Department of Human Resource
[SIDEBAR TITLE]
ECTOR COUNTY
INDEPENDENT SCHOOL
DISTRICT
Ector County Independent School
District
Human Resource
(432) 456-0990 -Office
(432) 456-0998 -Fax
For Administrators in Ector County Independent School District
TABLE OF CONTENTS
Effective Employee Practices (EEP)
Effective Employee Practices features the
knowledge and skills needed for adeptly
handling critical, job-related decisions
related to employee management.
The EEP training session and resource
manual have been developed to assist
participants with a myriad of human
resources topics from establishing
employee expectations with your staff to
effectively handling the most challenging
employee complaint. The sample
documents found in the final section of this
notebook provide a variety of ready-made,
employee documentation templates for
many different kinds of management
situations.
Today’s business climate is complex. Our
ultimate goal is your efficient supervision
of the employees you command. The
Effective Employee Practices has been
developed for this purpose and with your
success in mind.
Section Contents
1.
Procedures
2.
Investigating, Complaints
3.
Corrective Action Documentation
4.
Sexual Harassment
5.
Employee Complaints/Grievances
6.
ECISD Non-Negotiables/Interview
Process
7.
Letter of Intent
8.
Contract of Non-renewal or
Termination Evaluation Form
Section 1
PROCEDURES
SECTION - 1
PROCEDURES
Section Profile
Sooner or later, every supervisor will face the
need to investigate problem behaviors of one or
more of their employees. The primary reason
of disciplinary action as a result of problem
behavior is to provide a structured opportunity
for employees to improve performance and
remedy misconduct before these behaviors
jeopardize employment.
Specific procedures relating to the discipline of
employees are presented in this section of the
Effective Employee Practices manual. General
guidelines are provided in order to ensure that
employees are given a chance to improve their
performance and as a guarantee that an
employee’s legal rights are protected.
Section Contents
I. Procedures Relating to the Discipline of
Employees
A. Verbal Warning
B. Written Warning - formal
C. Written Reprimand- repeated
offense – conduct egregious
D. Adverse Employment Action
II. Characteristics of Effective
Disciplinary Procedures
A. Based on Known Rules
B. Consistently Applies
C. Administered Fairly
D. Progressively Severe
III. Recommended Steps of Verbal or
Written Warnings
IV. Written Reprimand
V.
Extreme Situations
VI. Adverse Employment Action
VII. Due Process
VIII. Notes
PROCEDURES RELATING TO THE DISCIPLINE OF EMPLOYEES
Principals and other administrative heads are responsible for maintaining standards and
discipline among the employees assigned to their offices and schools. The primary objective of
disciplinary action is to provide a structured opportunity for employees to improve performance and
remedy misconduct before poor performance or misconduct jeopardizes employment.
PROCEDURES RELATING TO THE DISCIPLINE OF EMPLOYEES have been developed
regarding the procedures that should be followed in dealing with infractions of work rules (i.e.,
tardiness, absence without permission, failure to perform assigned tasks, insubordination, etc.) by
employees.
The procedures are structured in a manner to allow employees an opportunity to improve
their performance and remedy improper behavior before such actions jeopardize employment. There
are general principles that must be applied in all instances and appropriate procedural steps that must
be followed to ensure that employees’ legal rights are protected.
Very briefly, the procedures may be summarized as follows:
1.
There are four remedies for addressing situations calling for discipline of employees:
• oral warning
• written warning
• written reprimand
• adverse employment action (dismissal, change of contract)
2.
In most cases, the remedies are applied in a sequence. First, a mild corrective action
is used, then progressively stronger measures taken if the situation warrants further
action.
In order to improve performance and safeguard employee rights, disciplinary procedures
should be based on known rules, be consistently and impartially applied, be administered fairly, and
gradually or progressively increase in severity.
1.
Based on Known Rules
Rules of individual schools and offices in regard to duties should be clearly
known to employees. The fact that a majority of employees are performing
their duties within the rules is evidence that rules are generally known.
Administrators should give clear intent to strengthen enforcement prior to
taking disciplinary action to correct employee misconduct.
II.
Consistently Applied
Rules should be uniformly applied to all employees. All employees must be
treated essentially the same unless a good reason exists for variation in the
assessment of discipline. Different degrees of fault or mitigating
circumstances affecting some but not all employees are examples of a
reasonable basis for variation.
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Ector County Independent School District
III.
Administered Fairly
In general, the elements of due process are notice, hearing, and prompt
resolution. These should be adhered to at each step of a disciplinary
procedure. The seriousness of the offense and / or the number of times an
employee has given reason for taking disciplinary action will determine the
action taken.
IV.
Progressively Severe
Discipline is intended to be corrective, not punitive. It is the administrator’s
responsibility to make clear what standard of work or behavior is legitimately
expected of the employee. Allegations of misconduct or infraction of rules
not personally observed by the administrator must be thoroughly investigated
by the responsible administrator. The employee must be given an opportunity
to explain himself or herself in an informal conference. If warranted,
discipline should move from informal to formal proceedings, with increased
sanctions applied as a consequence of failure to meet expectations. An
employee should be advised that failure to meet expectations will adversely
affect his or her performance evaluation. In the event the behavior in the first
instance is egregious or outrageous, the oral or written warning should be bypassed and a more severe disciplinary measure should be applied i.e., written
reprimand, etc. However, a thorough investigation must be made of the
circumstances prior to the issuance of the more severe forms of disciplinary
action.
In the event that just cause for disciplinary action appears to exist, the following steps
are recommended:
A.
Oral or Written Warning
Warning should be promptly given as soon as possible after the alleged
misconduct. The date and nature of the warning should be recorded by the
administrator as a part of his / her daily log or diary. Oral or written warnings
should clearly communicate the nature of the offense (rule broken or duty
failed) and the possible consequences, if misconduct persists. The
administrator should make performance expectations clear to the employee.
When appropriate, a time span for improvement, as well as assistance and
resources available to help bring about the desired improvement, should be
included. The employee should be given an opportunity to explain his or her
side of the case in the matter of alleged misconduct.
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Ector County Independent School District
B.
Written Reprimand
In the event that the employee has not improved within the stated period of
time; or misconduct is repeated or aggravated; or a more serious offense
occurs for the first time, the administrator should:
1.
Notify the employee of the alleged misconduct promptly.
2.
Schedule a meeting with the employee as soon as possible to
determine if a written reprimand is warranted. The administrator may
notify the employee and schedule the meeting verbally or in writing.
3.
Conduct the meeting:
The purpose of the meeting is to:
a. allow the administrator to make reasonable inquiry in order to
determine if an infraction has occurred and if any written
reprimand is warranted,
b. allow the employee to be heard and to ask questions,
c. allow the employee to have representation,
d. discuss specific ways to improve the situation and agree on work
expectations.
4.
Prepare a statement.
After the meeting and investigation the administrator must, as soon as
possible, inform the employee of his / her decision in writing. If
disciplinary action is warranted, the administrator may prepare a
written reprimand which includes:
a. the area in which the employee is at fault,
b. a clear statement of correct performance expected and a summary
of any agreement on further behavior reached at the meeting,
c. a reminder of the date and nature of previous oral warning(s),
d. an indication of the consequences of further misconduct,
e. names of witnesses, if any, to the infraction, and of others
attending the meeting,
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Ector County Independent School District
f. a place for the employee’s signature and a reminder that the
signature indicates only that the employee has read the statement
and understands that it will be placed in his or her file,
g. a statement advising the employee of his or her right to respond in
writing to both facts and conclusions contained in the reprimand
and of the possible need to meet again to discuss any differences.
5.
Obtain the employee’s signature.
If the employee is unwilling to sign the material, have a neutral individual
observe and witness the individual reviewing and receiving the statement.
The witness should sign the material indicating he or she has witnessed the
employee reviewing and receiving the material.
6.
Give the employee a copy of the document.
7.
Send copies of the signed reprimand and the employee’s statement, if any, to
the Assistant Superintendent of Elementary/Secondary. The reprimand
should also be copied to the personnel file.
NOTE: If the employee wishes to appeal the administrator’s action, the
grievance procedures are applicable and / or a written response can
be submitted.
Extreme Situations
There may be situations which require that an employee be immediately
removed from the job location. This could involve danger to the affected
employee, other employees, and / or students. In these extreme situations, the
Assistant Superintendent of Elementary/Secondary and Chief of Human Resource
Officer should be contacted immediately. If necessary, the assistance of the
district’s Police Department may be requested. The Assistant
Superintendent of Elementary/Secondary will determine the need for further
action.
VI.
Adverse Employment Action (including termination, change of contract
status, non-renewal)
If misconduct or poor performance persists, and no circumstance suggests
that further corrective discipline would produce satisfactory performance, the
employee may be recommended for termination, non-renewal, or for a change
of contract status, subject to board policy and the Texas Education Code.
Recommendations of this nature should be directed through the office of
the Chief Human Resource Officer. The Chief Human Resource Officer will
meet
with
the
principal
and
Assistant
Superintendent
Elementary/Secondary to review documentation and plan future steps.
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Ector County Independent School District
DUE PROCESS
Under the 14th Amendment, all individuals are entitled to procedural due process.
A simplified explanation of the due process is:
(1)
There must be a rule, regulation, policy or written notification describing
desirable or prohibited conduct.
(2)
The rule, regulation, policy or written statement must be communicated to
the individual in such a way as to be reasonably sure that the individual is
aware of it.
(3)
The rule, regulation, policy or statement must not be arbitrary, vague,
ambiguous, capricious or unreasonable. If a violation occurs, the
individual must be told what he / she did or did not do, be given a chance
to defend or explain his / her actions and be given written notice.
In the majority of the cases where administrative decisions are overturned, the reversal is
based on a belief that a grievance due process rights have been violated. In the broadest
sense, due process rights include a written notification of disciplinary action and the
reason for it, a hearing on the merits, right to representation and the right to contest
adverse evidence.
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Ector County Independent School District
Section 2
INVESTIGATING
COMPLAINTS
SECTION - 2
INVESTIGATION COMPLAINTS
Section Profile
Many areas of employee relations require
supervisors to undertake investigations in order to
discover, manage and prevent employee problems.
Once a complaint is lodged, it is important to know
what action to take, or to find out whether action is
even necessary by investigating the situation and
ascertaining the facts surrounding the complaint. In
short, conducting investigations is a valuable tool
that can be used to analyze the reasons for problems
or gathering data to make management decisions.
Section Contents
I.
Investigating Complaints – 12 Step
Process Flow Chart
II. Investigation Complaints – 12 Step
Process Narrative:
Step I:
Step 2:
Step 3:
Step 4:
Step 5:
This section provides a collection of important
information administrators can use when conducting
employee investigations.
Step 6:
Step 7:
Step 8:
Step 9:
Step 10:
Step 11:
Step 12:
Analyze the Problem
Conference with the
Employee
Determine the Scope of the
Investigation
Conduct an Investigation
Determine Sufficiency of
Data
Review File and Previous
Directives and/or Attempts to
Remediate
Review the Data and
Determine the Findings
Conduct Hearing with
Employee (Formal Conference)
Draw Conclusions
Determine Course of Action
Make Recommendations –
Issue Directives (Verbal/Written),
Reprimand, Provide Remediation,
as Appropriate
Contact Parent/Guardian,
as Appropriate, and Other
Relevant Individuals
III. Guidelines for Hearing Complaints and
Conducting an Investigation
IV. Conference Outline (Results of
V.
VI.
Investigation) (Returning Employee from
Administrative Leave)
Elements of a Thorough Investigation
and the Related Documentation
Analysis of Witness Statements Chart
INVESTIGATING COMPLAINTS
12-Step Process
Step 1
Analyze
the
problem.
Step 2
Step 3
Step 4
Determine scope
of
investigation.
Conduct an
investigation.
Step 5
Conference
with
employee.
Determine
sufficiency of
data.
Step 12*
Step 6
Review file and
previous directives
and/or attempts to
remediate.
Contact parent/guardian,
as appropriate, and other
relevant individual(s).
Step 11*
Step 10*
Step 9
Step 8*
Make
recommendations
– issue directives,
reprimand, provide
remediation, as
appropriate.
-- Continuous Process
Step 7
Review all of
Determine
course of
action.
Draw
Conclusions.
-- Decision Point
Refer to Guide
Conduct hearing
with employee.
the data and
determine the
findings.
* -- Consult Human Resources at the steps
indicated and at others, if needed.
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Ector County Independent School District
INVESTIGATING COMPLAINTS
12-Step Process
Section II.
Step 1: Analyze the problem.
Additional Information:
• Fact-finding begins.
• Identify policy, rule, procedure or expectation that has been violated.
• Consider code of ethics, policy manual, handbooks, State guidelines, other legal
considerations and / or stated and implied rules and expectations.
Decision Point: Is there a problem, related to the allegations, that if true, should be
investigated?
•
If yes, proceed to step 2.
•
If no, do not proceed.
Step 2: Conference with the employee.
Additional Information:
• Fact-finding continues.
• Provide due process.
• Conduct a conference with the employee immediately to inform him / her of the
allegations or problem.
• Use appropriate line of questioning.
• Secure his / her version of the story verbally and in writing.
• Employee should be allowed representation, if desired.
Decision Point: Has the employee provided me with enough information to make a
decision or determination?
• If yes, proceed to 10.
• If no, proceed to 3.
Step 3: Determine the scope of the investigation.
Additional Information:
• Consider how the investigation will be approached.
• Consult Human Resources (Personnel Services), if necessary.
Decision Point: Will I need to interview and / or secure statement from other
individuals including complainant? Are there any witnesses?
Should I involve someone else in the investigation, including an
assistant principal, counselor (if students are involved), Human
Resources?
• If yes, proceed to step 4.
• If no, go back to steps 1 and 2, as appropriate.
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Ector County Independent School District
Step 4: Conduct an Investigation.
Additional Information:
• Fact-finding continues.
• Interview all significant parties, including complainant and witnesses.
• Use appropriate line of questioning.
• Consider testimony previously provided by employee and determine if there are any
extenuating circumstances that could affect a decision.
• Conference with employee additionally, if needed. (Additional allegations may have
emerged).
Decision Point: Did I interview the right individuals and consider the right
resources?
• If yes, proceed to step 5.
• If no, go back to steps 1 and 3, as appropriate.
Step 5: Determine sufficiency of data.
Additional Information:
• Fact-finding continues.
• Data considered should be timely, valid, and from a reliable source.
• Consider other important sources of information, including examination of the site.
• Conference with employee additionally, if needed.
Decision Point: Is the information sufficient (timely, valid, reliable)?
• If yes, proceed to step 6.
• If no, go back to step 4.
Is additional information needed?
• If yes, determine type (statements from witnesses,
site visitation, clarification from employee, policies/
procedures, reference). Go back to steps 1, 2 and / or 4 as
appropriate; then proceed to step 6.
Step 6: Review file and previous directives and / or attempts to remediate.
Additional Information:
• Consider any previous action that was taken with the employee in similar situations.
Decision Point: Has the problem occurred before, and / or has the employee
experienced similar or different problems?
• If yes, what action was taken; how serious was the problem?
Proceed to step 7.
• If no, proceed to step 7.
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Ector County Independent School District
Step 7: Review all of the data and determine the findings.
Additional Information:
• Given the facts, what are the findings - - objective points that are in agreement with
the facts?
• Consult Human Resources.
Decision Point: Do I have sufficient data now to advise employee of findings?
• If yes, proceed to step 8.
• If no, go back to steps 1, 3 and 4, as appropriate.
Step 8: Conduct hearing with employee (formal conference).
Additional Information:
• Make employee aware of your findings/data.
• Employee should be allowed representation.
• Ask employee if he / she has any additional information to add for consideration.
Decision Point: Do I have sufficient data now to reach a conclusion?
• If yes, proceed to step 9.
• If no, go back to steps 1, 3 and 4, as appropriate.
Step 9: Draw conclusions.
Additional Information:
• Conclusions are based on your professional beliefs and opinions and are closely
aligned with findings.
• Consult Human Resources.
Decision Point: Are my conclusions objective and related to facts?
• If yes, proceed to step 10.
• If no, go back to step 5.
Step 10: Determine course of action.
Additional Information:
• Consider the seriousness of the problem.
• Consider whether expectations and directives were previously stated.
• Consider action that has been taken before in similar situations, as consistency is
extremely important.
• If you are going to change what you have been doing in the past, have the
justification for doing so and be prepared to explain your rationale to the employee.
• Consult Human Resources.
Decision Point: Is any action required? Do I now have all of the information that is
needed to conclude the investigation?
• If yes, proceed to step 11.
• If no, retrace previous steps, as appropriate.
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Ector County Independent School District
Step 11: Make recommendations - - issue directives (oral / written), reprimand, provide
remediation, as appropriate.
Additional Information:
• Directives, if issued, should be based on the degree, seriousness or frequency of the
problem.
• Supporting documents should be attached / provided, as appropriate.
• Employee should be given a copy of any documentation that results in reprimands,
directives, etc.; and asked to sign the document, acknowledging review and receipt.
If the employee refuses to sign, then a neutral witness should be asked to observe,
witness and sign.
• If required, appropriate documentation should be forwarded to the Associate
Superintendent of Human Resources and the Assistant Superintendent of Schools
(if appropriate).
• Follow-up with complainant if necessary. Determine plan of action for employee,
including additional conferences, growth plan, etc.
• Implement Plan of Action, as appropriate.
• Monitor progress or situation as needed.
• Consult Human Resources.
Step 12: Contact parent/guardian, as appropriate, and other relevant individual(s).
Additional Information:
• If allegations lodged involved employee and student(s), contact parent/guardian, or
any other relevant individual(s) who have a need to be advised of investigation
results.
• If allegations lodged involved employee issues of misconduct such as sexual
harassment, contact relevant individual(s) who have a need to be advised
of investigation results.
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Ector County Independent School District
GUIDELINES FOR HEARING COMPLAINTS
AND CONDUCTING AN INVESTIGATION
Section III.
Initial Stage:
•
Investigations should begin promptly.
•
Get particulars from complainant.
•
Call the individual that the complaint is lodged against in to secure his/her account. Secure
written statement from employee. Allow the employee representation if convenient.
•
Make individuals aware that you are conducting an investigation.
•
Develop questions in advance that can be asked of all parties - - witnesses, complainant and
employee. Questions should be prepared in written form in consideration of the allegations
and designed to elicit information using “wh” questions.(who, what, where, when and why)
•
Take measures to protect students from the situation, if appropriate.
Intermediate Stage:
•
Secure written statement from all parties, including complainant, the individual who the
complaint was lodged against, and any witnesses. Student written –cannot be disclosed
if requested.
•
If the individuals won’t commit information to writing, then you write it, have them review
it, offer opportunities for them to correct the record, and have them date it and sign it.
•
When interviewing witnesses, don’t talk to the entire group at the same time. (Individual)
•
When students are involved, notify parents as soon as possible.
•
Secure parental permission in advance if tape or audio recording is needed.
•
When the complaint is of a sexual nature, try to ensure that someone of the same gender is
present during questioning.
•
If you involve another staff member in conducting the investigation, have them sit through a
round with you so that you can be consistent. When students are involved, have another
administrator sit though the interviews and take notes.
•
Look for physical evidence. Take pictures, particularly if injuries to students are involved.
Send students to the nurse to determine if injuries are involved.
•
Notify proper authorities, as needed.
•
Allegations of abuse of students must be reported to Child Protective Services within 48
hours of the complaint. Refer to Title IX Coordinator.
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Ector County Independent School
District
•
Allegations of sexual harassment are a priority and must be investigated by the Title IX
Coordinator E/E, E/S
•
Direct all individuals involved not to discuss the case with others during the investigation and
not to do anything to retaliate against anyone or impede the investigation.
•
Although information is confidential, don’t promise anonymity to informants.
•
Take notes and keep them!
Final Stage:
•
Don’t base decisions on tips alone without other corroborating evidence.
•
Analyze data / evidence and determine findings - - charts may be useful.
•
Complete the investigation of facts prior to making a finding or reaching conclusions.
•
Prepare written report(s) of findings, conclusions and directives, as needed.
•
Follow-up as necessary.
Recurring Themes:
•
Be professional and objective - - avoid arguments, coercion and ultimatums.
•
Voice tone should be investigative and designed to discover.
QUESTIONING STRATEGIES
Questions are aids to help you draw out important information. Questions should also be
designed to show if the allegation, or some portion of it, is true. Although questions are critical
in an investigation, other forms of communication are also crucial, including listening skills and
body language. The following suggestions, if followed, should facilitate the investigation.
Questions:
•
Questions should be prepared in advance of the interview and related to the topic or issue.
•
Record (in writing) the questions that you ask during the interview(s).
•
Ensure that questions are not so rigid or structured that you lose spontaneity and the ability to
follow-up with additional questions - - extend and probe.
Refrain from using leading questions that would provide too much information. Structure nonleading, non-informative questions that would not bias the listener. Ask open-ended questions.
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Ector County Independent School
District
•
o
“Tell me what happened.” vs. “Did you see him hit her?”
o
“Tell me what you know about….”
Ask questions that are designed to elicit additional information.
o
•
“Tell me more.”
Begin with open-ended questions and narrow the focus.
o
“Tell me about Mr.
class. What kind of relationship does he have with the students?”
•
Ask as many specific questions (“wh”) as you can: who, what, when, where, why and how.
•
Ask / state the following to both the complainant and the accused:
o
The same questions that have been developed which focus on the issues.
o
“Are there any witnesses? Is there anyone who can corroborate your story?”, if
appropriate.
Body Language:
•
The body language of the individuals (employee, witnesses, informant) can be very revealing,
as it may generate some cues that can lead you to other important questions.
•
The interviewer must be mindful of his / her own body language so that he / she won’t
provide cues that would lead the individual in a certain direction.
Listening Skills:
•
Balance talking with listening.
•
Listen for inconsistent statements.
•
Listen for admissions against interest.
o
•
Yes, I did it but…”
Follow through with related questions.
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Ector County Independent School
District
CONFERNCE OUTLINE
(RESULTS OF INVESTIGATION)
(RETURNING EMPLOYEE FROM ADMINISTRATIVE LEAVE)
Section IV.
•
Introductions (if other such as representative present at conference)
•
Purpose of the meeting:
1. Principal will state what the allegations were.
2. Principal will indicate how the investigation was conducted.
3. State findings of the investigation
•
•
State the employee’s response to the allegations.
•
State conclusions determined from the investigation.
•
Directives given orally to the employee.
•
Advise employee that findings of the investigation and the directives will be
reduced to writing and given to employee. (memo of directives / written
reprimand)
•
Employee may respond to the facts contained in the memo within ten working
days.
•
Employee to return to work effective:
Closure
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Ector County Independent School District
ELEMENTS OF A THOROUGH INVESTIGATION
AND THE RELATED DOCUMENTATION
Section V.
A careful investigation will provide the foundation for effective documentation which should
include the following:
1.
Statement of the complaint or concern.
2.
Statement of individual’s response.
° Corroborate statements when possible so that you can determine truth. Talk to
witnesses; listen for inconsistencies. Be careful about making a finding if all you
have is a swearing contest. You must be able to explain why you believe one story
over another.
3.
Statement containing the information you received that relates to above sufficient to make a
finding of fact (i.e., a determination that something did or did not happen).
4.
Statement of findings must be based on the facts and not mere suspicion based on a
preponderance of evidence (i.e., the greater weight of believable evidence).
° Use their own statement(s) in the documentation whenever possible.
° Do not make a finding of a significant fact without first affording the accused an
opportunity to respond.
5.
Statement of conclusions (related to the findings) that you have drawn.
6.
Directive to remediate and / or recommendation for adverse employment action if necessary.
° Allow person found to be at fault with opportunity to respond by a certain date.
° Include statement of consequence re: employee’s failure to comply.
“Failure to comply with these directives will result in further disciplinary action.”
7.
Invitation to respond by a date and time certain.
“If you disagree with my findings or conclusion, you may submit a written response
to this memorandum within ten working days of your dated signature.”
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Ector County Independent School District
8.
Acknowledgment of receipt.
°
Have the employee sign for receipt of the memorandum. If the employee is
unwilling to sign the material, you should have a neutral individual observe
and witness the individual reviewing and receiving the information. The
witness should sign the memorandum to that effect.
“Your dated signature indicates that you have received and reviewed a copy of
this memorandum.”
Additional considerations:

