COUNSELING MEMORANDUM SAMPLE

1 James (Jay) E. Girvin, Esq. 20 Corporate Woods Boulevard Albany, NY 12211. Telephone: 518-462-0300. Facsimile: 518-462-5037. COUNSELING MEMORANDUM . SAMPLE . TO: FROM: DATE: RE: MEMORANDUM of COUNSELING 1. The following observation has been made: Set forth facts, incidents, and sufficient detail to describe the concern. 2. The following standards will be expected in the future: Set forth why the above was wrong ( violated policy, failure to performance, etc.) and what the specific expectations are for the future for the employee. 3. These standards/expectations are important because of the following impact on the school environment: Set forth why the act/failure has a negative impact on the District, co-workers, residents, morale of colleagues, etc.

2 4. Failure to follow the above standards/expectations will result in: additional COUNSELING , forwarding the next matter to the Supervisor/Board for consideration of discipline. 5. The [District] is available to assist you in the following manner: Set forth how you or the District can help, offer to meet with and explain concerns, offer list of courses of in-services that might improve the employee's performance, offer to enter into a professional improvement plan. Please sign and return this MEMORANDUM to _____ within _____ days. Your signature acknowledges that you have received a copy of this MEMORANDUM . You have the right to submit a written response to this MEMORANDUM which, if submitted, will be attached to the MEMORANDUM .

3 I am forwarding this MEMORANDUM of COUNSELING to the Supervisor/Clerk for inclusion in your personnel file. Sincerely, I have read and received a copy of this MEMORANDUM . Employee Date cc: Employee's Supervisor [Other involved Administrators]. Personnel File James E. Girvin, Esq. COUNSELING MEMORANDUM LETTER. TO BE TYPED ON LETTERHEAD). (Presented to Staff Member at a Meeting with Representative Present). COUNSELING MEMORANDUM . TO: FROM: DATE: RE: INCIDENT OF: _____. (Date). On (date of meeting), you and I met to discuss an incident occurring on or about (date of incident). Your union representative, (name) was also present. (or, you were offered the right to bring a union representative, but declined).

4 On (date of incident), (I observed you or, you reportedly) (describe incident-who, what, when, where). (I appreciate your honesty in admitting that the incident did occur as described above) (or) (your version of the incident is _____). (State any prior notification, verbal warnings, memos, etc. about this incident or any other incidents of a similar nature that may indicate a pattern of behavior). Behavior of this type is improper because _____. (Make reference to Employee Handbook, Administrative Regulation, District Policy, and Civil Service Law, etc.) There should be no recurrence. If there is, you may be subjected to disciplinary sanctions, up to and including discharge, in the manner provided for by law and/or the collective bargaining agreement.

5 In order to help you to avoid further problems of this nature, I am directing you to: 1. 2. _____. 3. _____. Let me reiterate that the purpose of this COUNSELING MEMORANDUM is to warn you of the serious consequences of any future incident, and to instruct you as to how to avoid such problems in the future. This MEMORANDUM should not be construed as a formal accusation, charge, or formal disciplinary action at this time. Formal disciplinary action based on the issue(s) addressed in this COUNSELING MEMORANDUM could take place in the future. A copy of this COUNSELING MEMORANDUM will be placed in your personnel file. If you wish to respond or further clarify the situation in any way, you may submit a written response, which will also be placed in your file as an attachment to this MEMORANDUM .

6 Please sign this COUNSELING MEMORANDUM where indicated below. Your signature serves as an acknowledgment that you have had the opportunity to review the MEMORANDUM , that you received a copy, and that you are aware that a copy will be placed in your file. It does not necessarily indicate your agreement with the contents. If you have any questions, please feel free to contact me. _____ _____. Date Supervisor Administrator _____. Date Employee Signature ACTION ITEM FORM. Action Items Date Decision Responsible Party Follow Up Monitoring 10/9/2019. RESPONDING TO. PERSONNEL MATTERS. [Best Practices to Use in Dealing with Performance and Conduct Issues]. Presented By: James ( Jay ) E. Girvin, Esq. Girvin & Ferlazzo, 20 Corporate Woods Blvd.

7 Albany, New York 12211. What Should You Be Doing? Ensure District has Policies and Procedures (P&P). Manual P&P needs to include standard provisions such as: General Purpose (P&P does not create employment contract and if employee covered by CBA, CBA controls). Operational Policies (hours of work, meal/coffee breaks, time records, computer/internet usage). Paid Leave Health Insurance Social Media Uniforms What Should You Be Doing? (continued). Important for P&P to include Rules of Conduct setting forth examples of conduct which will be considered just cause for immediate termination, including but not limited to: Harassment, Weapon Possession, Drugs, Threats, Disorderly Conduct, Abuse/Damage/Misuse of Property, Theft, Falsification of Records/Reports, Insubordination, Violation of Work Rules, Sleeping on Duty, Offensive/Unprofessional Behavior, Excessive Tardiness, and Abuse of Paid Leave 1.

8 10/9/2019. Ensure District Provides Training to Employees on P&P, Job Expectations and CBA/Operational Matters Sexual Harassment/Discrimination Training Bullying in the Workplace Workplace/Department Rules and Expectations Tools/Equipment Uniforms The Supervisor's/Department Head's Role Lead by example Set the tone and establish the culture Model appropriate behavior Provide feedback Coach, evaluate, and counsel employees Discipline The Supervisor's/Department Head's Role (continued). PROVIDE FEEDBACK. Advise/inform Employees of Dep't Needs Recognize good work and behavior (positive feedback). Timely address performance and conduct concerns (advise of expectations). Avoid taking action which creates grievances 2.

9 10/9/2019. Rules for Preventing Employee Grievances Do not knowingly violate the contract, handbook or work rules Honestly let employees know how they are doing their job Act quickly to dispel rumors to the facts Correct minor irritations promptly Encourage and listen to constructive suggestions Don't make promises you can't keep and Keep the promises you make Rules for Preventing Employee Grievances (continued). Be visible and accessible to employees Assign work impartially Explain reasons for directives and assignments Be consistent. Explain why/when deviations must be made Explain reasons for change Act as soon as possible on requests from employees. Rules for Preventing Employee Grievances (continued).

10 Avoid showing favoritism When giving criticism or discipline, do it in private Keep employees informed about significant plans 3. 10/9/2019. The Supervisor's/Department Head's Role (continued). COACH EMPLOYEES. Timely address concerns with employee performance, attitude, and conduct. Get employee's response Engage in problem solving The Supervisor's/Department Head's Role (continued). When needed, create an Improvement Plan which sets out: Definition of Problem Statement of Goals Intervention Strategies Resources/ assistance SAMPLE Indicators of Success Timeline Documenting the Interview or Conference with Employee 1) To whom it is directed, who prepared it, the date prepared, and the subject. 2) The time, date and place of the interview or conference along with the names of those present.