1. Jan 2011

2.  WISE was created in response to a Legislative Service Office (LSO) audit from December 2006.

3.  Specifically the audit identified the following: “The single requirement for HR training is in W.S. 9-2-1022(b)(v), which requires continuous training as ‘deemed necessary by HRD’ for those who conduct performance appraisals. However, HRD has not set policy what would constitute ‘continuous training’, nor has it established policy on what, if any, training might be advisable for supervisors and managers…”

4.  And, “The lack of standardized statewide training for supervisory and managerial personnel, coupled with agencies’ considerable responsibilities and discretion in this matter, contribute little assurance that the state has a uniform, consistent, and equitable hiring process.”

5.  WISE was developed and refined by a committee of representatives from different agencies and the Attorney General’s office  WISE Target Group  First Line Supervisors: those that supervise line workers as opposed to those that supervise managers (those that supervise other supervisors)

6. Phase I (Internal Training) Approximately two days of training conducted by representatives from the Office of Attorney General, Department of Employment and Agency Human Resource professionals Phase II (External Training) Approximately three days of training conducted by the Wyoming Community College Network

7.  SUPERVISORS - Handle day-to-day supervision of their employees and work with their HR representative.  HUMAN RESOURCES PROFESSIONALS - Handle day-to-day human resources issues for their respective State Department/Agency.  ATTORNEY GENERAL - Handle day-to-day legal personnel aspects for all State Departments / Agencies.

8. Developed by: Personnel Section / Tort Litigation Division Office of Attorney General State of Wyoming 2424 Pioneer Avenue Cheyenne, WY 82002 (307) 777-6886

9. Most current version: June 1 st, 2010 http://hr.state.wy.us/09Rules/Rules.htm

10.  SECTION 1: Authority  The State of Wyoming Personnel Rules were promulgated by the Department of A&I, Human Resources Division.  Agencies may have their own policies and rules, but A&I’s rules take precedence over agency rules or policies.

11.  SECTION 2: Coverage  The Personnel Rules apply to all executive branch employees except U.W. employees & elected officials.  SECTION 3: Interpretation  Dept of A&I, Human Resources Division is solely responsible for interpreting the Personnel Rules.

12.  SECTION 4: Enforcement  Agency heads are responsible for actions of supervisors to whom they have delegated authority to act.  Note: Any delegation of authority must be in writing.  Employees must be informed of the Personnel Rules and have reasonable access to them.  Employees are responsible for familiarizing themselves with rules and asking questions.

13.  SECTION 6:Equal Employment Opportunity  SECTION 7:Discrimination and Sexual Harassment See: Executive Order No. 2000-4 (Anti-Discrimination)

14. - The State of Wyoming’s executive branch strongly disapproves of and does not tolerate discrimination related to: - race, religion, color, sex (gender), national origin, age or disability. - includes retaliatory acts. - This topic will be also be discussed in more detail during Employment Law.

15. Prohibits the following conduct: - Sexual Harassment - Ethnic slurs, racial and religious jokes or derogatory comments based on an individual’s race, religion, or ethnic background and any other verbal or physical conduct related to an individual’s race, religion, sex, national origin, age or disability

16. Prohibits the following conduct: - Failure to provide reasonable accommodation to an employee who is a qualified handicapped person. - Basing decisions affecting an individual’s employment or any term or condition of the individual’s employment on the individual’s race, color, national origin, creed, sex, age or because the person is a qualified handicapped person.

17. Prohibits the following conduct - Any other conduct that violates applicable discrimination law - Retaliation against any employee who opposes a practice prohibited by this policy or who has filed a charge, testified, assisted or participated in any manner in an investigation under this policy

18. * All reported or suspected occurrences of discrimination or harassment shall be promptly and thoroughly investigated. * If discrimination or harassment has occurred in violation of the policy, appropriate corrective action shall be taken, including discipline of the offending employee.

19.  SECTION 8: Substance Abuse  Prohibited conduct:  reporting to work while impaired or under the influence of illegal drugs or alcohol  illegal use, possession, distribution, manufacture or sale of controlled substance in the workplace  Drug/alcohol testing not required to determine impairment (can rely on eyewitness evidence) See: Executive Order No. 1990-2 (Substance Abuse)

20. - It is the policy of the State of Wyoming to maintain a workplace free of substance abuse. - Reporting to work or performing work for the State while impaired or under the influence of illegal drugs or alcohol is prohibited.

21. - Testing for drug or alcohol use is not required in determining whether an employee is impaired by or under the influence of drugs or alcohol. - Eyewitness evidence of unusual behavioral and physical signs and symptoms can be used to determine whether an employee is impaired or under the influence.

