1► Introduction ► Performance Management ► Policy Retaining EmployeesThis is the end of time.► Introduction ► Performance Management ► Policy
2Introduction New Hires & Rehires (Probationary Period) Retaining EmployeesIntroduction New Hires & Rehires (Probationary Period)
3Policy All new employees are placed on probationary status for six months.New hiresRehiresInter-agency transfersIntra-agency transfersPromotionsthat are classifiedFull-timePart-timeEmergency Hire
4Policy During the probationary period, supervisors should evaluate: BehaviorPerformanceIf an employee exhibits inadequate performanceand/or inappropriate behavior during theprobationary period, the employee may beterminated.
5New Hires REHIRE A new hire is defined as an employee hired into Arkansas State Government.REHIREA rehire is an employee that was previouslyemployed by ADH or State of Arkansas who isreturning to employment after a break inservice of more than two pay periods.
6Interagency Transfer/Promotion A transfer or promotion from another stateagency in the ADH without a break in service ora break in service of less than two pay periods.Intra-agency Transfer/PromotionA transfer or promotion within the Agency by acurrent ADH employee without a break inservice or a break in service of less than two payperiods.
7Supervisor’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 toPlace employee on regular status at the end of probationary periodExtend the probationary period (One three-month period)Terminate employmentNotify HR of extension of probation or request to terminateNOTE: If HR is not notified, employee is automatically placed on regular status at the end of the six-month probationary period.
8Regular Status Definition Not Permanent Status after Performing Satisfactorily During ProbationOptionsEmployee has access to Mediation/Grievance procedures
10Retaining Employees Through Performance Management A look at performance-based merit pay
11Act 289 of 2007Effective July 1, 2007Implemented Merit Pay System based on PerformanceFor both Classified and Unclassified Employees
12Act 688 of 2009Effective June 28, 2009Implemented revisions to merit Pay SystemClassified personnel on the Career Service Pay Plan (C grades) receive increase as a % of payProfessional & Executive Pay Plan (N Grades) and unclassified (U class codes) receive one-time bonus at end of fiscal year.
13Act 688 of 2009Classified 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.
14Act 688 of 2009All FT & PT employees have eligibility date for Merit Pay Increase.October 1 for employees hired on or before October 1, 2006Latest hire date for any employee hired after October 1, 2006.Must have 12 months of continuous employment to be eligible for merit pay increase.
15What 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
16Eligibility Full-Time and Part-time Employees For 12 continuous months Rehires –latest hire date if after Oct 1, 2006Extended Leave covers employees onMilitary Leave/Extended Military leaveCatastrophic LeaveLeave Without Pay (LWOP)
17EligibilityEmployees 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.
18Extended 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
19EligibilityEmployees 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.
20Performance-Based Criteria Job-related requirements (included, but notlimited to) that must be successfullycompleted by employees:Demonstrating satisfactory job performanceExhibiting appropriate conduct
21Who is eligible?Regular full-time employees with continuous employment with the State for 12 monthsPart-time (including job share) in a regular salaried position with the State for 12 continuous months
24Managers 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.
25When 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
26Performance Evaluation System A system that:Establishes performance expectationsMonitors performance of job duties and tasksProvides feedbackRates the performance
27Evaluation and Feedback Final Evaluation Three PhasesImplementationEvaluation and FeedbackFinal Evaluation
28Phase 1 – Implementation Get the 1158 – Functional Job DescriptionReview itCreate 1973 and 19741974 must contain same duty areas as 11581974 must contain weights matching the 1158 – Functional Job DescriptionComplete in a timely manner – within 30 days after employee beginsTotal weight on 1974 and 1158 must both equal 100%
29Phase 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
30Phase 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 & 1974All other employees use 1973 & 1974Continued…
31Phase I (Implementation) Manager/Supervisor completes the Performance Evaluation Form (HR-1974)– Listing duty areas and weights for which the employee will be evaluatedIn the order of importanceWeights must total 100
32Phase 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 %.
