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► Introduction ► Performance Management ► Policy

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Presentation on theme: "► Introduction ► Performance Management ► Policy"— Presentation transcript:

1 ► Introduction ► Performance Management ► Policy
Retaining Employees This is the end of time. ► Introduction ► Performance Management ► Policy

2 Introduction New Hires & Rehires (Probationary Period)
Retaining Employees Introduction New Hires & Rehires (Probationary Period)

3 Policy All new employees are placed on probationary
status for six months. New hires Rehires Inter-agency transfers Intra-agency transfers Promotions that are classified Full-time Part-time Emergency Hire

4 Policy During the probationary period, supervisors should evaluate:
Behavior Performance If an employee exhibits inadequate performance and/or inappropriate behavior during the probationary period, the employee may be terminated.

5 New Hires REHIRE A new hire is defined as an employee hired into
Arkansas State Government. REHIRE A rehire is an employee that was previously employed by ADH or State of Arkansas who is returning to employment after a break in service of more than two pay periods.

6 Interagency Transfer/Promotion
A transfer or promotion from another state agency in the ADH without a break in service or a break in service of less than two pay periods. Intra-agency Transfer/Promotion A transfer or promotion within the Agency by a current ADH employee without a break in service or a break in service of less than two pay periods.

7 Supervisor’s Responsibilities
Anytime during the probationary period, but no less than two weeks prior to the end of the probationary period, evaluate the employee’s performance and behavior and determine whether to Place employee on regular status at the end of probationary period Extend the probationary period (One three-month period) Terminate employment Notify HR of extension of probation or request to terminate NOTE: If HR is not notified, employee is automatically placed on regular status at the end of the six-month probationary period.

8 Regular Status Definition Not Permanent
Status after Performing Satisfactorily During Probation Options Employee has access to Mediation/Grievance procedures


10 Retaining Employees Through Performance Management
A look at performance-based merit pay

11 Act 289 of 2007 Effective July 1, 2007 Implemented Merit Pay System based on Performance For both Classified and Unclassified Employees

12 Act 688 of 2009 Effective June 28, 2009 Implemented revisions to merit Pay System Classified personnel on the Career Service Pay Plan (C grades) receive increase as a % of pay Professional & Executive Pay Plan (N Grades) and unclassified (U class codes) receive one-time bonus at end of fiscal year.

13 Act 688 of 2009 Classified employees (C Grades) who exceed max or career salary will also be paid one-time bonus at end of fiscal year. Bonus dollars added into current salary for retirement calculations only. If employee terminated before end of fiscal year, the bonus is forfeited.

14 Act 688 of 2009 All FT & PT employees have eligibility date for Merit Pay Increase. October 1 for employees hired on or before October 1, 2006 Latest hire date for any employee hired after October 1, 2006. Must have 12 months of continuous employment to be eligible for merit pay increase.

15 What is Performance-based Merit Pay?
Merit Pay System – incorporates pay and performance evaluation standards and establishes criteria for salary adjustments or lump sum payments for employees who meet performance standards. Performance Evaluation System – A system for comparing performance with pre-established standards of satisfactory performance. MIED – Merit Increase Eligibility Date

16 Eligibility Full-Time and Part-time Employees For 12 continuous months
Rehires –latest hire date if after Oct 1, 2006 Extended Leave covers employees on Military Leave/Extended Military leave Catastrophic Leave Leave Without Pay (LWOP)

17 Eligibility Employees on extended leave - receive merit increase on their merit increase eligibility date if in active pay status.  Employees not in active pay status will receive their merit increase upon their return to active pay status.

18 Extended Military LWOP
Supervisors of employees on extended military leave without pay will use the employees most recent performance evaluation score to determine the amount of the merit increase.  The increase will be awarded to the military member when they return to active pay status

19 Eligibility Employees receiving a written performance-based or disciplinary action during the twelve (12) month rating period are not eligible for a merit increase.  The employee’s performance evaluation and date of merit increase eligibility remain October 1 or the latest hire date, whichever is applicable.

20 Performance-Based Criteria
Job-related requirements (included, but not limited to) that must be successfully completed by employees: Demonstrating satisfactory job performance Exhibiting appropriate conduct

21 Who is eligible? Regular full-time employees with continuous employment with the State for 12 months Part-time (including job share) in a regular salaried position with the State for 12 continuous months

22 Merit Increases (2010-2011 Biennium)
Overall satisfactory rating .75% increase Overall above average rating 1.5% increase Overall exceeds standards rating 2.25% increase

23 Performance Measurements
(E) Exceeds Standards (A) Above Average (S) Satisfactory (U) Unsatisfactory

24 Managers and supervisors who fail to complete a performance evaluation within 30 days of the employee’s MIED under their administrative control are not eligible for merit increases. Managers and supervisors must have attended ADH Supervisor’s training before taking disciplinary action or completing performance evaluations on employees.