Investigative material is not available to anyone until it becomes the basis for your
conclusions; therefore, if the employee requests the documentation, provide all relevant
information at the end of the investigation.

Whenever statements are provided which include students’ names, a cover memo must
accompany the statements. Address the memo to the employee or the representative. Refer
to sample statement below:
“You have requested copies of statements that have been collected regarding the recent
allegations that were lodged against Mr. Teacher. Copies of the statements are enclosed
with this memorandum. Students’ names are included in the statements.
As you know, federal law prohibits the release of confidential information to anyone other
than individuals who have a legal right to the information. By releasing these statements to
you on behalf of your client, I trust that you will ensure the confidentiality of the documents
and that the documents will not be released to anyone who does not have a legal right to the
information.”

If students’ names are included in the statements or documents that are given to the
employee, the last name should be eradicated, except for the first initial of the last name,
before copies are provided (i.e., David R. vs. David Robinson).

Under the Family Educational Rights and Privacy Act (FERPA) students’ handwritten
statements may not be released. If student statements are requested, contact Human
Resources.

Whenever multiple statements and / or findings are involved, it may be helpful to analyze
and record the data using charts or graphs. For example, list the allegations separately
across the top of the chart and list the witnesses names along the side of the chart. After
the chart has been developed, mark each allegation that is common to each witness. After
completing the chart, summarize the results using a narrative format. Preparing the
information in this manner should help you determine your findings.
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Ector County Independent School District
Analysis of Witness Statements
Section VI.
Individuals
Interviewed
Joe
Jane
Rick
Sally
Specific allegations / findings
“T” hit
“T” hit other
“T” twists
student w / a
students
students
ruler
arms
yes – 12/12 during Sept/Oct:
• hit Sam w/ ruler
• hit Lee w/ book
• hit Mary w/open
hand
Yes
Yes
Yes
“T” calls
students
names
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Ector County Independent School District
Section 3
CORRECTIVE ACTION DOCUMENTATION
SECTION - 3
CORRECTIVE ACTION - DOCUMENTATION
Section Profile
Since the main goals of an investigation are to
produce a reliable set of facts for a decision and
to reach a conclusion, the investigator will
eventually have to tie all the various facts and
documents together and show what it all
means. Documentation will report the facts
and make recommendations or give directives
for corrective action to the problem.
Section Contents
I.
Effective Personnel Documentation
A. Purpose
B. Need for Documentation
C. Problem Considerations
II.
General Rules for Effective
Documentation
III. Types of Documentation
Effective documentation contains a description
of the issue at hand, list the witnesses and
documents used as evidence, summarizes the
information compiled as part of the
investigation, and makes recommendations
based on the facts of the case.
IV. Formula for Effective Documentation
V.
Helpful Hints
VI. Checklist for Formal Documentation
VII. Effective Writing Tips
EFFECTIVE PERSONNEL DOCUMENTATION
Section I.
Purpose:
1. Improve employee performance so that employee can be successful
2. Conveys expectations
3. Assures that personnel decisions are fair
4. Prevents later denial of notice
5. Supports supervisor’s position
6. Aids memory
7. Minimizes misunderstandings
8. Reveals patterns of deficiencies
9. Supports successive supervisors
10. May be confidently relied on in the event of adverse employment action
11. Assists you in putting the case together
12. IT IS YOUR CASE
Different Needs for Documentation:
1. Performance problems – addressed through evaluations
2. Serious incidents
3. Single incidents of misconduct
4. Recurring / repetitive employee problems
Consider if the Problem Affects:
1. Educational Mission
2. Financial Condition of the District
3. Health & Safety of Students
4. Health & Safety of Others
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Ector County Independent School District
GENERAL RULES FOR EFFECTIVE DOCUMENTATION
Section II.
1. Script Conference, Conference –document conference. Use Progressive discipline.
2. Recite facts first, then conclusions/recommendations
3. Avoid inflammatory words (e.g. “Your decision was ridiculous. You clearly weren’t
thinking when you came up with that one!”)
4. Assume the memo will be read by employee and representative(s)
5. Avoid jargon.
6. Keep it simple.
7. Do not write while angry - - give yourself distance (from the problem) and time to reflect
before responding in writing.
8. Have an editor available - - campus administrator, administrative support network.
Ensure that documentation is legible, grammatically correct, focused.
9. Treat all employees alike - - consistency is the key.
10. Emphasize quality of documentation, not quantity; although quantity becomes important
for adverse employment action.
11. Be timely.
12. Do not backdate.
13. Avoid confusing or soft directives - - specificity and clarity are critical
• “Meet me at 3:00 in my office”, vs. “Meet me after school.”
• “You must improve…”, vs. “I would like for you to improve.”
14. Allow the individual to retain a sense of dignity.
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Ector County Independent School District
15. Document problems as they occur
16. Make sure that the documentation is clear, focused, complete and factual.
17. Include these “Essential Elements”:
a. statement of the problem (5 Ws) including (who, what, when, where, why)
• specific material and facts, including time, place, date, and witnesses that are
relevant to the incident;
• a reference to the policies, rules, regulations or laws violated;
• an outline of all previous written directives or oral warnings for a summary memo;
• a description of the objective effect that the employee’s conduct has on the
organization;
• a description of previous attempts to correct the behavior
b. directive to remediate:
• specify directives
• include statement re: consequences of failure to comply with directives:
“Failure to comply with these directives will result in further administrative
action”
c. outline plan for remediation (if needed)
d. cement the facts:
“If you have any questions concerning these directives or if you disagree with the
facts or conclusions stated in this memorandum, please advise me in writing
within ten working days of your dated signature.”
e. acknowledge receipt:
“Your dated signature indicates that you have reviewed and
received a copy of this memorandum.”
18. Avoid personal issues.
19. Hold employees responsible for making changes; involve them in the process.
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TYPES OF DOCUMENTATION
Section III.
1. Oral directives – a starting point that usually corrects normal problems; recommend that it
still be documented in a notebook or on a calendar.
2. Informal Memos – may be handwritten; usually intended to serve as “friendly reminder.”
3. Statement of Expectations - - use when a memo of understanding is needed versus corrective
action.
4. Specific Incident Memorandum - - Conference with the employee and use this format when
a significant problem exists. This category of memorandum should contain specific
statement(s) of unacceptable behavior; the date of the incident; and dates of related facts,
and directives as to future conduct. The memo should also be objective and nondiscriminatory. Official stationary or letterhead should be used. Written warnings, written
directives or reprimands can be documented via this format.
5. Conference/Summary Memorandum - - Hold a meeting with the employee and prepare
memo after meeting. This category of memorandum summarizes several incidents that are
similar in nature. This mechanism may also be used to document something that should
have been documented before. Written warnings, written directives or reprimands can be
information should be included in a summary memorandum:
a. record (document) facts or underlying problem addressed at meeting.
b. record employee’s response to charges;
c. record supervisor’s conclusion;
d. record directives given.
6. Reprimands - - Whenever documentation is going to be placed in the employee’s file in the
Personnel Office, Personnel should be contacted in advance. If the memo is a “reprimand”,
then the word reprimand should be the subject of the memo and/or referenced in the opening
statement of the memo, for example:
• “This memorandum will serve as a formal reprimand regarding your failure to comply
with official directives which are related to your job performance and responsibilities.”
7. Formal Evaluation - - use official evaluation system. Be sure that appropriate procedures
adhered to in this regard.
8. Cumulative Data - - informal memos generated as a result of informal observations (Teacher
Appraisal System)
9. Remediation / Growth / Improvement Plans - - Use when improvement is needed regardless
of whether the needs are related to employee appraisal issues.
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Ector County Independent School District
FORMULA FOR EFFECTIVE DOCUMENTATION
Section IV.
If formal documentation is required, the following areas should be addressed:
1.
Statement of the problem.
2.
Include the teacher’s response / explanation.
3.
List the findings of any investigation that was conducted.
4.
State what your conclusions are as a result of any investigation that was conducted.
5.
Reference previous attempts to correct the behavior or bring the problem to the
employee’s attention, if applicable.
6.
Describe the impact of the employee’s behavior on the organization, if appropriate.
7.
Statement of expectations and directives, as appropriate.
8.
Statement regarding follow-up, monitoring and support.
9.
Statement regarding consequences for failure to comply with directives, if needed.
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Ector County Independent School District
HELPFUL HINTS
Section V..
Ensure that the documentation is:
•
CLEAR – Avoid:
*semicolons
*sentences with 26 words
*paragraphs with more than 5-6 sentences
*words with more than 6 letters
*acronyms
*jargon Add:
*attachments
•
FOCUSED:
*one issue / subject at a time
*use other events to focus on that issue / subject
*focus on reasons that you are documenting
•
COMPLETE:
*there should be no questions regarding what happened
*any reader should be able to understand
*start at the beginning and proceed in a logical sequence
*the end product should reflect a complete story
*list all related incidents, as appropriate
•
FACTUAL:
*build credibility in the written / verbal word
*do not “color” the case to make it look better
*stick with the facts
•
FREE OF PERSONAL DIATRIBES:
*avoid “put-downs”
*keep personalities and emotional issues out of the documentation
*avoid illogical statements
Other tips regarding formality:
•
•
•
•
•
•
The size of the paper – 8 ½ x 11 is most formal
The color of the paper – white is most formal
The print on the paper – standard typing is most formal
Use a block form with name and address, or memo format
The middle paragraph(s) should state the facts, directives and remediation
The last paragraph should acknowledge favorable things about the employee, if
appropriate. Be careful to avoid sending mixed messages in a document.
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Ector County Independent School District
5 W’s:
•
WHERE – focuses on place and specific location
*important to your line of credibility
*location / proximity is important regarding the incident.
•
WHO – includes witnesses
*who were the active participants
*who were the inactive participants
•
WHAT – refers to actions of actors
*important to note what “actor” is doing
*when relevant, important to note what everyone else is doing
•
WHEN – refers to date and time
*helps establish time and location
*document comparisons to other relevant times
*document quantities of time – when it started & when it ended
•
WHY – refers to reasons for the action
*sometimes this is difficult to know unless you are told
*important to ascertain and document “why” it happened
*most important to determine “why” you are documenting it, and “why” it is relevant
Quick Reference Formats For Documentation:
•
Conference Memos:
*why did you meet?
*what did you discuss?
*what do you expect?
*what are the consequences for non-compliance?
•
Specific Incidents Memos Following An Investigation:
*statement of problem – describe the allegation
*statement re: how the problem was brought to your attention
*reference to employee’s oral and written response / explanation
*determinations (findings / conclusions)
*reference to policy violation, rule, law, etc…
*reference to previous attempts to direct / remediate (if any)
*impact of conduct on school, students, etc. (if appropriate)
*directives / remediation
*consequences for non-compliance
NOTE:
When several statements are secured from witnesses, analyze (e.g.
charts) and summarize (in a written report) the data.
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Ector County Independent School District
CHECKLIST FOR FORMAL DOCUMENTATION
Section VI.
1.
Have I used some objective means for gathering data regarding the problem?
2.
Have I shared input / feedback with the principal (if completed by assistant) and
employee?
3.
Would I take the same action / provide the same advice to every other employee?
4.
Have I listened to the employee’s side of things?
5.
Am I reacting to this person for personal reasons?
6.
Can I list a rule, regulation, policy or previous conference?
7.
Have I diagnosed the problem and prescribed for remediation?
8.
Have I provided various types of support in response to the remediation?
staff development
hands-on
demonstration
observation
resources
consultation
other
9.
Have I eliminated subjective statements or wordings as well as emotionallycharged words or phrases, as much as possible?
10.
How would I feel if I received the documentation?
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Ector County Independent School District
Effective Writing Tips
Section VII.
Only an elite few will ever win the Pulitzer Prize in writing. But even if you don’t consider
yourself an award-winning scribe, your words can have more meaning. These tips are included
in this document so that when you communicate in writing, your message is clear and
understood.
Outline. Remember what your seventh-grade teacher taught you about outlining a story before
you write it? That lesson still applies. An outline is like a good road map; it will help you get
where you’re going. It is your blueprint for constructing the written word.
Use the active voice. Writing in the passive is dull and boring. Use the subject, verb, object
construction. Sometimes this means that you must hunt for the subject.
Dull: The program was put in place by the school in January.
Better: The school started the program in January.
Avoid long, complicated sentences. One study indicates that reading matter is best understood
when sentences average 17 words. Of course, variety of expression, special emphasis, and
difficult thoughts may require departures from this rule. Strive for clear, concise sentences.
Avoid long paragraphs. Studies show that short paragraphs are more pleasing to the eye and
therefore easier to read. Reading seems faster and livelier with short paragraphs, too, especially
when columns are narrow.
Remember your reader. Take into consideration your reader’s characteristics, interests, and
knowledge of the subject. Don’t talk in codes or use jargon (see educationese). If you don’t
know what an abbreviation stands for, or you don’t understand a concept you’re explaining, how
do you expect the reader to figure it out?
Check your facts. You may need others in the district to review your piece. If not, at least
double-check your facts. Take nothing for granted, because you will be judged by your
accuracy.
Don’t fall in love with your words. Learn to edit your copy relentlessly. Delete unnecessary
words and rework where needed. If you have time, put the piece down and come back to it later
– the next day, if you can. Then read it as if you were seeing it for the first time – the same way
your reader will approach it.
Put your most important idea up front when writing for publication. This will help you
draw your reader in and get your message across early. In the same vein, start with current and
future events and leave the past for later in the story.
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Ector County Independent School District
Education jargon. Choose simple words and phrases. Effective writing does not demand big
words or fancy phrasing. For example, of the 267 words in the Gettysburg Address, 196 have
one syllable. So write naturally, with words you use in everyday conversation. Avoid
euphemisms, education jargon, and legalese.
Instead of
due to the fact that, due to
in order to
utilize, utilization
not later than
parameters
operational
remuneration
obtain
as to
provided that
in the event that
prior to
as regards, in regards to
formalize
in the amount of
until such time as
prioritize
take action
criterion
functional
impact
at the present time
in most instances
a number of
finalize
for the purpose of
whether or not
Try
because of
to
use
by
limits
working
pay, payment
get
about
if
if
before
concerning, about
develop
for
until
rank, list
act
standard
useful
effect (noun)
affect (verb)
now
usually
some
complete
for, to
whether
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Ector County Independent School District
Education jargon (cont’d)
His or her? Try to avoid sexism in writing; use her or she or him or her, if necessary. Avoid
he/she, (s)he, or other awkward constructions. When possible, rewrite to avoid the overuse of
pronouns.
Wrong: Each student placed their books on the shelf.
Better: Each student placed his or her books on the shelf.
Best: The students placed their books on the shelf.
Dr. Mr. Mrs. Ms. Miss. In writing for publication, omit courtesy titles. It is too easy to
overlook someone who has a doctorate or to misname a male as a female or vice versa. With
courtesy titles, elitism is also avoided.
Other general tips:
Sentences and paragraphs
Begin sentences with subjects and verbs, letting subordinate elements branch off to the right.
Even a very long sentence can be clear and powerful when subject and verb makes sense early.
•
Use verbs in the strongest form, the simple present or past tense. Strong verbs create
action, save words, and reveal the players. Beware of adverbs. Too often, they dilute the
meaning of the verb or repeat it: “The building was completely destroyed.” It is
sufficient to say “the building was destroyed.”
•
Place strong words at the beginning of sentences and paragraphs, and at the end. The
period acts as a stop sign. Any word next to the period gets more attention.
Language
•
Observe word territory. Do not repeat a key word within a given space, unless you intend
a specific effect.
•
Play with words, even in serious stories.
•
Dig for the concrete and specific. Details help readers see the story.
•
When tempted by clichés, seek original images. Make word lists, free-associate,
be surprised by language.
•
Prefer the simple over the technical. Use shorter words and paragraphs at the points of
greatest complexity.
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Ector County Independent School District
•
On occasion strive for mythic, symbolic and poetic. Remember that the common themes
of news writing (conquering obstacles, loss and restoration, homecoming, good versus
bad) have deep roots in the culture of storytelling.
Using graphics. When choosing graphics to accompany a written piece, keep your reader in
mind. Charts or figures that illustrate a point should be designed for simplicity, clarity, and
continuity. A good chart does the following:
•
Augments rather than duplicates text
•
Conveys only essential facts
•
Is easy to read – its elements (type, limes, labels etc.) are large enough to be read with
ease in the printed form
•
Is easy to understand – its purpose is readily apparent
Proofreading tips
•
Most important rule: Always have another person proofread what you write or type
– preferably at least one person not familiar with the work. The magic number is
three people everyone will find something different.
•
Read lines from right to left instead of the usual left to right. This helps spot hidden
typos.
•
Place the edge of a card, sheet of paper, or ruler below the line you are reading.
•
If the copy is lengthy or technical, use the team method – one person reads aloud
from the original while the other reads the new draft.
•
Read copy at least once for mechanical errors in spelling, punctuation,
grammar, capitalization, word division and typing.
•
Read the copy once for content. If something doesn’t make sense to you, chances are
it won’t make sense to someone else – so don’t hesitate to ask questions.
