the entire profession and
educational process.” Policy G-0850 GBEBB, page 1. District Regulation G-0761 GBEB-R, entitled
“Staff Conduct,” prohibits all District employees from engaging in any “violation of District policies
and regulations.” Regulation G-0761 GBEB-R, page 1. Employees who violate Regulation G-0761
GBEB-R are subject to disciplinary action.
Your conduct described above violates District policies and PED regulations. When you offer a gift
to students if they vote for your son in a class character award election; when you ask each student, in
front of his or her classmates, how he or she voted in the character award election; and when you give
each student who voted for your son a gift in exchange for that vote; you are not treating your
students with dignity or respect; you embarrass the students unnecessarily and undermine the results
of the election; and you attempt to use your position to exploit or unduly influence a student, which is
contrary to social and moral patterns of behavior consistent with community standards and acceptable
professional conduct. In addition, such conduct exceeded the appropriate boundaries of your duties
and responsibilities owed to all students.
ADMINISTRATIVE ACTION:
You are specifically directed hereafter not to attempt to influence or otherwise interfere with the
results of any student election. You are specifically directed not to offer or to give any student any
type of gift in exchange for voting a particular way in any student election. You are specifically
directed not to question students regarding how they voted in any student election, regardless of
whether or not other students are present during any such questioning. You are specifically directed
to refrain from using your position to take any action at school, which is geared toward providing an
advantage to your children if it is not offered on the same basis to other students.
You are specifically directed to read and abide by District Policies G-0650 GBEA, the unnumbered
Staff Conduct policy, G-0850 GBEBB; and District Regulation G-0761 GBEB-R, copies of which are
attached to this memorandum. You are specifically directed to comply with the New Mexico Public
Education Department’s Code of Ethical Responsibility for the Education Profession.
You are expected to perform your duties in a competent, professional, and effective manner. Further,
you are expected to conform to these directives immediately in your work performance. You will be
monitored closely to ensure your compliance with all District policies and regulations. Any failure to
abide by any such policies and regulations, or any complaints about your conduct toward students
from this point forward, will be treated with the utmost seriousness. Any deviation from this
directive will be considered insubordination and may result in immediate discipline, up to and
including discharge or termination.
If anyone asks whether or why you have altered your behavior, you are not to divulge that you have
been instructed to alter it. You shall not retaliate against, or suggest or encourage others to retaliate
or seek reprisals against, anyone who may have made a report or given a statement to the
Administration regarding your interactions with students. You shall not share with anyone who the
complaining party may have been, or subject any member of the staff, administration, or student body
to different treatment because of such a report or the issuance of this memorandum.
Please be advised that any deviation from this directive will lead to immediate and more severe
discipline, up to and including discharge or termination.
Your signature below indicates that we have reviewed all the directives in this memorandum and that
The mission of the Clovis Municipal Schools, an alliance highly committed to educational excellence, is to equip each
student with the knowledge and skills needed for a productive life of creative thinking, continuous learning,
and exemplary character through challenging and engaging learning experiences led by a dedicated,
unified team in vital partnership with family, church, and community.
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7 2/12/14 Letter of
Reprimand
with Details,
Page 3
you have received a copy. Should you wish to submit a written response to this memorandum for
placement in your personnel file alongside this memorandum, you may do so within the next ten (10)
days.
Sincerely,
Jay Brady
Principal
I have received, read, and understand this letter.
____________________________________
Employee
__________________
Date
C: Employee
Personnel File
The mission of the Clovis Municipal Schools, an alliance highly committed to educational excellence, is to equip each
student with the knowledge and skills needed for a productive life of creative thinking, continuous learning,
and exemplary character through challenging and engaging learning experiences led by a dedicated,
unified team in vital partnership with family, church, and community.
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Plan a Letter
S  Think of a letter you need to write for an employee.
Include the following questions:
S  What happened, in specific detail?
S  What apparent benefit or harm did it cause?
S  What are the other factors surrounding the
situation?
S  What immediate action should be taken?
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8 2/12/14 Personnel File
•  Legal
Documents
•  Documents Inside the Personnel File
•  Documents Outside the Personnel File
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S  Letters of Warning, Counseling, and
S 
S 
S 
S 
S 
Reprimand
Supervisor notes are legal documents!
Emails: Content and History
Telephone records
Texts
Calendar Events
Legal Documents
Site Files are Legal & Considered
Personnel Files
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9 2/12/14 S  When maintaining files, remember:
timely fashion – within 5-10 days – that
the material exists and is being retained.
S  The employee must be informed of the
right to comment in writing and have
the comment included with the original
material – within 5-10 days.
Legal Documents,
cont’d
S  The employee must be informed in a
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S  Records relating to the specific job
S  Any promotion, demotion, transfer, layoff,
S  Records relating to other employment
practices (including policy acknowledgments
and agreements).
S  Letters of recognition
S  Disciplinary notices or documents
S  Performance evaluations and goal setting
records
Personnel File
Includes:
rates of pay and other forms of compensation,
and education and training records
S  Termination records
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10 2/12/14 S  Interview/recommendation/
S  Reference/background checks
S  Drug test results
S  Medical/insurance records
S  Child support/garnishments
S  Litigation/Workers' compensation claims
S  Investigation records
S  Requests for employment/payroll
verification
Personnel File Does
Not Include:
documentation
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Resources
S  Costa, A.L. & Garmston, R.J. (2005). Cognitive coaching foundation
seminar: Learning guide. Center for Cognitive Coaching.
S  McGrath, M.J. (2012). Document, Discipline, Dismiss: The McGrath
3-D approach to documentation of employee performance and
misconduct issues. McGrath Training Systems.
S  Society for Human Resource Management (2014). Personnel Records:
What should, and should not, be included in the personnel file? S  YouTube (2013). Big Bang Theory – Egg Salad Equivalency.
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