Transcript Connecticut Association of Independent Schools

Connecticut Association of Independent Schools
C-1 Straight Talk with our Colleagues: What to Say, When and How
Heads & Senior Management
Bessie Speers, Head of School, The Ethel Walker School, CT
Christopher Brigham, Attorney, Updike Kelly & Spellacy, P.C.,
Trustee at the Ethel Walker School, CT
The Purpose of Employee Discipline / Performance Improvement
•
The goal of effective employee discipline / performance
improvement, in most instances, is to correct an employee’s
unsatisfactory work performance and/or violations of School
policies. Discipline is not always synonymous with punishment.
It should be approached constructively, when possible to do so.
•
Before considering disciplinary action / performance
improvement, a manager should make sure employees are aware
of what the School’s policies and performance expectations are
and what is expected of them. This will minimize the likelihood of
litigation in the event the disciplinary action leads to a separation
from employment.
• Employee Handbook and Acknowledgment
• Orientation
• Job Descriptions
The Purpose of Employee Discipline …
Discipline, when warranted, is important because employees
expect fair and consistent treatment for all; failure to discipline
appropriately destroys the morale of those who obey policies and
procedures, perform to expectations and leads to claims of
favoritism.
Discipline also provides employees with a clear idea of the School’s
expectations for an orderly work environment.
Creates a culture of Accountability
Why Managers Are Reluctant To Discipline
Lack of Training on How to Effectively Discipline.
Fear:
• of retaliation by the disciplined employee; and
• of loss of friendship / collegial environment.
Lack of Confidence in Ability to Discipline Effectively
without Reversal
Natural Inclination to Avoid Confrontation / Difficult Conversations
• Why do today what you can put off until tomorrow
• More on this later
Basic Principles of Discipline
•
In the event of misconduct or poor performance, disciplinary
action (performance improvement) should be timely, consistent
and impartial.
•
Disciplinary action should always be based upon thorough
investigation and documentation.
•
The disciplinary process should provide advance notice, where
possible, of the consequences of misconduct / poor
performance.
Supervisor’s Checklist for
Recommending Disciplinary Action
or
Performance Improvement
Items to Consider
A supervisor should consider the following checklist before he/she initiates
disciplinary action / performance improvement.
• Has a complete factual investigation been conducted?
• Is this employee receiving the same treatment others received for
the same or similar offense?
• Is the policy or procedure which has been violated published? Is it
easy to understand? Does it specify the penalty for violation?
• School “practice” vs. “policy”
• Did the employee know the policy or should he/she (reasonably)
have known it?
• Should the employee have known that his/her behavior was
wrong—even if the violated policy was not explained to the
employee?
• In this instance, has the policy been applied reasonably and
consistently?
• Are performance expectations clear?
Items to Consider ...
• Have preliminary procedures been followed?
• Except in cases of serious misconduct, has the employee
been warned that repeated violations/infractions will result in
discipline?
• Is this employee personally involved or only by association
with another?
• Has the School done anything to support a reasonable belief
that the action in question was condoned/acceptable?
• Does the discipline fit the “infraction”?
Items to Consider ...
• What is the employee’s disciplinary / performance record?
• Has it happened before?
• When was the last time it happened? Or [How recently?]
• What is his/her length of service with the School?
• Does the employee have a “reasonable” excuse for the incident or
violation? Has he/she offered mitigating circumstances?
• Can the employee’s misconduct be proven by direct, objective
evidence or only by circumstantial evidence or conjecture?
• Did the School have a reasonable opportunity to deter this
employee from committing an offense and fail to do so?
• How soon after the act in question is the discipline being
administered?
Progressive Discipline Procedure / Performance Improvement Process
Progressive discipline involves a range of disciplinary
consequences that increase in severity, and often includes:
• Verbal warning;
• Written warning;
• Suspension;
• Termination
When drafting such a policy, it is imperative that the school maintain
absolute discretion to deviate from the policy and take any
disciplinary action that is deemed to be appropriate at the time,
even if such action is immediate termination.
Employment is, by default, at-will unless school has academic term
contract. The disciplinary policy must be carefully drafted to ensure
that the at-will status is not altered.
•
Policy must be consistent with contractual terms
Having the Difficult Conversation
Preparation
Prepare for the meeting by reviewing the notes of any verbal
warning conversation and any other relevant material.
Ask yourself:
• What is the purpose?
• Return to it when things get difficult
• What do you hope to accomplish?