25 When is an employee eligible?
Merit Increase Eligibility Date (MIED)—The date an employee is eligible to receive a merit pay increase based on their performance evaluation. October 1 or Anniversary Date

26 Performance Evaluation System
A system that: Establishes performance expectations Monitors performance of job duties and tasks Provides feedback Rates the performance

27 Evaluation and Feedback Final Evaluation
Three Phases Implementation Evaluation and Feedback Final Evaluation

28 Phase 1 – Implementation
Get the 1158 – Functional Job Description Review it Create 1973 and 1974 1974 must contain same duty areas as 1158 1974 must contain weights matching the 1158 – Functional Job Description Complete in a timely manner – within 30 days after employee begins Total weight on 1974 and 1158 must both equal 100%

29 Phase I (Implementation)
Director, Deputy Directors and applicable Executive Management staff complete Parts I and II of the Executive and Professional Performance Evaluation Form at the beginning of the rating period for all employees under his/her direct supervision. Rating period beginning and ending dates should be entered at the bottom of the form. Appropriate Addendum should be included

30 Phase I (Implementation)
Managers/Supervisors conducting PEs on senior management and all other employees completes sections I and 3 of the Performance Evaluation Criteria/Eligibility Form (HR-1973) Senior Management uses 1973 & 1974 All other employees use 1973 & 1974 Continued…

31 Phase I (Implementation)
Manager/Supervisor completes the Performance Evaluation Form (HR-1974)– Listing duty areas and weights for which the employee will be evaluated In the order of importance Weights must total 100

32 Phase I (Implementation)
Job duty areas should be weighted according to the importance of the employee’s job duties, with the most important job duty receiving the highest rank and %.

33 Phase II (Evaluation and Feedback)
Supervisor will monitor and document employee performance throughout the rating period Mid-point review is required for employees (“C” Grades) at six months from the start of the rating period Oral and documented feedback must be presented to ensure employee is aware of performance Weight, rating, score and justification must be entered in the “Mid-Point Review” section of the Performance Evaluation Form (HR-1974)

34 Phase II (Evaluation and Feedback)
Unsatisfactory rating—supervisor must complete a Counseling Statement (HR-1131) and place the employee on probation for days (Remember…another P.E. must be conducted prior to the end of the probationary period)

35 Phase III (Final Evaluation)
(Ninety days prior to merit increase eligibility date, MIED) Executive Management and Professional Staff Performance Evaluation Form—The Rater completes evaluations and enter information in Part III Performance Evaluation Form HR-1974—Rater completes evaluation on Sr. Management and employees and enter information in the “Year End Evaluation” column and comments under “Justification for Rating”. Secures employee signature on 1973. The Performance Evaluation Criteria/Eligibility Form (1973) and the Performance Evaluation Form (1974) must be submitted to the Reviewing Official for signature prior to the evaluation being discussed with the employee.

36 Phase III (Final Evaluation)
Managers and supervisors grades C121 and above evaluated using the Performance Evaluation Form HR-1974 must be evaluated on the following duty areas in addition to others duty areas as assigned. Job Knowledge and Quality of Work Accountability, including Code of Conduct Collaboration and Adaptability

37 Phase III (Final Evaluation)
Meet with the employee to discuss the evaluation Have the employee to sign and date (1973) as having received the evaluation NOTE: An unsatisfactory rating in any duty area precludes awarding an Exceeds Standards or Above Average overall rating.

38 Appealing a Performance Evaluation
Employee must indicate on HR if the employee wishes to appeal Documentation must be submitted within 5 working days of date of receipt of P.E. Overall score of Satisfactory or Unsatisfactory may submit a written request for appeal to the Center Director (Center Director or Oversight Committee will make an appeal decision in writing within seven working days of receipt of request. The appeal decision is final and binding.)

39 Appealing (cont’d) An employee must indicate on the HR-1973 at the time of receipt of the PE that he/she wishes to appeal the PE. Only overall scores may be appealed.

40 Appealing (cont’d) The employee then has five working days from the date of receipt of the PE to file written documentation in support of the appeal request. The appeal request documentation must include evidence to support each duty area rating the employee wishes increased. If documentation is not received within 5 working days, appeal will be denied.

41 Roles and Responsibilities of Supervisor
Familiarize employees with the performance evaluation process Complete in a timely manner Assure all criteria have been met for merit pay increases Complete forms HR-1973 and HR-1974 for each employee Complete mid-point and annual year-end performance rating Determine the appropriate weight for each job duty area Determine the rating for each job duty area for employee based on appropriate documentation. You may use the Table of Weights Guidelines (PER-1974A as a guide. Total weight must equal to 100.)

42 Roles and Responsibilities of Employee
Meet the assigned performance-based criteria Demonstrating satisfactory job performance Complete any required training Demonstrate satisfactory conduct Keep supervisor informed regarding process or difficulties Provide documentation of work performance to supervisor Certificate of completion of training Commendation

43 When a Rating Supervisor Leaves
Complete a performance evaluation before leaving (when possible) and send HR-1973 and HR-1974 to the Reviewing Official for employees evaluation period ending within 90 days (If supervisor fails to do so, Reviewing Official should complete) Not responsible, if supervisor leaves within the first 90 days of an employee’s rating period (New supervisor’s responsibility)

44 When a Rating Supervisor Leaves
If supervisor leaves after the first 90 days and prior to the last 90 days of an employee’s evaluation cycle, the supervisor will complete a formal evaluation. (The evaluation should assist the new supervisor in assessing the employee’s level of performance prior to separation, but will not obligate the new supervisor to prorate the assessment.) Employees remaining in the same position, but having several different supervisors during the rating period, should be evaluated by the Reviewing Official.