22. SECTION 11: Personnel Records - A&I HRD shall have access to all agency personnel records. - Employee personnel records shall be maintained as determined by the Human Resources Division and in accordance with the State Personnel Records Policy.

23. SECTION 11: Personnel Records  An employee’s representative may have access to the employee’s personnel file upon providing a release signed by the employee.  NOTE: Pursuant to statute, employee personnel files are confidential and can be viewed only by the employee and those in the employee’s chain of command

24. SECTION 13: Management Rights  Management has sole right to:  direct the workforce  select and determine the number and types of employees required  determine the content of job classification  hire, transfer, promote, demote, reappoint, suspend, discipline and dismiss employees  evaluate work performance  authorize leave

25. SECTION 13: Management Rights  Management has sole right to:  establish and change work schedules and assignments  lay off employees for lack of work or funding  expand or diminish services  subcontract any work or operations  establish and change methods of operations  determine and change work locations and the processes and materials to be employed

26. SECTION 13: Management Rights  Management has the sole right to:  take all necessary actions to perform its functions in emergencies  to conduct inquiries into matters affecting management policies and practices  NOTE: Management functions must be carried out fairly and equitably

27. SECTION 16: Personal Conduct  Employees shall be courteous, considerate and impartial in dealing with and serving the public. Employees shall conduct themselves in a manner that will not bring discredit or embarrassment to the state. See: Executive Order No. 1997-4 (Code of Ethics)

28. Purpose: - Those who serve the people of the State of Wyoming should do so with integrity. - Neither impropriety nor the appearance of impropriety should occur. - This Code of Ethics is intended to serve as a yardstick by which the conduct of all who serve in the Executive Branch of the State of Wyoming can be measured.

29. General Responsibilities: - Uphold the U.S. and State Constitutions - Abide by the laws of the U.S. and State - Carry out the policies and objectives of the State while adhering to established standards for work and performance

30. General Responsibilities: - Work in cooperation with other public employees and act within the authority delegated to them. - Protect and conserve all property owned, held by, or leased to the State, including public records. - Be honest and fair in performing public service

31. General Responsibilities: - Strive to be honorable, courteous, and dedicated to advancing the public good. - Avoid conduct that compromises the integrity of public office or creates the appearance of impropriety.

32. Prohibited Activities: - Any activity which constitutes a conflict of interest with employment - Conduct which constitutes an abuse of authority

33. Prohibited Activities: - Outside employment or other outside activity which is incompatible with the full and proper discharge of State employment. - The use of or allowing the use of property owned or held by the State [including leased property] for any purpose other than carrying on the official business of the State.

34.  Section 17: Dual Employment  Within state service:  no conflicting hours  must have prior approval from A&I  if more than one agency, agency heads must agree to terms  Outside state service:  no conflicting hours  does not affect job performance

35.  SECTION 18: Use of State Property  No employee shall use or permit the use of state property for other than official activities. Employees shall protect and conserve state property, equipment and supplies entrusted or issued to them. See: Executive Order No. 1997-4 (Code of Ethics)

36.  Chapter 2: Recruitment  Chapter 3: Application for Employment  Chapter 4: Examinations  Examinations shall be administered as determined by HRD.  Chapter 5: Register of Eligibles  Chapter 6: Candidacy & Appointment  NOTE: Questions concerning these chapters should be directed to your HR office or the Department of A&I, Human Resources Division.

37.  Chapter 6: Candidacy & Appointment  Section 13: Involuntary Reappointments  Reasons: RIF, unsatisfactory work performance, accomplishment of program goals  Does not qualify as discipline  Section 14: Employment of Relatives  Not prohibited, but prior approval required

38.  Chapter 7: Position Control  Chapter 8: Position Classification  Chapter 9: Compensation See also, State of Wyoming, Compensation Policy (3/1/2010) NOTE: Questions concerning these chapters should be directed to your HR office or the Department of A&I, Human Resources Division.

39.  Rules Governing Leave:  Accrual of annual (vacation) & sick leave  Authorized use of annual leave  Authorized use of sick leave  notification requirements  advanced and donated sick leave

40.  Rules Governing Leave:  Administrative Leave vs. Administrative Review Leave  Personal Leave  Leave without pay  FMLA See also, State of Wyoming Compensation Policy (March 1 st, 2010)

41. PERSONNEL RULES: CHAPTER 11  Section 1: Reasons for Discipline  Section 2: Appropriate Discipline  Section 3: Types of Discipline  NOTE: Chapter 11 applies only to permanent employees

42.  Before Taking Disciplinary Action  Consult human resources office or representative.  Determine type of employee being disciplined.  Permanent employee or at-will?  If employee is at-will, corrective action must contain disclaimers concerning employee’s at-will status.  If employee is permanent, Chapters 11 and 12 of the State of Wyoming Personnel Rules apply.

