Methods of Job Evaluation: The
Best Way to Match Salaries
Presented to NPELRA
April 9, 2003
Bruce G. Lawson, CCP
Fox Lawson & Associates LLC
(602) 840-1070
Objectives
 To Discuss:
 The history of job evaluation
 The role of job evaluation
 Selecting a job evaluation tool
 Alternative job evaluation approaches
 Whole Job Ranking
 Market Pricing
 Point Factor
 Factor Comparison
 Decision Band
History of Job Evaluation
 1865 - Karl Marx wrote in Das Kapital that the value of
goods and services is based on the amount of labor that
goes into them
 1885 - Frederick Winslow Taylor stated that the content
of labor in labor determines the price of labor
 1935 - Edward Hay developed the Hay point factor
system
 1963 - The Equal Pay Act prohibited discrimination on
the basis of sex…for equal work on jobs, the
performance of which requires equal skill, effort, and
responsibility and which are performed under similar
working conditions. The EPA formalized non-market
based pay plans
Why Job Evaluation
 Focus is on internal equity rather than market
parity or external competitiveness
 There is a strong interest in comparable worth
or pay equity
 There is limited market data available
Alternative Pay Systems
 Job evaluation system that supports your classification
philosophy and strategies
 Mix of reward versus entitlement (base) pay
 Multiple base salary structure(s)
 Individual versus group incentives
 Performance measurement
 Alternative Reward Strategies




Broad Banding
Skill Based Pay
Individual Incentives
Group Based Incentives
Job Evaluation
 Not a science
 Not a solution to salary problems
 Not a substitute for managerial decision
making about individual salaries
 Not a cost cutting technique
 Not always consistent with the labor market
Objectives
 To systematically establish the relative value of
jobs within an organization
 Impose a structured approach to determining
job value that is objective (to the extent
possible) and documented
 Provide a basis for pay determination
Distinctions
 Job evaluation - Assesses the relative worth of
jobs
 Performance Appraisal - Assesses the
performance of individual employees in the
conduct of specific job duties
 Position Allocation - Determines the
appropriate classification for each
position/employee
Non-Quantitative Approaches
 Whole job ranking
 Classification
 Market Pricing
Quantitative Approaches
 Attempt to establish relative worth
 Give the illusion of being more precise than nonquantitative approaches
 Easier to defend to employees and managers
 Tool should be tailored to job classification philosophy
 Point Factor
 Factor Comparison
 Scored Questionnaires
 Decision Band
Whole Job Ranking
Not a formal methodology
Often used by smaller organizations
No fixed criteria
Not recognized as valid by the EEOC
Market Pricing
 Not a formal job evaluation methodology
 Often used by smaller organizations
 Only criteria is the labor market
 Employees and managers tend to support market
based systems
 If administered fairly, will take into consideration both
increases and decreases in market conditions. This is
often not well received by employees and labor
organizations.
 Requires considerable market data. Typically, at least
50% of all jobs need to be priced to defend values for
related jobs
Point Factor Plans
Focuses on compensable factors - The Federal
Equal Pay Act references four factors:
 Skill - experience, training, education and
ability measured in terms of the job’s
performance
 Effort - physical or mental exertion needed for
job performance
 Responsibility - accountability
 Working Conditions - surroundings and hazards
encountered
Factors
• Skill
• Sub-factors include
– Knowledge
(education/training)
– Experience needed
– Credentials or licenses
required
– Manual dexterity required
– Analytical ability required
– Interpersonal
communications
Factors
• Effort
• Responsibility
• Working Conditions
• Sub-factors include
– Physical demands
– Mental exertion
–
–
–
–
Impact on the organization
Accountability/
decision making
Supervision
received/exercised
– Internal/external contacts
– Hazardous/dangerous
environment
– Adverse conditions/Travel
Point Factor Plans
 Factors and weights must be carefully
established
 Significant risk of inherent bias by ignoring
stereotypical female qualities such as nurturing
& caring, concern for others, cooperation, and
cooperation
 Supervision and management often benefit
empire builders by awarding additional points
for the number of people supervised, size of
budget, etc. to the detriment of highly technical
or skilled jobs
The Process