45 Documentation Employees are rated on the current evaluation period only For probationary employees Counseling Statement with Performance Improvement Plan Outlines specific performance expectations leading to improvement of overall performance Cites day probationary period Recommended training Outlines actions to be taken by supervisor to assist employee Document periodic discussion of performance evaluation Inform of progress or lack of improvement Give specific information or training on how to improve or continue improving performance Each employee requires two files Official file in HR Supervisor’s file Employee receives a copy of P.E. after all appropriate signatures are obtained

46 Refusal to Sign Explain signature does not necessarily mean agreement
Offer employee an opportunity to make written comments If employee still refuses to sign, the rating supervisor and another supervisor will make a notation on the HR-1973 and forward it to HR An employee who refuses to sign the Performance Evaluation Criteria Form HR-1973 indicating the wish to appeal does not have access to the appeal process.

47 Performance Management
►Planning ►Focusing ►Assessing Set performance expectations Be an effective communicator Think about what you need to do a good job in your work Be specific Make sure expectations are measurable Attainable and realistic to achieve Relevant to position Think about the last road trip you took. I’m betting you hade some idea of where you were going and when you would arrive.

48 Avoiding Pitfalls Unsigned or undated documents Illegibility
Late documentation Inaccuracy Unsupported conclusions Not being specific Making excuses Lying…even to be nice! Inconsistency Being over or under focused


50 Retaining Employees Through Policies
►Disciplinary Policy ►Minimum Conduct ►Performance “To Teach, Not to Punish”

51 Policy Disclaimer All employees are required to meet, at a
minimum, satisfactory performance standards and abide by certain minimum standards of conduct. Disclaimer Nothing in this policy will alter the employment- at-will relationship between the employees and ADH.

52 NOTE Human Resources must review and approve in writing all suspensions and terminations prior to such actions being initiated Only supervisors who have completed supervisor training provided by or coordinated through HR will be allowed to take disciplinary action against an employee Failure to attend mandatory supervisor training will be immediately reported to the ADH Center Director by the HR Director HR must approve all actions above a written warning. Only supervisors who have completed supervisor training provided by or coordinated through HR will be allowed to take disciplinary action against an employee (To prepare you to do your duties as a supervisor) 52

53 HIPAA Violations When a conduct violation related to the Health
Insurance Portability and Accountability Act (HIPAA), the supervisor and the HIPAA Privacy Officer will confer regarding the type of discipline that may be applied. Violation of Protected Health Information 53

54 (Unless there are mitigating circumstances)
Insubordination Willful refusal to carry out the directive of employee’s supervisor Verbally Lack of action (Unless there are mitigating circumstances) !! Document! Document! Document !! Insubordination is not if an employee is questioning a decision We don’t look at attitudes, we look for behaviors. We all have attitudes. If it is causing negative behavior, then it needs to be addressed. 54

55 Conduct Interchangeable with performance
Includes actions or lack of actions by employees related to Work rules Policies Procedures Job performance Office Mission Safety

56 Minimum Conduct Standards
Examples of types of unacceptable conduct and performance issues 56 items (Not all inclusive, only representative)


58 Dress Code Arkansas Department of Health employees are expected to project pride and self-awareness in appearance and hygiene to the customers and communities served.

59 Policy Clothing, accessories, and jewelry must be clean, modest and professional Fingernails must be neatly groomed, cleaned and of an appropriate length for the type of work being performed Artificial fingernails are not allowed in patient care areas, including patients’ homes Hairstyles must be neat, clean and well groomed Only ADH or ADH program logos are permitted on shirts, jackets, or clinical clothing. Continued...

60 Policy To insure safety, nurses, Public Health Technicians and lab personnel must wear closed-toed shoes when working in the clinic lab or in direct patient care No visible clothing, accessories, jewelry, or exposed body piercing or tattoos will state or allude to any obscenity, hate or violence, alcohol, tobacco, illegal substances, anything sexual in nature, nor hinder performance of the job No clothing will be worn tight, revealing, or sheer Perfumes, colognes, aftershaves and scented lotions will not be worn in patient care areas Employees must wear their ADH identification badge visible and face forward at all times while on duty

61 Responsibilities Supervisors: Set example for dress.
Wear picture identification badge. Explain policy to employees. Monitor employees’ dress. Counsel employees for inappropriate dress, taking disciplinary action if recurrence of noncompliance with this policy. Submit special requests for approval. Maintain copy of request and approval in work unit and submit copy to Human Resources.

