discipline (evaluation)

1. Sheila Bryant, Director of Affirmative Action
Carlene Smith, Associate Director of HR
April 17, 2008

2. To provide a formal and
consistent method for
documenting job
performance standards.
To facilitate communication
between supervisors and
employees.

3. To promote and maintain job
efficiency.
To determine training needs.
To serve as a partial basis for
salary increases, promotions,
terminations, etc.

4.  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

5. An Inflated or Inaccurate
Evaluation is…
Nothing but
TROUBLE !!!

6.  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.

7.  Refer to documentation
compiled during the year.
 Review job description.
 Review Performance Goals
set for the year.
 Start with “Meets
Expectations.”

8.  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.

9.  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.

10.  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.

11.  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.

12. A bad evaluation
should never be a
surprise.

13. Produce it as needed throughout the year.
It should be:
 Contemporaneous
 Consistent
 Clear

14.  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.

15.  Samples of misconduct not warranting
immediate discharge for first offense but
disciplinary action should be taken:
 Improper use of university time
 Improper use of equipment
 Failure to follow required safety practice
 Repeated or unreported absenteeism or tardiness
 Disregard for general university policy
 Failure to report an accident

16.  Supervisory Responsibility
 Explain 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.

17. 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.

18.  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.

19.  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.

20.  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

21. At what point do you
start the disciplinary
process?

22.  You see a pattern emerging
absenteeism, missed deadlines
 The conduct causes disruption in
the office
 A policy or rule is violated

23.  Don’t wait to address the
problem.
 Don’t diminish or alter
responsibilities.
 Follow through on “promised”
discipline.

24. Produce contemporaneously with conduct
Include:
 Date of document
 Name of employee and supervisor
 Name(s) of those present at meeting
 Type of discipline

25. January 26, 2007
To: Sue Smith, Secretary II
From: Tom Jones, Registrar
Re: Verbal Warning

26.  Any prior disciplinary measures taken
 Reason(s) for discipline
State facts, not conclusions or assumptions
Provide specific examples
Include dates, times, location, witnesses
 Describe impact
 Cite any applicable policy or rule

27. 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.

28.  Any progress, or the lack of progress since
last disciplinary action
 Expectation(s)
Be specific; indicate required outcomes by
specific dates if appropriate
 Periodic meetings

29. 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.

30. 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.

31.  Any training or assistance that can be offered
 Any training or assistance that was provided

32. - 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.

33.  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

34. 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.

35. 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

36. 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

37. 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.

38. 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.

39. 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.

40.  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.

41. 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 process
re: next disciplinary step
Review prior to evaluation

42. 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.

43. Keep in mind that all
documents – including
emails - are public
record.
They will become
evidence in a trial.

44.  Could be less costly than getting a new
employee
advertising and interviewing time
training a new employee
 Remediation / Rehabilitation
more training
change, within job description
 Plays well to a jury

45.  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?

46.  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?

47. “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

48.  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)

49. 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

50.  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

51.  Treat complaints of retaliation separately
from any initial complaint
 Follow same process to investigate

52.  “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.

53.  “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.

54. 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.

55.  Document the basis for recommendation to
terminate
Attach prior disciplinary documents
 In termination letter, can summarize basis
for termination, but be inclusive and
consistent with prior and subsequent
documentation.

56.  Contact HR
Keep 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

57. Allows you to:
 Motivate
 Ask questions
 Praise
 Correct
 Discuss a professional development plan
 Maintain dedicated employees

58. What’s the best way to
avoid litigation
and
defend litigation ?

59. DOCUMENTATION
and
ACCURATE
EVALUATIONS