 Factors and Weights for each factor are established
 Degrees (yardsticks) that define the factor range and its
respective intervals, along with point values, are
established. For example, Education might be divided into
the following degrees:
 No formal education required
 Requires reading and writing at the 8th grade level
 Requires High School diploma or equivalent
 Requires AA degree or completion of an accredited
trade school (2 year program)
 Requires a Bachelor’s degree
 Requires a Master’s degree
 Requires a Ph.D. degree
Pros and Cons
 Advantages
 Once factors and degrees are defined, plan is
stable over time
 Perceived as valid by users
 High agreement with ratings if jobs are
carefully defined
 Documented process
Pros and Cons
 Disadvantages
 Time consuming and costly to establish
 Typically requires that pay grades be
established although each point can be given
an economic value resulting in continual
pressure to upgrade individual positions or
jobs in order to increase pay
 Subjective assessment needed to establish
point range for salary grades
 Typically relies on key jobs within the
organization
Factor Comparison
 A refinement of whole job ranking
 No detailed criteria
 Uses universal factors for defining jobs (e.g. skill,
effort, responsibility, working conditions)
 Each factor can be weighted
 Jobs are ranked within each factor
 Labor intensive - involves numerous judgments in
order to build ranking (# jobs X # jobs X # factors = #
of individual decisions needed)
 Example: 100 job titles X 100 job titles X 4 factors =
40,000 individual decisions that must be made to
develop hierarchy
Advantages
Custom made job evaluation plan for the
organization
Relative value is easily understood
Disadvantages
Can be difficult to set up
Needs to be re-established each time a
new job is added to the structure or an
existing job changes since these actions
will affect the overall rankings
DBM - Basic Logic
 The value of a job should reflect the importance of the
job to the organization
 The importance of a job is directly related to the
decision-making requirements of the job
 Decision-making is common to all jobs
 Decision-making is measurable
The Process
 Six broad Decision Bands
 Looks at essential duties of the job
 Level of each duty is determined
 Highest banded duty determines Band of the job
 Within Bands, looks at supervisory relationships and
technical level of job (dual career track) to determine a
Grade
 Within each Grade, examines difficulty and complexity
of the work to determine Sub-Grade (if needed).
Allows for consideration of such secondary criteria as
time pressures, consequence of error, minimum
qualifications, need for care and precision, etc.
Advantages
 Only job content is considered - either incumbents do
certain work or they do not. Consequently, it is more
difficult to manipulate the job ratings.
 Factors unrelated to work are not considered in the
evaluation (e.g. what employees bring to the job.)
Those issues are handled separately as pay issues.
 Working and labor market conditions are treated
separately as pay premiums, if applicable.
 Less complex than other methods, resulting in less cost
to administer
 Can be applied to either individual positions or broad
job classes
Disadvantages
Non-traditional approach
Results not as narrowly defined as other
methods which may cause employee
concerns. Because groupings are
broader, some employees and managers
have difficulty understanding how other
jobs can be equal to theirs.
Selecting JE Criteria
 Acceptable to parties involved
 Valid as distinguishers among jobs
 Must be present in all jobs being evaluated
 Must be measurable
 Should be independent of each other so as to
not overweight any single factor
 Some plans with large numbers of factors often
result in substantial bias towards one
occupational group or group of individuals
resulting in inherent bias -most JE systems
need to measure only 3 factors to be accurate
Selecting JE Criteria
 Cost to install and maintain the system
 Efficiency and effectiveness
 Reliability
Comparison of Methods
Factor
DB™M
Point Plans
Education and Training
Yes
Yes
Contacts with others
Yes
Yes
Impact of job
Yes
Yes
Job complexity
Yes
Yes
Working Conditions
Yes
Yes
Supervision exercised
Yes
Yes
Conclusions
 Broad Band - DBM is most appropriate
 Narrow classes - Point factor or DBM are most
commonly used
 Market pricing - Better for classes that are not
to narrowly defined
Issues to Consider
 What do you do when market does not match
JE results?
 Is there really a problem?
 Confirm the job description?
 Raise or lower the JE rating?
 Market premiums?