62 Examples of Approved Attire
Suits, dresses, sweaters, skirts, gauchos, dress shirts, polo-style shirts, blouses, turtlenecks, mock turtlenecks, jackets, trousers, slacks, and capris Scrubs when work unit policy specifies them as a uniform Loafers, boots, flats, clogs, conservative athletic shoes, sneakers, dress heels, leather deck shoes and dress sandals

63 Examples of Approved Attire
Closed-toed shoes - Nurses, Public Health Technicians, and lab personnel when working in the clinic lab or direct patient care, including patients’ homes to ensure safety Open-toed shoes for non-clinical staff Tank tops, spaghetti-strap tops, or muscle shirts ONLY WHEN worn under another garment T-shirts, solid in color, plain with no writing/artwork

64 Examples of Unapproved Attire
T-shirts and undershirts designed as undergarments Torn, dirty, discolored, or frayed clothing Mini-skirts, sundresses, beach dresses, leggings, biker pants/shorts, walking shorts or shorts of any kind athletic suits, athletic pants, athletic jackets and exercise attire Midriff-baring tops, T-shirts with writing/artwork, tank tops, muscle shirts, and spaghetti-strap tops when worn alone

65 Examples of Unapproved Attire
Any and all clothing that is too short, too tight, sheer, or revealing Hats or caps of any kind worn inside, unless recovering from illness resulting in hair loss Beach shoes, thong shoes, shower shoes (100% rubber, plain or ornate, with or without wedge heels) Flip-flops, slippers, house shoes and bare feet All denim pants, jeans, trousers and hats/caps of any kind, regardless of color

66 Exceptions  Blue Jeans may be worn by employees in work units when specific to the mission of the work unit and with prior written approval of the ADH Chief Operations Officer (COO).  When participating in health promotion activities it is acceptable to dress for the performance of those activities. An example would be wearing athletic clothing and running shoes.

67 Exceptions Small designer logos may be worn on approved attire.
Exceptions to this policy will be made for religious practices.


69 Reasonable Cause Drug Testing
If an employee is suspected of a violation of the Substance Abuse Free Workplace Policy, the employee’s immediate supervisor or the next level supervisor will initiate a reasonable cause test.

70 Reasonable Cause Drug Testing
1.Another manager or supervisor should observe and document the employee’s suspected behavior or violation 2.Observations should be discussed with the responsible manager for a determination of action to be taken (Contact Pat Hathaway or HR) 3.To confirm, the supervisor should contact a’Test to administer screening. (Employee must be transported to testing site. DO NOT allow them to drive themselves.) Professional Panel drug test Contact HR 70

71 Counseling Counseling employees takes: A strong attitude Consistency
A plan of action Use Non-disciplinary Counseling Statements (PER-1131) Counseling is a non-disciplinary action. 71


73 Progressive Discipline
Continuous Sequential movement Disciplinary action to the next level Substantially similar offenses Unauthorized leave (Ex. Calls-in excessively) 1st offense 2nd offense 3rd offense Progressive for similar offenses 73

74 Steps to follow Gather information Assess the severity
Decide how to respond Prepare Meet with the employee Document Follow up You need to know what’s really going on before you can decide how to address it. Make sure you have the facts, and not hearsay of other employees. Some situations are relatively clear cut. Investigate before deciding what to do. How is the problem affecting the company? Answer this question before choosing an appropriate disciplinary measure. It will give you a basis for objective, and allow you to communicate the importance of the problem. Furthermore, why it has to change. What impact is the behavior having on other employees, the work group, assignments, etc.? Have you already counseled the employee for the same problem, if so, tougher discipline may be necessary. Also, the legality of the behavior. Illegal behavior calls for more serious discipline. Plan ahead. Do not respond emotionally. Have concrete examples. Be prepared to explain what the employee needs to do to improve. Bring copies of policies, procedures, job descriptions, performance evaluations, etc. Have an honest, respectful session. Let them know what the next step will be. Put counseling session in writing. It will hold the employee accountable. Also, it will provide written proof that the employee was aware of the problem and received a fair chance to correct it and improve just in case it ends up in a grievance. The ultimate goal of the counseling session is to fix the problem and improve the employee’s performance. Don’t start something that you can’t finish. If you aren’t going to follow-up, don’t start it! Gather information Assess the severity Decide how to respond (severity) Prepare (concrete evidence) Meet with the employee (clear examples) Document (dates and times) Follow up Be honest, respectful, don’t raise your voice, allow questions and answer those questions. 74

75 Employee Meeting The supervisor must
Schedule a formal meeting and meet (within 5 working days to determine misconduct) with the employee Assure the employee knows the purpose of the meeting by providing all known facts Allow the employee an opportunity to refute the information or identify any extenuating factors Continued…

76 Employee Meeting Allow employee to provide in writing, additional information or names of persons who may have relevant information Within 5 working days of meeting, determine whether disciplinary action will be taken

77 Employee Meeting If disciplinary action is warranted, the supervisor must follow guidelines outlined in policy If disciplinary action is not warranted, the supervisor must immediately notify the employee Supervisors must attempt a telephone conference with employees unable or unwilling to meet with them. Unsuccessful attempts to discuss must be documented.