•
Check the accuracy of calculations.
•
If using a computer spell check, make sure you double-check words such as “of” and
“or” (the most common mistakes), “than” and “then” and “a,” “an,” and “at.”
Source: Texas Association of School Boards
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Ector County Independent School District
Section 4
SEXUAL HARASSMENT
SECTION - 4
SEXUAL HARASSMENT
Section Contents
Section Profile Sexual
harassment is a form of sex
discrimination. As a result, when it occurs on the job it
violates the laws against sex
discrimination in the workplace, including Title VII of the Civil
Rights Act of 1964.
The information provided in this section is designed to provide
an overview of sexual harassment policies and procedures an
employee can access relative to their specific employment
situation. Additional information on bullying is also provided.
Resources on both topics are included in the addendum.
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
IX.
X.
XI.
XII.
XIII.
XIV.
XV.
XVI.
XVII.
ECISD Commitment
What is Sexual Harassment(7-2)
Conduct of a Sexual Nature(7-2)
Recognizing Sexual Harassment
Examples of Sexual Harassment
Forms of Sexual Harassment
Categories of Sexual Harassment
Reporting Sexual Harassment
Sexual Harassment Prevention
Varied Circumstances
Sexual Harassment Training
Sexual Harassment & Bullying
Examples of Bullying
Characteristics of Bullying
Bullying Prevention
Bullying – Best Practices
Addendum
A. ECISD Department of Guidance and
Counseling Resources
B. Sexual Harassment Legislation,
Board Policy, Administrative Procedures
and Student Code of Conduct
C. Student Code of Conduct Table- Sexual
Harassment and Bullying
D. Bullying Legislation
E. Student Code of Conduct – Bullying
F. Investigation Complaints Checklist
– Employee to Employee - Employee
to Student
G. Investigation Complaints Checklist
– Student to Student
H. Sexual Harassment Prompt Guide
I. Sexual Harassment Questionnaire
J. Sample Quiz
K. Sample Quiz
L. Case Studies
M. Sexual Harassment Training Module
SEXUAL HARASSMENT
I. ECISD Commitment
The Ector County Independent School District is committed to the maintenance of a
healthy and positive environment for all students and employees. Mutual respect is an
essential part of our core philosophy. Therefore, a zero tolerance policy regarding sexual
harassment is in effect at all times, with severe consequences enforced for substantiated
cases.
II. What is Sexual Harassment?
Sexual harassment is a form of discrimination which is based on sex and which is
prohibited in both the workplace (under Title VII) and in the school context
(under Title IX).
Sexual harassment is defined by the Equal Employment Opportunity Commission
(EEOC) as: Unwelcome sexual advances, requests for sexual favors, or other verbal
or physical conduct of a sexual nature that occurs when (1) submission to such
conduct is made either explicitly or implicitly a term or condition of an individual’s
employment, (2) submission to or rejection of such conduct by an individual is used
as the basis for decisions affecting an individual’s employment, or (3) such conduct
has the purpose or effect of unreasonably interfering with an individual’s work
performance or creating an intimidating, hostile, or offensive working environment.
III. Conduct of a Sexual Nature
Sexual harassment can embrace verbal harassment (i.e. derogatory comments or dirty
jokes), visual harassment (i.e. derogatory or embarrassing posters, cartoons, drawing,
etc.), physical harassment, and sexual favors (i.e. sexual advances, demands)
IV. Recognizing Sexual Harassment
The conduct of the harasser must either be severe or it must be pervasive to be sexual
harassment. A single incident is probably not sexual harassment unless it is severe.
Although a single unwanted request for a date or one sexually suggestive comment might
offend you and/or be inappropriate, it may not be sexual harassment. However, a number
of relatively minor, separate incidents may add up to sexual harassment if the incidents
affect your work environment. Some questions you can ask yourself to determine whether
the conduct is pervasive are:
•
How many times did the incidents occur?
•
How long has the harassment been going on?
•
How many other people were also sexually harassed
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Ector County Independent School District
V. Examples of Sexual Harassment
The following conduct should be considered sexual harassment:
•
Unwelcome sexual advances towards another employee or a student
•
Direct or indirect threats or bribes for unwanted sexual activity (grades, jobs,
salary, etc.)
•
Sexual innuendoes and comments
•
Conduct which causes humiliation and/or creates a hostile, intimidating, or
offensive work environment
•
Intrusive sexually explicit questions
•
Sexually suggestive sounds or gestures (winks, sucking noises or pelvic thrusts)
•
Unwanted sexual flirtation or repeated and unwelcome requests for
dates/relationships with another employee
•
Repeatedly asking a person out for dates or to have sex
•
Touching, patting, pinching, stroking, squeezing, tickling or brushing against a
person
•
A neck or shoulder massage
•
Rating a person’s sexuality
•
Ogling, leering or staring at a woman’s or man’s private areas
•
Sexual ridicule
•
Frequent jokes about sex or males/females
•
Letters, notes, telephone calls or material of sexual nature
•
Pervasive displays of pictures, calendars, cartoons or other materials with sexually
explicit or graphic content
•
Stalking a person
•
Talking about sexual activity in front of others
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Ector County Independent School District
VI. Forms of Sexual Harassment: Quid Pro Quo & Hostile Work Environment
Courts have traditionally recognized two different forms of sexual harassment:
Quid Pro Quo and Hostile Work Environment.
Quid Pro Quo occurs when a person in a position of authority over another
(supervisor over a subordinate employee, teacher over a student) demands
sexual favors in exchange for a concrete benefit (continued employment,
promotion) or better grades (in school context).
Examples of Quid Pro Quo
Supervisor promises something – a job, a raise, a promotion, better benefits, better
evaluations or grades in exchange for:
a. a date;
b. a relationship; and/or
c. promise of a more “personal” relationship, spending time together, etc.
Hostile Work Environment occurs when one person subjects another to
verbal or physical conduct of a sexual nature that is unsolicited and offensive
to the victim.
Examples of Hostile Work Environment
• Negative stereotyping
• Sexually oriented calendars, magazines or jokes
• Abusive, vulgar or crude language
• References to sexual activity
• Overt sexual conduct by fellow workers
• Animosity or extreme rudeness directed at only one sex
• Overly familiar comments or names
• Comments about a person’s appearance or dress
Recent Trend
In recent years, the U.S. Supreme Court has placed less emphasis on the distinction
between quid pro quo and hostile environment and instead emphasized that sexual
harassment arises when a person with authority over another subjects the person to verbal or
physical conduct of a sexual nature that interferes with the victim’s performance or
educational opportunities
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Ector County Independent School District
VII. Categories of Sexual Harassment
1. Student to Student
a. Engaging in sexually oriented conversations with another student
b. Making comments about a student’s body parts or telling them that they
look “sexy”
c. Making suggestive gestures or sounds, winking, leers and stares
d. Touching another student in a way that makes him/her feel uncomfortable
2. Employee to Student - Flirtation or a romantic relationship with a student is
strictly prohibited.
a. Engaging in sexually oriented conversations with students
b. Phoning students at home to solicit inappropriate social relationships
c. Making comments about a student’s body parts or telling them that they
look “sexy”
d. Dating
e. Enticing a student to engage in sexual behavior in exchange for good
grades or personal gratification or threatening a student who is
unresponsive
f. Making suggestive gestures or sounds, winking, leers and stares
g. Touching students in a way that makes them feel uncomfortable
3. Employee to Employee
a. Promising employment or advancement in exchange for sexual favors
b. Pressuring other employees for sex
c. Making offensive remarks about an individual’s looks, body or clothing
d. Touching the individual in a way that makes the person uncomfortable
e. Making suggestive remarks
VIII. Reporting Sexual Harassment Complaints
A. Reporting Requirements Involving Employees
Employees who believe that they have been subject to sexual harassment must inform
Title IX Coordinator of Human Resource, at 432-456-9349. When a student is not
involved, the employee and the administrator to whom the employee makes the report
may work with the alleged harasser to find an informal resolution which will stop the
offensive behavior.
The employee will not be required to confront the alleged harasser if it makes the
employee feel uncomfortable. If the informal solution is not possible or does not work,
the employee must file a formal written complaint. The administrator with whom the
employee is working or the Chief of Human Resources will help the employee in
following the complaint process.
B. Reporting Requirements Involving Students
Student sexual harassment issues must be made immediately to the campus principal and
the Title IX Coordinator. If child abuse is suspected, an employee is required by law
to report the suspicion to Child Protective Services at 1-800-252-5400 within 48 hours
in addition to notifying the campus principal.
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Ector County Independent School District
IX. Sexual Harassment Prevention
There is no such thing as a tension-free or hostility-free work or school environment.
Interpersonal conflicts are inevitable when two or more interact regardless of whether the
relationship is employee to employee, employee to student or student to student. The
goal is not to eliminate tension, but to learn to manage it effectively so that employees
and students feel valued, respected, and supported. Remember, most employees and
students behave appropriately.
A. What Can You Do?
When deciding what to do, remember that every situation is different. There is no one
best thing to do. However, some common rules apply:
• In all situations, set a tone of appreciation and respect.
• Be proactive in identifying and reporting employee/student misconduct. Don’t
wait for a complaint to be lodged.
• Showcase and promote acceptable behaviors already exhibited in the workplace
or classroom.
• Model appropriate ways to express appreciation, interest, approval and
disapproval of workplace behaviors.
• Create opportunities for employees to practice effective strategies for managing
interpersonal tension and conflict resolution.
• Support a tough anti-retaliation policy that permits dismissing violators.
• Expand supervisor/student training and information about the subject.
• Keep eyes and ears open to prevent retaliatory acts once a case has been resolved.
B. How to Respond?
• Sexual Harassment is not determined by the intent of the perpetrator but by the
interpretation of the receiver. If the behavior is unwelcome and/or offensive to
the receiver, the behavior is inappropriate and should be reported.
•
Say “no” clearly when an advance is unwelcome and/or tell the other person that
you are not comfortable with behavior that is offensive to you.
•
When a person tells you “no” take “no” for the real answer and do not continue
the behavior.
•
Record offensive behavior including dates, time, locations, witnesses, and nature
of offense.
•
Do not become involved with sexually oriented banter, jokes, stories, distribution
of cartoons, etc. in the workplace.
•
Always conduct yourself in a professional manner in the workplace. Do not
engage in sexually oriented behavior or conversation.
•
Employees are strictly forbidden to engage in sexually oriented conversations for
personal sexual gratification, in inappropriate social relationships, or in physical
contact that would reasonably be construed as sexual in nature with students
and/or adults.
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Ector County Independent School District
B. How to Respond? (Cont’d)
• Romantic relationships between District employees and students constitute
unprofessional conduct, are prohibited, and will result in disciplinary action up to
and including termination.
•
Sexual harassment is any unwelcome hug between friends, an unwelcome request
for a date or an unwelcome expression of affection between adult employees,
especially if intimidation is intended or perceived.
•
An employee who intentionally makes false accusations of sexual harassment will
be subject to disciplinary action up to and including termination.
•
Do not be afraid to report an incident of sexual harassment. All reports are
confidential and only those individuals who need to be involved will know about
the complaint.
•
Follow district policies and procedures as referenced in board policy,
administrative procedures and employee handbooks.
X. Varied Circumstances
Sexual harassment can occur in a variety of circumstances:
•
The harasser can be the victim’s supervisor, a client, a co-worker, a teacher or
professor, a student, a classmate, or a stranger.
•
The victim does not have to be the person directly harassed but can be anyone
who finds the behavior offensive and is affected by it.
•
While adverse effects on the victim are common, this does not have to be the case
for the behavior to be unlawful.
•
The victim can be male or female. The harasser can be male or female.
•
The harasser does not have to be of the opposite sex.
•
The harasser may be completely unaware that their behavior is offensive or
constitutes sexual harassment, or they may be completely unaware that their
actions could be harmful.
•
One constant is that the harasser’s behavior is unwelcome.
(Adapted from the U. S. Equal Employment Opportunity Commission) [1]
(http://www.eeoc.gov/types/sexual_harassment.html)
4-6
Ector County Independent School District
XI. Sexual Harassment Training
Sexual harassment training is education provided to employees in order to combat the
presence of sexual harassment with both preventive and responsive measures. The
training teaches employees what sexual harassment training is and what they should do if
they experience or witness harassment at work.
Sexual harassment training should include the following items:
• Clear definition of what sexual harassment is
• District’s policy, contact information and response procedures to allegations of
sexual harassment
• Training sessions for administrators, supervisors and department heads
• Types of sexual harassment
• Examples of sexual harassment
• Record of training attendance / participation (sign-in sheet, log, etc.)
XII. Sexual Harassment and Bullying
In Schools Where Everyone Belongs by Stan Davis, researchers noted that in playground
interactions among children:
• One incident of bullying occurred every seven minutes;
• Adults intervened in only 4% of the incidents; and
• Peers intervened in only 11% of incidents.
What is Bullying? Effective September 1, 2005, HB 283 defined bullying for Texas
public schools as engaging in written/verbal expression or physical conduct that
the school board determines will have the effect of:
• Physically harming a student;
• Damaging a student’s property;
• Placing a student in reasonable fear of harm or damage; or
• Being sufficiently severe, persistent or pervasive enough to create an
XIII. What
is Bullying?threatening
as engagingorinabusive
written/verbal
expression or physical conduct th
intimidating,
environment.
XIII. Examples of Bullying
Bullying may include the following behaviors:
• Physical bullying: hitting, kicking, pushing, choking, punching
• Verbal bullying: threatening, taunting, teasing, starting rumors, hate speech
• Exclusion from activities: Adults should make every effort not to exclude any
students in academic and extra-curricular activities. Students should not be
allowed to systematically exclude others.
4-7
Ector County Independent School District
XIII. Examples of Bullying (Cont’d)
The following case studies provide two examples of the economic and emotional impact
bullying can have on students and schools:
CASE #1
•
•
•
A Seattle, Washington elementary student who, after failing a hearing test, was
harassed by a group of boys for over a year will be awarded $192,500 when she
reaches the age of 25.
Courts ruled in favor of the girl’s family when repeated attempts to report the
harassment were ignored. “We wanted to force the school district to follow the laws.
When we came forward to report something that was happening to our daughter,
they said there was no sexual harassment policy for elementary-age children.”
This case increased the school’s awareness about sexual harassment and the
emotional toll that bullying and teasing can cause children.
Rachel Tuinstra, “Bellvue District Settles Lawsuit,”
Seattle Times Eastside Bureau, November 12, 2005
CASE #2
•
•
A New Jersey student who was continually harassed for his sexual orientation
between grades four through nine was recently awarded $50, 000 dollars after filing
a discrimination complaint with the New Jersey Division of Civil Rights.
For many years, the district knew or should have known of the harassment but failed
to take effective measures to end it. According to the court, “effective measures” are
those reasonably calculated to end the harassment.
Juan J. Cruz., “Legal Issues Regarding Bullying in Public Schools,” 2005
XIV. Characteristics of Bullying
Bullying is like sexual harassment in the following ways:
• It is usually done by someone with more power or social support to someone with
less power or social support.
• It often includes the abuser blaming the target for the abuse.
• It often leads to the target blaming his/her self for the abuse.
XV. Bullying Prevention
A. What Doesn’t Work?
The following strategies are unlikely to work unless they are part of a comprehensive
intervention plan. They include:
1. Asking the victim to do the following:
• Be more aggressive
• Ignore the problem
• Blend in with their peers
• Pretend they are not bothered with the behavior
4-8
Ector County Independent School District
A. What Doesn’t Work? (Cont’d)
These approaches are rarely effective because they place the responsibility for a solution
to the problem with the victim instead of the bully.
2. Curriculum approaches that attempt to teach empathy or alternative behaviors to
the aggressor rarely work. Bullies tend to either deny their behavior or see it as
justified. They describe traditional harassment training as boring, or they fail to
identify with the presentation as something that is connected to them.
B. What Works?
Intervention measures that have proven effective in dealing with aggressive behavior
include:
1. Developing and enforcing strategies that clearly identify the consequences for
verbal and physical aggression which are predictable, inevitable, immediate and
based on uniform expectations.
2. Consequences should begin small and become more severe with repeated
aggression. Examples of appropriate consequences include loss of privileges,
extra-curricular activities, lunch with peers, etc.
3. Building positive connections between staff-student interactions. When young
people know they belong and are welcomed, they are more likely to exhibit
positive behaviors and show respect to their peers.
4. Staff behavior is a key element in effective behavior interventions. All staff
members should be trained as models for respectful behavior.
5. Provide support for victims of bullying and a safe environment from repeated
harassment.
6. Create a school bullying prevention committee to oversee efforts to reduce
aggression.
7. Address gender issues. Lyn Mikel Brown’s book Girlfighting and Michael
Kimmel’s work on homophobic bullying among boys are good resources for
action.
8. Use frequent descriptive praise for positive behaviors.
9. Develop staff-wide consensus about specific rules.
10. Maintain a school-wide reporting expectation for verbal and physical aggression.
11. Use a school-wide behavior rubric that describes a set of predictable, escalating
consequences for aggression.
12. Administer consequences for aggression centrally.
XVI. Bullying Prevention – Best Practices
We are most likely to succeed in helping young people change their aggressive behavior
when we use the principles of good teaching in our discipline interventions. Start with
identifying the “ABCs” that are crucial when helping youth change aggressive behavior.
A. Respect young people’s Autonomy. We can’t make them change. We can
increase the cost of their existing behavior by following through consistently with
consequences. We can build supportive relationships so they want to be
contributing members of the school. We can recognize their positive actions.
They will choose their behavior; we can help them see they have a choice and
help them find the best choices for themselves.
4-9