Conclusions
 Select job evaluation method that ties to your
classification philosophy
 Determine whether the JE method is to be used within
only a single job family or bargaining unit or across the
whole organization
 Involve the stakeholders so they understand why you
are using a particular method
 Provide a basic understanding of the tool to those
affected
 Review ratings with stakeholders to identify issues
 Validate job descriptions is questions about ratings
result since all methods are tied to the job descriptions
Job Evaluation
Kenneth M. York
School of Business Administration
Oakland University
Job Evaluation
• The process of determining how much a
job should be paid, balancing two goals
– Internal Equity: Paying different jobs
differently, based on what the job entails
– External Competitiveness: Paying satisfactory
performers what the market is paying
ORG434:
34
Job Evaluation:
The Point Method
• Job Analysis to determine…
– The tasks performed in a job
• The Job Description
– The knowledge, skills, and abilities needed
to perform the job
• The Job Specification
ORG434:
35
Job Evaluation:
The Point Method
• Example: Software Engineer
– Job Description
• The Software Engineer designs, develops, tests and
maintains one or more of our products or internal
applications. The software engineer works as a member of
an engineering team developing, designing, and
maintaining one or more of our products or internal
applications. This position reports to the appropriate
Project Manager.
– Job Specification
• Bachelor's or undergraduate degree in Computer Science,
Information Systems, Electrical Engineering or equivalent
experience. Masters or graduate degree is desirable.
Understand Intranet and Internet technologies: http,
firewall.
ORG434:
36
Job Evaluation:
The Point Method
• Develop a list of compensable factors…
– A set of standards the organization uses to
distinguish among jobs for pay purposes
– Examples of commonly used compensable factors:
–
–
–
–
–
–
–
Degree of responsibility, supervision
Knowledge needed to perform the job
Discretion in performing the job, independent judgment
Job conditions
Effort
Hazard
Consequence of error
ORG434:
37
Job Evaluation:
The Point Method
• Define the degrees of each factor
– Judgment and Decision Making: This factor identifies the
extent to which the job requires judgment and responsibility in
the making of decisions.The importance of the decisions and
the extent to which standard policies and procedures provide
guidance in decision making will be considered.
• 1st Degree: Work requires decision making involving the
analysis of the facts of a situation and the determination of
what actions should be taken within the limits of standard
procedures; only unusual or seldom recurring situations
require referral. Judgment could affect the work of others
or cause minor inconvenience. Typical errors are generally
confined to a single team or phase of operations.
ORG434:
University of
Wisconsin38
Oshkosh
Job Evaluation:
The Point Method
• 3rd Degree: In consultation with team members decide
specific work projects to perform, and proceed to plan,
coordinate, and commit resources required to accomplish
work; associates develop or establish procedures or
policies. Judgment requires accuracy because errors could
potentially result in inaccurate reports, incomplete or
misleading information, unsound recommendations, or
incorrect decisions. Consequences could adversely affect
operations or services causing significant losses of time,
resources and potentially have a long term impact on a
team.
• 6th Degree: Assists board in the development of policies,
general procedures and corporate goals. Errors in
judgment could jeopardize the viability of the company.
ORG434:
39
Job Evaluation:
The Point Method
• Create a matrix of points for the degrees of
each factor…
– Judgment and Decision Making:
–
–
–
–
–
–
1st degree = 50 points
2nd degree = 100 points
3rd degree = 225 points
4th degree = 350 points
5th degree = 500 points
6th degree = 700 points
– Communication, Work Environment, Coaching,
Innovation, Knowledge – Education - Experience
ORG434:
40
Job Evaluation:
The Point Method
Factors - Degrees
1st
2nd
3rd
4th
5th
Job Knowledge
25 100
175 250
Judgment & Decision Making
Working conditions
10 33
25 100
20 65
5 20
55 78 100
175 250
110 155 200
35 50
Mental
15
Independent judgment
Accountability
ORG434:
42
69
6th
96 123 150
41
Job Evaluation:
The Point Method
• Evaluate benchmark jobs to determine
Job Evaluation Point Totals…
– Benefits supervisor = 700
– Training material development specialist =
650
– Job evaluation specialist = 460
– Compensation manager = 920
ORG434:
42
Job Evaluation:
The Point Method
• Collect salary survey data on benchmark
jobs…
– Benefits supervisor = $60,393
– Training material development specialist =
$58,403
– Job evaluation specialist = $43,155
– Compensation manager = $79,958
ORG434:
43
Job Evaluation:
The Point Method
• Do a regression analysis to find the pay line for
the benchmark jobs…
– Dependent variable is salary survey data
– Independent variable is job evaluation point total
– Calculate salaries for benchmark and other jobs
using the regression equation…
• Salary = 79.67*JETotal + 6101.09
• Example: Compensation Director = 79.67*1120 + 6101.09 =
$95,333
ORG434:
44
Job
Evaluation
Prepared By:Prof. Tahereem Bardi
Job Evaluation (Content)
•
•
•
•
•
•
Definition
Objective
Principle
Process
Methods
Advantages
Definition
• According to Wendell French “Job Evaluation is a process of
determining the relative worth of the various jobs within the
organization so that differential wages may be paid to jobs of
different worth ”.