43.  Before Taking Disciplinary Action (cont.)  Investigate conduct for which employee is being disciplined.  Give the employee an opportunity to explain his or her side of story.

44.  Before Taking Disciplinary Action (cont.)  Determine the appropriate type of discipline based upon the following factors:  At-will or permanent employee?  How has the agency treated employees who have engaged in similar misconduct or had similar performance issues?  What is the employee’s work history? Has the employee been trained on this issue or received warnings or previous discipline on this issue?

45.  Before Taking Disciplinary Action (cont.)  Determine the appropriate type of discipline based upon the following factors:  What is the impact of the conduct on the agency?  Does the employee’s conduct affect safety or security?  Does the employee have any health conditions that may entitle the employee to FMLA leave or consideration under the ADA?

46.  Before Taking Disciplinary Action (cont.)  Review personnel file, supervisor notes and any other relevant documents to determine whether documentation is sufficient to back up action taken.  Review the applicable rules to ensure that notice to the employee contains all required information and action complies with procedural requirements.  Administrative Review Leave

47.  Section 1: Reasons for Discipline  Examples (but not limited to):  Absenteeism, Incapacity to perform assigned duties, Assault, Carelessness, Damaging State property, Dishonesty, Insubordination, Misconduct, Refusal to work, Sexual Harassment, Theft, Unsatisfactory work performance, Criminal conduct, Falsification of application for employment, Violation of agency rules or policy, Violation of State Personnel Rules, Violation of Executive Orders.

48.  Section 2: Determination of Appropriate Discipline  Progressive discipline must be used unless misconduct is flagrant  Factors to consider include:  nature and extent of infraction  employee’s past record; and  effect on the operation of the agency.  Informal discipline includes verbal or written warnings, letters of expectation, letters of counseling.

49.  Section 3: Types of Discipline  Step 1: Written Reprimand  Step 2: Disciplinary Suspension (up to 30 days)  Step 3: Dismissal  Section 3 outlines the formal stages of discipline that must be followed to satisfy progressive discipline.  Section 3 sets forth what must be included in notices to an employee for each of the disciplinary actions.

50.  Written Reprimand  Can be issued by direct supervisor or anyone in chain of command.  Notice must contain the following:  reason for reprimand;  previous letters of expectation, letters of counseling, verbal or written warnings, unacceptable performance appraisals, discussions or reprimands, if any;  corrective action necessary to avoid further disciplinary action;  the right to present a grievance pursuant to Chapter 12.  Consult with HR for format.

51.  Disciplinary Suspension  Can be issued by agency head only -- unless agency head has delegated authority in writing.  Suspension is without pay.  If the employee is exempt from the Fair Labor Standards Act (FLSA), consult with your HR office for guidance.

52.  Disciplinary Suspension  Notice must contain the following:  reason for suspension;  previous letters of expectation, letters of counseling, verbal or written warnings, unacceptable performance appraisals, discussions or reprimands, if any;  effective date and duration of suspension;  corrective action necessary to avoid further disciplinary action; and  the right to present a grievance pursuant to Chapter 12.

53.  Dismissal  Action can only be taken by agency head --unless agency head has delegated authority in writing.  “Intent to Dismiss Notice” to employee must contain the following:  reasons and summary of the evidence for dismissal; and  notice of the opportunity for the employee to respond to the notice, in writing, within 10 working days.  Agency head has 10 working days to respond to employee’s response  Dismissal notice must inform employee of reasons for dismissal, effective date and right to hearing.

54. Dismissal Process Stages 1. Notice of Intent to Dismiss 2. Opportunity to Respond 3. Final Determination Final Dismissal (No Response) Final Dismissal (After Response)

56.  Grievance Process For:  any discipline up to suspension  involuntary reappointment  any other dispute regarding working conditions or personnel practices other than dismissal or RIF  Appeal Process For:  suspension, dismissal or RIF  NOTE: Applies to permanent employees only!

57.  State of Wyoming Personnel Rules: Chapter 12  Applies only to permanent employees.  Defines grievance as: “a dispute, excluding a dismissal or an involuntary separation due to a reduction in force, between an employee and management of the employee’s agency which involves the interpretation or application of policies, rules, regulations, and/or statutes which have been adopted by an agency, Governor’s Executive Order, or the State Legislature to cover personnel practices and/or working practices.”