33Phase II (Evaluation and Feedback) Supervisor will monitor and document employee performance throughout the rating periodMid-point review is required for employees (“C” Grades) at six months from the start of the rating periodOral and documented feedback must be presented to ensure employee is aware of performanceWeight, rating, score and justification must be entered in the “Mid-Point Review” section of the Performance Evaluation Form (HR-1974)
34Phase 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)
35Phase 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 IIIPerformance 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.
36Phase 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 WorkAccountability, including Code of ConductCollaboration and Adaptability
37Phase III (Final Evaluation) Meet with the employee to discuss the evaluationHave the employee to sign and date (1973) as having received the evaluationNOTE: An unsatisfactory rating in any duty area precludes awarding an Exceeds Standards or Above Average overall rating.
38Appealing a Performance Evaluation Employee must indicate on HR if the employee wishes to appealDocumentation 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.)
39Appealing (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.
40Appealing (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.
41Roles and Responsibilities of Supervisor Familiarize employees with the performance evaluation processComplete in a timely mannerAssure all criteria have been met for merit pay increasesComplete forms HR-1973 and HR-1974 for each employeeComplete mid-point and annual year-end performance ratingDetermine the appropriate weight for each job duty areaDetermine 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.)
42Roles and Responsibilities of Employee Meet the assigned performance-based criteriaDemonstrating satisfactory job performanceComplete any required trainingDemonstrate satisfactory conductKeep supervisor informed regarding process or difficultiesProvide documentation of work performance to supervisorCertificate of completion of trainingCommendation
43When 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)
44When 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.
45DocumentationEmployees are rated on the current evaluation period onlyFor probationary employeesCounseling Statement with Performance Improvement PlanOutlines specific performance expectations leading to improvement of overall performanceCites day probationary periodRecommended trainingOutlines actions to be taken by supervisor to assist employeeDocument periodic discussion of performance evaluationInform of progress or lack of improvementGive specific information or training on how to improve or continue improving performanceEach employee requires two filesOfficial file in HRSupervisor’s fileEmployee receives a copy of P.E. after all appropriate signatures are obtained
46Refusal to Sign Explain signature does not necessarily mean agreement Offer employee an opportunity to make written commentsIf employee still refuses to sign, the rating supervisor and another supervisor will make a notation on the HR-1973 and forward it to HRAn 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.
47Performance Management ►Planning ►Focusing ►AssessingSet performance expectationsBe an effective communicatorThink about what you need to do a good job in your workBe specificMake sure expectations are measurableAttainable and realistic to achieveRelevant to positionThink about the last road trip you took. I’m betting you hade some idea of where you were going and when you would arrive.
48Avoiding Pitfalls Unsigned or undated documents Illegibility Late documentationInaccuracyUnsupported conclusionsNot being specificMaking excusesLying…even to be nice!InconsistencyBeing over or under focused
50Retaining Employees Through Policies ►Disciplinary Policy ►Minimum Conduct►Performance“To Teach, Not to Punish”
51Policy Disclaimer All employees are required to meet, at a minimum, satisfactory performance standardsand abide by certain minimum standards ofconduct.DisclaimerNothing in this policy will alter the employment-at-will relationship between the employees andADH.
52NOTEHuman Resources must review and approve in writing all suspensions and terminations prior to such actions being initiatedOnly supervisors who have completed supervisor training provided by or coordinated through HR will be allowed to take disciplinary action against an employeeFailure to attend mandatory supervisor training will be immediately reported to the ADH Center Director by the HR DirectorHR 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
53HIPAA Violations When a conduct violation related to the Health Insurance Portability and Accountability Act(HIPAA), the supervisor and the HIPAA PrivacyOfficer will confer regarding the type ofdiscipline that may be applied.Violation of Protected Health Information53
54(Unless there are mitigating circumstances) InsubordinationWillful refusal to carry out the directive of employee’s supervisorVerballyLack of action(Unless there are mitigating circumstances)!! Document! Document! Document !!Insubordination is not if an employee is questioning a decisionWe 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
55Conduct Interchangeable with performance Includes actions or lack of actions by employees related toWork rulesPoliciesProceduresJob performanceOffice MissionSafety
56Minimum Conduct Standards Examples of types of unacceptable conduct and performance issues56 items(Not all inclusive, only representative)
58Dress CodeArkansas Department of Health employees are expected to project pride and self-awareness in appearance and hygiene to the customers and communities served.
