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How to Handle Staff Misconduct A Practical Guide for School Principals and Supervisors 2nd Edition C. Edward Lawrence
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- 5. How to Handle Staff Misconduct A Practical Guide for School Principals and Supervisors 2nd Edition C. Edward Lawrence Digital Instant Download Author(s): C. Edward Lawrence, Myra K. Vachon ISBN(s): 9780761938149, 0761938141 Edition: 2 File Details: PDF, 7.61 MB Year: 2003 Language: english
- 9. SECOND EDITION C. Edward Lawrence Myra K. Vachon How to Handle Statt Misconduct A Practical Guide for School Principals and Supervisors CORWIN PRESS, INC. A Sage Publications Company Thousand Oaks, California
- 10. Copyright © 2003 by Corwin Press, Inc. All rights reserved. When forms and sample documents are included, their use is authorized only by educators, local school sites, and/or noncommercial entities who have purchased the book. Except for that usage, no part of this book may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording, or by any information storage and retrieval system, without permission In writing from the publisher. For information: Corwin Press, Inc. a A Sage Publications Company 2455 Teller Road Thousand Oaks, California 91320 www.corwinpress.com Sage Publications Ltd. 6 Bonhill Street London EC2A 4PU United Kingdom Sage Publications India Pvt. Ltd. B-42, Panchsheel Enclave Post Box 4109 New Delhi 110 017 India Printed in the United States of America Library of Congress Cataloging-in-Publication Data Lawrence, C. Edward. How to handle staff misconduct: A practical guide for school principals and supervisors / C. Edward Lawrence, Myra K. Vachon—2nd ed. p. cm, Includes bibliographical references and index. ISBN 0-7619-3814-1 ISBN 0-7619-3815-X (pbk.) 1. School personnel management—United States. 2. Labor discipline—United States. 3. Documentation—United States. 4. School employees—Dismissal of—United States. I. Vachon, Myra K. II. Title. LB2831.58 .L38 2003 371.2’01—dc21 2002154032 This book is printed on acid-free paper. 0304 05510-95877 6"5 743.2 4 Acquisitions Editor: Robert D. Clouse Associate Editor: Kristen L. Gibson Editorial Assistant: Erin Clow Copy Editor: Robert Holm Production Editor: Denise Santoyo Typesetter: C&M Digitals (P) Ltd. Indexer: Pamela Van Huss Cover Designer: Michael Dubowe Production Artist: Sandy Ng Sauvajot
- 11. Contents List of Progressive Discipline Charts Vii A Cautionary Note ix Preface xi About the Author xiii Introduction PART I: General Procedures to Handle Misconduct i} 3 1. Strategies to Handle Misconduct 5 Just Cause 5 Due Process Z Progressive Discipline 8 2. The Misconduct Investigation il Victim /Witness Statement Form 13 Diagram of the Human Body 14 Police Records 14 Photographs and Videotaping 15 3. The School-Level Misconduct Meeting 17 PART II: School Misconduct Handled by the Principal 21 4. Unexcused Absence and Excessive Tardiness 23 5. Neglect of Duty 29 6. Abusive, Insulting, or Profane Language 20 7. Corporal Punishment 41 8. Insubordination 47 PART III: Serious Misconduct Requiring Immediate Suspension 53 9. The Immediate Suspension Conference With Hearing Officer 5) 10. The School Board Hearing 59 PART IV: Criminal Misconduct 61 11. Sexual Misconduct 63 12. Abuse of Controlled Substances 69
- 12. 13. Theft and Fraud 14. Criminal Misconduct Outside the School Setting RESOURCES Resource A: Resource B: Resource C: Resource D: Resource E: Resource F: Resource G: Resource H: Resource I: Resource J: Resource K: References Index Standards of Acceptable Conduct for Staff Members Letter to Schedule an Oral Reprimand Conference Major Components of an Oral Warning Letter to Schedule a Misconduct Meeting First Letter of Reprimand—Major Components Second Letter of Reprimand—Major Components Allegation of Staff Misconduct Standard Report Form Diagram of Human Body Misconduct Meeting at the School Level Misconduct Meeting With Hearing Officer Letter to the Media About Criminal Misconduct vs, 81 87 89 91 93 95 eit og 103 105 107 111 117 119 121