• Job evaluation is the process of analyzing and assessing the
various jobs systematically to ascertain their relative worth in an
organization.
Objectives
• To maintain , accurate and impersonal
description of each distinct job.
• To provide standard procedure for
determining the relative worth of each
job.
• To set wages and salary.
• To ensure like wages are paid off.
• To determine wage for the job and not
for the man.
Principle
• Job should be rated and not the JOB
HOLDER.
• Job rating methods should be explained
to the Job holders.
• Senior Managers should be involve in JE
process.
• During evaluation focus should be on
1. JD (Job Description)
2. Rating
Process Of JE
Objective of JE
JOB ANALYSIS
Job Description
Job Specification
JE Program
Fig :: JOB
EVALUATION
Process of JE
• Management explain the objectives and
advantages.
• Training to committee (HR manager + Sr.
manager) for JA & JE
• Selection of most appropriate JE System.
• Grade/Classify Job based on the worth.
• Discuss the same with the incumbent.
• Feedback & Evaluation.
Methods of Job Evaluation
• Job-evaluation methods are of two
categories:
(1)Non-analytical and
(2) Analytical
Job Factors
•
1.
2.
3.
Skill
Education
Experience
Initiative
• Effort
1. Physical Demand
2. Mental Visual Demand
Job Factors
•
1.
2.
3.
4.
Responsibility
For Equipment
Material / Product
Safety of others
Work of others
• Job Conditions
1. Working Conditions
2. Hazards
Non-Analytical Method
• Ranking Method
• Job-Grading Method
Ranking Method
• Jobs are arranged or ranked in their importance i.e
from lowest to highest or vice versa.
• Committee assesses the worth of each job on the basis
of its title or on its content, if the latter are available.
• Job Description can be used for ranking different jobs.
• Ranked jobs are classified into groups, and jobs under
particular groups may receive the same salary or
salary range.
Job Grading or Job
Classification Method
• As in the ranking method, the Job-grading method
does not call for a detailed or quantitative analysis of
job factors.
• Facts about the job are collected and matched with the
grades which have been established by the raters
(Committee)
• Grades are arranged in the order of their importance
• Lowest grade may cover jobs requiring greater
physical work under close supervision, but carrying
little responsibility.
Analytical Method
• Point- Ranking Method
• Factor Comparison Method
Point- Ranking Method
• PRM is one of the most widely used JE
Plan.
• It involves identifying number of factors
,sub factors and degree to which these
factors are present in Job
• Points are assigned for each degree of
each factor
• Grand Total of these points ,classify the
Job Worth
Factor Comparison Method
•
Under this method, one begins with selection of
factors .
• Each factor is ranked individually with other jobs.
E.g.:Each job is ranked several times like,
1. Skill requirements,
2. Physical exertion,
3. Responsibility, and
4. Job conditions
Advantages Of JE
• Leads to Uniformity in wage rates.
• Use to remove grievances from
employees regarding discrepancy in
wages.
• Information collected during Job
Evaluation can be used for improvement,
Selection and and promotion procedures
Performance Management:
Focus on Performance Appraisals
facilitated by:
Aaron Greenberg and
Maureen Simunek-Appelt
Office of Human Resources
Nova Southeastern University
Course Objectives
After completing this workshop, the learner will be able to:
 Understand NSU’s performance
rating scale
 Fill out a Performance Appraisal
Form
 Conduct meaningful performance
appraisal discussions
 Be prepared for some common
challenges of the appraisal process
 Set effective goals with employees
Your Experience
Think about your
last review:
 What thoughts come to
mind?
 What went right, what
went wrong?