59PolicyClothing, accessories, and jewelry must be clean, modest and professionalFingernails must be neatly groomed, cleaned and of an appropriate length for the type of work being performedArtificial fingernails are not allowed in patient care areas, including patients’ homesHairstyles must be neat, clean and well groomedOnly ADH or ADH program logos are permitted on shirts, jackets, or clinical clothing.Continued...
60PolicyTo insure safety, nurses, Public Health Technicians and lab personnel must wear closed-toed shoes when working in the clinic lab or in direct patient careNo 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 jobNo clothing will be worn tight, revealing, or sheerPerfumes, colognes, aftershaves and scented lotions will not be worn in patient care areasEmployees must wear their ADH identification badge visible and face forward at all times while on duty
61Responsibilities 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.
62Examples of Approved Attire Suits, dresses, sweaters, skirts, gauchos, dress shirts, polo-style shirts, blouses, turtlenecks, mock turtlenecks, jackets, trousers, slacks, and caprisScrubs when work unit policy specifies them as a uniformLoafers, boots, flats, clogs, conservative athletic shoes, sneakers, dress heels, leather deck shoes and dress sandals
63Examples 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 safetyOpen-toed shoes for non-clinical staffTank tops, spaghetti-strap tops, or muscle shirts ONLY WHEN worn under another garmentT-shirts, solid in color, plain with no writing/artwork
64Examples of Unapproved Attire T-shirts and undershirts designed as undergarmentsTorn, dirty, discolored, or frayed clothingMini-skirts, sundresses, beach dresses, leggings, biker pants/shorts, walking shorts or shorts of any kindathletic suits, athletic pants, athletic jackets and exercise attireMidriff-baring tops, T-shirts with writing/artwork, tank tops, muscle shirts, and spaghetti-strap tops when worn alone
65Examples of Unapproved Attire Any and all clothing that is too short, too tight, sheer, or revealingHats or caps of any kind worn inside, unless recovering from illness resulting in hair lossBeach shoes, thong shoes, shower shoes (100% rubber, plain or ornate, with or without wedge heels)Flip-flops, slippers, house shoes and bare feetAll denim pants, jeans, trousers and hats/caps of any kind, regardless of color
66Exceptions 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.
67Exceptions Small designer logos may be worn on approved attire. Exceptions to this policy will be made for religious practices.
69Reasonable Cause Drug Testing If an employee is suspected of a violation ofthe Substance Abuse Free Workplace Policy,the employee’s immediate supervisor or thenext level supervisor will initiate a reasonablecause test.
70Reasonable Cause Drug Testing 1.Another manager or supervisor should observe and document the employee’s suspected behavior or violation2.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 testContact HR70
71Counseling Counseling employees takes: A strong attitude Consistency A plan of actionUse Non-disciplinary Counseling Statements (PER-1131)Counseling is a non-disciplinary action.71
73Progressive Discipline ContinuousSequential movementDisciplinary action to the next levelSubstantially similar offensesUnauthorized leave (Ex. Calls-in excessively)1st offense2nd offense3rd offenseProgressive for similar offenses73
74Steps to follow Gather information Assess the severity Decide how to respondPrepareMeet with the employeeDocumentFollow upYou 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 informationAssess the severityDecide how to respond (severity)Prepare (concrete evidence)Meet with the employee (clear examples)Document (dates and times)Follow upBe honest, respectful, don’t raise your voice, allow questions and answer those questions.74
75Employee Meeting The supervisor must Schedule a formal meeting and meet (within 5 working days to determine misconduct) with the employeeAssure the employee knows the purpose of the meeting by providing all known factsAllow the employee an opportunity to refute the information or identify any extenuating factorsContinued…
76Employee MeetingAllow employee to provide in writing, additional information or names of persons who may have relevant informationWithin 5 working days of meeting, determine whether disciplinary action will be taken
77Employee MeetingIf disciplinary action is warranted, the supervisor must follow guidelines outlined in policyIf disciplinary action is not warranted, the supervisor must immediately notify the employeeSupervisors must attempt a telephone conference with employees unable or unwilling to meet with them. Unsuccessful attempts to discuss must be documented.
