Michael S. Glassman. Dinsmore & Shohl LLP

Transcription

1 The Council of Independent Colleges: Balancing Multiple Priorities Preventive Law II: Adhering to Institutional Procedures and Policies Faculty Evaluations Michael S. Glassman Dinsmore & Shohl LLP

2 Michael S. Glassman Cincinnati, OH (513) Mike has practiced management side labor and employment law for more than 30 years, representing employers regionally and nationally in employment disputes and matters of all types in federal and state courts, administrative agencies and in arbitral forums. Mike chairs Dinsmore's Employment practice and is also a frequent speaker and trainer on labor and employment law topics.

3 Conducting Effective Faculty Performance Reviews

4 Conducting Effective Faculty Performance Reviews Who Should be Evaluated? Tenure-track candidates Post-tenure evaluations Non-tenure track Adjuncts Part-time faculty members Probationary faculty

5 Conducting Effective Faculty Performance Reviews Who Should Participate in Evaluation? Administrator, supervisor, or committee as specified by institutional policy - As department chairs and division heads, you are the supervisors or managers Faculty member self-evaluation Peer review Student evaluation Not the faculty member s union representative or attorney

6 Conducting Effective Faculty Performance Reviews How Often Should Evaluations Occur? As specified in your Faculty Handbook and/or policies Make sure to review and familiarize yourself with all applicable institutional procedures prior to conducting evaluations

7 Conducting Effective Faculty Performance Reviews Purpose of Performance Reviews Performance evaluations may be required by policy Give positive recognition and reinforce areas of needed improvement Aligns personal goals and performance with those of the institution Documentation of historical performance Support for just cause requirement that may exist Reduce exposure to liability in the event of discipline or termination

8 Conducting Effective Faculty Performance Reviews Litigation regarding tenure denial Litigation based on failure to promote Lack of documentation to defend suit filed by current or former employee Inability to control poor performance Diminished quality of service provided by institution

9 Conducting Effective Faculty Performance Reviews Impact of Failure to Evaluate and Inflated Evaluations Recurring themes in litigation include: (1) criteria or procedures were subjective/arbitrary; (2) individuals conducting the evaluations were biased or otherwise illequipped to conduct the evaluation; (3) stated procedures were not followed; (4) student evaluations were given improper weight; and (5) evaluators considered information that should have been excluded or handled differently.

10 Defending through Documentation The Best Offense is a Good Defense: Using Documentation to Minimize Risk Maintain records in personnel file of any disciplinary action - oral, written and final Inform employee that counseling/warning will be reflected in personnel file Reflect prior counseling s/warnings in subsequent warnings Require faculty member to sign acknowledgement that he/she has received copy and understands the problems and recommended solution

11 Preparing For The Evaluation

12 Preparing for the Evaluation The better prepared you are, the clearer your evaluation will be. Review the Existing Job Description Is the description accurate? Do the areas of responsibility and expectations accurately reflect what is needed to be successful? Are there any changes that need to be made to the job description?

13 Preparing for the Evaluation Review personnel file How often did you meet with faculty member? How did you rate their performance during evaluation period? What areas did you identify as needing improvement? What areas did you identify as areas of success? What commitments did you make regarding training or education?

14 Preparing for the Evaluation Review prior evaluation/appraisal Are the areas of success identified still areas of strength? Has improvement been made since prior performance evaluation? Are there any new performance issues to note?

15 Preparing for the Evaluation Evaluate your relationship with faculty member Have you discussed areas of success and improvement during the evaluation period? Are there any interpersonal issues between you and the faculty member that could cloud your assessment?

16 Preparing for the Evaluation Pending disciplinary issues Where there is a pending disciplinary issue that is under investigation and unresolved at the time of the evaluation, you should note: - That an investigation into possible misconduct was pending at the time of the review; - That the evaluation does not take into account the outcome of the investigation; and - That any personnel related issues resulting from the investigation will be addressed accordingly.