Ector County Independent School District
XVI. Bullying Prevention – Best Practices (Cont’d)
B. Maintain young people’s sense of Belonging. When we welcome youth to school
each day; when we build mentoring relationships; when consequences are seen as
being earned instead of being given in anger or rejection; when we avoid taking
their misbehavior personally; and when we maintain a positive feeling tone in the
discipline process, young people are more likely to take responsibility for
negative behaviors and to change.
C. Teach Cause and Effect thinking and promote conscience development. We help
young people see the connections between what they do and what happens to
them through using predictable, transparent, consistent discipline approaches. We
can use praise to help them connect their positive behavior with positive
outcomes. We can help them discover the positive and negative effects of their
actions on others through observation and reflection. We can use questions
instead of statements whenever possible so young people learn to think about their
own goals and about their behavior.
Stan Davis, http://www.stopbullyingnow.com, 2005
Based on Schools Where Everyone Belongs, Research Press
4-10
Ector County Independent School District
XVII. Addendum
A. ECISD Department of Guidance and Counseling Resources
The following resources are provided by the ECISD Department of Guidance and
Counseling for school administrators, counselors, teachers and parents:
1. KNOW THE CODE: Bullying – An informational brochure describing bullying
behavior, characteristics, examples and helpful tips on dealing with students who
exhibit these tendencies.
2. DON’T LAUGH AT ME – A secondary curriculum used by district counselors
to provide students with information and strategies for identifying and dealing
with bullying behaviors.
B. Sexual Harassment Legislation, Board Policy, Administrative Procedures and
Student Code of Conduct
1. Federal
• Title VII of the Civil Rights Act of 1964 – Applies to job discrimination based on
race, color, religion, national origin, or sex
Sexual Harassment – Unwelcome sexual advances, requests for sexual favors,
and other verbal or physical conduct of a sexual nature constitutes sexual
harassment when (1) submission to such conduct is made either explicitly or
implicitly a term or condition of an individual’s employment (2) submission to or
rejection of such conduct by an individual is used as the basis for employment
decisions affecting such individual’s work performance or creating an
intimidating, hostile, or offensive working environment. 42 U.S.C. 2000e, et seq.;
29 CFR 1606.8 (a), 1604.11
• Title IX of the Education Amendments of 1972 – Prohibits discrimination based
on sex and enforced by the Office of Civil Rights
2. State
• Texas Penal Code – Criminal violation for a public employee acting under the
auspices of his/her employment to intentionally subject another to sexual
harassment
3. District Board Policies for Employees
• DGBA (LOCAL) – EMPLOYEE COMPLAINTS/GRIEVANCES: Addresses
complaints “limited to allegations of specific written Board policy, specific
allegations of unlawful discrimination in employment on the basis of sex
(including allegations of sexual harassment), race, religion, national origin, age or
disability, or on the basis of the employee’s exercise of constitutional rights.”
Allows employees to proceed to the next higher step in the reporting process if the
person’s immediate supervisor is the subject of the complaint.
• DH (LEGAL AND LOCAL) – EMPLOYEE STANDARDS OF CONDUCT:
Prohibits employees from engaging in romantic or inappropriate social
relationships with students.
4-11
Ector County Independent School District
3. District Board Policies for Employees (Cont’d)
• DH (EXHIBIT) – CODE OF ETHICS AND STANDARD PRACTICES FOR
TEXAS EDUCATORS: Standard 2.5- The educator shall not discriminate
against or coerce a colleague on the basis of race, color, religion, national origin,
age, sex, disability or family status. Standard 2.6 – The educator shall not use
coercive means or promise of special treatment in order to influence the decisions
or actions of colleagues; Standard 3.6 – The educator shall not solicit or engage in
sexual conduct or a romantic relationship with a student.
• DIA (LEGAL AND LOCAL) – EMPLOYEE WELFARE: FREEDOM FROM
HARASSMENT - The district has an affirmative duty, under Title VII, to
maintain a working environment free of harassment on the basis of sex, race,
color, religion and national origin. 42 U.S.C. 2000e, et seq.: 29 CFR 1606.8 (a),
1604.11
4. District Board Policies for Students
• FFH (LEGAL AND LOCAL) – STUDENT WELFARE: FREEDOM FROM
HARASSMENT - Sexual harassment of a student by a District employee:
Includes both welcome and unwelcome sexual advances; requests for sexual
favors; sexually motivated physical, verbal, or nonverbal conduct; or other
conduct or communication of a sexual nature when:
1. A District employee causes the student to believe that the student must submit
to the conduct in order to participate in a school program or activity, or that
the employee will make an educational decision based on whether or not the
student submits to the conduct; or
2. The conduct is so severe, persistent, or pervasive that it:
a) Affects the student’s ability to participate in or benefit from an educational
program or activity, or otherwise adversely affects the student’s
educational opportunities; or
b) Creates an intimidating, threatening, hostile, or abusive educational
environment.
Sexual harassment of a student, including harassment committed by another
student: Includes unwelcome sexual advances; requests for sexual favors; or
sexually motivated physical, verbal, or nonverbal conduct when the conduct is so
severe, persistent, or pervasive that it:
1. Affects a student’s ability to participate in or benefit from an educational
program or activity, or creates an intimidating, threatening, hostile, or
offensive educational environment;
2. Has the purpose of effect of substantially or unreasonably interfering with the
student’s academic performance; or
3. Otherwise adversely affects the student’s educational opportunities.
• FD (LEGAL AND LOCAL) – ADMISSIONS
5. District Board Policies for Employees and Students
• FB (LEGAL AND LOCAL) – EQUAL EDUCATION OPPORTUNITIES:
Requires districts to designate individuals who will coordinate efforts to comply
with Title IX of the Education Amendments of 1972. Requires districts to notify
students and employees of Title IX contact information for sexual harassment
complaints.
4-12
Ector County Independent School District
6. ECISD Administrative Procedures (Students)
• F1 – Admission of Students in Grades K-12 and Registration Documentation
• F5 – Student Transfers: School Safety Choice Option (Victims of Violent
Crimes) A student who becomes a victim on a campus of one of the violent
criminal acts listed below is entitled to transfer to another grade appropriate
campus:
1. Attempted murder under Texas Penal Code Sections 19.02, 19.03, and 15.01;
2. Indecency with a child under Texas Penal Code Section 21.11;
3. Aggravated kidnapping under Texas Penal Code Section 20.04;
4. Assault on student under Texas Penal Code Section 22.01 (a)(1);
5. Aggravated assault on student under Texas Penal Code Section 22.02;
6. Sexual assault or aggravated sexual assault against a student under Texas
Penal Code Sections 22.011 and 22.021.
• F10 – Conducting Investigations of Student Offenses – The principal shall direct
all staff members to report immediately any knowledge of serious incidents,
including assault, sexual harassment, drug or weapon offenses, or any other
serious offense. In addition, first-hand or eyewitness knowledge of serious
violations, comments or suggestions made by students or employees about serious
incidents must be reported swiftly.
• D7 – Sexual Harassment Complaint Reported by a Student – Includes steps to
take when responding to a sexual harassment concern expressed by a student.
They are intended to provide guidance while conducting an investigation.
Recommended steps are not all inclusive and administrators may need to take
additional steps as the investigation proceeds. The goal of an investigation is to
gather as much information as possible regarding the complaint so that a
conclusion and plan of action can be established.
4-13
Ector County Independent School District
C. ECISD Student Code of Conduct (Sexual Harassment & Bullying)
Code
21.BB
21.BL
21.CL
(Bullying)
21.CM
(Bullying)
32.ED
Offense
Engaging in inappropriate,
unwelcome verbal, physical, or
sexual conduct that is disruptive
or offensive to another student,
District employee or volunteer, or
the school environment.
Engaging in offensive conduct
that constitutes sexual harassment
or sexual abuse, whether verbal
or physical, that may include
requests for sexual favors or other
intimidating sexual conduct
directed toward other students or
District employees. (Note: Some
conduct of this nature may be so
offensive that it also may be
classified as a felony or other
illegal offense and may therefore,
result in DAEP placement or
expulsion.)
Engaging in written or verbal
expression or physical conduct
that will have the effect of
physically harming a student,
damaging a student’s property, or
placing a student in reasonable
fear of harm to the student’s
person or of damage to the
student’s property; or is
sufficiently severe, persistent, or
pervasive enough that the action
or threat creates an intimidating,
threatening or abusive
educational environment for a
student and is regarded as
bullying.
Creation of a list of people
targeted to be harmed, using a
firearm, as defined by Section
46.01 (3), Penal Code; a knife, as
defined by Sections 46.01 (7),
Penal Code; or any other object to
be used with intent to cause
bodily harm.
Engages in conduct containing
the elements of sexual assault or
aggravated sexual assault against
someone other than a school
district employee or volunteer.
[TEC37.007(a)(2)(A)]
4-14
Level
L II – Major Offense
L II – Major Offense
L II – Major Offense
L III– Offenses for
Disciplinary Alternative
Education Program
(DAEP) Placement
Mandatory Expulsion:
Offenses Requiring
Expulsion
Ector County Independent School District
D. Bullying Legislation and Student Code of Conduct
1. State
• HB 283 – Defines bullying and requires transfer of student who is a victim of
bullying if requested by parent/s or person of authority acting on student’s behalf.
Transfers may be to another classroom at the campus to which the victim was
assigned at the time the bullying occurred or another campus in the school district
other than the campus to which the victim was assigned at the time the bullying
occurred. Attendance of a student not residing within district boundaries but
whose grandparent resides within the district is allowed if the grandparent can
provide a substantial amount of after school care for the person as determined by
the board. Certain limitations apply with transfer requests. The board of trustees
or the board’s designee must verify that bullying did occur before approving a
student transfer. The board may consider past student behavior when identifying a
bully. The determination by the board is final and may not be appealed. Transfer
hearings and appeals set forth in state statute do not apply to these transfers.
Finally, a school district is not required to provide transportation to a student who
transfers to another campus.
• HB 308 - Allows for the same type of transfer for victims of sexual assault. If the
victim does not want to transfer, the perpetrator must be transferred. Conviction or
deferred adjudication is required regardless of where the conduct occurred.
Transfer hearings and appeals do not apply, no transportation is required, and the
perpetrator must be placed in DAEP or JJAEP in the event that the student victim
does not wish to transfer. No limitations on length of placement apply.
E. ECISD Student Code of Conduct (Reference Chart on Page 7-14)
• Student Code of Conduct must:
• Prohibit bullying, harassment, and making hit lists and ensure that district
employees enforce these prohibitions.
• Provide assurances that age appropriate methods and options are available
for:
1) managing students;
2) disciplining students; and
3) preventing and intervening in student discipline problems, including
bullying, harassment and making hit lists.
• Student Code of Conduct must also provide for the prevention of and education for
unwanted physical or verbal aggression, sexual harassment, and other forms of
bullying in school, on school grounds, and in school vehicles. Examples include:
• Threatening to cause harm or bodily injury to a student;
• Engaging in sexually intimidating conduct;
• Causing physical damage to the property of another;
• Subjecting a student to physical confinement or restraint; or
• Maliciously taking any action that substantially harms a student’s physical
or emotional health or safety.
4-15
Ector County Independent School District
F.
INVESTIGATING COMPLAINTS CHECKLIST
(Sexual Harassment, Inappropriate Physical Contact, Abuse)
Student to Student Complaints
Title IX Officer – Executive Director for Student Support Services
I.
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
II. ❏
❏
❏
❏
❏
❏
❏
❏
❏
III.
❏
❏
❏
❏
❏
IV.
❏
❏
❏
❏
❏
❏
❏
❏
First Response - Analyze Nature of Complaint
Sexual Harassment
Physical Abuse
Assault
Nurse referral, if needed
Notify Title IX Officer/Immediate Supervisor
Notify SAISD Police within 6 hrs., if needed
Critical Incident Report within 24 hrs., if needed
CPS Notification within 48 hrs., if needed
Ensure compliance with FERPA
Conference with Students
Principal/Supervisor response
Secure alleged student victim’s written statement
Alleged student victim’s possible resolution to
incident?
Explain follow-up investigation process
Take measures to protect alleged student victim from
further abuse, if needed
Remind alleged student victim not to discuss details of
case with anyone other than parents/administrator,
as needed
Notify parent(s) of alleged student victim(s)
and student witnesses, as needed
Reassure student that there is no retaliation
for reporting complaint
V.
VI.
VII.
VIII.
IX.
X.
XI.
Review File, Previous Directive, and/or
Attempts to Remediate
❏
❏
Determine if problem has occurred before
Review previous action taken with student(s)
❏
❏
❏
Review Data and Determine Findings
❏
❏
❏
Conduct Conference/Hearing with Students
❏
❏
❏
❏
XII.
Determine validity of allegation
Determine if data is sufficient
Involve Title IX Office, if needed
Involve HR, if needed
Draw Conclusions
Summarize findings
Determine Course of Action
Involve Title IX Officer; Title IX Officer must be
informed of and review final investigation results
and recommendations prior to parent notification
Involve HR, if needed
❏
Make Recommendations, Issue Directives &
Remediation, as appropriate
❏
❏
❏
Communicate outcome with alleged student victim/parents
Communicate outcome with alleged harasser/parents
Recommend possible disciplinary action, if appropriate
• Group/Individual Sexual Harassment Training
• Student schedule change
• Removal of harasser to another campus
• Suspension / DAEP Placement / Expulsion
Conduct Investigation
Determine line of questioning
Identify witnesses
Interview witnesses
Collect written statements from witnesses
Keep timeline of events
Update Title IX Officer and appropriate individuals of
progress, as needed
Follow confidentiality procedures
Determine Sufficiency of Data
Additional witnesses?
Additional interviews?
Data complete?
❏
❏
Determine Scope of Investigation
Confirm type of complaint
Involve all appropriate officials and agencies
Notify appropriate supervisors/individuals of
pending investigation
Interview alleged harasser; provide opportunity for
alleged harasser to respond to the complaint verbally
and in writing
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
Conclude Investigation
Contact other relevant individuals
Sign off on findings
Close and secure records
Submit signed copy of formal documentation records
to Title IX Officer
Submit to Area Executive Director
Ector County Independent School District
Name of Person Conducting Investigation:
Date:
Campus:
G.
INVESTIGATING COMPLAINTS CHECKLIST
(Sexual Harassment, Inappropriate Physical Contact, Abuse)
Employee to Employee Complaints
Student to Employee Complaints
Title IX Officer – Associate Superintendent, Human Resources
I.
II.
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
❏
First Response - Analyze Nature of Complaint
Sexual Harassment
Physical Abuse
Assault
Nurse referral, if needed
Notify HR/Supervisor
Notify SAISD Police within 6 hours, if needed
Critical Incident Report within 24 hrs, if needed
CPS Notification within 48 hrs., if needed
Ensure compliance with FERPA
Conference with Employee
Supervisor response?
Complainant’s possible resolution to incident?
Explain follow-up investigation process
Secure complainant’s written statement
Take measures to protect complainant from
further abuse, if necessary
Remind complainant not to discuss details of case
with anyone
Notify parent(s) of complainant and parents of
student witnesses (if appropriate)
❏
❏
Determine Sufficiency of Data
❏
Review File, Previous Directive, and/or Attempts
to Remediate
❏
❏
Determine if problem has occurred before
Additional witnesses?
Additional interviews?
Data complete?
Review previous action taken with alleged harasser
VII. ❏ Review Data and Determine Findings
❏
❏
VIII.
Determine validity of allegation
Determine if data is sufficient
❏
Conduct Hearing with Employee
Involve HR
❏
❏
Draw Conclusions
❏
❏
Determine Course of Action
❏
Confirm type of complaint
Involve all appropriate officials and agencies
Notify appropriate supervisors/individuals
about pending investigation
Make Recommendations, Issue Directives,
Reprimands, & Remediation, as appropriate
❏
❏
❏
Communicate outcome with complainant
Interview alleged harasser; provide
opportunity for alleged harasser to respond to the
complainant verbally and in writing
❏
Contact HR to review any formal documentation which
may be given to an employee
❏
Determine Scope of
Investigation
Contact HR regarding appropriateness of
administrative leave for employee
IV. ❏
❏
❏
❏
❏
❏
❏
VI.
❏
❏
❏
❏
❏
III.
❏
❏
❏
V.
Conduct
Investigation
Determine line of questioning
Identify witnesses
Interview witnesses
Collect written statements from witnesses
Keep timeline of events
Update appropriate individuals of progress, as needed
IX.
X.
XI.
Summarize findings
Involve HR
Communicate outcome with alleged harasser
Recommend remedial training, as appropriate
• Group/Individual Sexual Harassment Training
• Additional training as needed
XII. ❏ Conclude
Investigation
❏
❏
❏
❏
Contact other relevant individuals
❏
Submit records to HR, if needed
Sign off on findings
Close and secure record
Submit signed copy of formal documentation
to employee
H. Sexual Harassment Investigation Prompt Guide
Sexual Harassment Investigation Prompt Guide
1. Respond to concerns
 Assure the complainant that the ECISD will do everything in its power to ensure
confidentiality (but make NO promises), prevent retaliation and stop further
harassment.
 Answer any questions the complainant may have.
2. Document
 Obtain a detailed, written report of the events from the complainant.
 During the investigation interview, keep detailed notes from each individual. If
necessary, obtain signed statements from any individuals or witnesses.
3. Follow up on the complaint
 Check with the complainant the next day to ensure that they are getting needed
assistance and that the harassment is not continuing. It may be necessary to separate
the complainant and the alleged harasser.
 Follow up with the complainant at the end of the investigation to report your findings
and what action you will take.
4. Who will be interviewed?
 Victim / complainant
 Witness to the misconduct
 Alleged harasser
 Others who may have knowledge of the circumstances
5. What questions should be asked?
 Who committed the alleged harassment?
 What exactly occurred or was said?
 When did the harassment occur?
 Is the harassment on-going?
 Where did the harassment take place?
 How did the victim react?
 Who else was present?
 Are there any notes or other physical evidence that documents the allegations?
 Did the complainant tell anyone else about the harassment?
 What remedy is the complainant seeking?
6. Other things courts will look at to determine if harassment was unwelcome:
 Complainant’s participatory conduct
 If complainant made clear behavior was unwelcome
 If complainant filed grievance or complaint
 How long the complainant waited to file complaint and why
4-18
Ector County Independent School District
I. Sexual Harassment Sample Questionnaire
Sexual Harassment Investigation
Sample Questionnaire
Name:
Campus/Assignment:
Date:
Administrator/Counselor:
1. Assure the individual that the ECISD will do everything in its power to ensure
confidentiality.
2. We will make all efforts to prevent the notion of retaliation and further harassment.
3. Ask if the person has any questions before beginning the meeting. Reassure the
individual that additional opportunities will be provided to address questions/concerns
before the interview concludes.
4. Interview Questions
 Have you ever had concerns / experiences that have caused you concern
with
?

