Sheila Bryant, Director of Affirmative Action

Carlene Smith, Associate Director of HR

April 17, 2008

To provide a formal and consistent method for documenting job performance standards.

To facilitate communication between supervisors and employees.

To promote and maintain job efficiency.

To determine training needs.

To serve as a partial basis for salary increases, promotions, terminations, etc.

Can be a morale booster Allows you to keep employees on track Increases productivity Allows goal setting Provides means of communication Creates needed documentation Helps avoid retaliation claims

An Inflated or Inaccurate Evaluation is…

Nothing but

TROUBLE !!!

It will be difficult to terminate an employee who has gotten high evaluations.

It will be difficult to defend the termination of an employee who has gotten high evaluations to the EEOC or in a courtroom before a jury.

Refer to documentation compiled during the year.

Review job description. Review Performance Goals set for the year.

Start with “Meets Expectations.”

Based on documentation, rate up or down if appropriate.

Always provide comments or basis for high or low marks.

Attach additional pages and copies of disciplinary documents.

Be prepared. Give and allow feedback. Provide specific, supporting comments. Be respectful and professional. Don’t get personal – comment on the

performance, not the person. Set performance goals together.

Performance goals let employees know the expectations for their jobs & the standards they’re expected to meet.

To be useful tools, goals should relate to specific duties & responsibilities and/or employee development. (refer to the job description)

Employee & supervisor should develop written prioritized performance goals that are measurable, observable and doable.

Action plans for achieving goals will help employees meet challenges & improve performance.

Employees’ ability to meet performance goals is the basis for performance appraisals, rewards & discipline and employee development.

Review employee’s job description for accuracy and currency.

Meet with employee to discuss your expectations.

Indicate that you will evaluate accordingly.

Provide the employee a chance to comply.

If needed, provide reasonable assistance.

A bad evaluation should never be a surprise.

Produce it as needed throughout the year.

It should be: Contemporaneous Consistent Clear

Purpose is to correct employee’s conduct and warn that repetition of this or similar behavior can result in discharge.

No disciplinary action involving probation, suspension or dismissal is to be taken against any employee until disciplinary action discussed with HR Director or designated representative, except when, in judgment of employee’s supervisor, immediate suspension is necessary to protect safety of persons or property or similarly grave reason.

Samples of misconduct not warranting immediate discharge for first offense but disciplinary action should be taken: Improper use of university time Improper use of equipmentFailure to follow required safety practiceRepeated or unreported absenteeism or

tardinessDisregard for general university policyFailure to report an accident

Supervisory ResponsibilityExplain how employee has failed in meeting

requirements or how conduct is unacceptable.

Give employee a clear understanding of exact expectations and why.

Give employee an opportunity to account for actions or lack of actions.

Take disciplinary action if situation warrants.

All disciplinary discussions should be conducted in a climate conducive to good understanding and reasonable discussion.

Supervisors must completely document all disciplinary actions and ensure that copies (with employee’s signature acknowledging receipt) are forwarded to HR for inclusion in personnel file.

Verbal warning – record date of warning and other pertinent information; maintain in department

Written warning- if orally counseled more than once during 6 month period; issued by supervisor; copy forwarded to HR for personnel file

Probation - supervisor consults with division head and Director of HR. Written probation letter issued to employee outlining change in status, problems encountered and desired corrective action. Employee may be terminated at any time without notice during probationary period.

Time Off Without Pay – Imposed separately or in conjunction with probation. Employee is facing possible termination if performance doesn’t improve. Supervisor consults with division head and Director of HR to determine necessity of LWOP and duration of period. Letter of warning issued and copy placed in HR personnel file. Division head is final approval authority.

Termination – Supervisor documents recommendation and discusses with division head; supervisor reviews case with HR Director; HR Director reviews with division head. If a decision is made to terminate, division head notifies employee in writing of the decision.

When immediate suspension is necessary to protect the safety of persons or property or for similar reasons, supervisor directs employee to leave the University premises at once and either (a) report back to supervisor the following day or (b) to remain away until further notice.

Procedures regarding Time Off Without Pay

to be followed promptly.

Refer to APSU Policy 5:053 Discipline Procedures for Non-Faculty Employees

At what point do you start the disciplinary process?

You see a pattern emergingabsenteeism, missed deadlines

The conduct causes disruption in the office

A policy or rule is violated

Don’t wait to address the problem.

Don’t diminish or alter responsibilities.

Follow through on “promised” discipline.

Produce contemporaneously with conduct

Include: Date of document Name of employee and supervisor Name(s) of those present at meeting Type of discipline

January 26, 2007To: Sue Smith, Secretary IIFrom: Tom Jones, RegistrarRe: Verbal Warning

Any prior disciplinary measures taken Reason(s) for discipline

State facts, not conclusions or assumptions Provide specific examplesInclude dates, times, location, witnesses

Describe impact Cite any applicable policy or rule

On Jan 12, I counseled you on the need to report to work on time - 8:00. You reported to work on Jan 4 at 8:15, on Jan 9 at 8:23 and on Jan 12 at 9:49. On Jan 18 you came in at 9:13 and today you arrived at 8:43. This violates Policy II-B(1)(c).

When you are late there is no one at the front desk to answer the phones or handle walk-ins.

Any progress, or the lack of progress since last disciplinary action

Expectation(s)Be specific; indicate required outcomes byspecific dates if appropriate

Periodic meetings

When you received the First Written Warning three months ago (copy attached), it was expected that you would complete the scanning and filing for the ABC Project, and the inventory of software licenses by January 31.

