Methods of Job Evaluation: The Best Way to Match Salaries

Methods of Job Evaluation: The Best Way to Match

Salaries

Presented to NPELRAApril 9, 2003

Bruce G. Lawson, CCPFox Lawson & Associates LLC

(602) 840-1070

Objectives

To Discuss:The history of job evaluationThe role of job evaluationSelecting a job evaluation toolAlternative job evaluation approaches

Whole Job RankingMarket PricingPoint FactorFactor ComparisonDecision 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 non-

quantitative 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 RankingNot a formal methodologyOften used by smaller organizationsNo fixed criteriaNot recognized as valid by the EEOC

Market PricingNot a formal job evaluation methodologyOften used by smaller organizationsOnly criteria is the labor marketEmployees 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 PlansFactors and weights must be carefully

establishedSignificant 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 ConsAdvantagesOnce factors and degrees are defined, plan

is stable over timePerceived as valid by usersHigh agreement with ratings if jobs are

carefully definedDocumented process

Pros and ConsDisadvantagesTime consuming and costly to establishTypically 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 upNeeds 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 approachResults 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 systemEfficiency and effectivenessReliability

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

ConclusionsBroad Band - DBM is most appropriateNarrow classes - Point factor or DBM are

most commonly usedMarket pricing - Better for classes that are

not to narrowly defined

Issues to ConsiderWhat 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. YorkSchool of Business Administration

Oakland University

ORG434: Advanced HRM

34

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


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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


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• 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.


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• 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


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• 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.

University of Wisconsin-Oshkosh


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• 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.


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• 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


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Factors - Degrees 1st 2nd 3rd 4th 5th 6th

Job Knowledge 25 100 175 250Judgment & Decision Making 10 33 55 78 100Independent judgment 25 100 175 250Accountability 20 65 110 155 200Working conditions 5 20 35 50Mental 15 42 69 96 123 150


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• Evaluate benchmark jobs to determine Job Evaluation Point Totals…– Benefits supervisor = 700– Training material development specialist

= 650– Job evaluation specialist = 460– Compensation manager = 920


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• 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


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• 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

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 on1. JD (Job Description)2. Rating

Process Of JE

Objective of JE

JOB ANALYSIS

Job Description Job Specification

JE Program

Fig :: JOB EVALUATION

Process

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

• Skill1. Education2. Experience3. Initiative

• Effort1. Physical Demand2. Mental Visual Demand

Job Factors

• Responsibility1. For Equipment2. Material / Product3. Safety of others4. Work of others

• Job Conditions1. Working Conditions2. 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

Nova Southeastern UniversityNova Southeastern University

facilitated by:facilitated by:

Aaron Greenberg andAaron Greenberg and

Maureen Simunek-Maureen Simunek-AppeltAppelt

Office of Human Office of Human ResourcesResources

Performance Management:Focus on Performance

Appraisals

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?

An iterative process of goal-setting, communication, observation and evaluation to

support, retain and develop exceptional employees for organizational success.

Performance Management

CommunicateCommunicate

ObserveObserveEvaluateEvaluate

Set GoalsSet Goals

Why ManagePerformance?

Curb or redirect non-productive Curb or redirect non-productive activitiesactivities

Encourage and reward behaviors aligned with Encourage and reward behaviors aligned with

organizational mission and goalsorganizational mission and goals

To reach organizational mission and To reach organizational mission and goalsgoals

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 subordinates, peers, managers and customers.

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.

Unsatisfactory (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

CommunicateCommunicate

ObserveObserveEvaluateEvaluate

Set GoalsSet Goals

Common Mistakes

LabelingRecencyCentral

TendencyLeniencyHorns/Halo

EffectConstancySimilarity

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

CommonCommonPerformance Performance AppraisalAppraisalChallengesChallenges

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

PerformanceManaging Hospitality Human Resources

4th Edition(357TXT or 357CIN)

85

Competencies forEvaluating 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 appraising performance.

(continued)

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Competencies forEvaluating Employee Performance

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.

(continued)

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Functions of Performance Appraisals

• Performance feedback

• Employee training and development

• Decision-making tool

• Evaluation of training/policies/programs

• Validation of selection process

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Validity/Reliability Errors

• Construct validity

• Content validity

• Inter-rater reliability

• Consistency

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Bias Errors

• Leniency

• Severity

• Central tendency

• Recency

• Past anchoring

• Halo

90

Three Types of Employee Ratings

• Trait-based

• Behavior-based

• Results-based

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Ranking Methods

• Simple/straight ranking

• Alternative ranking

• Paired comparisons

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Performance Appraisal Methods

• Forced distribution

• Graphic rating scale

• Behaviorally anchored rating scales

• Behavioral observation scale

• Narrative essays

• Critical incidents

• Management by objectives

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Evaluators of Performance

• Supervisor

• Peer evaluations

• Staff evaluations of managers

• Self-appraisal

• Guest appraisals

• Multiple rater evaluation systems

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Keys to an Effective EmployeeAppraisal 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 requirements

• Periodically evaluate the appraisal process

EMPLOYEE EVALUATION AND

DISCIPLINE

Sheila Bryant, Director of Affirmative Action

Carlene Smith, Associate Director of HRApril 17, 2008

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

To facilitate communication between supervisors and employees.

PurposeTo 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 EvaluationBased 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.• If needed, provide reasonable

assistance.

A bad evaluation should never be a surprise.

DOCUMENTATIONor

“File Building”

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.

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– 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 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.

• 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

Disciplinary Process

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 DocumentationProduce 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

Elements of Documentation

con’t.

• 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.

Elements of Documentation,

con’t

• 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.

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

ProbationInclude:• 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.

Meetings with Employees• Give the employee notice that work is

unsatisfactory• Counsel the employee on expected

performance standards• Offer help and assistance in meeting

standardsAsk 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 processre: next disciplinary step

Review prior to evaluation

Sue Smith, Notes to File, 20061/14 – 20 min late getting back from lunch;

registration; discussed4/21 – didn’t have slides ready for PP for Pres

Council mtg.; had reminded her week before6/9 – 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 Be Saved?• 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

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 terminateAttach 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 toavoid litigation

anddefend

litigation ?

DOCUMENTATION and

ACCURATE EVALUATIONS

Methods of Job Evaluation: The Best Way to Match Salaries

Documents

Transcript of Methods of Job Evaluation: The Best Way to Match Salaries