Retaining Employees Introduction Performance Management Policy
Slide 2 Introduction New Hires & Rehires ( Probationary Period)
Retaining Employees Slide 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 Slide 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. Slide 5 New Hires 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. Slide 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. Slide 7
Supervisors Responsibilities Anytime during the probationary
period, but no less than two weeks prior to the end of the
probationary period, evaluate the employees 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. Slide 8 Regular Status
Definition Not Permanent Status after Performing Satisfactorily
During Probation Options Employee has access to Mediation/Grievance
procedures Slide 9 QUESTIONS Slide 10 Retaining Employees Through
Performance Management A look at performance-based merit pay Slide
11 Act 289 of 2007 Effective July 1, 2007 Implemented Merit Pay
System based on Performance For both Classified and Unclassified
Employees Slide 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. Slide 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. Slide 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. Slide 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 Slide 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) Slide 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. Slide 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 Slide 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 employees performance evaluation and date
of merit increase eligibility remain October 1 or the latest hire
date, whichever is applicable. Slide 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 Slide 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
Slide 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 Slide 23
Performance Measurements (E)Exceeds Standards (A)Above Average
(S)Satisfactory (U)Unsatisfactory Slide 24 Managers and supervisors
who fail to complete a performance evaluation within 30 days of the
employees MIED under their administrative control are not eligible
for merit increases. Managers and supervisors must have attended
ADH Supervisors training before taking disciplinary action or
completing performance evaluations on employees. Slide 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
Slide 26 Performance Evaluation System A system that: Establishes
performance expectations Monitors performance of job duties and
tasks Provides feedback Rates the performance Slide 27 Three Phases
Implementation Evaluation and Feedback Final Evaluation Slide 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%
Slide 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 Slide 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 Slide
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 Slide 32 Job duty areas should be
weighted according to the importance of the employees job duties,
with the most important job duty receiving the highest rank and %.
Phase I (Implementation) Slide 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) Slide 34 Phase II
(Evaluation and Feedback) Unsatisfactory ratingsupervisor must
complete a Counseling Statement (HR-1131) and place the employee on
probation for 30-180 days (Rememberanother P.E. must be conducted
prior to the end of the probationary period) Slide 35 Phase III
(Final Evaluation) (Ninety days prior to merit increase eligibility
date, MIED) Executive Management and Professional Staff Performance
Evaluation FormThe Rater completes evaluations and enter
information in Part III Performance Evaluation Form HR-1974Rater
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. Slide 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 Slide 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. Slide 38 Appealing a Performance Evaluation Employee must
indicate on HR 1973 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.) Slide 39 Appealing (contd) 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. Slide 40 Appealing (contd) 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. Slide 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.) Slide 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
Slide 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 employees rating period (New
supervisors responsibility) Slide 44 When a Rating Supervisor
Leaves If supervisor leaves after the first 90 days and prior to
the last 90 days of an employees evaluation cycle, the supervisor
will complete a formal evaluation. (The evaluation should assist
the new supervisor in assessing the employees 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. Slide 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
30-180 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 Supervisors file Employee receives a
copy of P.E. after all appropriate signatures are obtained Slide 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. Slide 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 Slide 48 Avoiding
Pitfalls Unsigned or undated documents Illegibility Late
documentation Inaccuracy Unsupported conclusions Not being specific
Making excuses Lyingeven to be nice! Inconsistency Being over or
under focused Slide 49 QUESTIONS Slide 50 Retaining Employees
Through Policies Disciplinary Policy Minimum Conduct Performance
Slide 51 Policy 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.
Slide 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 Slide 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. Slide 54 Insubordination Willful refusal to carry out the
directive of employees supervisor Verbally Lack of action (Unless
there are mitigating circumstances) !! Document! Document! Document
!! Slide 55 Conduct Interchangeable with performance Includes
actions or lack of actions by employees related to Work rules
Policies Procedures Job performance Office Mission Safety Slide 56
Minimum Conduct Standards Examples of types of unacceptable conduct
and performance issues 56 items (Not all inclusive, only
representative) Slide 57 Slide 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.
Slide 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... Slide 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 Slide 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. Slide 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 Slide
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
Slide 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 Slide 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 Slide 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. Slide
67 Exceptions Small designer logos may be worn on approved attire.
Exceptions to this policy will be made for religious practices.
Slide 68 Slide 69 Reasonable Cause Drug Testing If an employee is
suspected of a violation of the Substance Abuse Free Workplace
Policy, the employees immediate supervisor or the next level
supervisor will initiate a reasonable cause test. Slide 70
Reasonable Cause Drug Testing 1.Another manager or supervisor
should observe and document the employees suspected behavior or
violation 2.Observations should be discussed with the responsible
manager for a determination of action to be taken (Contact Pat
Hathaway 501-661-2714 or HR) 3.To confirm, the supervisor should
contact aTest to administer screening. (Employee must be
transported to testing site. DO NOT allow them to drive
themselves.) Slide 71 Counseling Counseling employees takes: A
strong attitude Consistency A plan of action Use Non-disciplinary
Counseling Statements (PER-1131) Slide 72 Slide 73 Progressive
Discipline Continuous Sequential movement Disciplinary action to
the next level Substantially similar offenses Slide 74 Steps to
follow Gather information Assess the severity Decide how to respond
Prepare Meet with the employee Document Follow up Slide 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 Slide 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 Slide 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.