78 Factors to Consider Did the employee know or should have known the conduct could result in discipline? Would a reasonable employee in similar circumstances realize the conduct was inappropriate or improper? Was the behavior intentional? Was there a reasonable explanation or mitigating circumstances? Was is the employee’s work history? Was the conduct disruptive to work, create a hostile work environment, or interfere with services to customers? Did it result in increased risk of legal liability to the Department? Did it endanger the safety of employees, co-workers or customers?

79 _______________________
Documentation Document findings Select the level of discipline appropriately _______________________ The Disciplinary Checklist (HR-2813) will be completed if the supervisor is considering termination.


81 What’s Next? Once negative behavior has been addressed, don’t continue to bring it up, unless you are using positive reinforcement. If negative behavior is continuing, use progressive discipline. Don’t beat a dead horse! 81

82 Discipline Is: An approach to modifying undesirable employee behavior through the use of a range of disciplinary consequences that are applied depending upon the nature and history of the employee’s misconduct.

83 Progressive Discipline Steps
Written warning recorded in employee’s file Suspension without pay or demotion Termination (Contact HR) Performance Probation NOTE: Depending on the severity of the behavior, some steps may not be appropriate. NOTE: Effective date of such action will be the date decision is made, and will not be backdated to the date the employee was removed from duty pending investigation. Open up communication and clarify any misunderstandings Schedule a private meeting to discuss a corrective plan of action for the problematic issue If the employee fails to honor the terms of the agreement to change the problem behavior and make the employee aware that the next step will be a written reprimand which could negatively impact the employee’s work record Formal paperwork will be completed with the specific violation of the policy or other expected standards and any explanation the employee provides should be included and should become part of the record. The employee will sign the written reprimand and receive a copy for personal records, however, if the employee refuses to sign, the supervisor must make a note on the document of the refusal. Probation period of where the supervisor watches over the employee pertaining to performance and behavior. Must not use annual leave Demoting an employee is changing his or her duties from a position in one classification to a position in another with a lower pay grade. If an employee resigns during the discipline process, formal act of quitting one’s position, the supervisor should request a signed letter of resignation from the employee. Contact HR for all terminations and suspensions Demotion may be used as an alternative to suspension or termination or in combination with suspension. Employees receiving both a demotion and a suspension will accrue a maximum of 8 points. 83

84 Accrual of Points Written warning Suspension Demotion
Demotion + Suspension = 3 points = 6 points = 8 points Points for each disciplinary action will be counted for one year after the disciplinary action was documented on a Notice of Disciplinary Action (HR-1173) Manager will know because recruitment tracks points in tracking system and they will not appear on the applicant registry list Any employee accruing 13 or more disciplinary points within a 12-month period will be terminated. 84

85 Employees with Accumulated Points
No current or former ADH employee is eligible to: Apply Accept an interview Be selected for another position If the person has accumulated 6 or more disciplinary points with 12 months preceding the closing date, the interview or selection or is currently serving a performance probation

86 Impact on Future Discipline
Written warnings Suspensions Demotions Will be counted for progressive discipline purposes for a period of 24 months after the action was documented.

87 Temporary Removal from Duty Pending Review of Allegations
Any employee whose alleged actions or behavior which have the potential to be Immediate or direct threat to public health or safety Might threaten the safety of a Child Client Co-worker Might impede an investigation Length of time will be determined by the Center Director Employee will be paid during that time, because they are waiting to be called back to work or to participate in the investigation 87

88 Applying Discipline Immediately Consistently Impartially
Employees must be notified using the Notice of Disciplinary Action (HR-1173) Should an employee refuse to sign, another supervisor should act as witness and document in writing.


90 Performance Probation
Conduct a performance evaluation, before initiating disciplinary action for a performance issue Overall score of 2.99 or below—probationary status days (length determined by supervisor) Overall score of 3.00 or above—disciplinary action for the performance violation

91 Probationary Employees
A Counseling Statement (PER-1131) will be issued that: Outlines specific performances expected and ways of improvement Cites day evaluation period of probationary status (Max. allowable time is 180 calendar days)

92 Probationary Employees
A Performance Improvement Plan will also be issued that: Recommends training, if necessary Outlines actions to assist employee Provides additional documentation for clarity and an action plan Use HR-69

93 Probationary Period Supervisor will:
Inform employee of progress or lack of improvement Give specific information or training on how to improve or continue improving performance Document periodic discussion of performance

94 End of Probationary Period
Supervisor will: Conduct another performance evaluation before the end of the probationary period If employee has met the standards satisfactorily, remove from probationary status

95 Before End of Probationary Period
If employee has not met the standards satisfactorily Probation period may be extended - If initial period less than 180 days Maximum allowable probationary period is 180 days Employee may be terminated

96 Employees Right to Appeal
May grieve a disciplinary action within 5 working days of action Non-disciplinary Counseling Statements (PER-1131) are not grievable

