Employee Relations Training
Revised 12-05-2017

Managing Performance

~ Case Study ~

Counseling Sessions

Disciplinary Letters

PART 1: AWARENESS OF THE SITUATION

You supervise six employees, including Renee Rogers, a Business Services Coordinator (Journey).
  • Renee is responsible for processing financial actions for several significant grants in the department.
  • This includes processing travel requests and reimbursements for the grants assigned to her.
Today, both Roddy Riot and Babcock Bland, the senior researchers on two of Renee’s biggest grants, catch you in the hall on your way to a meeting.
  • They tell you that “it seems like it is taking forever to get our money back” from several recent work-related trips.
  • They ask if there is anything you can do about it.

How do you address this issue “in the moment”?
How do you secure more information?

PART 2: Gathering Information

You ask them to send you a note on the issue with some more details:
  • Dates of travel
  • When the information was submitted to Renee,
  • Dates of contact with Renee on the issue since then,
  • Any other actions outstanding, etc.
After lunch, you see this email from Babcock:
Subject: / Travel Reimbursements
Date: / Mon Jan 26, 2015 12:43:00 pm
From: / Babcock Bland <
To: / YOU <
Hey. Just following up on our conversation this morning. Both Roddy and I turned in our travel documents from the Chicago conference on Monday, January 5 to Renee. Haven’t heard anything back yet. This has been an on-going problem. We usually have to ask a half-dozen times before we get anywhere.
Let me know what you find out.
Thanks!
Babs
You pop into Renee’s office to ask about the reimbursements.
  • As you stand at the door,she digs around her desk a long bit.
  • There seems to be more open travel actions than you expected.
  • She then tells you that she still has them.
  • She has not begun to process them yet.

How do you address this issue “in the moment”?
How do you secure more information?

PART 3: PLANNING THE MEETING

This isn’t typical for Renee’s work. You ask her to:
  • Pull together her open travel requests,
  • Review them, and then
  • Meet with you at 2:00 pm to discuss their progress.

Steps to take before meeting with Renee:

Schedule a work planning conference (informal counseling session)

Get additional information from the Principal Investigators, as needed

Review the current travel-reimbursement process

Review the expectations set out on Renee’s work plan or other procedurals

Prepare how you will broach the topic

Anticipate what Renee’s reaction might be

Anticipate some options

Contact your ERConsultant for additional guidance

Accounting Procedures Guide
Procedure #2: Travel Accounting Deadlines & Processing
Accurately and promptly process all transactions related to travel for assigned grants and department chair:
  • Bookaccommodations/transportation at least 3 weeks in advance of the travel date, and pay conference registrations by stated deadlines.
  • Coordinate budgets for expenses with business manager and provide monthly status on all travel-related expenditures and liabilities.
  • Compile and submit reimbursement information within five business days of travel return date.
  • Distribute any paper advances/reimbursements to employees within one business day of receipt.
  • Coordinate use of State car by department employees and reserve vehicles at least one week prior to travel date or within 24 hours for notifications with less than one week’s notice.
  • Provide resource information to department employees and clients on travel-related expenditures/planning within 1 business day of request

When you meet with Renee:

Protect, but enforce

Keep it constructive, not destructive

Seek resolution, not blame

Focus on the work, not the individual (at leastinitially)

Eliminate possible causes

Ask for options before making a decision

PART 4: ANALYSIS ACTION PLAN

Why is the work not getting done?
What are some options to pursue to address these reasons?

Renee Isn’t Getting the Information Appropriately:

  • Clarify what guidance is currently being provided to travelers.
  • Determine if there are specific “snags” in getting the information.
  • Ask Renee for alternatives that would improve the process, revise as needed.
  • Get buy-in from Renee and others in the department to agree on procedures.

Renee Doesn’t Understand How to Do It:

  • Clarify what specific aspects are difficult to understand.
  • Discuss what might help Renee to do the work more clearly or efficiently.
  • Determine if there are available training opportunities to (re)learn the process.
  • Confirm afterward ifany training Renee has taken has helped in completing the duties.

Renee Has Too Much to Do:

  • Review current permanent or temporary demands on Renee’s position.
  • Review Renee’s position description/work plan with her and clarifypriorities.
  • Could any duties be assigned to another person (not necessarily travel duties)?
  • Explore options that may help Renee “work smarter.”

Renee Doesn’t Like It:

  • Appreciate that we all have aspects of our jobs that we do not always enjoy.
  • Remind Renee that one of her primary duties is to perform travel-related duties.
  • Get buy-in from Renee to work toward a positive resolution of the situation.
  • Keep the tone of the conversation positive (developmental) not punitive.

Renee Has External Pressures:

  • Be cautious in delving into personal information with any employees.
  • Explore possible flexible work schedules, time off, or contact with EAP.
  • Remind her that, even so, the work must be completed as required.
  • Sometimes showing awareness and concern for an employee’s non-work
    well-being can make a substantial difference in work performance.