58.  Examples of Grievances  Disciplinary actions  Involuntary reappointments  Failure to promote  Change of duties, assignment  Chapter 12 outlines the grievance process  General provisions  Time lines  Steps that must be followed

59. General Process  First Step: lowest level management employee  the person who signed the disciplinary notice or made decision

60. General Process  Second Step: agency head  can designate another management employee to hear

61. General Process  Third Step: A&I, Human Resources Div. for a “grievance committee” hearing  written reprimand, suspension, involuntary reappointment  others at discretion of Human Resources Administrator  grievance committee is a three member panel

62.  Grievance Committee  3 member panel: employee & agency each choose one member and those two choose a third member  members are not required to be state employees  Grievance Hearing  informal -- attorneys permitted, but not encouraged  Grievance Committee Decision  issued within 10 working days  disciplinary suspension can be appealed

63.  State of Wyoming Personnel Rules: Chapter 12  Time periods:  Dismissal: petition in writing to Human Resources Administrator -- 20 days after receipt of dismissal notice  Grievance Committee Decision: petition in writing to Human Resources Administrator -- 20 days after decision  Agency responds within 15 days after receipt of petition  Hearing Officer  Unless the parties agree on a hearing officer, the appeal will be referred to the Office of Administrative Hearings (OAH).

64.  Personnel Appeal Hearing  Hearing is formal:  motions  discovery: interrogatories, depositions  presentation of evidence including sworn testimony and exhibits  parties usually represented by counsel  Hearing officer can uphold dismissal or committee decision, reverse or recommend alternative management action.  Either party can appeal to district court.

65.  A non-permanent employee is an at-will employee who has no expectation of continued employment and may be dismissed at any time without cause or reason.

66.  At-Will Employees  Which employees are at-will?  probationary employees  contract employees  temporary employees  certain administrators/agency heads/pursuant to statute  What does it mean to be at-will?  no expectation of continued employment  may be dismissed at any time without cause or reason  no right to progressive discipline  no right to appeal discipline or dismissal

67.  Chapter 11 of the State of Wyoming Personnel Rules does not apply.  Types of discipline (corrective action)  verbal or written counseling  suspension  Notice to employee  include disclaimer informing employee that nothing in disciplinary notice changes at-will status  avoid “warning” language -- phrase as expectations  no appeal rights

68.  Dismissal is “without cause.”  no reason given in written notice to employee or in meeting with employee  Consult with human resources manager or AG’s Office before taking action!  Before dismissing employee, review the following:  supporting documentation  employee membership in protected class

70. PURPOSE: The primary purpose of an employee appraisal is to improve the performance of the employee by providing feedback on how well that employee has met the employer’s expectations. When used properly, this is another effective management tool.

71.  TIPS FOR PERFORMANCE APPRAISALS  Know the rules -- review Chapter 14 of the State of Wyoming Personnel Rules  Conduct the performance appraisal on time  Be specific on the performance appraisal form  Be honest  Listen to the employee  Document the appraisal interview  Follow-up on any obligations made during appraisal

72.  More specific information will be covered during the Performance Appraisal section of WISE.

73.  CHAPTER 16: Separation  CHAPTER 17: Reduction in Force

75. - The State’s e-mail system may be used for official business only. - There is no expectation of privacy – all messages sent or received on the system are the property of the State of Wyoming - Required retention of e-mail messages is specified in this executive order and/or separate agency policy.

76. “The policy of the State of Wyoming is to promote a safe environment for its employees and the public it serves.” - Violence, threats of violence, harassment, intimidation and other disruptive behavior in the workplace will not be tolerated.

78. Why Document? Good documentation will provide a solid foundation for employment disciplinary actions that are appropriate, fair and defensible.

79. Good Documentation Guidelines  Just the Facts  only what the supervisor observed  no opinions, conjecture or speculation

80. Good Documentation Guidelines  Who, What, When, Where, How & Why  Who was involved in the misconduct/poor work performance?  What rule/performance standard was violated?  When did the misconduct/poor work performance occur?  Where did it happen?  What discipline or warning was given?

81. Good Documentation Guidelines  Ensure that all documentation is dated.  Identify the author of the documentation.  Make sure the documentation is legible.

82. Good Documentation Guidelines  Documented misconduct or poor performance should be discussed with the employee. This discussion with the employee should also be documented.  Only documentation (letters/memos) given to the employee should be placed in personnel file. Supervisor journal or log entries should not be placed in the personnel file.

83. QUESTIONS???