97 Expectations Clarify exactly what is required for successful job performance Use two-way communication (dialogue, not monologue) Establish responsibilities and priorities for the employee’s position Structure a dialogue centered on employee performance standards so that job tasks and work behaviors can be evaluated correctly Effectively train employees to accurately describe and recognize performance related issues and relationship to personal responsibilities Establish yourself as a valuable resource to your employees

98 Common Errors in Counseling or Discipline
Personal bias Rash judgments Stereotyping Losing emotional control Inflexible counseling methods Improper follow-up


EMPLOYEE MEDIATION-GRIEVANCE PROCEDURES The agency feels that resolving an employee grievances is a major responsibility for supervisors. The supervisor’s attitude displayed by supervisors in meeting this responsibility may determine whether a grievance can be effectively and/or quickly resolved. 100

101 Policy All employees are given the opportunity to resolve complaints or grievances which the employee believes adversely affects his/her employment or working conditions in a timely manner and will be free from restraint, interference, discrimination, reprisal or retaliation.

102 What is a grievance? A formal complaint by an employee regarding an aspect of their employment, including, but not limited to annual leave, sick leave, compensatory leave, promotion, demotion, suspension, termination, discrimination, working conditions, or any other work related problems except compensation and conditions which are beyond the control of agency management or are mandated law. Compensation is out of our control (DFA) An employee files a grievance on a HR-2801 (Employee Request for Mediation/Grievance form) regarding disciplinary action received on the HR-1173 (Notice of Disciplinary Action form). Employee has five working days to file a grievance with the EEO Grievance Officer. Some examples of conditions that may lead to complaints of grievances: 1. Allowing an employee to repeat mistakes, without corrections. 2. Ignoring an employee’s complaint 3. Being to busy to listen. 4. Expecting employee to do a job after only one explanation. 5. Assuming that an employee “knows” how to do a particular task. 6. Speaking in agency jargon to a new employee without defining the terms. 7. Treating all individuals alike, regardless of different characteristics. 8. Making much ado about errors and little about success. 9. Neglecting to speak a meaningful word of appreciation for a job well done. 10. Threatening an employee, directly or indirectly or playing on his/her fear of losing a job. 102

103 What is a mediation? A process that allows parties to constructively manage conflicts through collaborative problem solving and joint decision making through use of a neutral third party (mediator). ALL parties must be willing to work out the problem among themselves. A mediator helps the parties become the decision-makers by understanding and listening to each other and by working together to create options and solutions which meet their concerns. Where about a mutually satisfactory resolution to the problem. A mediator role is to facilitate. The mediator guides the parties through the process, by aiding the patients in making decision together, based on an understanding of their own views, the other’s view and the situation they face. Mediator has no authority to make decision. Supervisors who are unable to resolve conflicts between employees may request from Employee Relations office to set-up a mediation. The employees must be in an agreement to participate. 103

104 Mediation/Grievance Procedure
Established to provide employees with: Prompt review Impartial consideration Equitable disposition Mediation/Grievance Procedure should be based on good faith, meaning that both parties will make every effort to resolve the complaint without delay and with respect for each other’s position.

105 Voluntary Both mediations and grievances are voluntary.
If mediation is selected, grievance may not be used. If grievance is selected, mediation may not be used. If mediation is chosen, employee will not have access to the State Grievance Review Committee or the State Employee Grievance Appeal Panel.

106 Termination of process
The grievance and/or mediation may be terminated at any stage, if an agreement between parties is reached Grievant may terminate a grievance procedure at any time Grievant, supervisor, and/or mediator may terminate a mediation at any point if the sessions are not productive

107 WHO CAN USE PROCEDURES? Any employee who is: Non-probationary
Full-time employee of the Agency Regular salaried position Works a minimum of 1000 hours per year 107

New hires on probationary status Appointed positions Administrative posts Part-time Temporary Intermittent Extra-help Emergency hire ADH volunteers New Hires ( the beginning six months in position) Appointed positions (Professional/Executive – Grade N positions) Administrative posts (C121 and above). Exception are for LHU Administrators. They have access to the grievance process. 108

109 Representatives The employee and Agency may be represented by someone of his or her own choosing at each step of this procedure except the mediation procedure.

110 Determination of Grievable Matters
In the event the EEO/Grievance Officer and the employee disagree as to whether the matter is grievable, the Grievance Officer will request a determination from the State Grievance Review Committee with the Administrator of the Office of Personnel Management. Both parties are requested to submit a position statement. OPM will not make any finding at this stage with regard to the merits of such complaint, other than whether the complaint consists of a matter that is grievable, whether the employee has access and/or the appropriate process for grievance/complaint.