78Factors to ConsiderDid 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_______________________ DocumentationDocument findingsSelect the level of discipline appropriately_______________________The Disciplinary Checklist (HR-2813) will be completed if the supervisor is considering termination.
81What’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
82Discipline 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.
83Progressive Discipline Steps Written warning recorded in employee’s fileSuspension without pay or demotionTermination (Contact HR)Performance ProbationNOTE: 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 misunderstandingsSchedule a private meeting to discuss a corrective plan of action for the problematic issueIf 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 recordFormal 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 leaveDemoting 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 suspensionsDemotion 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
84Accrual of Points Written warning Suspension Demotion Demotion + Suspension= 3 points= 6 points= 8 pointsPoints 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 listAny employee accruing 13 or more disciplinary points within a 12-month period will be terminated.84
85Employees with Accumulated Points No current or former ADH employee is eligible to:ApplyAccept an interviewBe selected for another positionIf 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
86Impact on Future Discipline Written warningsSuspensionsDemotionsWill be counted for progressive discipline purposes for a period of 24 months after the action was documented.
87Temporary Removal from Duty Pending Review of Allegations Any employee whose alleged actions or behavior which have the potential to beImmediate or direct threat to public health or safetyMight threaten the safety of aChildClientCo-workerMight impede an investigationLength of time will be determined by the Center DirectorEmployee will be paid during that time, because they are waiting to be called back to work or to participate in the investigation87
88Applying 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.
90Performance Probation Conduct a performance evaluation, before initiating disciplinary action for a performance issueOverall 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
91Probationary Employees A Counseling Statement (PER-1131) will be issued that:Outlines specific performances expected and ways of improvementCites day evaluation period of probationary status (Max. allowable time is 180 calendar days)
92Probationary Employees A Performance Improvement Plan will also be issued that:Recommends training, if necessaryOutlines actions to assist employeeProvides additional documentation for clarity and an action planUse HR-69
93Probationary Period Supervisor will: Inform employee of progress or lack of improvementGive specific information or training on how to improve or continue improving performanceDocument periodic discussion of performance
94End of Probationary Period Supervisor will:Conduct another performance evaluation before the end of the probationary periodIf employee has met the standards satisfactorily, remove from probationary status
95Before End of Probationary Period If employee has not met the standards satisfactorilyProbation period may be extended- If initial period less than 180 daysMaximum allowable probationary period is 180 daysEmployee may be terminated
96Employees Right to Appeal May grieve a disciplinary action within 5 working days of actionNon-disciplinary Counseling Statements (PER-1131) are not grievable
97ExpectationsClarify exactly what is required for successful job performanceUse two-way communication (dialogue, not monologue)Establish responsibilities and priorities for the employee’s positionStructure a dialogue centered on employee performance standards so that job tasks and work behaviors can be evaluated correctlyEffectively train employees to accurately describe and recognize performance related issues and relationship to personal responsibilitiesEstablish yourself as a valuable resource to your employees
98Common Errors in Counseling or Discipline Personal biasRash judgmentsStereotypingLosing emotional controlInflexible counseling methodsImproper follow-up
100MEDIATION-GRIEVANCE PROCEDURES EMPLOYEEMEDIATION-GRIEVANCE PROCEDURESThe 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
101PolicyAll 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.
102What 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 complaint3. 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
103What 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
104Mediation/Grievance Procedure Established to provide employees with:Prompt reviewImpartial considerationEquitable dispositionMediation/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.
105Voluntary 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.
106Termination of process The grievance and/or mediation may be terminated at any stage, if an agreement between parties is reachedGrievant may terminate a grievance procedure at any timeGrievant, supervisor, and/or mediator may terminate a mediation at any point if the sessions are not productive
107WHO CAN USE PROCEDURES? Any employee who is: Non-probationary Full-time employee of the AgencyRegular salaried positionWorks a minimum of 1000 hours per year107
108NON-ELIGIBLE EMPLOYEES New hires on probationary statusAppointed positionsAdministrative postsPart-timeTemporaryIntermittentExtra-helpEmergency hireADH volunteersNew 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
109RepresentativesThe employee and Agency may be represented by someone of his or her own choosing at each step of this procedure except the mediation procedure.