Slide 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
employees 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? Slide 79 Documentation Document findings Select the
level of discipline appropriately _______________________ The
Disciplinary Checklist (HR-2813) will be completed if the
supervisor is considering termination. Slide 80 Slide 81 Once
negative behavior has been addressed, dont continue to bring it up,
unless you are using positive reinforcement. If negative behavior
is continuing, use progressive discipline. Whats Next? Slide 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
employees misconduct. Slide 83 Progressive Discipline Steps Written
warning recorded in employees 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. Slide 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) Any employee accruing 13 or more disciplinary
points within a 12-month period will be terminated. Slide 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 Slide 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. Slide 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 Slide 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.
Slide 89 Slide 90 Performance Probation Conduct a performance
evaluation, before initiating disciplinary action for a performance
issue Overall score of 2.99 or belowprobationary status 30-180 days
(length determined by supervisor) Overall score of 3.00 or
abovedisciplinary action for the performance violation Slide 91
Probationary Employees A Counseling Statement (PER-1131) will be
issued that: Outlines specific performances expected and ways of
improvement Cites 30-180 day evaluation period of probationary
status (Max. allowable time is 180 calendar days) Slide 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 Slide 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
Slide 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 Slide 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 Slide 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 Slide 97 Expectations Clarify exactly what is required
for successful job performance Use two-way communication (dialogue,
not monologue) Establish responsibilities and priorities for the
employees 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 Slide 98 Common Errors in Counseling or
Discipline Personal bias Rash judgments Stereotyping Losing
emotional control Inflexible counseling methods Improper follow-up
Slide 99 QUESTIONS Slide 100 MEDIATION-GRIEVANCE PROCEDURES
EMPLOYEE Slide 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. Slide 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. Slide
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). Slide 104 Established to provide employees with:
Prompt review Impartial consideration Equitable disposition
Mediation/Grievance Procedure Slide 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. Slide 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 Slide 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 Slide 108 NON-ELIGIBLE EMPLOYEES New
hires on probationary status Appointed positions Administrative
posts Part-time Temporary Intermittent Extra-help Emergency hire
ADH volunteers Slide 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. Slide 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. Slide 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 Slide 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 Slide 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
Slide 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 Slide 115 Deadlines NOTE: The grievance will be closed
if the employee fails to submit by any given deadline or time frame
within this policy. Slide 116 Steps in ProcessStep 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 Slide 117 Steps in Process - Option
1: Mediation May be chosen instead of the formal grievance process
at the employees 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 Continued Slide 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 employees access to internal
resolution procedures is exhausted Slide 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 GuidelineSupervisor 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
Continued Slide 120 Steps in ProcessFormal 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. Continued Slide 121
Steps in ProcessFormal 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 employees access to internal resolution procedures
is exhausted Continued Slide 122 Steps in ProcessFormal 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 Continued Slide 123 SEGAP STATE
EMPLOYEE GRIEVANCE APPEAL PANEL 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 Slide 124
SGRC STATE GRIEVANCE REVIEW COMMITTEE WILL HEAR ALL OTHER
GRIEVANCES The Committee will conduct a hearing and make its
decision within 10 working day. RECOMMENDATIONS ONLY Slide 125
Steps in ProcessFormal 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 Slide 126 If
reviewed by the Panel, Department Director will review and effect
implementation of the decision If Department Director does not
agree with the Panels 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 Panels 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 Panels
decision with such order binding on the Agency Steps in
ProcessFormal Grievance Hearing Step 5 Slide 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 Slide 128 EMPLOYEES 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 Slide 129
MANAGEMENTS ROLE COMMUNICATE POLICY AND PROCEDURE TO EACH EMPLOYEE
GATHER ALL FACTS AND RESOLVE IN GOOD FAITH ASSURE CURRENT/FORMER
EMPLOYEES USE WITHOUT INTERFERENCE, RESTRAINT, COERCION, OR
REPRISAL Slide 130 GRIEVANCE OFFICERS ROLE FILE REPORTS OF
GRIEVANCES OR COMPLAINT WITH THE EMPLOYEE RELATIONS MANAGER
MAINTAIN COMPLETE RECORDS DETERMINE GRIEVABILITY Slide 131 EMPLOYEE
RELATIONS RESPONSIBILITIES MAINTAIN ALL DOCUMENTATION IN A SEPARATE
FILE FROM THE EMPLOYEES PERSONNEL FILE NO INFORMATION RELATING TO
THE GRIEVANCE WILL BECOME PART OF ANY EMPLOYEES PERMANENT PERSONNEL
RECORD MAINTAIN HARD COPY FOR 5 YEARS OR PERMANENT WHEN REQUIRED BY
STATE AND FEDERAL LAW Slide 132 Causes of Grievances Lack of
training Lack of communication Lack of consistency Unfair
treatment/favoritism Not following up Lack of knowledge of policy
Slide 133 Major Cause of Grievance Slide 134 WAYS TO PREVENT
GRIEVANCES FAIR = TREATMENT AWARENESS OF LAW COMMUNICATION FOLLOW
THROUGH ASK QUESTIONS FIRST Slide 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 Slide 136 Open and clear communication
will greatly decrease what may lead to complaints and grievances.
Remember Slide 137 QUESTIONS