111 Grievable Matters (Examples)
Verbal abuse, physical abuse, or harassment Non-selection for competitive promotion Demotion Termination Disciplinary actions Suspension Acts of reprisal based on participation in a grievance Reduction of annual leave Reduction of sick leave Allegations of unlawful discrimination Failure to award compensatory time to an employee Retaliation May be filed only against a supervisor, not against another employee. 111

112 Non-Grievable Matters
Advice and/or counseling given by the EEO/Grievance Officer, Employee Relations Manager, or Attorneys in ADH Legal Services Matters set out by law or outside the scope of Agency management authority or control Layoff disagreements Performance Evaluation scores and denial of pay increases Denial of Job Series Promotions unless based on discrimination Matters set out by law or outside the scope of Agency management authority or control (Ex. Salaries) Layoff disagreements (Unless discriminatory basis) Complaints basis on performance evaluation may be appealed using the Performance Evaluation appeals process. Discrimination is on the basis of race, color, sex, age, national origin, religion or disability. Counseling statement are non-disciplinary. 112

113 OPM MEDIATION Mediation session will be scheduled within 5 working days Process – successful agreement in writing within 5 working days to grievance officer Process – unsuccessful employee may not file to continue process Mediation session will be scheduled within 5 working days of request to mediate 113

114 Benefits of Mediation Faster Binding Once Agreed Upon Less Formal Free
Win-Win Situation Improves Communication Good Time Management Mediation procedure will be completed within 10 working days Internal Grievance Procedure will be completed within 25 working days Does not have to go through as many steps as the formal grievance process (faster) Mediations are binding (binding) No court proceedings, no taping, and no paperwork (Less formal) No cost (free) Parties have an equal say in the process and they decide the terms of the settlement. There is no determination of guilt in the process. (win) Provides a neutral and confidential setting in which the parties can openly discuss their views on the dispute. (communication) The grievance process may take as many as 5 state employees to hear the complaint, along with the grievant, his or her supervisor, and any witnesses. (time management) 114

115 Deadlines NOTE: The grievance will be closed if the employee fails to submit by any given deadline or time frame within this policy.

116 Steps in Process—Step 1 The EEO/Grievance Officer will:
Contact the employee and appropriate supervisor within 3 working days Explain the mediation process and grievance procedure to both parties The employee will: Within 2 working days select the process (Mediation-Option 1 or Grievance-Option 2) to be used Within 3 days of the filing of grievance. Provide technical assistance to all parties involved.

117 Steps in Process - Option 1: Mediation
May be chosen instead of the formal grievance process at the employee’s option Will not have access to the grievance procedure Does not declare winners or losers Both parties will work collaboratively on a resolution Mediator has no authority to make decisions or act as a judge or arbitrator Mediator will not act as an advocate or attorney for either party The main focus of a mediation is to seek a resolution that is formal and timely to both parties. Continued

118 Steps in Process - Option 1: Mediation
EEO/Grievance Officer will contact OPM to secure a mediator Mediator will contact the employee and appropriate level of management within 2 working days to schedule the initial mediation session If successful, the mediator will formalize the agreement in writing, with all parties signatures Agreement will be filed with the EEO/Grievance Officer within 5 working days If a resolution is not achieved within 10 working days, mediator will prepare a Statement of Mediation Non-Resolution specifying resolution was not achieved and signed by all parties Statement will be filed with the EEO/Grievance Officer within 2 working days At this point, the employee’s access to internal resolution procedures is exhausted Prior to OPM assigning a mediator, an agreement to mediate must be signed by all parties involved.

119 Steps in Process - Option 2: Formal Grievance Hearing
EEO/Grievance Officer will forward a copy of the Employee Request for Mediation/Grievance to supervisor with Guideline—Supervisor Grievance Response Memo attached Supervisor will submit response in writing within 3 working day EEO/Grievance Officer will submit copy of response and Grievance Response form to employee Employee must return Grievance Response form within two working days If employee does not wish to appeal decision, grievance is closed and notice is sent to all parties indicating closure Or employee can appeal to the next step Grievance Response form HR2802 Continued…

120 Steps in Process—Formal Grievance Hearing Step 2
Employee must submit Grievance Response form indicating the wish to appeal within 2 working days EEO/Grievance Officer will arrange a Grievance hearing within 3 working days Grievance hearing must be held within 10 working days EEO/Grievance Officer will coordinate the hearing process and the Hearing Officer will take testimony from relevant witnesses, the employee, and the supervisor, and accepts exhibits Hearing will be recorded Hearing Officer will submit his decision in writing to the EEO/Grievance Officer within 5 working days to distribute to all parties. EEO/Grievance Officer will distribute decision to supervisor and employee. Hearing Officer’s decision on HR-2803. Continued… 120

121 Steps in Process—Formal Grievance Hearing Step 3
If not satisfied with results, employee may request a Grievance Decision Review by the Department Director/designee Employee must submit a Grievance Response form to the EEO/Grievance Officer within 2 working days indicating the wish to appeal the decision of the Hearing Officer and the EEO/Grievance Officer will submit to the Department Director for review Within 5 working days of the conclusion of the review, the Department Director will submit decision in writing to all parties The employee’s access to internal resolution procedures is exhausted HR-2802a form to be submitted to appeal to the Department Director. Continued…

122 Steps in Process—Formal Grievance Hearing-Step 4
If not satisfied with results of the Department Director, employee may within 2 working days submit Grievance Response form to the EEO/Grievance Officer to appeal to the State Grievance Review Committee or the State Employee Grievance Appeal Panel (as appropriate) Within 5 working days the State Grievance Appeals will set a hearing date The Committee or Panel will conduct whatever review it deems necessary HR2802b needs to be submit to appeal the Department Director decision. Continued…