110Determination 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.
111Grievable Matters (Examples) Verbal abuse, physical abuse, or harassmentNon-selection for competitive promotionDemotionTerminationDisciplinary actionsSuspensionActs of reprisal based on participation in a grievanceReduction of annual leaveReduction of sick leaveAllegations of unlawful discriminationFailure to award compensatory time to an employeeRetaliationMay be filed only against a supervisor, not against another employee.111
112Non-Grievable Matters Advice and/or counseling given by the EEO/Grievance Officer, Employee Relations Manager, or Attorneys in ADH Legal ServicesMatters set out by law or outside the scope of Agency management authority or controlLayoff disagreementsPerformance Evaluation scores and denial of pay increasesDenial of Job Series Promotions unless based on discriminationMatters 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
113OPM MEDIATIONMediation session will be scheduled within 5 working daysProcess – successful agreement in writing within 5 working days to grievance officerProcess – unsuccessful employee may not file to continue processMediation session will be scheduled within 5 working days of request to mediate113
114Benefits of Mediation Faster Binding Once Agreed Upon Less Formal Free Win-Win SituationImproves CommunicationGood Time ManagementMediation procedure will be completed within 10 working daysInternal Grievance Procedure will be completed within 25 working daysDoes 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
115DeadlinesNOTE:The grievance will be closed if the employee fails to submit by any given deadline or time frame within this policy.
116Steps in Process—Step 1 The EEO/Grievance Officer will: Contact the employee and appropriate supervisor within 3 working daysExplain the mediation process and grievance procedure to both partiesThe employee will:Within 2 working days select the process (Mediation-Option 1 or Grievance-Option 2) to be usedWithin 3 days of the filing of grievance.Provide technical assistance to all parties involved.
117Steps in Process - Option 1: Mediation May be chosen instead of the formal grievance process at the employee’s optionWill not have access to the grievance procedureDoes not declare winners or losersBoth parties will work collaboratively on a resolutionMediator has no authority to make decisions or act as a judge or arbitratorMediator will not act as an advocate or attorney for either partyThe main focus of a mediation is to seek a resolution that is formal and timely to both parties.Continued
118Steps in Process - Option 1: Mediation EEO/Grievance Officer will contact OPM to secure a mediatorMediator will contact the employee and appropriate level of management within 2 working days to schedule the initial mediation sessionIf successful, the mediator will formalize the agreement in writing, with all parties signaturesAgreement will be filed with the EEO/Grievance Officer within 5 working daysIf 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 partiesStatement will be filed with the EEO/Grievance Officer within 2 working daysAt this point, the employee’s access to internal resolution procedures is exhaustedPrior to OPM assigning a mediator, an agreement to mediate must be signed by all parties involved.