• Have an end game
• What is the ideal outcome?
• Anticipate Defenses
Ask the employee to come into an office, conference room or other
private area.
• Now, and only now, is a good time for email.
Ask a third party to attend the meeting to act as a witness.
Do Not Delay
Having the Difficult Conversation
The Conversation
Soft Entry
•
Don’t lead with criticism / negative feedback
State the specific problem in terms of actual performance and desired
performance.
•
Straightforward and simple
•
Don’t beat around the bush
“I am talking with you because this is an issue that you need
to address in order to be successful”
“I have something I’d like to discuss with you that I think will
help us work together more effectively. Do you have a few
minutes to talk?”
•
Impact change will have from a positive perspective
•
Impact of doing nothing
-Most difficult cases to defend are those where lack of
performance was mismanaged over a long period of time
Having the Difficult Conversation
The Conversation (continued)
Observations
• Be specific / avoid generalities – no wiggle room
Refer to previous casual conversations and any verbal warnings.
• “As we discussed . . . “
Having the Difficult Conversation ...
Stay Focused / In Control
• Make it about them not you
• Return to Purpose
Avoid Assumptions
Be Flexible
Give the employee a chance to respond and explain.
• Form of Due Process
• Empower the Employee
• Show them you are willing to listen
Acknowledgement
• Acknowledge employee’s position
Reach Agreement / Disagreement
• “I can understand you feel that way, but ….”
Set Expectations
• Have the employee confirm they know exactly what is
expected
Having the Difficult Conversation ...
Establish a Time Frame to review progress / due date
Plan of Action Going Forward
• Expected Improvements
• Exit Procedure
Tell the employee a written warning will be placed in his/her
personnel file summarizing the conversation.
Allow the employee to review and respond to the warning if
requested.
• Now required under CT law
Dignity & Respect
• Professional conversations
• Place and location is important
• Don’t let it get personal
Having the Difficult Conversation ...
Top Ten Tips
1. Choose the right time and place.
2. Anticipate that you may not be on the same page.
3. Use a respectful tone.
4. Genuinely desire a win-win outcome.
5. Be empathetic.
6. Maintain eye contact.
7. Stay in control.
8. Write it out.
9. Don’t interrupt.
10. Don’t team up.
Having the Difficult Conversation ...
Common Mistakes
•
Sudden deterioration of performance after many years of
acceptance.
•
“Squirreling” complaints, rather than addressing each in a
timely, appropriate fashion.
•
Good evaluations for poor performance. Avoid the “halo
effect.”
•
Avoiding direct and honest statements of the reasons for
disciplinary action – the Mr./Ms. Nice-Guy Syndrome.
•
E-mail
•
NY Times Rule:
•
Assume that any email you send will appear tomorrow
on the front page of the Times. If you would be
embarrassed to see it published in the Times
don’t press “send”.
•
“Exhibit A”
Having the Difficult Conversation ...
Follow Up
Write a short memo summarizing the conversation and
complete a written warning notice if appropriate. Timing is
critical – it is important to write the memo immediately after the
conversation while memories are still fresh.
Distribute the copies and advise the appropriate people of the
conversation and file the notice in personnel file.
Monitor the employee’s performance to make sure the problem
has been corrected.
Recommended Disciplinary Meeting Procedures ...
The memo should contain the following information:
Date of the conversation.
Reference to previous conversations about this or other
problems.
Statement of the specific change in the employee’s
performance or behavior expected.
Any comments or statements the employee made during the
conversation.
Statement indicating confidence in the employee’s ability to
perform properly in the future.
Preparing a Disciplinary Notice
A disciplinary notice should cover the following areas:
Problem
What happened? Be specific and be objective:
If the problem involves a violation of a written policy, rule or
procedure, cite it.
If the problem results from a history of similar incidents, refer to
the history.
If the problem involves specific improper language
(obscene, sexual, insubordinate, etc.), then state the exact
words in quotes.
Preparing a Disciplinary Notice ...
If the problem involves absenteeism / tardiness, describe
number of absences and the extent of each lateness.
If the problem involves carelessness or poor work
performance, describe the act or specific deficiency.
Implications
Describe why the problem is important to you, your
department and the School.
What effect does it have on other employees?
Preparing a Disciplinary Notice ...
Prior Record
What is the employee’s prior record on this or similar
problems?
What were there prior conversations between the employee
and supervisors has there been on this topic or issue?
