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.
Dont 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
theyre 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 employees 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 employees 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
employees 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 equipment
Failure to follow required safety practice
Repeated or unreported absenteeism or tardiness
Disregard for general university policy
Failure to report an accident

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.

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
employees 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 doesnt 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 emerging

absenteeism, missed deadlines

The conduct causes disruption in

the office

A policy or rule is violated

Dont wait to address the

problem.

Dont 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, 2007

To: Sue Smith, Secretary II
From: Tom Jones, Registrar
Re: Verbal Warning

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

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 by
specific 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
Employees 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 process
re: next disciplinary step
Review prior to evaluation

1/14 20 min late getting back from lunch;

registration; discussed
4/21 didnt 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

employee
advertising and interviewing time
training a new employee

Remediation / Rehabilitation
more training
change, 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 employeesbecause 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, natl 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.

Doesnt 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 didnt motivate the
termination.
- The stated reason wasnt sufficient to
prompt the termination.

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.

Contact HR
Keep HR in the loop during disciplinary
process
Dont wait until the day before or the day
after
Get the documents in order
Dont 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

Whats the best way to

avoid litigation
and
defend litigation ?

DOCUMENTATION
and

ACCURATE
EVALUATIONS