What exactly occurred or was said?

Was this first hand experience / knowledge or has the information been relayed to
you through conversations with others? Are there others who may have
knowledge of the circumstances?

Can you recall the sequence of events that led up to this incident?

Had anything of this nature occurred prior to the incident? Please explain.

Where did this take place? Approximate time… during break? lunch? after
school?

How did you react? feel?

Have you ever had any reason to be concerned about his/her behavior around
women / men? Safety before/after school…uncomfortable that others in the area
may misinterpret his/her actions toward you?

Who else was present?

Are there any notes taken by you or given to you (from
other evidence that documents the allegations?

Did you tell anyone else about the concerns?

All that has been covered during the meeting is considered confidential and is not
to be shared with anyone… other employees, friendly conversations, etc.
) or any
4-17 Ector County Independent School District4-17
Ector County Independent School
District
4-19
Ector County Independent School District
J. Sexual Harassment Sample Quiz
Sexual Harassment Quiz
1.
True
or False
:
Pinching, patting or verbally teasing a co-worker is harmless?
2.
True
or False
:
If a person remains in a job after having been sexually harassed, he/she must be
enjoying the situation?
3.
True
or False
:
Sexual harassment is not teasing and horseplay?
4.
True
or False
:
If no touching occurs there is no sexual harassment?
5.
True
or False
:
The courts have strictly defined sexual harassment?
6.
True
or False
:
Companies are responsible for the actions of employees but not for the conduct of
non-employees present in the workplace?
7.
True
or False
:
Employees and managers can take action to prevent sexual harassment?
8.
True
or False
:
It is best to wait a month before investigating complaints of sexual harassment
because waiting gives the harasser a chance to change the behavior voluntarily?
9.
True
or False
:
If everyone laughs at dirty jokes telling them can’t be considered sexual
harassment?
10. True
or False
:
A company cannot be held liable for sexually harassing behaviors of its employees
if they all received a copy of the written policy prohibiting sexual harassment?
11. True
or False
:
Use of profane language is not sexual harassment?
12. True
or False
:
Sexual harassment occurs only when men harass women?
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Ector County Independent School District
K. Sexual Harassment Sample Quiz
Is This Sexual Harassment? (Sample Quiz)
Are the following statements true or false?
1.
2.
Sexual harassment has to be physical.
People who are sexually harassed and continue working at the same place
must not mind the harassment.
3.
Telling dirty jokes isn’t sexual harassment as long as everyone laughs.
4.
Sexual harassment is related to issues of power and domination, not sex.
5.
If someone sexually harasses you it is a compliment. That person finds you
attractive.
6.
The employer can get into trouble if s/he knows that an employee is being
sexually harassed, but does nothing about it.
7.
The supervisor can’t do anything to prevent sexual harassment.
8.
If someone is sexually harassed it usually doesn’t affect their work
performance.
9.
Sexual harassment can occur between two people of the same sex.
10.
There are laws against sexual harassment.
11.
The victim defines sexual harassment, not the courts.
12.
Employers should provide their employees with policies and penalties
regarding sexual harassment.
(http://www.icans.com/sexualharasment)
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Ector County Independent School District
L. Case Studies
Case Studies
1. Male and female student in kindergarten. Male student attempts to touch female
student and grab her underwear – this occurs more than one time. Is this
harassment? What do you do?
2. Male and female custodian. Male custodian says to female custodian, “my penis is
so large I have to roll it up.” Is this harassment? What do you do?
3. Photography teacher at high school takes revealing photos of students and
encourages the student to take revealing photos of each other. Female student
comes to you to report that she is “uncomfortable.” What do you do?
4. Female student touches other female student in an inappropriate and offensive way.
This is reported by the victim. Is this harassment? What do you do?
M. ECISD Sexual Harassment Training
Module (PowerPoint provided on disk)
Slide 1: Purpose of Training
• To develop an awareness of the serious nature of sexual harassment
• To make the district a safe place for students and employees
Slide 2: Objective for Today
To Review:
• The definition and types of sexual harassment;
• What behaviors can constitute sexual harassment;
• What laws and policies prohibit it; and
• What to do if it occurs.
Slide 3: Definition of Sexual Harassment
• Sexual Harassment is defined by the EEOC as: unwelcome sexual
advances, requests for sexual favors, or other verbal or physical conduct of
a sexual nature that occurs when:
o Submission to such conduct is made either explicitly a term or
condition of an individual’s employment;
o Submission to or rejection of such conduct by an individual is used
as the basis for decisions affecting an individual’s employment
o Such conduct has the purpose or effect of unreasonable interfering
with an individual’s work performance or creating an intimidating,
hostile, or offensive working environment.
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Ector County Independent School District
M. ECISD Sexual Harassment Training Module (Cont’d)
Slide 4: Two Types Sexual Harassment
• Quid Pro Quo
• Hostile Environment
Slide 5: Quid Pro Quo
• Quid pro quo occurs when a person in a position of authority over another
(supervisor over a subordinate employee, teacher over a student) demands
sexual favors in exchange for a concrete benefit (continued employment,
promotion) or better grades (in school context).
Slide 6: Hostile Environment – A hostile environment is created when unwelcome
advances, requests or conduct have the effect of interfering with the
performance of duties, or they create an intimidating, hostile or otherwise
offensive work or learning environment.
Examples
– Negative stereotyping
– Sexually oriented calendars, magazines or jokes
– Abusive, vulgar or crude language
– References to sexual activity
– Over-sexual conduct by fellow workers
– Animosity or extreme rudeness directed at only one sex
– Overly familiar comments or names
– Comments about a person’s appearance or dress
Slide 7: Categories of Sexual Harassment
• Student to Student
• Employee to Student
• Employee to Employee
Slide 8: Examples of Student to Student Sexual Harassment
• Pulling at clothes
• Cornering or blocking a student’s movement
• Spreading sexual rumors
• Sexual jokes
• Profanity
• Sexual name calling
• Gestures
• Leering
• Unwanted sexual touching
• Overly personal conversation
• Hiding or destroying instructional materials to impede a student’s progress
Slide 9: Employee to Student Sexual Harassment
• Engaging in sexually oriented conversations with students
• Phoning students at home to solicit inappropriate social relationships
• Making comments about a student’s body parts or telling them they look
“sexy”
• Dating
• Enticing a student to engage in sexual behavior in exchange for good grades
or personal gratification or threatening a student who is unresponsive
• Making suggestive gesture or sounds, winking, leers and stares
• Touching students in ways that make them feel uncomfortable.
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Ector County Independent School District
M. ECISD Sexual Harassment Training Module
Slide 10: Examples of Employee to Employee Sexual Harassment
• Promising employment or advancement in exchange for sexual favors
• Pressuring other employees for sex
• Making offensive remarks about an individual’s looks, body or clothing
• Touching the individual in a way that makes the person uncomfortable
• Making suggestive remarks
Slides 11 & 12: Sexual Harassment may include but is not limited to:
• Unwelcome sexual advances towards another employee or student
• Request for sexual favors in exchange for grades, jobs, salary, etc
• Threats to remove benefit for refusal to grant sexual favors
• Conduct which causes humiliation and/or creates a hostile, intimidating, or
offensive work environment
• Unwanted sexual flirtation or repeated and unwelcome requests for dates or
relationship with another employee.
• Flirtation or a romantic relationship with a student is prohibited
• Inappropriate and repeated sexual remarks or sexually oriented jokes,
cartoons, graffiti, etc.
• Inappropriate physical conduct including leering, staring, offensive gestures,
invading a person’s space, touching of a sexual nature
• Talking about sexual activity in front of others
Slide 13: General Guidelines
• Sexual Harassment is not determined by the intent of the perpetrator but by
the interpretation of the receiver.
• Say “no” clearly when an advance is unwelcome and/or tell the other person
that you are not comfortable with behavior that is offensive to you.
• When a person tells you “no” take “no” for the real answer and do not
continue the behavior
• Record offensive behavior including dates, time, locations, witnesses, and
nature of offense
• Do not become involved with sexually oriented banter, jokes, stories,
distribution of cartoons, etc. in the workplace
Slide 14: General Guidelines (cont’d)
• Employees are strictly forbidden to engage in sexually oriented
conversations for personal sexual gratification, inappropriate social
relationships, or in physical contact that would reasonably be construed as
sexual in nature with students.
• Romantic relationships between District employees and students constitute
unprofessional conduct, are prohibited, and will result in disciplinary action
up to and including termination.
• An employee who intentionally makes false accusations of sexual
harassment will be subject to disciplinary action up to and including
termination.
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Ector County Independent School District
M. ECISD Sexual Harassment Training Module
Slide 15: Reporting - Employees who believe that they have been subject to sexual
harassment must inform their supervisor and/or the Title IX Coordinator and
Chief of Human Resource Officer, Keith Garinger, @ 432-456-0990. Reports
of sexual harassment of a student must be made immediately to the campus
principal and to the Director, Guidance and Counseling @ 432-456-8554. If
child abuse is suspected, an employee is required by law to report the
suspicion to Child Protective Services @ 1-800-252-5400 within 48 hours in
addition to notifying the campus principal.
Slide 16: Federal & State Laws, School Board Policies Addressing Sexual Harassment
• Title VII of the Civil Rights Act of 1964 - Applies to job discrimination
based on race, color, religion, national origin, or sex.
• Title IX of the Education Amendments of 1972 - Prohibits discrimination
based on sex and enforced by the Office of Civil Rights.
• Texas Penal Code - Criminal violation for a public employee acting under
the auspices of his/her employment to intentionally subject another to sexual
harassment.
• DGBA (LOCAL) - Complaints
• DH (LEGAL AND LOCAL)
Employee Standards of Conduct
• DH (EXHIBIT)
Code of Ethics and Standard Practices for Texas Educators
• DIA (LEGAL AND LOCAL)
Employee Welfare: Freedom from
Harassment
• FB (LEGAL AND LOCAL)
Equal Education Opportunities
Slide 16: FFH (LEGAL AND LOCAL) – Student Welfare: Freedom from
Harassment
FD (LEGAL AND LOCAL) - Admissions
Slide 17: E C I S D commitment - Sexual harassment will not be tolerated. ECISD
is committed to the maintenance of a healthy and positive environment for
all students and staff members. Mutual respect is an essential part of the
goal.
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Ector County Independent School District
Section 5
EMPLOYEE COMPLAINTS/
GRIEVANCES
SECTION - 5
EMPLOYEE GRIEVANCES
Section Profile
Employees can file a grievance for almost any
employment reason if it is perceived and
justified by the employee that his/her
employment status was harmed or affected.
There are several avenues an employee can use
to file a grievance whether inside or outside the
District. Once a grievance is filed against a
supervisor, the decisions and actions taken by
the supervisor leading up to the grievance are
under review and consideration.
The information provided in this section is
designed to provide an overview of some of the
grievance avenues employees can access in
order to file a complaint as it relates to their
specific employment situation.
Section Contents
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
IX.
X.
XI.
XII.
XIII.
XIV.
ECISD Commitment
State and Federal Legislation
What is a Grievance?
Purpose of Grievance Process
Grievance Topics
School District Policy and
Employee Grievances
General Provisions
Grievance Steps / Levels
Other Review Processes
Sexual Harassment and the
Grievance Process
Effective Grievance Management
Conducting Employee Grievance
Hearings
Addendum
A. Grievance Process Flow Chart
B. Grievance Preparation &
Procedures Checklist
C. Guide for Level 1 Grievance
D. ECISD Board Policy: DGBA
(LEGAL & LOCAL)
Forms
A. Employee Complaint Form –
Level 1
B. Response Form – Level 1 C.
Level 2 Appeal Notice
D. Response Form – Level 2
E. Level 3 Appeal Notice
F. Sign-In Roster
G. Exhibits Form
EMPLOYEE GRIEVANCES
I. ECISD Commitment
The Ector County Independent School District provides orderly and equitable procedures
for resolving employee complaints. Employees have a right to present matters of concern
to someone in a position to grant the remedy requested. A school district must allow an
employee or his representative to make a presentation to someone in a position of authority.
The person or board hearing the grievance must consider the complaint. School boards are
not required to negotiate or even respond to grievances and complaints, but they must at
least stop, look and listen. Employees are not entitled to specific outcomes, only to an
established procedure.
II. State and Federal Legislation
• U.S. Constitution: The U. S. Constitution grants citizens the right to petition the
government for redress of grievances. U.S. Const. Amend. I, XIV.
• Texas Constitution: The Texas Constitution grants citizens the right to assemble
for their common good and the right to apply to those invested with the powers of
government for the redress of grievances. Thus, a school district must provide
parents, students, employees, and the general community the opportunity to have
their complaints and concerns heard by those in positions of authority. Tex. Const.
art. I, § 27.
• Texas Government Code: Texas law prohibits collective bargaining and strikes
by public employees, but it preserves the right to redress of grievances. “This
chapter does not impair the right of public employees to present grievances
concerning their wages, hours of employment, or conditions of work either
individually or through a representative that does not claim the right to strike.” Tex.
Gov’t. Code § 617.005.
III. What is a Grievance?
A grievance is a complaint regarding an employee’s wages, hours or work, or
conditions of work. The term “conditions of work” should be construed broadly to
include any area of wages, hours or conditions of employment, and any other matter
which is appropriate for communications from employees to employer.
IV. Purpose of the Grievance Process
• Timely Resolution: The purpose of the grievance process as described in Policy
DGBA (Local) is to provide employees an orderly process for the prompt and
equitable resolution of complaints. The Board intends that, whenever feasible,
complaints be resolved at the lowest possible administrative level.
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Ector County Independent School District
IV. Purpose of the Grievance Process (cont’d)
Informal resolution is important because it conserves resources and preserves
relationships. Resolving complaints in a timely manner before disputes evolve and
parties harden their positions is in the best interest of both the ECISD and the employee.
Additionally, since many employee concerns can be more effectively resolved through
direct communication with the immediate supervisor or through channels provided
for communication with senior staff than by resorting to this official process for
presentation of complaints, the Board expects employees to take full advantage of
those less formal processes when they are appropriate.
•
District Protection: The grievance process affords the school district with an
opportunity to correct any errors it may have made and to resolve disputes before
facing litigation, the cost of which is borne ultimately by the public. Fort Bend
Indep. Sch. Dist.v. Rivera, 93 S.W.3d 315, 318 (Tex. App.—Houston [14th Dist.]
2002, no pet.).
•
First Response: Some laws require that a potential plaintiff first exhaust the
district’s local grievance procedure before filing a lawsuit against the district or a
district employee. See, e.g., Tex. Gov’t Code § 554.006 (Texas Whistleblower Act
claims); Tex. Educ. Code § 22.0514 (suits against “professional employees” of a
school district). See also Harlandale Indep. Sch. Dist. V. Rodriguez, 121 S.W.3d
88 (Tex. App.—San Antonio 2003, no pet.) (dismissing employment related claims
against a school district because the plaintiff failed to file a grievance).
V. Grievance Topics
A. What can be grieved? Virtually anything can be the subject of a grievance. The
terms “complaint” and “grievance” have the same meaning. There are no limits to
the topics that can be the subject of a grievance. As described below, school district
policy may attempt to consolidate or streamline grievances, and certain complaints
may be governed by other district policies, but all remaining complaints may be
brought under one of the district’s general grievance policies.
B. Interpretation of Grievance Policies: State and local policy allow grievance
policies to be interpreted broadly. For employee grievances, Texas Government
Code section 617.005 has been construed broadly to include evaluations, salary
disputes, grading policies, sick leave, and “any other matter which is appropriate
for communications from employees to employer concerning an aspect of their
relationship.” Op. Tex. Att’y Gen. No. JM-177 (1984).
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Ector County Independent School District
VI. School District Policy and Employee Grievances
Guidelines for conducting grievances are usually found in Board Policy and related
administrative procedures (TASB-DGBA Local). The principal of each campus and other
supervisory personnel shall ensure that all employees under their supervision are informed
of this policy (DGBA Local – provided in the Addendum). Policies should address the
following:
• Purpose
• Notice to employees
• Definition
• Levels o One – Principal Level
o Two –
Three –
•
•
•
•
Superintendent or Designee Level o
Board Level
Timelines
Appeals to the Board
Written notice
Other review processes
VII. General Provisions
Complaints shall be heard in informal administrative conferences. All complaints arising
out of an event or related series of events must be addressed in one complaint. An
employee is precluded from bringing separate or serial complaints concerning events about
which the employee has previously complained. Costs of any complaint shall be paid by
the party incurring them.
In resolving complaints, time is of the essence. All time limits shall be strictly complied
with, unless extended by mutual consent. All references are to working days unless
otherwise stated. The appropriate administrator at each level shall respond to the employee
within ten working days of a complaint conference. Written complaints shall receive a
written response. The employee has five working days after receiving a response to appeal
to the next level. The complaint shall be considered concluded if the employee does not
appeal within that limit.
Employees shall be entitled to administrative review conferences as outlined in the Level
One, and Level Two sections, and to an informal presentation of the complaint to the Board
as specified in the Level 3 section, unless the Board grants a hearing. If an employee
alleges in writing specific facts that, if true, would constitute a violation of the employee’s
common law, statutory, or constitutional rights, the Superintendent or designee shall
investigate the allegations. If the employee does not accept the Superintendent’s resolution
at Level Two and requests a Board hearing, the Superintendent shall schedule a hearing as
specified in the Level Three section. Please note that grievances can be resolved at any
level.
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Ector County Independent School District
VIII. Grievance Steps/Levels
A. Level One – Formal Level, Principal/Immediate Supervisor
Whenever possible, complaints should be handled at the lowest possible administrative
level beginning with an informal administrative conference. An employee who has a
complaint which he or she is unable to resolve informally shall proceed to the Level
One administrative level. The formal grievance process begins when the grievant
completes a district complaint form (See Appendix, 9-34)
• Employee submits complaint in writing to principal/immediate supervisor
on a form provided by the principal/immediate supervisor within 30 days of
the time the employee first knew or should have known of the event or series
of events causing the complaint.
• Send copy of grievance notice to Human Resources, Associate
Superintendent
• Schedule meeting within ten business days from receipt of grievance
• Principal/supervisor shall notify the employee of the grievance hearing date,
time, and place.
• Determine if exhibits will be submitted during conference or with response
• Either party allowed to have conferee present
• Establish written record of grievance proceedings
• Respond in writing to the employee within ten days from the completion of
grievance hearing
• Employee has ten days after receiving response to appeal the decision to the
next level
• Complaint is concluded if appeal is not received from employee within ten
day time limit
B. Level Two – Formal Level, Superintendent or Designee
If the outcome of the hearing at Level One is not to the employee’s satisfaction, or if
the administrator does not respond in writing to the employee within ten days from the
completion of the grievance hearing, the employee may request to meet with the Level
Two party designated to hear appeals from Level One. The employee has ten days
after receiving a response at Level One to appeal to Level Two.
• Appealed directly to Superintendent or Superintendent’s designee
• Send copy of Level One appeal to principal/department head; assistant
superintendent; associate superintendent; deputy superintendent, and
Human Resources, as appropriate
• Schedule and conduct within fifteen days of receipt of written complaint;
may be extended to twenty days if agreed upon by both parties
• Superintendent or designee shall notify employee of date, time and place of
the grievance hearing at which presentation of the appeal may be given
• Either party allowed to have conferee
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Ector County Independent School District
B. Level Two – Formal Level, Superintendent (cont’d)