Correction Desired
In what ways do you expect the employee to correct his/her
problem? Be specific.
Employee’s Response
Provide the employee with an opportunity to include his or her
own comments pertaining to the problem.
Preparing a Disciplinary Notice ...
Disciplinary Action
State clearly what action currently is being taken and what
future action may be taken if no improvement is made or if the
incident is repeated.
Follow-up
Try to establish a reasonable follow-up date.
Indicate the time frame during which the employee is expected
to improve.
Case Scenarios
Case Scenario #1
Jeff was hired to be an associate in the development office and head
coach of the cross country team at a boarding school in the Midwest.
Jeff and his family moved into campus housing and began to settle in. It
became clear that being head coach of the cross country team was
more than Jeff could handle effectively with his other responsibilities in
development. His coaching style and the season was less than
successful. The athletic director communicated his dissatisfaction
directly to Jeff and the Head of School.
Meanwhile, Jeff’s primary responsibility of serving as a development
associate was proving to be complicated from the beginning of his
tenure. He and the Director had a challenging relationship. Jeff thought
he was being treated unfairly and mentioned to the Head of School that
he had been documenting these instances.
Case Scenarios
Jeff continued to absorb much of the Head's and Assistant Head's
time in communicating his concern about his boss. The Head of
School, wanting this recent hire to be successful, continued to try to
mentor and coach Jeff at opportune moments.
The Head, needing to support the Director, ultimately convinced Jeff
that a move out of the Development office to another area of the
School would be best. While he found some level of success in his
next administrative position, his role as teacher and coach continued
to be troublesome.
Case Scenarios
As contract talks approached mid year, the Head of School had some
honest talks with Jeff, documenting some performance issues but
had not yet decided exactly what to communicate to Jeff at the
upcoming contract meeting. Jeff, his wife and two young children had
relocated to take the position and were settling in to the boarding
school community with hopes of making this their home for quite
some time.
Discuss:
1. Investigation Steps
2. Preparation for Conversation with Employee
3. Have the Conversation
4. Follow-Up
Case Scenarios
Case Scenario #2
There had been an extensive search for the Dean position at a boarding
school and a wonderful person was hired. Dan, the new Dean, was kind,
firm and approachable. He had a strong start to the year and a
successful first year in his new position.
The next year, Dan became affected by health issues. He sought
medical treatment and tried different remedies, which were relatively
unsuccessful. As a consequence, Dan often missed days at school. The
Head of School and Dan’s supervisor both tried to be understanding and
gave Dan much latitude in making his health a priority. The year
continued on this way and it became clear to the Head and Dan’s
supervisor that Dan was not able to do his job successfully and people
at school, including the students, were being negatively affected by the
absence of leadership in the Dean’s role.
Case Scenarios
After further discussions, Dan agreed to take some time off, on a
medical leave of sorts.
After Dan returned a few months later, the Head became aware that
Dan’s charge account in the school store had become in excess of
$6,000. Dan’s supervisor became concerned about Dan’s support
system at home with his young children and the financial situation of the
family. Personal purchases began to appear on the school credit card
used by Dan. Dan seemed distracted and his performance did not return
to the level of his first year at the School.
Case Scenarios
The Head met with Dan to discuss whether this continued to be the
best match for Dan and the School. Contract talks were a month
away and the Head needed to decide how best to move forward with
Dan’s situation, given the health, financial, and performance issues.
Discuss:
1. Investigation Steps
2. Preparation for Conversation with Employee
3. Have the Conversation
4. Follow-Up
Case Scenarios
Case Scenario #3
Prior to a regularly scheduled faculty meeting, the Head of School is
informed by one of his long-term faculty members that he has
received an invitation to participate in a real time “chat room” during
the scheduled faculty meeting. The administration suspects they
know who sent the invitation, a first year, fresh out of college,
generation Facebook, Vine and Twitter addicted member of the
faculty. The faculty meeting is scheduled for later that day. How
would you handle this situation?
Discuss:
1. Investigation Steps
2. Preparation for Conversation with Employee
3. Have the Conversation
4. Follow-Up
The End
Thank You
Elizabeth C. Speers
Head of School
The Ethel Walker School
230 Bushy Hill Road
Simsbury, CT 06070
860-658-4467
Bessie_speers@ethelwalker. org
Christopher L. Brigham, Esq.
Updike, Kelly & Spellacy, P.C.
265 Church Street
New Haven, CT 06510
203-786-8310
[email protected]