Performance Management
An iterative process of goal-setting, communication,
observation and evaluation to support, retain and
develop exceptional employees for organizational
success.
Set Goals
Communicate
Evaluate
Observe
Why Manage
Performance?

To reach organizational mission and goals


Encourage and reward behaviors aligned with
organizational mission and goals
Curb or redirect non-productive activities
What do Employees
Expect?
 Clear expectations
 Positive/constructive
feedback on a regular basis
 Involvement in goal setting
 Be treated fairly and
consistently
 Sharing of information and
resources
 Job/career enrichment
opportunities
Planning for the Process
 Review employee’s
job description
 Understand the
performance
measurement system
 Review notes from
the year
 Understand
employee
expectations
Types of Appraisal Forms
 Exempt
 Exempt Managerial
 Non-Exempt
 Senior Administrator
 Forms are available online at:
http://www.nova.edu/cwis/hrd/ohrforms.html
Rating Scale
4 - Excellent (Exceeds Standards)
3 - Good (Fully Meets Standards)
2 – Acceptable (Usually Meets Standards)
1 – Unsatisfactory (Fails to Meet Standards)
Excellent (Exceeds Standards)
 Clearly considered to be exceptional
performers.
 Consistently exceed the communicated
expectations of the job function,
responsibility or goal.
 Demonstrate unique understanding of work
beyond assigned area of responsibility.
 Identify needs and provide unique,
innovative and workable solutions to
problems.
 Achievements and abilities are obvious to
Good (Fully Meets Standards)
 These employees are “on track” and fully
achieve expectations.
 Independently and competently perform
all aspects of the job function,
responsibility, or goal.
 Performance consistently meets the
requirements, standards, or objectives of
the job.
 Occasionally exceeds requirements.
 Recognizes, participates in, and adjusts to
changing situations and work
assignments.
Acceptable
(Usually Meets Standards)
Generally meet expectations required
for the position.
Competently perform most aspects of
the job function, responsibility or goal.
May require improvement in one or two
areas of consistent weakness.
Employee requires coaching in a weak
area or may need additional resources
or training to meet expectations.
(Fails to Meet
Standards)
 Employees with this rating fail to satisfactorily
perform most aspects of the position (or
function).
 Performance levels are below established
requirements for the job.
 Employee requires close guidance and
direction in order to perform routine job
duties.
 Performance may impede the work of others
and the unit.
 A performance improvement plan must be
submitted to OHR.
Scheduling the Meeting
 Notice
 Location
 Self-evaluation
 Appropriate form
 Comments
 Supervisory approval
Filling out the Form
 Review notes
 Behaviors vs. value
judgments
 Align categories on form
with employee’s job
responsibilities
 Optional categories
 Set goals
Setting Effective Goals
 Quick Tips
 S.M.A.R.T. Goals
 Specific
 Measurable
 Achievable/Agreed
Upon
 Relevant
 Time-bound
 Aligned
 Adjustable
Set Goals
Communicate
Evaluate
Observe
Common Mistakes
Labeling
Recency
Central
Tendency
Leniency
Horns/Halo
Effect
Constancy
Similarity
Performance Appraisal
Practice
 Review Performance
Appraisal for items that are:
 Under-rated
 Over-rated
 Poorly stated
 Refer to employee
background
 Rewrite Performance
Appraisal using tools
reviewed today
 Make sure to fill out the
form completely including
the Goals section
Common
Performance
Appraisal
Challenges
Conducting the Meeting
 Review rating system
 Discuss employee’s self
review
 Let employee talk
 Be aware of all three parts
of the messages you send:
 Words
 Tone
 Body Language
 Stay focused on
performance
Dates to Remember
 Appraisals due to your
HR contact before
May 1, 2009
 Review form with HR
contact before
meeting with
employee
 No reclassifications
between April 1 and
July 31, 2009
Chapter 7
Evaluating Employee
Performance
Managing Hospitality Human Resources
4th Edition
(357TXT or 357CIN)
Competencies for
Evaluating Employee Performance
1. Describe general performance appraisal
issues and summarize the functions of
performance appraisals.
2. Identify and discuss potential problems with
performance appraisals.
3. Describe the principal types of rating
systems used in appraising employee
performance.
4. Describe commonly used methods of
(continue
appraising performance.