RelatedQuestions to Consider:

  • Is cross-training an option?
  • Isa back-up for the position during crunch times possible?
  • What is risked in taking away duties from a “squeaky wheel”?
  • What if this isn’t the first time you’ve experienced this with Renee?
  • What must be done with others in the department to ensure a smooth process all around?

PART 5: DOCUMENT COUNSELING SESSION

You meet with Renee at 2:00 to discuss the open travel cases:
  • She has six requests that should have been completed by now.
  • You discuss with her the best ways to address the issue.
You follow-up with a summary email the next morning.

Followup in writing with Renee on the outcome of the discussion, including:

The issue that gave rise to the meeting.

The reason it was a concern.

The explanation provided by the employee.

Clarification of expectations.

Short-term/long-term plans to address issue, esp. who is responsible for what.

Schedule check-ins to monitor progress.

Date:Tue Jan 27, 2015, 08:43:00 am
To: Renee Rogers <
From:YOU <
RE:Our meeting today
Renee, this is a follow-up to our meeting yesterday regarding several significant delays in getting recent travel reimbursements completed in a timely manner. When we met yesterday, you had six travel requests that had been open for at least three weeks. You indicated that the receipts you get from the employees are a mess, difficult to decipher, and incomplete, causing you to have to go back to employees to get more information.
We agreed you would complete all travel requests and reimbursements within five business days of receiving them, rather than from travel date, and we revised that expectation in the Accounting Guide. We agreed that you would complete an online Excel computer-based training offered through UNC in order to help you find more efficient ways of using Excel to track the travel items. The Guide also states that you need to reconcile information by the end of each month, so a spreadsheet should assist you with achieving that.
I also agreed to send a memo out within the next week to remind the staff of the proper way to submit their travel requests and reimbursement documents as well as clarifying their responsibilities in ensuring that their reimbursements are completed in a timely manner. We agreed that you would write the first draft of that memo and email it to me by the end of this week. I also added that if you get to the point of making a third request to travelers for any needed information that you cc: me on the email request.
Finally, we agreed to have formal check-ins with each other on Feb 13 and Feb 27 regarding this issue. I have scheduled the meetings on our calendars.
I hope that these adjustments will help to make this process smoother for both you and for others in the department. If you have any questions or if I haven’t summarized our conversation clearly, please let me know.

PART 6: INITIAL MONITORING

After the Work Planning Conference / Informal Counseling Session:

  • Have the expected performance corrections occurred?
  • Did the check-ins stated in the follow-up memo take place?
  • Has the training been completed by the stated deadlines?
  • Were department employees re-informed of the reimbursement procedures?
  • Are there any additional steps that need to be taken?

Do not drop oversight of a performance issue, even if the work improves.

  • Schedule future check-ins either during the meeting or soon after and reference them in the follow-up note.

On February 4, you send out a memo to all staff members clarifying the process for submitting travel requests and reimbursements.
You made sure that Renee was actively involved in drafting the memo.
You hold your check-ins with Renee as scheduled on February 13 and 27.
For each meeting, you request a list of all pending travel requests.
In each case, new requests were being handled appropriately and within the five-day timeframe, as expected.
However, Renee has not begun using Excel to organize the information; instead, she brings the full case folders to the meetings.
You ask Renee about the Excel training that was discussed in the meeting on January 26.
She states that she has been so busy getting the current documents caught up that she hasn’t stopped to schedule it yet.
You ask her to be sure to mark the training times down on her calendar.
You remind her that she should be giving you a monthly spreadsheet report on the travel requests.

PART 7: NEW COMPLICATIONS

The month of March is busy, and the issue has gotten away from you due to competing challenges.
On April 6, however, Carter Canduit, one of the senior researchers on one of Renee’s grants, sends you this email.
Subject: / Travel Reimbursements
Date: / Mon Apr 06, 2015 1:22:00 pm
From: / Carter Canduit <
To: / YOU <
Hi
Babcock suggested that I send this to you. I had submitted some travel reimbursements from the two offsite trips in February and haven’t heard back anything yet. I have asked Renee about it a couple of times, and she tells me she’s working on it. I originally gave her all the information on March 2. My diner’s club card is getting a little impatient! 
Any way you can push this along?
Thanks
C.

How do you address this issue “in the moment”?
How do you secure more information?

PART 8: PLANNING THE MEETING

Steps to take before meeting with Renee:

Schedule a work planning conference (informal counseling session).

Get additional information from the other employees on their reimbursements.

Review the current travel-reimbursement process.

Review the expectations set out in Renee’s work plan and related procedurals.

Review expectations set out in the follow-up email from Jan 27.

Prepare how you will broach the topic.

Anticipate what Renee’s reaction might be.

Anticipate some options.

Contact your ERConsultant for additional guidance.