119Steps 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 attachedSupervisor will submit response in writing within 3 working dayEEO/Grievance Officer will submit copy of response and Grievance Response form to employeeEmployee must return Grievance Response form within two working daysIf employee does not wish to appeal decision, grievance is closed and notice is sent to all parties indicating closureOr employee can appeal to the next stepGrievance Response form HR2802Continued…
120Steps in Process—Formal Grievance Hearing Step 2 Employee must submit Grievance Response form indicating the wish to appeal within 2 working daysEEO/Grievance Officer will arrange a Grievance hearing within 3 working daysGrievance hearing must be held within 10 working daysEEO/Grievance Officer will coordinate the hearing process and the Hearing Officer will take testimony from relevant witnesses, the employee, and the supervisor, and accepts exhibitsHearing will be recordedHearing 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
121Steps in Process—Formal Grievance Hearing Step 3 If not satisfied with results, employee may request a Grievance Decision Review by the Department Director/designeeEmployee 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 reviewWithin 5 working days of the conclusion of the review, the Department Director will submit decision in writing to all partiesThe employee’s access to internal resolution procedures is exhaustedHR-2802a form to be submitted to appeal to the Department Director.Continued…
122Steps 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 dateThe Committee or Panel will conduct whatever review it deems necessaryHR2802b needs to be submit to appeal the Department Director decision.Continued…
123SEGAP STATE EMPLOYEE GRIEVANCE APPEAL PANEL UNLAWFUL DISCRIMINATIONTERMINATIONSUSPENSION WITHOUT PAYINVOLUNTARY DEMOTIONFAILURE TO AWARD COMPENSATORY TIMEThe Panel will conduct a hearing and make its decision within 5 working day.BINDING ON ALL PARTIESMay hear non-selection for promotion if discrimination is the basis of the complaint.Executive order came into effective July 1, 1993It expanded on Executive Order to provide a final administrative review of employee grievances.3 people on panel, chair is a licensing attorney
124SGRC STATE GRIEVANCE REVIEW COMMITTEE WILL HEAR ALL OTHER GRIEVANCESThe Committee will conduct a hearing and make its decision within 10 working day.RECOMMENDATIONS ONLYExecutive 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 level5 members
125Steps 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 CommitteeCommittee submit recommendation based on their finding to the Agency Director for further action. The final decision in the case remains with the Agency Director.
126Steps in Process—Formal Grievance Hearing Step 5 If reviewed by the Panel, Department Director will review and effect implementation of the decisionIf 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 CFOEmployee may also submit comments and respond to the CFO within 10 working daysWithin 15 days, the CFO will issue a final administrative order affirming, reversing, or modifying the Panel’s decision with such order binding on the AgencyDuring the period of appeal, the decision of the Panel shall be stayed, pending an appeal of the decision of the Chief Fiscal Officer.
127Final DecisionDoes not prohibit employees from availing themselves of remedies outside these proceduresEmployees retain the right to file a compliant with the Equal Employment Opportunity Commission or pursue other legal remedies
128EMPLOYEE’S ROLE EMPLOYEES WILL Be given time during work Be paid for travelHave access to relevant records and documentsNot use ADH resourcesEMPLOYEES MAYSeek technical assistanceHave witness present and question at scheduledconferenceChoose a representativeRequest interpreters, readers, or other types of assistanceFile HR-2801
129MANAGEMENT’S ROLE COMMUNICATE POLICY AND PROCEDURE TO EACH EMPLOYEE GATHER ALL FACTS AND RESOLVE IN GOOD FAITHASSURE CURRENT/FORMER EMPLOYEES USE WITHOUT INTERFERENCE, RESTRAINT, COERCION, OR REPRISALIf 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.
130GRIEVANCE OFFICER’S ROLE FILE REPORTS OF GRIEVANCES OR COMPLAINT WITH THE EMPLOYEE RELATIONS MANAGERMAINTAIN COMPLETE RECORDSDETERMINE GRIEVABILITYProvide 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.
131EMPLOYEE RELATIONS’ RESPONSIBILITIES MAINTAIN ALL DOCUMENTATION IN A SEPARATE FILE FROM THE EMPLOYEE’S PERSONNEL FILENO INFORMATION RELATING TO THE GRIEVANCE WILL BECOME PART OF ANY EMPLOYEE’S PERMANENT PERSONNEL RECORDMAINTAIN HARD COPY FOR 5 YEARS OR PERMANENT WHEN REQUIRED BY STATE AND FEDERAL LAWThe 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)
132Causes of Grievances Lack of training Lack of communication Lack of consistencyUnfair treatment/favoritismNot following upLack of knowledge of policy
133ASSUMING Major Cause of Grievance Assuming that an employee knows something or an employee assuming you know something leads to miscommunication.133
134WAYS TO PREVENT GRIEVANCES FAIR = TREATMENTAWARENESS OF LAWCOMMUNICATIONFOLLOW THROUGHASK QUESTIONS FIRST
135Employee/Supervisor Communications Encourage employees to discuss problemsProvide a basis to talk over matters of mutual interestsTo explain, reach agreement, and make adjustmentsFoster better understanding between employees and supervisorsWorking 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.
136RememberOpen and clear communication will greatly decrease what may lead to complaints and grievances.