- 13. List of Progressive Discipline Charts Chapter 4 Unexcused Absence and Excessive Tardiness PAS a) Neglect of Duty iil 6 Abusive, Insulting, or Profane Language 36 Mi Corporal Punishment 43 8 Insubordination 49 iil Sexual Misconduct 65 12 Abuse of Controlled Substances Tl 13 Theft and Fraud Te 14 Criminal Misconduct Outside the School Setting 83
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- 15. A Cautionary Note his guidebook on procedures to handle staff misconduct is not a legal document. Rather, it is intended to provide information about the subject matter, and it is sold with the understanding that the publisher and the authors are not engaged in rendering legal advice or other professional services. Specifically, the recommendations contained herein are guide- lines only, not legal advice. Moreover, the publisher and the author do not warrant, in any manner, suitability of these guidelines for any particular use. If you require legal advice or other expert assistance, contact an attorney or other competent professional who is familiar with the laws that pertain to your situation, and that prevail within the jurisdiction of your school district.
- 17. Preface | Pee eta have one of the most rewarding positions in a school district because they work with a sense of efficacy to operate a school where staff members teach and students learn. Moreover, principals have broad responsibilities to manage the school operation to improve student achievement and expand learning opportunities. In addition, they order supplies, equipment, and materials; direct pupil services, community rela- tions, and financial management; and supervise, evaluate, and discipline students. Indeed, the principal has the challenging job of working with staff, students, parents, and community members, as well as with central office administrators. As a final point, principals also have one of the most complex jobs in the school district: dealing with the misconduct of staff members in school. The second edition of How to Handle Staff Misconduct is written from the perspective of a former principal who understands the intricacy of the job. I was an assistant principal at a high school, middle school, and at the K-8 and K-5 levels. Also, Iwas an elementary and middle school principal. I must forewarn you that, during your career as a principal, you will have to handle misconduct action for inappropriate staff behavior. When misconduct occurs, you must thoroughly investigate the situa- tion, organize sufficient documentation, follow contractual provisions, and recommend disciplinary action. If you cannot substantiate that you met the standards of just cause and provided due process protection rights for the staff member, or if you do not follow contractual timelines, a third-party arbitrator may not uphold the disciplinary action that you recommend. This guide provides a general overview of procedures that you should follow when a staff member engages in misconduct. Although it is impossible to develop a “recipe book” to deal with all allegations of misconduct that involve staff members, this guide provides examples of many misconduct situations. Even if certain misconduct cases have commonalties, the combi- nation of circumstances is usually different in each situation. Therefore, before you use this or any other guide, you should thoroughly review the following: policies of the school district, policies relative to procedures for handling staff misconduct, files of past misconduct cases, state statutes rela- tive to misconduct, and the contractual agreements of the school district. Written in practical language, this guide gives examples of reasonable actions that you, as the principal, should follow when a staff member fails