Since then, you have finished 6 of the 10 modules of the Project, and you have taken inventory from 2 departments.

You are expected to have all 10 modules of the project completed by Feb 22, and have the inventory of all 10 departments done by Feb 28.

To ensure that you are making satisfactory progress we will meet each Friday at 10:00.

Any training or assistance that can be offered

Any training or assistance that was provided

- In order to assist you in completing this assignment, you will attend the Banner training scheduled for Tuesday, April 1.

- You attended the conference on electronic file management back in October 2007 so that you could set up and manage the office files.

Any corrective action taken Possible consequence if not corrected Employee’s response or comments Signature of employee

Provide signed copy to HR file and employee

If you do not meet these deadlines or make sufficient progress within the next 5 weeks in order to meet these deadlines, further disciplinary action including probation or termination may be taken.

If you have any questions concerning this, please let me know.

I have had the opportunity to read this document, and to ask questions and provide comments concerning it. I have also been given a copy of this document.

_________________Sue Smith_________________Date

Include: Prior disciplinary steps Length of probation with beginning and

ending dates of observable employment Improvement must be significant and

sustained Possible termination at any time

After a review of your file, including prior disciplinary actions concerning your performance (attached), you are being placed on disciplinary probation effective today.

The probationary period will be in effect for 3 months of observable performance during which your employment may be terminated at any point should there be insufficient improvement or lack of continued and continuous improvement in your ability to carry out the following list of particulars.

Additionally, subsequent to successful completion of this probationary period, any instances of unacceptable conduct or unsatisfactory performance will result in further disciplinary action, up to and including termination.

[List expectations – to do or not to do.]

Failure to comply with any of the items listed above will lead to your dismissal.

My signature indicates that I have read this document. I have also had the opportunity to respond to and to make comments about, as well as, to ask questions concerning its content.

Give the employee notice that work is unsatisfactory

Counsel the employee on expected performance standards

Offer help and assistance in meeting standards

Ask for feedback and explanation.Document the meeting.

Religiously make notes to file whether an employee is being disciplined or not

Stick to the facts: date, time, what happened, witnesses, discussion with employee, your response

Review and use in decisionmaking processre: next disciplinary step

Review prior to evaluation

1/14 – 20 min late getting back from lunch; registration; discussed

4/21 – didn’t have slides ready for PP for Pres Council mtg.; had reminded her week before

6/9 – did a great job organizing the staff retreat; lined up speakers; did presentation on communication – well received

9/28 – submitted report with numerous statistical errors; asked her to correct, get to me by 9/29

9/30 – got “corrected” report – still too many errors. Since due tomorrow, had to correct it myself. Late getting out. Written warning issued.

Keep in mind that all documents – including emails - are public record.

They will become evidence in a trial.

Could be less costly than getting a new employeeadvertising and interviewing timetraining a new employee

Remediation / Rehabilitationmore trainingchange, within job description

Plays well to a jury

Have you done everything you could to have produced a different outcome?

Have prior disciplinary steps been taken?

Was the employee made aware of problems and possible consequences?

Did you adequately investigate the incidents?

Has the employee had the chance to respond?

Have you thoroughly documented? Would this be consistent with prior

terminations / discipline? Does the “punishment fit the crime”? Is the employee in a protected class? Is there any basis on which the

employee could claim retaliation?

“It shall be an unlawful employment practice for an employer to discriminate against any of his employees…because he has opposed any practice made an unlawful employment practice…, or because he has made a charge, testified, assisted, or participated in any manner in an investigation, proceeding or hearing [concerning such.]” Title VII

Member of protected class:race, color, religion, sex, nat’l origin, age, disability

Complained or filed a grievance (based on the above)

Cooperated in investigation of grievance (based on the above)

Engaged on protected activity (e.g., FMLA, 1st amdmt, Whistleblower, workers comp)

To prove a claim, plaintiff must show: He engaged in a protected activity He suffered an adverse employment

action There was a casual connection between

the protected activity and the adverse employment action

Unjustified evaluations Accelerated disciplinary action Sudden enforcement of previously

unenforced policies Assigning more onerous work Denying ATB salary increases Giving undeserved negative reference

to prospective employer

Treat complaints of retaliation separately from any initial complaint

Follow same process to investigate

“At-Will” Employment – may terminate for a good reason, a bad reason, a mistaken reason, or no reason at all as long as the decision was not based on illegal discrimination, the exercise of a statutory or constitutional right, or contrary to public policy.

“Honest Belief” rule – stated reason is considered honestly held if it can be shown that the employer honestly relied on the specific facts it was aware of at the time the decision to fire an employee was made.

Doesn’t have to have been correct or the best decision, only that decision was made in good faith that performance was unsatisfactory and that the asserted reason was not a mere pretext for discrimination.

To contradict, employee must show pretext.

Pretext can be shown by establishing that:

- The stated reason had no basis in fact.- The stated reason didn’t motivate the

termination.- The stated reason wasn’t sufficient to

prompt the termination.

Document the basis for recommendation to terminateAttach prior disciplinary documents

In termination letter, can summarize basis for termination, but be inclusive and consistent with prior and subsequent documentation.

Contact HRKeep HR in the loop during disciplinary process

Don’t wait until the day before – or the day after

Get the documents in order Don’t pull the trigger unless everything

is in order and all aspects considered

Allows you to: Motivate Ask questions Praise Correct Discuss a professional development

plan Maintain dedicated employees

What’s the best way toavoid litigation

anddefend litigation

?

DOCUMENTATION and

ACCURATE EVALUATIONS