Evaluation and Discipline
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Discipline in the employment context refers to formal adverse action taken by management against an employee in response to an employee's misconduct or performance issues. The range of disciplinary actions generally includes oral and written reprimands, suspension, demotion, and dismissal. Discipline has traditionally been viewed as the chief means by which management maintains order in the workplace.
However, it is important to view "discipline" in a broader and more contemporary context. In actuality, discipline should be part of an overall appraisal system designed to maximize employee performance. Employees have been shown to perform optimally when they receive regular and positive reinforcement for their good work and when they are alerted, as early as possible (and, if possible, through non-disciplinary means), to their performance deficiencies.
Thus, "disciplinary" procedures and policies should be developed and applied as one component of a comprehensive approach to maximizing employee performance that includes:
- Regular performance evaluation and appraisal of employees;
- Appropriate recognition and rewards for jobs well done;
- Consideration of appropriate training and educational vehicles for improving performance and enabling promotion as appropriate; and
- Consideration of appropriate counseling and punitive actions when indicated by substandard job performance or misconduct.
The focus of this workshop is on two of the most critical phases of this process—employee evaluation, and when necessary and appropriate, employee discipline.
Topics Include:
- Overarching Principles of Evaluations
- Overview of the Evaluation Process
- The Ongoing Evaluation System: Gathering the Facts
- Constructive Feedback
- How to Prepare an Effective Written Evaluation
- The Face-to-Face Evaluation Meeting
- Evaluation of Academic Employees
- Evaluation of Administrators
- Evaluation of Classified Employees in Districts Without a Merit System
- Evaluation of Classified Employees Under the Merit System
- General Principles Governing Discipline
- Frequent Disciplinary Problems
- Checklist of Sources of Disciplinary Grounds
- “Good Cause” Checklist
- Investigate! - Factual Basis for Discipline Must Be Verifiable
- Checklist for Analyzing Discipline Problems
- Time of Disciplinary Action
- Progressive Discipline
- Progressive Discipline Checklist
- Academic Employees – Non-Renewal and Discipline
- Non-Renewal of Contract Faculty Members
- Discipline of Academic Employees for Cause
- Release of Temporary Faculty Members
- Discipline of Administrators
- Discipline of Classified Employees Not Under Merit System
- Cause for Discipline
- Statutory Grounds for Dismissal
- Procedures for Implementing Discipline
- Remedies for Failure to Provide Pre-Discipline Due Process
- The Liberty Interest (“Lubey”) Requirements
- Issuance of Notice of Final Discipline
- Post-Disciplinary Appeal Hearing
- Judicial Review
- Discipline of Classified Employees Under Merit System
- Cause for Discipline
- Suspension, Demotion or Dismissal
- Compulsory Leave of Absence – Sex Offenses and Controlled Substance Offenses
- Appeal of Suspension, Demotion or Dismissal
- Probationary Period
- Legal Considerations
- Placement of Documents in Personnel File
- First Amendment Rights
- Discrimination
- Discrimination for Workers’ Compensation Claim or Injury
- Retaliation for Engaging in “Protected Activity”
- Whistleblower Retaliation Claims
- Accommodation for Disability
- Invasion of Privacy
- Judicial Decisions Concerning Employee Discipline
- Whistleblower Cases
- Controlled Substance Offenses
- First Amendment (Employee Speech)
- Invasion of Privacy/Off-Duty Misconduct
- Last Chance Agreement
- Lubey Interest
- Retaliation
- Sexual Offenses
This document is provided as a benefit to Liebert Library subscribers and cannot be shared outside of their organization. The information contained within is a template only and is not designed to address the specific and unique issues, internal rules, practices, and/or governing documents that might be in place at your organization. You should always consult with legal counsel prior to implementation of any documents.
* Discounted Prices are available only for our Premium Members.
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$60*
This workbook is designed to assist public employers in two broad areas – employee evaluations and employee discipline.
Topics Include:
- Performance Evaluation: An On-Going Process
- Why Do Performance Evaluations?
- The Ten Steps in Evaluating Performance
- The Basic Rules for Preparing Written Evaluations
- The Evaluation Meeting
- Follow-Up: If Improvement is Needed
- Counseling and Available Disciplinary Actions
- Counseling
- Progressive Discipline
- Frequent Disciplinary Problems
- Excessive Absenteeism
- Tardiness
- Incompetence/Inefficiency
- Insubordination
- Falsification of Documents/Dishonesty
- Employee Misconduct Outside Working Hours
- Fighting
- Harassment
- Issues to Consider Before Taking Disciplinary Action
- Create a Record
- Evaluate Sources of Authority to Impose Discipline
- Conduct an Investigation
- Evaluate the Likelihood that the Proposed Discipline Will be Sustained if the Employee Appeals
- Consider Two Common Defenses To Discipline
- Laying off or Eliminating a Position as an Alternative to Discipline
- Consider Legal Issues Prior to Implementing Discipline
- Implementing Public Employee Discipline
- What is “Skelly”?
- Skelly Pre-Discipline Due Process Rights Apply Only to “Significant” Discipline Unless Agency
- Rules or MOU’s Provide to the Contrary
- Probationary and Other “At-Will” Employees Have Only Limited Due Process Rights – Lubey Conference
- The Skelly Pre-Disciplinary Procedure
- Final Notice of Discipline
- Remedies for Violating a “Permanent” Employee’s Due Process Rights
- Settlement
- Post Discipline Due Process: The Right to Administrative and Judicial Review of a Final Disciplinary Action
- Post-Disciplinary Administrative Appeal
- Appeal to the Courts: Judicial Review of the Administrative Appeal Decision
This document is provided as a benefit to Liebert Library subscribers and cannot be shared outside of their organization. The information contained within is a template only and is not designed to address the specific and unique issues, internal rules, practices, and/or governing documents that might be in place at your organization. You should always consult with legal counsel prior to implementation of any documents.
* Discounted Prices are available only for our Premium Members.
$75
$60*
Performance evaluations are a critical management and professional development tool for supervisors and organizations. They impact all aspects of employment. Performance evaluations are important in three primary ways:
First, they are an important tool for managing employee performance through communication. Performance evaluations are a method of communicating with employees, both to recognize good performance and to identify performance deficiencies.
Second, performance evaluations and other performance documentation are often important in supporting termination or other forms of employee discipline. While some employees overcome performance issues raised in their evaluations and other documentation, when they do not, discipline and sometimes termination from employment is the next step.
Third, solid performance evaluations and other documentation help defend against litigation involving employment issues. Performance evaluations and other documentation that contain a documented history of performance deficiencies will provide strong evidence to support employee terminations which are challenged in court or other venues, such as the Labor Commissioner or the California Civil Rights Department.
Topics Include:
- Why We Avoid Giving Accurate Performance Evaluations
- The Impact Of Not Giving Accurate Performance Evaluations
- The Ten Basic Steps In Evaluating Performance
- Different Evaluation Methods
- 360 Evaluations
- Peer Reviews
- Self-Assessments
- The Basic Rules For Writing Evaluations
- Supervisor’s Log Or Notes
- Observations
- The Evaluation Meeting
- Follow-Up: If Improvement Is Needed
This document is provided as a benefit to Liebert Library subscribers and cannot be shared outside of their organization. The information contained within is a template only and is not designed to address the specific and unique issues, internal rules, practices, and/or governing documents that might be in place at your organization. You should always consult with legal counsel prior to implementation of any documents.
* Discounted Prices are available only for our Premium Members.