• Both sides allowed equal time to present case, ask questions of other party,
and provide summary statement
• Submit written record from Level One hearing
• All pertinent areas must be addressed at this level
• Set up tape recorder, sign-in sheet, exhibit sign-in sheet and exhibit labels
• Superintendent decision based on the written and verbal record that has
been established
• Superintendent or designee shall provide written response within ten days
after hearing
• Complaint is concluded if appeal is not received from employee within ten
day time limit
C. Level Three - Formal Level, Board of Trustees
If the outcome of the hearing at Level Two is not to the employee’s satisfaction, or if
the administrator does not respond in writing to the employee within ten days from the
completion of the grievance hearing, the employee may request to meet with the Level
Three party designated to hear appeals from Level Two. The employee has ten days
after receiving a response at Level Two to appeal to Level Three.
• Appealed directly to ECISD Board of Trustees
• Send copy of Level Two appeal to principal/department head; assistant
superintendent; associate superintendent; deputy superintendent, and
Human Resources, as appropriate
• Coordinated through the Human Resources Department and held at next
regularly scheduled board meeting or special board hearing
• Human Resources shall notify employee of date, time and place of the
grievance hearing at which presentation of the appeal may be given
• Held within thirty days of receipt of appeal, unless otherwise agreed upon
by all parties involved
• Conducted in executive session unless employee requests open session
• Either party allowed to have conferee
• Both sides allowed up to thirty minutes to present case as determined by
Board President
• Presentation must be clear, concise and thorough
• Entire record, including written record and transcript of Level Two hearing,
is brought forward
• Audio- taped recording of Level Three proceeding will be made by the
district
• Board Members are provided copy of record before Level Three hearing is
conducted
• Following presentation, Board may deliberate in closed session
• Decision based on established record
• Board decision will be communicated to employee in writing at any time
up to and including the next regularly scheduled Board Meeting
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Ector County Independent School District
IX. Other Review Processes
Some complaint topics are governed by other review processes and are not subject to this
policy. Employee termination procedures are found in policy series DF and at DCD
(Local). An employee’s dismissal or non-renewal may be the subject of a complaint under
this policy only if the District does not otherwise provide for a hearing on the matter. For
third party complaints against police officers, see CKE (Legal).
X. Sexual Harassment and the Grievance Process
No procedures or steps in this policy shall have the effect of requiring the employee
alleging sexual harassment to present the matter to a person who is the subject of the
complaint. The employee may proceed to the next higher level. [See also DIA (Local);
Effective Employee Practices Manual – Sexual Harassment]
At any time during the grievance process, the employee or the person who hears the
complaint may turn a complaint of sexual harassment over to a Title VII coordinator, who
shall be responsible for conducting an investigation of the facts, facilitate mediation
between the complainant and the person against whom the complaint has been directed,
and/or make recommendations to the Superintendent. [See DAA (Local)]
The Title IX coordinator shall have the power to require employees to fully cooperate in
the investigation of any such complaint.
Upon referral to a Title IX coordinator, the complaint process initiated under this policy
shall be abated until the completion of the Title IX coordinator’s investigation and/or
mediation services, and until appropriate recommendation have been made to the
Superintendent. The Superintendent shall be apprised of all proposed settlement
agreements between the parties and consider recommendations by the Title VII
coordinator.
The Superintendent may adopt the recommendations of the Title IX coordinator as the
Superintendent’s own findings and disposition, or may conduct, individually or through a
designee, a review of the complaint at the Superintendent’s level for complaint appeals
under this policy, at which level the matter shall either be settled or the complainant may
proceed to Level Three for complaint appeals under this policy.
XI. Effective Grievance Management
The fact that a “grievance” or dispute exist should not be viewed as a problem in and of
itself. It’s important that employees have outlets or avenues for addressing these problems.
It is also important that administrators feel the grievance process is fair, safe and free from
intimidation. Tips for managing employee grievances effectively are herein provided.
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Ector County Independent School District
A. Pre-Conference
• Know, understand and be able to quickly communicate, verbally and in writing,
district policies and procedures for grievant and participants
• Prepare. Know and fully understand what the issues are in advance of formal
and/or informal meetings:
o Review the grievance carefully
o Identify any documents that may be presented as exhibits
o Consider information that will support administration’s position and/or
refute the employee’s position
o Review pertinent policies and procedures
• Consider how exhibits, witnesses, and other procedural issues will be addressed.
• Determine the grievance format – will you primarily listen and ask questions for
clarification purposes or will you work toward solutions in the conference?
B. Conference
• Use appropriate communication skills. o Avoid being defensive in your tone
and actions o Avoid using inflammatory words o Ask questions that are
designed to discover
• Listen attentively. o Address concerns
o Read between the lines; identify the “real” problem o Propose solutions to
the problem
•
•
•
•
•
•
Establish a neutral atmosphere during the grievance conference.
Consider the grievance from the employee’s point-of-view.
Maintain objectivity.
Stay calm – remove emotional issues.
Resolve the dispute in an informal manner, if possible.
Maintain focus. Avoid digressing or bringing in unrelated issues (or allowing
the grievant to bring in unrelated issues).
• Control interruptions and distractions during the grievance conference.
• Look for solutions.
o Is granting or denying the grievance going to interfere with the operation,
constitutional rights, etc? Be open, honest and objective.
• When proposing solutions, provide enough information to be clear but not so
much that it can generate other arguments.
• Look for a win-win solution.
o Not winning does not necessarily mean that you have lost anything. There
may be things that are beyond your control. Do what needs to be done and
move forward.
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Ector County Independent School District
C. Post-Conference
• After the conference, analyze the issues and all related information.
• Determine if there is a legitimate reason or basis for the grievance.
• Respond in writing to the employee within the time limits established by policy.
• Once a final decision is reached, implement it fairly; however, be aware of
behaviors that could be perceived as retaliatory.
XII. Conducting Employee Grievance Hearings
A. Procedural Guide for Level 1 Hearings
1. Make arrangements for the hearing to be conducted in a quite and private area, free of
distractions and interruptions. Allow sufficient time for the hearing, so that all of the
issues can be addressed. As a rule of thumb, hearings at this level may last for at least
an hour if there is more than one issue involved.
2. Introduce yourself as the presiding officer. Indicate the date of the hearing for the
record. (For example: It is April 14th, and I will now hear the Level One
Complaint/Grievance presentation for Ms. _________. The Level One Grievance is
being held in accordance with the District’s policy DGBA (LEGAL) & (LOCAL).
3. Ask all participants to introduce themselves. In an employee Grievance it is not
necessary to tape the conference.
4. Review the Grievance procedures which are as follows:
•
Give a specific time limit for each presentation
•
Use your judgment – usually not more than 20 minutes per side with a rebuttal
included (this is not mandatory, if more time is needed use your best judgment
in allotting more time.
•
Go over the order of presentation – Grievant presents first followed by
Administration.
5. Go over the rules of the Grievance:
•
Only one person talks at a time
•
Any disruptive behavior by any party may result in his or her removal
from the hearing room
•
The participants shall conduct themselves with common courtesy and respect
for the rights of others
•
Hearings at this level does not have to be taped; it is strongly suggested that
you tape the hearing. If you choose not to tape the hearing, be able to
provide detailed notes to the Level II Hearing office.
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Ector County Independent School District
•
Proceed with the hearing. If there are numerous issues and information, it
may be easier to deal with them one at a time. If you prefer to let them
present all of their issues at one time, then you can respond after they finish.
6. Maintain a focus on the specific issues that are related to the hearing. Don’t digress,
but don’t overly restrict discussion in a way that prevents important matters from
being addressed. Keep in mind that the purpose of the hearing at this level is to
reveal and deal with as many of the issues that are related to the grievance as
possible. In other words, you are trying to understand the issues and find resolutions
if at all possible. For this reason, dialogues can be very helpful provided the
appropriate focus is maintained. Advanced preparation, on your part, is critical.
7. Maintain control of the hearing. Set the tone for the hearing in a business-like but
approachable manner. The meeting should be conducted in an office, preferable
yours, and in a formal arrangement.
8. Begin the meeting by stating the purpose, covering ground rules and outlining the
agenda. A sample script follows:
“We are here today for the purpose of hearing the grievance that you filed.
I am (your name), principal at (your school), and I have asked (HR
representative) to be here on my behalf.” Introduce all parties in
attendance at the meeting.
“We will begin today’s proceedings by having you and/or your representative present
your grievance and the rationale for such, as well as the remedies that you are
requesting. I will listen, take notes, and ask questions for clarification throughout
the presentation. If the need arises, I will interject comments as appropriate. Upon
completion of your presentation, or as we proceed, I will respond to the issues and
address the remedies requested.”
“Are there any questions?” If so, allow them to be presented now. “If not, then
please proceed.”
9. Administration presentation- Make sure you understand the problem and the remedies
requested. You may respond at this time but it is not necessary. However, many
times it is helpful in reaching a resolution. (For example, “Help me understand how
this happened.” “How can this situation be resolved?”)
10. Parties should work towards the goal of resolving the Grievance. If the need arises
during the hearing, communicate with your conferee if someone is attending in that
capacity. Write notes or request a break if you need to clarify some things before
proceeding.
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Ector County Independent School District
11. Generally, you will refrain from making final decisions until after the meeting has
ended, as this will allow you sufficient time to reflect on the issues and the
discussion. The final decisions, including the remedies requested, must be
communicated in writing to the employee within ten (10) working days of the
hearing. If, however, you find some areas of agreement that can be addressed during
the hearing, then do so, particularly if they relate to the remedies that the employee
has requested.
12. After both sides have presented testimony, asked and responded to questions, or
clarified important points, it is then time to conclude the meeting. End the Grievance
by excusing all parties from the Grievance. Sample statements follow:
“This concludes the hearing. I will consider the issues that have been
brought forth and get back with you in writing within ten (10) working days.”
or
“This concludes the hearing. I will reaffirm my position regarding this
matter in writing and get back with you within ten (10) working days.”
or
“This concludes this part of the hearing. Based on some of the
information presented (and/or the request for testimony from
witnesses), more time will be needed to address this matter. We will
need to reconvene at a later time.” If this is the case, establish another
time for a meeting. or
“In accordance with District Policy DGBA (LEGAL) & (LOCAL),
a written decision will be made and provided to the Grievant within
appropriate timelines.)
13. Depending on the specifics of the case, the employee may request that witnesses be
present or that testimony from witnesses be submitted. If you decide to allow
witnesses to participate, have them enter the meeting at the point that their
contributions are relevant. If you determine that you need witnesses to provide
testimony, either verbally or in writing, you may need to secure that information after
the meeting and reschedule a follow-up meeting. If only written testimony is
necessary, then you could provide the employee and the conferee with a copy, which
may mean that another meeting is not necessary. Don’t feel pressed to make a
decision about this issue at the time. If you have a question about the best way to
handle the situation, call Human Resources if someone from that office is not already
involved in the meeting.
14. After the hearing, review all of the issues related to the grievance document and the
presentation during the hearing. Reference any additional documents or materials as
needed. Prepare the decision and submit it in a timely manner to the employee with a
copy to his/her conferee and your conferee, as appropriate.
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Ector County Independent School District
B. Procedural Guide for Level 2 Hearings
1. Introduce yourself and have each person in the room identify themselves for the
record. Consider having a sign-in sheet, asking each person to print name, title,
and side of the issue the individual represents.
2. Announce the procedure that will be followed to all present at the beginning of the
hearing. In this type of hearing, it is not necessary to swear the witnesses. The
employee and administration are permitted to have a representative present.
3. The Level 2 grievance hearing will be conducted as informally as possible while
maintaining decorum and order. Shouting, unruly conduct or vulgar language is not
permitted unless it is part of the evidence. Name calling or personal attacks are not
permitted. Anyone who fails to follow these rules of procedures may be excluded
from the hearing. Misconduct or violation of the rules should be addressed
immediately in order to let all participants know that you intend to maintain control.
4. Ask each side to introduce themselves and note any pre-hearing conferences that
may have taken place in an effort to clarify issues prior to the Level 2 grievance.
You might also require both sides to advise you of what facts are in dispute, if any,
in order to determine if the complaint can be handled on stipulations and written
briefs, rather than oral testimony. This procedure is especially effective in situations
where there is vaguely written or over-broad complaint you cannot understand, or if
the person being complained about requests clarification.
5. It would be permissible and appropriate (but not required) to ask the employee or
representative before the hearing begins for the names of each witness and to
provide a short synopsis of what each witness is expected to testify. As hearing
officer, you may determine the nature of the statement that the witness (es) would
give. You may decide whether, in your opinion, the witnesses will add anything to
the statement made by the aggrieved employee or representative. Whether you
allow a witness to make a statement should be liberally construed in favor of the
aggrieved employee. On the other hand, if a witnesses’ expected testimony is
obviously immaterial (unimportant or without weight) or irrelevant (inapplicable to the
matter at hand) do not allow the testimony. If the witnesses’ expected testimony is
merely cumulative of other witnesses’ expected testimony, consider allowing the
employee to submit affidavits from the witnesses or secure an agreement from the parties
present that if called to testimony, “such & such” would be the testimony, rather than
take everybody’s time at this level.
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Ector County Independent School District
6. Along the same lines expressed in number (5) above, once a grievance gets to this
level and a hearing date is set, consider sending a directive to the grievant or his/her
representative requiring the following:
a.
b.
That within a stated period of time (before the hearing date), the grievant
shall advise you and the person against whom the complaint is directed of
the names of the grievant’s witnesses who may be called; and
That a written synopsis be given of the expected testimony from each.
The other side would also be given a period of time within which to do the same,
but only after learning who the grievant’s witnesses may be. In this same
communication, advise the parties that you will be available for a pre-hearing
conference at either side’s request, should that be considered necessary or you
may decide to call one for your own purposes.
7. Ask how much time will be needed in order to make the presentation of the
grievance and hold the complainant to that amount of time (within reason). If the
time requested is excessive, it would be within your prerogative to shorten the
time to a reasonable length. Obviously, the more complicated the issue, the more
time required. It is reasonable, as hearing officer, to control the length of the
hearing in the sense of avoiding non-relevant and repetitive or cumulative
statements.
8. It would not be unusual to permit a request that all witnesses be excused from the
hearing room until called. This is called, in legal terms, “invoking the rule.” On the
other hand, there is nothing in law at this level of proceeding to require the witnesses
be excused until called. Most hearing officers, however, would probably allow
either party to invoke the rule. If you do, have all witnesses come into the room and
admonish them not to discuss their statements, testimony or knowledge of the case
among themselves or with anyone other than the legal representatives for the
aggrieved employee or Administration. Separate witness rooms for each party’s
witnesses should be provided, if possible. If nobody invokes the rule or if it is not
invoked prior to the start of the testimony, it is normally considered waived, although
you have the prerogative of invoking the rule yourself.
9. As part of your explanation of the procedure, and as a measure of control over the
time allotted to conduct the hearing, both the employee and Administration should
be advised that the employee will state his/her full case first and put on witnesses,
then the Administration will state its full case and put on witnesses, if any. Unless
you have questions for either side or if you want something in the record that isn’t
in it at that point, that will conclude the hearing. If, at any time, you believe the case
needs to be continued in order to insure that additional, pertinent, information is
included in the record, you have the right to do it. Cross examination of the witnesses
may or may not be allowed, but if you do allow questioning of the parties and
witnesses, consider the procedure set out in paragraph #14 below.
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Ector County Independent School District
10. At the hearing: The employee or representative should be asked to first make a brief
statement, stating for the record the nature of the complaint and the specific relief
sought. If it differs from the written grievance (with which you should be familiar),
you will have to decide to either allow the hearing to continue or refer the matter
back to the previous step in the grievance policy to address any new issue. Ask if it
is possible to waive the grievance procedure and go on with the issues set out in the
written grievance document or go back to the previous step to initiate a new
grievance issue. At this point, convey to the parties the importance of following the
grievance policy, as follows:
a.
b.
Provides the opportunity for employees to address and resolve conflicts at
the lowest possible level with someone in a position of authority to correct
the problem; and
Provisions will be made to conduct a hearing that is fair and impartial to
both sides.
11. After the employee or representative makes an initial brief statement of the nature of
the complaint and specific relief sought, the employee or representative may then
make a detailed statement that provides you with sufficient details to understand the
complaint and the reasons why the employee believes he/she is entitled to the relief
sought.
12. Once the employee or representative has made a detailed statement of what he/she
expects to present, Administration is then entitled to make a statement in rebuttal, or
you may allow Administration to wait until the conclusion of the employee’s
presentation before making a statement rebuttal. When necessary to support why (or
if) Administration did or did not take whatever action or inaction is complained
about, Administration should be given the same latitude to call witnesses as the
grievant. Follow the same procedural format as is followed for the employee by
asking who Administration’s witnesses are and what the expected testimony will be.
Determine the materiality and relevancy of the expected testimony and allow the
same leeway as you did for the grievant. Ask for a time frame and try to keep
Administration within that time, if possible.
13. As hearing officer, you control the hearing. Do not allow a continuing dialogue back
and forth between the grievant and the other party or witness. To do so will usually
allow non-relevant, repetitive statements to enter the record, which will tend to
confuse anyone else who is reading the record - for example, Board members at the
next level of the grievance policy. Your job, then, is to try and resolve the grievance,
if possible, and create a record that is clear and concise in case the matter has to go
to the Board level. Because of the intent to create an informal procedure at the
hearing, you do not necessarily have to permit cross statements relating specific,
relevant events to assist you in making a decision. An effective procedure for
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Ector County Independent School District
14. Questioning witnesses by the other side might be to have each respective side direct