Competencies for
Evaluating Employee Performance
(continued)
5. Identify who should evaluate performance,
and discuss objectives for programs that
train managers and supervisors to conduct
performance appraisals.
6. Discuss how often performance appraisals
should be conducted, identify legal issues
relating to performance appraisals, and
summarize keys to developing an effective
employee appraisal system.
Functions of
Performance Appraisals
•
Performance feedback
•
Employee training and
development
•
Decision-making tool
•
Evaluation of
training/policies/programs
•
Validation of selection process
Validity/Reliability Errors
•
Construct validity
•
Content validity
•
Inter-rater
reliability
•
Consistency
Bias Errors
•
Leniency
•
Severity
•
Central
tendency
•
Recency
•
Past anchoring
•
Halo
Three Types of Employee Ratings
•
Trait-based
•
Behavior-based
•
Results-based
Ranking Methods
•
Simple/straight
ranking
•
Alternative ranking
•
Paired comparisons
Performance Appraisal Methods
•
Forced distribution
•
Graphic rating scale
•
Behaviorally anchored rating
scales
•
Behavioral observation scale
•
Narrative essays
•
Critical incidents
•
Management by objectives
Evaluators of Performance
• Supervisor
• Peer evaluations
• Staff evaluations of
managers
• Self-appraisal
• Guest appraisals
• Multiple rater evaluation
systems
Keys to an Effective Employee
Appraisal System
•
Identify the functions the performance appraisal
will serve
•
Develop sound criteria for the system
•
Identify the types of performance to measure
•
Choose the method of appraisal
•
Determine who will conduct appraisals and
train them
•
Determine the frequency of performance
appraisals
•
Make sure the system meets all legal
EMPLOYEE EVALUATION
AND
DISCIPLINE
Sheila Bryant, Director of Affirmative Action
Carlene Smith, Associate Director of HR
April 17, 2008
Purpose
To provide a formal and
consistent method for
documenting job
performance standards.
To facilitate communication
between supervisors and
employees.
Purpose
To promote and maintain job
efficiency.
To determine training needs.
To serve as a partial basis for salary
increases, promotions, terminations,
etc.
An Accurate Evaluation:
•
•
•
•
•
•
•
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 !!!
Worst Case Scenario
• 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.
Doing the Evaluation
• Refer to documentation
compiled during the year.
• Review job description.
• Review Performance Goals
set for the year.
• Start with “Meets
Expectations.”
Doing the Evaluation
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.
When Meeting with Employees
•
•
•
•
•
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
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.
What do you do if there are prior
inaccurate evaluations?
• 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.
A bad evaluation
should never be a
surprise.
DOCUMENTATION
or
“File Building”
Produce it as needed throughout the
year.
It should be:
• Contemporaneous
• Consistent
Disciplinary Policy/Process
• 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
Disciplinary Policy/Process
• 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
Disciplinary Policy/Process
• 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.
Disciplinary Policy/Process
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.
Disciplinary Policy/Process
• 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.
Disciplinary Process
• 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.
Disciplinary Process
• 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?
Start Discipline When…
• You see a pattern emerging
absenteeism, 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.
Elements of Documentation
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
Elements of Documentation
con’t.
• 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.
Elements of Documentation,
con’t
• 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.
Elements of Documentation,
con’t.
• 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.
Elements of Documentation
•
•
•
•
con’t.
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
Probation
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
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.
Meetings with Employees
• 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.
Document, Document, Document
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
Sue Smith, Notes to File, 2006
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.
Can This (Employment)
Relationship
Bethan
Saved?
• Could
be less costly
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
Is Termination Appropriate?
• 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?
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
•
Retaliation, con’t.
Potential
Claimants
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)
Retaliation, con’t.
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
Examples of 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
Complaints of Retaliation
• 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 terminate
Attach prior disciplinary documents
• In termination letter, can summarize
basis for termination, but be inclusive
and consistent with prior and subsequent
documentation.
•
•
•
•
If termination seems appropriate
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
On-going Evaluation and
Supervision
Allows you to:
• Motivate
• Ask questions
• Praise
• Correct
• Discuss a professional development plan
• Maintain dedicated employees
What’s the best way to
avoid litigation
and
defend litigation ?
DOCUMENTATION
and
ACCURATE
EVALUATIONS