UNLAWFUL DISCRIMINATION TERMINATION SUSPENSION WITHOUT PAY INVOLUNTARY DEMOTION FAILURE TO AWARD COMPENSATORY TIME The Panel will conduct a hearing and make its decision within 5 working day. BINDING ON ALL PARTIES May hear non-selection for promotion if discrimination is the basis of the complaint. Executive order came into effective July 1, 1993 It expanded on Executive Order to provide a final administrative review of employee grievances. 3 people on panel, chair is a licensing attorney

WILL HEAR ALL OTHER GRIEVANCES The Committee will conduct a hearing and make its decision within 10 working day. RECOMMENDATIONS ONLY Executive Order came into effective July 1, 1985. Required each agency to establish an employee grievance procedure. Established time lines for handling employee grievances at the state level 5 members

125 Steps in Process—Formal Grievance Hearing Step 5
If reviewed by the Committee, Department Director will review recommendation and submit decision (will be final and binding) within 3 working days in writing to the all parties including Committee Committee submit recommendation based on their finding to the Agency Director for further action. The final decision in the case remains with the Agency Director.

126 Steps in Process—Formal Grievance Hearing Step 5
If reviewed by the Panel, Department Director will review and effect implementation of the decision If Department Director does not agree with the Panel’s decision, he or she may, within 10 days provide the CFO of the state and the aggrieved employee in writing and request a formal review of the Panel’s decision by the CFO Employee may also submit comments and respond to the CFO within 10 working days Within 15 days, the CFO will issue a final administrative order affirming, reversing, or modifying the Panel’s decision with such order binding on the Agency During the period of appeal, the decision of the Panel shall be stayed, pending an appeal of the decision of the Chief Fiscal Officer.

127 Final Decision Does not prohibit employees from availing themselves of remedies outside these procedures Employees retain the right to file a compliant with the Equal Employment Opportunity Commission or pursue other legal remedies

128 EMPLOYEE’S ROLE EMPLOYEES WILL Be given time during work
Be paid for travel Have access to relevant records and documents Not use ADH resources EMPLOYEES MAY Seek technical assistance Have witness present and question at scheduled conference Choose a representative Request interpreters, readers, or other types of assistance File HR-2801

GATHER ALL FACTS AND RESOLVE IN GOOD FAITH ASSURE CURRENT/FORMER EMPLOYEES USE WITHOUT INTERFERENCE, RESTRAINT, COERCION, OR REPRISAL If employees decides to file a grievance, do you have sufficient/reasonable documentation to justify your decision to discipline employee. Be familiar with agency’s grievance policy and all the grievance steps. Stay Calm and objective and don’t let emotion get in the way of orderly resolution. Apply policy/rule/office procedure consistently to all employees – make sure grievance procedures are free of discrimination.

FILE REPORTS OF GRIEVANCES OR COMPLAINT WITH THE EMPLOYEE RELATIONS MANAGER MAINTAIN COMPLETE RECORDS DETERMINE GRIEVABILITY Provide technical assistance to grievant and charged party. Process all documentation that is relevant to the case. Insure that timeframes and procedure are followed. Serve as neutral party. Facilitate the mediation/grievance process by organizing and setting up the fact-finding hearing or gathering and submitting documentation for mediation.

MAINTAIN ALL DOCUMENTATION IN A SEPARATE FILE FROM THE EMPLOYEE’S PERSONNEL FILE NO INFORMATION RELATING TO THE GRIEVANCE WILL BECOME PART OF ANY EMPLOYEE’S PERMANENT PERSONNEL RECORD MAINTAIN HARD COPY FOR 5 YEARS OR PERMANENT WHEN REQUIRED BY STATE AND FEDERAL LAW The Grievant’s case file is compiled by the EEO/Grievance Officer. The file should contain as a minimum the following: Grievance Form (HR-2801) signed by the grievant defining what is being grieved, what action was taken to reconcile the issue(s) and what remedy the grievant is seeking. Copy of Notice of Disciplinary Action form (HR-1173). Copy of any supporting documentation /exhibits (ex. Prior disciplinary action form(s). Copy of letters sent to grievant and other parties through out the grievance process. Transcript (if appeal as far as the Agency Director)

132 Causes of Grievances Lack of training Lack of communication
Lack of consistency Unfair treatment/favoritism Not following up Lack of knowledge of policy

133 ASSUMING Major Cause of Grievance
Assuming that an employee knows something or an employee assuming you know something leads to miscommunication. 133


135 Employee/Supervisor Communications
Encourage employees to discuss problems Provide a basis to talk over matters of mutual interests To explain, reach agreement, and make adjustments Foster better understanding between employees and supervisors Working relationships tend to produce conflict of all sorts which are guided by each individual’s perception. Perception is how one person sees something completely different than another. If communication is a hindrance in any working relationship, then conflicts will compound one after another and never get solved.

136 Remember Open and clear communication will greatly decrease what may lead to complaints and grievances.


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