any questions that they may have of a party or witness to you as hearing officer.
15. It is within your discretion to either allow or disallow rebuttal statements. Rebuttal
statements should be allowed only when it is apparent to you that clarification or
explanation is needed about evidence that has already been presented.
16. You are permitted to ask any person giving a statement a question relevant to the
hearing.
17. The burden of proof in a grievance hearing is on the employee. The burden of proof
is met when a grievant has presented the greater weight of believable evidence. For
this reason, the employee presents his/her case for relief first.
18. After each side presents its statements and evidence, the employee or representative
should be permitted to make a summary statement, again explaining concisely why
the employee is entitled to the relief sought. Following the employee’s summary,
Administration should be permitted to make a concise summary statement,
explaining why Administration believes the relief sought should be denied.
Arguments at this stage of the proceedings must be relevant to the evidence that
admitted during the hearing in chief.
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Ector County Independent School District
XIII. Addendum
Templates
A. Grievance Process Flow Chart
B. HR Grievance Preparation & Procedures Checklist
C. Level 1 Grievance Guide / Level 1 Helpful Hints
D. DGBA (LEGAL & LOCAL)
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Ector County Independent School District
GRIEVANCE PROCESS FLOW CHART DGBA LOCAL
Whenever feasible, complaints should be resolved at
the lowest possible administrative level.
INFORMAL ADMINISTRATIVE CONFERENCE
If unable to resolve…
LEVEL 1
Immediate Supervisor
An employee who has a complaint shall request a meeting with the party designated herein for initial complaint
resolution within 15 days of the time the employee first knew or should have known of the event or series of events
causing the complaint. The employee bringing the complaint shall submit the complaint in writing. Unless otherwise
agreed between the parties, the Level 1 meeting shall be conducted within ten days of receipt of written complaint.
The Human Resources department shall notify the employee of the date, time, and place of the grievance hearing at
which the complaint may be given. The administrator shall respond in writing to the employee within ten days from
the completion of a grievance hearing. The employee has ten days after receiving a response to appeal to the next
level. The complaint shall be considered concluded if the employee does not appeal within that time limit. If unable
to resolve…
LEVEL 2
Superintendent or Designee
If the outcome of the hearing at Level 1 is not to the employee’s satisfaction, or if the administrator does not respond
in writing to the employee within ten days from the completion of the grievance hearing, the employee may request to
meet with the Level 2 party designated to hear appeals from Level 1. The employee has ten days after receiving a
response at the Level 1 to appeal to Level 2. Unless otherwise agreed among all parties, the Level 2 meeting shall be
conducted within 15 days of receipt of the written complaint; in extenuating circumstances, the time period may be
extended to 20 days. If this 15-day period for a Level 2 hearing falls during the summer months when employees
involved in the hearing are not on duty, the hearing will be conducted as soon as practical following the return of all
parties to duty, or earlier when agreed upon by all parties involved, or when otherwise necessary to comply with
DGBA (LEGAL). If unable to resolve…
LEVEL 3
Superintendent/Board
If the outcome of the hearing at Level 2 is not to the employee’s satisfaction, or if the superintendent or his designee
does not respond in writing to the employee within ten days from the completion of the grievance hearing, the
employee may request to meet with the Level 3 party designated to hear appeals from Level 2. The employee has ten
days after receiving a response at Level 2 to appeal to Level 3. The complaint shall be considered concluded if the
employee does not appeal within that time limit.
Ector County Independent School District
HUMAN RESOURCES
GRIEVANCE PREPARATION & PROCEDURES CHECKLIST
Level I
Send copy of grievance notice to principal/supervisor or assistant
superintendent, if needed
Contact representative and schedule meeting within (10) ten business days
Secure meeting location
Send confirmation notices to principal and representative
Meet with principal to review issues and prepare
Determine if exhibits will be submitted during conference or with response Hold
Level I conference
Remind principal to send draft of written response for review within (5) five
business days of grievance meeting
Submit response within (10) ten business days
Monitor timeline for appeal
Level II
Send a copy of Level I appeal to principal/department head; assistant
superintendent; associate superintendent; deputy superintendent, as
appropriate
Contact representative, administrators and hearing officer to schedule Level II
hearing within (10) ten business days or up to (15) fifteen business days if
both parties agree
Secure meeting location
Submit Level II notice with timelines stipulated for exchange of documents
Prepare exhibits from grievant/representative and copy for principal /
department head
Receive exhibits from grievant / representative and copy for principal /
department head
Copy all related documentation and give to hearing officer for review prior to
Level II grievance meeting
Inform principal / department head to arrange for grievant to have classroom
coverage (teachers) and leave 30 minutes – 1 hour before scheduled time for
grievance
Set up tape recorder, sign-in sheet, exhibit sign-in sheet and exhibit labels
Meet with principal to prepare for grievance use planning form
Hold Level II conference
Monitor timeline for hearing officer’s response
Monitor timeline for Level III appeal
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Ector County Independent School District
Level III
Send copy of Level II appeal to principal / department head
Contact attorney, Director of Board and Superintendent Service,
Superintendent, principal and representative
about potential date
Secure date, meeting location and send notice
Transcribe tapes
Prepare documentation
Send to Printing Services Department (15 copies)
Distribute grievance document to appropriate parties (superintendent, board
members, school district attorney, associate superintendent, Human
Resources, principal / department head, representative and grievant) via pony
mail or hand delivery
Meet with principal / department head to prepare
Set up tape recorder
Hold Level III conference
Retrieve tape recorder and other items set up for Level III conference
Submit written response to grievant / representative and principal /
department head
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Ector County Independent School District
EMPLOYEE GRIEVANCES
FAQ’s
Q. What topics can be grieved?
A. Complaints under this policy shall be limited to allegations of violations of
specific written Board policy, specific allegations of unlawful discrimination in
employment on the basis of sex (including allegations of sexual harassment),
race, religion, national origin, age, or disability, or on the basis of the employee’s
exercise of constitutional rights. [See DIA (LOCAL)] A complaint must specify
the individual harm alleged. Topics may center on evaluations, salary disputes,
grading policies, sick leave and other appropriate employee to employer issues
regarding an employees’ condition(s) of work.
Q. Can a grievance be denied if proper grievance channels have not been followed?
A. If a grievant fails to follow the district’s local grievance process, the board may
deny the grievant the opportunity for a hearing on the merits.
Q. Can a grievance be settled during the comment section of a board meeting?
A. A grievant who appears during the open comment portion of a board meeting has
not properly invoked the district’s grievance policy.
Q. How can individuals initiate the grievance process?
A. Completing the district complaint form found in Exhibits DGBA as found in the
addendum to this section and/or completing a formal complaint in writing to
principal or immediate supervisor.
Q. Which policies govern the grievance process?
A. DGBA (LOCAL) for employee grievances; FNG
(LOCAL) for student and parent grievances; and
GF (LOCAL) for grievances by all others, including vendors and taxpayers
Q. What is the timeline for filing a grievance?
A. Grievances must be filed within 30 business days of the time the grievance knew
or should have known of the event giving rise to the grievance. Timelines are
strictly followed unless modified by mutual written consent.
Q. Is there an appeals process for grievances filed outside of the established timeline?
A. Yes. Even when a grievant apparently fails to file a timely grievance, the district
should permit the grievant to proceed through all levels of the grievance process
if the grievant wishes to argue that the complaint is timely.
5-18
Q. Can a grievant be represented by an attorney?
A. An employee (or group of employees) may be represented at any level by an attorney
or any other person or organization that does not claim the right to strike.
Q. Can a district be represented by an attorney?
A. A school district may involve attorneys either to offer advice about handling
grievances or to appear at grievance hearings.
Q. Who pays for legal fees for attorney representation?
A. Each party to a grievance is responsible for paying its own costs.
Q. What are the levels of the grievance process?
A. Level One – Formal complaint filed in writing to principal or immediate supervisor;
Level Two – If no Level One resolution, employee may appeal directly to the
Superintendent or Superintendent’s designee; and
Level Three – If no Level Two resolution, employee may appeal directly to the
Board of Trustees.
Q. What happens at a grievance hearing?
A. The grievant has a chance to state their case. The administration will have a
chance to respond. The board then considers and decides the grievance. The
hearing will be recorded at Levels 2 and 3.
Q. What happens if a board cannot make a decision?
A. If the board fails to reach a decision regarding the complaint by the end of the next
regularly scheduled meeting, the lack of a response upholds the administration’s
decision at the preceding level and the timeline for appeal to the commissioner
begins to run.
5-19
Sample Grievance Response Form – Level 1
[Official Letterhead]
Name of Employee
Address
Odessa, Texas [zip]
Date:
RE: LEVEL 1 GRIEVANCE
Dear:
The purpose of this correspondence is to formally respond to a grievance that was filed on
__________________________.
The grievance was filed based on your concerns [outline the issues]:
The grievance can be resolved by taking the following remedies as discussed in the
grievance [provide remedies stated in grievance]:
Having considered the information and facts presented in the grievance, the following
response is provided:
With respect to your request for [list the request and make a statement as to whether the
request(s) is granted or denied]:
(For example:
a) For the following reasons, I am unable to provide the remedy you seek:
b) I will take the following action(s) to grant the remedy you seek for your
complaint:
c) Although I am unable to provide the full remedy you seek for your complaint,
I will take the following actions to provide the partial remedy: )
In closing, let me assure you that I am committed to the equal and fair treatment of all
faculty and staff members at [organization] as I highly value professional behavior from
all members and staff, including myself. Thus, I can assure you, [name of employee], that
you will always be treated fairly and professionally at all times. I trust that these
determinations will allow us to move forward and focus on our foremost priority, our
students.
Sincerely,
[Name]
[Title]
C: Thomas Crowe, Superintendent
[Name of organization, if grievance submitted by organization]
5- 20
XIV. Addendum
Forms
A. Level 1 - Employee Complaint Form
B. Sample Grievance Response Form – Level 1
C. Level 2 Appeal Notice
D. Response to Level 2 Appeal
E. Level 3 Appeal Notice
F. Sample Grievance Sign-In Roster
G. Sample Grievance Exhibits Form
5-21
Employee Complaint Form – Level One
To file a formal complaint, please complete this form and submit it by hand delivery, fax,
or U.S. mail to the appropriate administrator within the time established in DGBA
(LOCAL). All complaints will be heard in accordance with DGBA (LEGAL) and
(LOCAL) or any exceptions outlined therein.
1. Name ________________________________________________________________
Position ___________________________ Campus/Department _________________
2. Please describe the decision or circumstances causing your complaint (give specific
factual details).
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
3. What was the date of the decision or circumstances causing your complaint? _______
_____________________________________________________________________
4. Please explain how you have been harmed by this decision or circumstance. _______
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
5. Please state specific facts of which you are aware to support your complaint (list in
detail). ______________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
6. Please describe the outcome or remedy you seek for this complaint. _____________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Employee Signature: _____________________________________________________
Signature of employee’s representative: ______________________________________
Date of filing: ___________________________________________________________
Texas Association of School Boards
Legal Services Division
5-22
Sample Grievance Response Form – Level One
Date
Address
Re: Response Level One Conference
Dear _________________:
On (Date) the parties met to discuss the Level One Grievance filed by
_____________________. In attendance at this meeting were: (list all parties in
attendance).
In the Level One Complaint/Grievance, Mr. /Ms. ______________ alleges the
following:
(For example, Ms. ____________ believes that she received ratings of “Below
Expectations” and “Unsatisfactory” on her appraisal because her supervisor wants…)
Discussion of information provided:
(For example, include evidence provided or testimony provided that you considered in
making your decision)
Having considered the complaint we discussed in our Level One conference on
___________ (date), I have decided on the following response:
(Please note: include one of the following sentences.)
For the following reasons, I am unable to provide the remedy you seek: ______________
________________________________________________________________________
________________________________________________________________________
I will take the following action/s to grant the remedy you seek for your complaint: _____
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Although I am unable to provide the full remedy you seek for your complaint, I will take
the following actions to provide the partial remedy: ______________________________
_______________________________________________________________________
_______________________________________________________________________
________________________________________________________________________
___________________________________________________
Signature of Supervisor, Principal or Appropriate Administrator
Complainant, please note: To appeal this response, you must file a written notice of appeal with the
appropriate administrator within the time limits set in DGBA (LOCAL).
5-23
Level Two Appeal Notice
To appeal a Level One decision, or the lack of a timely response after a Level One
conference, please complete the form and submit it by hand delivery, fax or U. S. mail to
the Superintendent or designee within the time established in DGBA (LOCAL). Appeals
will be heard in accordance with DGBA (LEGAL) and (LOCAL) or any exceptions
outlined therein.
1. Name
________________________________________________________________
Position ___________________________ Campus/Department _________________
2. If you will be represented in voicing your appeal, please identify the person
representing you.
Name: _______________________________________________________________
Title: _______________________________________________________________
Phone: ______________________________________________________________
3. To whom did you present you Level One complaint? _________________________
____________________________________________________________________
Date of Level One conference? ___________________________________________
Date Level One response was received? ____________________________________
4. Please describe in detail your disagreement with the Level One response: _________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
5. Please attach a copy of your original complaint and any documentation submitted at
the Level One hearing.
6. Please attach a copy of the Level One response being appealed, if applicable.
Employee Signature: _____________________________________________________
Signature of employee’s representative: ______________________________________
Date of filing: ___________________________________________________________
Texas Association of School Boards Legal Services Division
5-24
Response to Level Two Appeal
Date: _____________________________________________
Name of Complainant: _______________________________
Address of Complainant: _____________________________
Dear ____________________________:
Having considered the appeal you presented at Level Two on _______________ (date), I
have decided on the following response:
(Choose one of the following sentences.)
I am unable to grant your appeal. I will uphold the decision made at Level One by
____________________ (name) and communicated to you in the Level One response.
I wish to grant your appeal and have instructed ________________________ (name) to
find a resolution in keeping with the remedy you seek.
Although I am unable to fully grant your appeal, I have instructed ________________
(name) to take the following actions as partial remedy to your complaint:
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
Superintendent Signature or Designee: _______________________________________
Complainant, please note:
To appeal this response, you must file a written notice of appeal with the appropriate
administrator within the time limits set in DGBA (LOCAL).
Texas Association of School Boards
Legal Services Division
5-25
Level Three Appeal Notice
To appeal a Level Two decision, or the lack of a timely response after a Level Two
conference, please complete the form and submit it by hand delivery, fax or U. S. mail to
the Superintendent or designee within the time established in DGBA (LOCAL). Appeals
will be heard in accordance with DGBA (LEGAL) and (LOCAL) or any exceptions
outlined therein.
1. Name
________________________________________________________________
Position ___________________________ Campus/Department _________________
2. If you will be represented in voicing your appeal, please identify the person
representing you.
Name: _______________________________________________________________
Title: _______________________________________________________________
Phone: ______________________________________________________________
3. To whom did you present you Level Two complaint? _________________________
____________________________________________________________________
Date of Level Two conference? ___________________________________________
Date Level Two response was received? ____________________________________
4. Please describe in detail your disagreement with the Level Two response: _________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
_______________________________________________________________________
5. Please attach a copy of your original complaint and any documentation submitted at
the Level One hearing and a copy of your Level Two appeal notice.
6. Please attach a copy of the Level Two response being appealed, if applicable.
Employee Signature: _____________________________________________________
Signature of employee’s representative: ______________________________________
Date of filing: ___________________________________________________________
Texas Association of School Boards
Legal Services Division
5-26
SAMPLE EXHIBITS FORM
LEVELS 1&2
Name of Grievant: ____________________________________ Date: _________________________ Level: ____________________________
EXHIBITS
Administration
Number
Grievant
Topic
Number
Topic
Ector County Independent School District
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
ECISD Non-Negotiables
Academic Excellence
College and Career Ready
Safe and Supportive Learning Environment
Timely and Purposeful Two-Way Communication
Educate
Connect
Inspire
Succeed
To be Effective with People and Efficient with Things
Dream
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
Applicant: ___________________________________________________________________________
Interviewer: ______________________________________ Department: _________________________
Ratings:
Comments:
1) UNSATISFACTORY
_______________________________________
2) BELOW EXPECTATIONS
_______________________________________
3) S A T I S F A C T O R Y
_______________________________________
4) EXCEEDS EXPECTATIONS
_______________________________________
5) CLEARLY OUTSTANDING
_______________________________________
Factors Reviewed
Ratings
1
Question #1
Question #2
Question #3
Question #4
Question #5
Question #6
Question #7
Question #8
Question #9
Question #10
Question #11
Question #12
Question #13
Question #14
Question #15
Question #16
Question #17
Question #18
Question #19
Question #20
TOTAL:
2
3
4
5
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
To:
Keith Garinger
Chief Human Resources Officer
Subject: Commitment to Confidentially
1.
I understand that each member of this committee is using his or her best judgment to arrive
at a recommendation which will be in the best interest of the students/staff/principals of
Ector County ISD.
2.
I understand that all of the printed information reviewed during the meetings of this
committee is confidential.
3.
I understand that, during the meetings, the members of this committee will provide verbal
information and verbal and non-verbal reactions toward applicants being considered.
4.
Other than to provide the superintendent and applicable supervisory administrators with a
recommendation for consideration and to provide the rationale for that recommendation, I
WILL NOT REVEAL INFORMATION gained from the meetings of this committee,
whether from printed information, verbal information or verbal and non-verbal reaction
___________________________________________
Signature of Committee Member
______________________________
Date
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
Dear Applicant,
On behalf of the Ector County Independent School District, we are recommending you for the
position of_________________________ for the 2015-2016 school year at a salary according
to the ECISD salary schedule. This recommendation is contingent upon you meeting the
requirements established by No Child Left Behind, the State of Texas and the District.
These requirements include:




Passing a mandatory criminal background check.
Drug test.
Meet all NCLB requirements for certification.
Finger Print on file with TEA.
Your expressed interest in specific areas will be considered. We will inform you of your
assignment as soon as it is finalized.
The District must receive credentials and documents relative to your employment.
Please sign and return, the enclosed form to the Human Resource Department. Within 72
hours you will receive information about our induction and orientation process.
We look forward to you becoming a member of our faculty and community. If we can assist in
any way, please contact the Human Resource Department.
Sincerely,
Keith Garinger
Chief Human Resources Officer
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
CC: Human Resources
Educate
Connect
Inspire
Succeed
To be Effective with People and Efficient with Things
Dream
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
Acceptance/Rejection of Intention to Employ
This is to acknowledge that on ______________________, I have been recommended
for a position as a ______________________, with Ector County Independent School
District for the 2015-2016 school year. ECISD representative, __________________, has
made this recommendation on _____________________.
(date)
___________I accept the recommendation of a _____________________ position with
the Ector County Independent School District. I understand that this recommendation is
contingent upon meeting the following requirements:
 Passing a mandatory criminal background check
 Drug test.
 Meet all NCLB requirements for certification.
 Fingerprinting on file with TEA
___________ I cannot accept at this time. Please keep my resume active.
Please respond to this letter (acceptance or denial) within five business days of
the recommendation.
________________________________
Printed Name:
________________________________
Signature:
________________________
Date:
________________________________
Mailing Address:
___________________________
(City, State, Zip)
Keith Garinger
Chief Human Resources Officer
Phone (432)456-0990
Fax
(432)456-9358
[email protected]
Educate
Connect
Inspire
Succeed
To be Effective with People and Efficient with Things
Dream
Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
TERMINATION/NON-RENEWAL – END OF YEAR
PDAS – Fall Observation 2015-2016 Timelines
Probationary and Term Contracts
December – All PDAS’s completed
January 18th-February 5th
 Supervisor meets with the respective assistant superintendent and presents documentation
supporting recommendation for termination of a probationary contract or nonrenewal of term
contract.
February 08 – February 12th
 Supervisor/Principal meets with the respective Assistant Superintendent and HR representative
to present documentation supporting recommendation for termination of:
1. Probation Contract
2. Non-renewal of term contract
February 15 – February 19th
 HR presents documentation supporting recommendation for termination of a probationary
contract or nonrenewal of a term contract to legal counsel.
February 22 – February 26
 HR and legal counsel present documentation supporting recommendation for termination of a
probationary contract or nonrenewal of a term contract to the superintendent.
February 29th – March 4th
 HR and the respective assistant superintendent meet with each employee and inform them that
a recommendation of termination of a probationary contract or nonrenewal of a term contract
will be presented at the April 14th BOT meeting. (Intent to resign must be in writing and received
by April 10th 2015.)
April 19th
 Superintendent presents recommendation for termination of probationary contracts to the BOT
 Superintendent presents recommendation to pursue nonrenewal of term contracts to the BOT
April 20th – 22nd
 Probationary employees receive written notice of BOT’s decision to terminate employment.
Notice must be hand-delivered to the employee on his or her campus.
(Cont. page 2)
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Keith Garinger
Chief Human Resources Officer
802 N. Sam Houston Odessa, Texas 79761
Phone (432) 456-0990
Fax (432) 456-9358
[email protected]
Employee has no right of appeal, but can pursue a grievance. There is no other District action to be
taken unless a grievance is filed. If a grievance is filed the process outlined in DGBA (Local) is to be
followed.
 Term employees receive written notice of BOT’s proposed nonrenewal and the opportunity for a
hearing. Notice must be hand-delivered to the employee on his or her campus. Employee has
15 days after receiving notice to request a hearing. BOT must conduct the hearing within 15
days of the request.
April 21st – May 6th
 Hearings are conducted for term employees who request a hearing.
o The BOT can conduct the hearing or they may appoint a licensed attorney to conduct
the hearing and issue recommendations to the BOT for action.
o The hearing is held in closed session unless the educator or employee requests a public
hearing.
o The BOT must notify the employee within 15 days after the hearing of the action to
renew or nonrenew.
o The employee can appeal the BOT’s decision to the commissioner within 20 days of
receiving notice of the decision. The appeal to the commissioner date range is May 10th
– May 31st and is dependent on the variable of the BOT’s hearing and subsequent
notification.
th
May 09
 Term employees who did not request a hearing will be presented to the BOT for nonrenewal.
May 13th
 Term employees who were non-renewed are notified of the action. Notification must be made
within 30 days of the date the proposed nonrenewal was sent.
Revised 9/1/2015
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