- 18. xii HOW TO HANDLE STAFF MISCONDUCT to follow district policies, school procedures, or your directives, or if thestaff member violates the contractual agreement. You will find suggestions to help you avoid pitfalls you may encounter during the misconduct process. Part I of the second edition of How to Handle Staff Misconduct discusses general procedures to handle school misconduct: Chapter 1—Strategies to Handle Misconduct; Chapter 2—The Misconduct Investigation, and Chapter 3—The School-Level Misconduct Meeting. Part II provides infor- mation about misconduct cases that the principal handles: Chapter 4— Unexcused Absence and Excessive Tardiness; Chapter 5—Neglect of Duty; Chapter 6—Abusive, Insulting, or Profane Language; Chapter 7—Corporal Punishment; and Chapter 8—Insubordination. Part II discusses cases of serious misconduct that require suspending the staff member from all duties: Chapter 9—The Immediate Suspension Conference With Hearing Officer; and Chapter 10—The School Board Hearing. Part IV includes criminal misconduct: Chapter 11—Sexual Misconduct; Chapter 12—Abuse of Controlled Substances; Chapter 13— Theft and Fraud; and Chapter 14— Criminal Misconduct Outside the School Setting. Also, a resource section was added to the guide: Resource A—Standards of Acceptable Conduct for Staff Members; Resource B—Letter to Schedule an Oral Reprimand Conference; Resource C—Major Components of an Oral Warning; Resource D—Letter to Schedule a Misconduct Meeting; Resource E—First Letter of Reprimand—Major Components; Resource F—Second Letter of Reprimand—Major Components; Resource G—Allegation of Staff Misconduct Standard Report Form; Resource H—Diagram of Human Body; Resource I—Misconduct Meeting at the School Level; Resource J— Misconduct Meeting With Hearing Officer; and Resource K—Letter to the Media About Criminal Misconduct. This guide evolved through the experiences of the author and from the feedback of colleagues and principals during workshops and at inservice classes. At these workshops and classes, it became obvious that principals wanted a reference guide that they could quickly read to get a grasp of misconduct situations. I want to thank the principals, my colleagues, and my friends, all of whom were my sounding board, for their assistance in writing the revision of this guide. I thank Myra K. Vachon, who was my coauthor for the first edition of this guide. Also, I want to thank my sons, Darren E. and Gary O., for their words of encouragement. In addition, I want to thank Lemmie, my wife and best friend, for her encouragement, suggestions, and critical review of this guide. Finally, Iextend thanks to those at Corwin Press: origi- nal contact person, founding president and publisher emerita Gracia Alkema, who gave support and encouragement over the past decade; my current acquisitions editor, Robert D. Clouse, for his work on this edition; and the Corwin Press team that followed this book from editorial through the production stage. Thanks to Douglas Rife, the new president of Corwin. Also, thanks to Cheryl Williams, who helped format this resource guide. —C. Edward Lawrence
- 19. About the Author C. Edward Lawrence is a Clinical Professor in the Department of Curriculum and Instruction at the University of Nevada, Las Vegas. He earned a bachelor’s degree in elementary education from West Virginia State College; master’s degree in guidance and counseling from Marquette University; certificate in administrative leader- ship and a Ph.D. in urban education from the University of Wisconsin—Milwaukee. Prior to his current position, he was the assistant superintendent for a large urban school district where he had an extensive educational career in public education. He served as a teacher; counselor, team leader, and assistant principal at the elementary, middle, and high school levels; as principal at elementary and middle schools; as director of alternative programs; and as community superin- tendent. In addition, he was a hearing officer for unsatisfactory teacher evaluations, second-step misconduct, and immediate teacher suspensions. In addition, he has consulted with school districts on how to prepare and win unsatisfactory staff member evaluation and misconduct cases. He is first author of the following books: The Marginal Teacher: A Step-by-Step Guide to Fair Procedures for Identification and Dismissal (1993); The Marginal Teacher, Second Edition (2001); How to Handle Staff Misconduct: A Step-by-Step Guide (1995); and The Incompetent Specialist: How to Evaluate, Document Performance, and Dismiss School Staff (1996).