!!! IMPORTANT !!!
We will hold a counseling session on Friday with Renee to discuss these new issues. You will be in groups of three:
One person will be the Supervisor
One person will be the Renee
One person will be the Observer, who will watch the interaction.
Those playing Renee will be given some additional information on Friday.
Think through what issues will need to be raised in the session, what information needs to be gathered, and what scenarios might warrant either additional counseling or,possibly, disciplinary action.

PART 9: WRITTEN WARNING

What, if any, type of disciplinary action may be appropriate*?

  • No action
  • Written Warning
  • Suspension for 1week without pay (requires at least 1 other active action)
  • Demotion (requires at least 1 other active action)
  • Dismissal(requires at least 2other active actions)

*For discipline based on unsatisfactory job performance, the first action must be a written warning.For discipline based on unacceptable conduct or grosslyinefficient job performance, the first action could be as severe as dismissal.

What information must be in a written warning?

A statement that it is a Written Warning

Specific performance deficiency

Specific corrections that must be made

Timeframe for making the corrections

Consequences of failing to make the corrections

The employee’s appeal rights

Process:

  • Contact your HR representative or ER consultant to begin drafting the letter.
  • Review the language with your supervisor.
  • Receive final approval from ER consultant to issue the letter.
  • Schedule a meeting with Renee to review and discuss the letter.
  • Best practice: Give her 15-30 minutes before you meet to review the letter.

<Department Letterhead>

DATE:April 10, 2015

TO:Ms. ReneeRogers, Business Services Coordinator (7222-22222)

FROM:YOU, Department Manager (7000-00001)
Dept #162133: Chemical Engineering

RE:Written Warning for Unsatisfactory Job Performance

Purpose of Notification

This Written Warning is being issued for your unsatisfactory job performance, specifically due to your failure to complete travel reimbursements as required.

Relevant Past Occurrences and Active Disciplinary Actions

  1. On January 26, 2015, you and I met to discuss concerns about your performance in regard to preparing travel requests for the department. I followedup on this meeting with a summary email on January 27. The reason for the meeting was to discuss significant delays in completing several recent travel reimbursements.
  2. We agreed that you would complete all travel requests and reimbursements within five business days of receiving them, and indicated this in the Accounting Guide.
  3. We agreed that you would cc: me on emails if you had to make a third request for information from a traveler.
  4. We agreed that, in March, you would complete an Excel computer-based training offered through UNC to help you find more efficient ways of using Excel to track the travel items and create end-of-month reporting on travel.
  5. On February 4, 2015, I sent a memo, which you assisted in drafting, to all faculty and staff members to remind them about the proper way to submit their travel requests and reimbursement documents and the possible outcomes if items were not submitted appropriately.
  6. On February 13 and 27, 2015, we metto followup on this issue, and, at that time, new requests were being handled within the set turnaround time.You indicated that you had not completed the Excel training course yet and had not developed an end-of-month reporting document for current travel cases.

Incident(s) Resulting in This Disciplinary Action

  1. On April 6, 2015,I received a request from a researcher, who had submitted a request to you on March 2,asking why the reimbursement had not been processed.
  2. On April 7, 2015, I met with you regarding this issue.
  3. You stated that you were waiting for information from the traveler. I asked you when you last requested this information from the traveler. You said you weren’t sure. I followed up with both you and the traveler later that day and determined:
  4. The traveler submitted the request on March 2.
  5. The traveler left you a voicemail on March 9 asking for the status.
  6. The traveler sent you emails on March 11 and 20asking for the status.
  7. You sent the traveler an email on March 25 asking for additional information.
  8. The traveler provided the requested information on March 27.
  9. As of April 6, you had not begun to process the request.
  1. We reviewed your other current open travel requests:
  2. One was submitted on March 10; you had not begun processing it.
  3. One was submitted on March 16; you sent a request to the traveler for additional information on March 16, 18, and 20. To date, you have not received the information from this traveler.
  4. One was submitted on March 20; you started processing it and confirmed that you had complete information (re-submitted March 23), but you had not completed the process.
  5. Four other requests were completed in the required five-day timeframe.
  6. I asked why you were able to complete half of these on time and not the other half.
    You said that some cases were more complicated than others.
  7. For the March 10 case, I asked why you had not begun processing it. You said that it had a lot of international receipts that were more difficult to do.
  8. For the March 16 case,I asked why you did not cc: me on your third attempt to speak with the traveler as we had agreed in our January 26 meeting. You said that you forgot that we had made that agreement.
  9. For the March 20 case, I asked why you did not complete the request, which should have been completed by March 27. You said that you have been busy,and with the holiday last week, you hadn’t gotten around to it yet.
  1. I asked if you understood that these travelers are paying out-of-pocket on these expenses and are waiting on our office for their money. You said that you understood.
  2. I asked you if you had completed the Excel training. You said that you have been too busy to schedule it.
  3. I asked you how you are currently tracking your open cases. You said that you have your open folders on your desk and your closed ones in a file drawer.

Required Corrections and Timeline for Corrections