17 Evaluation Best Practices

18 Evaluation Best Practices Must be clear, meaningful, honest, objective, and focus on relevant performance Must provide a realistic assessment of performance Must be on-going

19 Evaluation Best Practices Must be consistent for like-positions of employment Must be based on first-hand knowledge; not hearsay Must not be utilized as a threat or form of punishment

20 Evaluation Best Practices Be sure that ratings are consistent with each other Be sure that your ratings are consistent with written comments Be prepared to articulate reasoning for ratings

21 Evaluation Best Practices Do not inflate evaluation rating to inspire better performance Do not inflate evaluation rating to avoid conflict Do not underrate performance to motivate Do not give excessive weight to only the most recent/relevant occurrences

22 Effective Communication During Evaluation Remember reviews are stressful; open meeting positively and remain open in posture and demeanor throughout Outline the objectives for the evaluation Interact with faculty member and solicit his or her input on performance Review strengths

23 Effective Communication During Evaluation Review shortcomings Develop plan for upcoming review period Limit distractions during meeting Before concluding meeting, ask whether faculty member has any questions and ensure understanding

24 Common Mistakes When Evaluating Faculty Failure to evaluate and document during review period Surprising faculty members with review and content of review Failure to be specific when evaluating performance Focusing on personal bias in evaluation process Failure to communicate expectations

25 Performance Improvement Plan and Discipline When a performance improvement plan or discipline becomes necessary: Do not procrastinate Be clear Be consistent Document facts, witnesses, investigation, resolution Communicate need for discipline to employee

26 Suspension or Termination If suspension or termination is necessary: Apply institutional policies and procedures consistently Considerable past comparable circumstances Review standard for just cause (if applicable) Conduct thorough investigation Consider severity of penalty given offense

27 Suspension or Termination If suspension or termination is necessary: Do you have adequate documentation to support discipline? Have you consulted HR and/or Legal Counsel before acting? Do you have support/approval of superiors?

28 Standards and Procedures for Tenure Evaluation

29 Standards and Procedures for Tenure Evaluation Many of the underlying evaluation principles remain the same Review the terms of the contract The appointment letter Award of tenure Terms of CBA (if applicable)

30 Standards and Procedures for Tenure Evaluation Pre-Tenure Evaluations Annual evaluations 3rd year reappointment process - If standards are not met: non-reappointment Submission of the tenure dossier

31 Standards and Procedures for Tenure Evaluation Review institution tenure policy Tenure policy must include comprehensive list of all major criteria used for evaluation Evaluators at all stages in tenure process should know and apply the criteria

32 Standards and Procedures for Tenure Evaluation Review institution tenure policy Tenure policy must include comprehensive list of all major criteria used for evaluation Evaluators at all stages in tenure process should know - and apply - the criteria

33 Standards and Procedures for Tenure Evaluation The tenure policy should address whether tenure evaluators will consider positive events occurring after tenure application The tenure policy should indicate what steps the institution will take if a faculty member under consideration for tenure is charged with misconduct or if other negative events emerge The tenure policy should address the voting protocol when an evaluator serves at more than one level of review

34 Standards and Procedures for Tenure Evaluation The faculty, administration, and governing board should strive for consistency in the operating of the institution s tenure evaluation process A department s counseling of non-tenured faculty members should be consistent with its and the institution s tenure requirements Tenure files should contain the proper information and should be retained after the decision.

35 What Would You Do?

36 What Would You Do? Professor Rogers Tenured member of the faculty for 7 years National reputation as researcher Reports from faculty, staff, and students that Professor Rogers is disrespectful and contentious Refuses to attend department meetings What do you do?

37 What Would You Do? Professor Smith Dress becomes eccentric Dismisses classes early Regularly arrives late for class What do you do?

38 What Would You Do? Professor Johnson You are the new department chair In the past 5 years, the department has had 3 different chairs Professor Johnson has a history of combative behavior and frequently engages in public confrontations with colleagues Professor Johnson is tenured and refuses to submit self-evaluation Past 3 department chairs ignored Professor Johnson s behavior The Dean approached you, the new chair, and asked that you fix the situation What do you do?

39 What Would You Do? Professor Johnson Cont: What if Professor Johnson had disclosed to prior chair that he was depressed and suffered from multiple personality disorder? What if other members of the Department had not submitted selfevaluations in the previous three years? What do you do?