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- 21. Introduction A s the principal, you must know how to handle different kinds of staff misconduct. At the beginning of the school year, you must inform all staff members about policies, rules, and procedures that are designed to ensure the successful operation of the school. Also on the first day of the new school year, you should distribute and discuss a list of standards of accept- able conduct for all staff members at work (see Resource A). Each staff mem- ber should sign that he or she received the list of standards of acceptable behavior. This will help decrease the possibility of staff misconduct cases. When you provide all staff members with the foregoing information, you have met the first requirement in the concept of just cause. Staff misconduct will interfere with your primary role of providing instructional leadership. Indeed, handling the misconduct problems is an extremely time-consuming, emotionally draining, challenging, and frus- trating part of your job. If you have never been involved in a misconduct case before, you may become discouraged with the amount of time neces- sary to resolve it. Some misconduct cases may take weeks, months, and even years to resolve. In addition, the entire process may cost the school district thousands of dollars for legal fees and back pay to a staff member reinstated after a long suspension. Frequently, when a staff member is involved in a first incident of mis- conduct, some novice principals may recommend termination or other severe disciplinary action against that person. When such misconduct occurs and you offer a more severe disciplinary resolution than used for previous cases in the school district, you may be accused of being unfair to the staff member because of race or gender. For instance, if a principal recommends a three-day suspension for a male staff member who swore at students but recommends a one-day suspension for a female staff mem- ber who committed a similar infraction, the principal may become involved in a legal battle because the misconduct cases were handled differently. Under the pressure of the misconduct process, your success and sur- vival may depend upon conducting a fair and reasonable investigation to determine if sufficient evidence exists to prove that the misconduct occurred. First you must base your decision to proceed with the miscon- duct case on firm evidence and the statements provided by the victim and
- 22. 2 HOW TO HANDLE STAFF MISCONDUCT the witnesses. Then you must carefully weigh the evidence and the statements. Before you render a decision, you must be convinced the pre- ponderance of the evidence confirms that the staff member engaged in misconduct that harmed students, other staff members, the school, or the school district. This guide is an essential tool for principals when handling allegations of misconduct that could lead to formal charges against a staff member. Parts I and II provide information on procedures that apply to handling misconduct such as failure to supervise the playground, hall, cafeteria, or bus dismissal; failure to attend staff meetings or committee meetings; and tardiness to work. Misconduct may also include the failure to pick up chil- dren at arrival, recess, lunch, dismissal to playground, or after recess or lunch. In addition, some staff member misconduct involves personal use of the copy machine, excessive personal phone calls, using the Internet for personal use, talking to other staff members across the hall or next door while students are left in the classroom unsupervised, or being disrespectful toward the principal. Parts III and IV will also provide information relative to serious or even criminal situations that require immediate suspension: sexually related misconduct, misconduct that involves controlled substances, theft and fraud, and serious misconduct outside the school setting. Included in this guide are proactive tips to reduce misconduct, standards of acceptable con- duct for staff members, an allegation of misconduct report form, diagrams of the human body, the misconduct hearing, and the major points of a letter of reprimand. Also included are progressive discipline charts to compare disposition of past cases in the school district in similar situations.
- 23. Part I General Procedures to Handle Misconduct ince contractual agreements differ among bargaining units, the misconduct procedures for staff members of those bargaining units differ also. In this guide, the sample letters are written for teachers; however, the same basic guidelines and content may also apply to other staff member contractual agreements. Thus the misconduct provisions of each contract should be reviewed in conjunction with this guide.
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- 25. Strategies to Handle Miisconduct Misconduct is a confidential matter. JN s the principal, when you handle staff misconduct, you must have a firm understanding of the concepts of just cause, due process, and progressive discipline. These concepts are the foundation for fair treat- ment of staff members in the workplace. Just cause means that you must have good cause to suspend a staff member, reprimand a staff member, or discipline a staff member. Due process essentially means that you show “fair play” in handling the misconduct situations. Progressive discipline is a series of steps in which you increase the disciplinary action each time the staff member commits an act of misconduct. JUST CAUSE As the principal, you cannot without good reason suspend a staff member, reprimand a staff member, or discipline a staff member. Some reasons to invoke disciplinary action are unexcused absences and excessive tardiness; neglect of duty; abusive, insulting, or profane language; corporal punish- ment; insubordination; sexual misconduct; illegal use of a controlled sub- stance; thefts and fraud; and criminal misconduct outside the school setting. Moreover, you must be familiar with the just cause requirements
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- 46. Transcriber's Notes: Minor punctuation errors have been corrected. The original book contains instances of hyphenated and unhyphenated variants of words. These have been retained.
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