Chapter Seven - Employer-Employee Relations

7.1     ORIENTATION

New employees, volunteers, contract individuals, and students receive orientation commensurate with their function(s) and job-related responsibilities. Orientation is provided through a variety of means, including:

• Through the Human Resources Office on the first day of employment (See #1 below.)
• By the supervisor and other staff, as applicable in the unit to which the staff/ student/ volunteer is assigned. This unit-specific orientation is arranged and coordinated by the employee's immediate supervisor. This specific orientation is designed to provide an in-depth understanding of the structure and function of D19 CSB and its components, as well as policies and procedures specific to the person's service component(s) and responsibilities. (See #2, #3, #5, #6, and #7 below.)
• A mandatory one-day orientation class for full-time salaried staff, hourly staff with 20 or more scheduled hours per week, and all students. This class covers a wide range of topics presented by the Executive Director, Quality Assurance Manager, Human Resources Director, Staff Advisory Committee, and Disability/ Division Directors. Orientation classes re conducted on the third Tuesday of each month. A sign-in sheet is completed and a copy maintained in each staff/ student's personnel file
• Staff assigned lead responsibility for addressing specific aspects of orientation include:

At the end of an employee's orientation, the "Personnel Orientation" form, (ADMINPERS #11) indicating completion of each of the above items, will be signed and filed in the employee's personnel record. It is the responsibility of the Human Resources Director to see that completed orientation checklists are filed in the employee's personnel record within the first 10 days of employment. A final review of the performance standards takes place no later than 30 days after the date of employment. The employee's performance is measured against these standards at three months and 12 months (See Chapter 6, "Employee Performance Planning and Evaluation").

Revised 10/23/03

7.2     STANDARDS OF CONDUCT

1. These Standards of Conduct are designed to protect the well‑being and rights of all employees; to assure safe, efficient operations, and to assure that all staff conduct themselves according to the code of ethics of their profession and in the best interest of clients. This policy is also designed to support supervisors and assure that corrective actions are handled in an equitable and timely manner using a progressive approach when the situation permits.

Many of the conduct standards will readily be understood and recognized as those that guide behavior with other people anywhere in social or business relationships. Other standards and procedures are more particularly applicable to employees working together in public agencies.

The Standards of Conduct serve to:

1. Establish a fair and objective process for correcting or treating unacceptable conduct or work performance;
2. Distinguish between less serious and more serious actions of misconduct and provide corrective action accordingly, and;
3. Limit corrective action to employee conduct occurring only when employees are on work time or when otherwise representing the Board in an official or work-related capacity, unless otherwise specifically provided for in this procedure.
4. Set guidelines for employees and supervisors concerning adherence to appropriate work conduct.

2. The standards listed below are intended to be illustrative but not all inclusive of the type of conduct expected from employees.

1. Timely and Regular Attendance Performance: Planned absences should be requested and approved by the employee's supervisor in advance. Unexpected absences are to be reported to the supervisor within 60 minutes after the employee's scheduled start time.
2. Dependable Application of Time: Employees are expected to apply themselves to their assigned duties during the full schedule for which they are being compensated.
3. Satisfactory Work Performance: Employees are expected to meet established performance standards. Conditions or circumstances, as they become known, which will prevent employees from performing effectively or from completing their assigned tasks should be reported to their supervisor. Likewise, unclear instructions or procedures should be brought to the attention of their supervisor.

Supervisors should assist employees in understanding their work assignments, the Standards of Conduct, and the goals, expectations and performance standards of their position. (Also, see Policy 6.1, "Performance Planning and Evaluation.") Supervisors should be aware of inadequate or unsatisfactory work performance or behavior on the part of employees and attempt to correct the performance or behavior immediately. Such corrective action may take the form of a supervisory session or the issuance of a "Written Notice" form (ADMINPERS # 13) depending upon the severity of the situation. While it is hoped that most performance and behavior problems can be resolved through the supervisory process, such process is not a prerequisite to taking formal disciplinary action.

Regularly scheduled supervisory sessions may be used to address performance and behavioral concerns, or special supervisory sessions may be scheduled for this purpose. In this context, supervisory session refers to a discussion with the employee about a work performance or behavior problem which, if not corrected, could lead to disciplinary action. The supervisory session should:

1. Be held in private.
2. Include discussion between the employee and their supervisor to communicate actual performance behavior observed vs. behavior required of the position and the impact and consequences of unacceptable employee conduct. Goals and expectations may need to be established.
3. Clarify, in writing, to the employee, the supervisor's expectations as to time frame for demonstrated improved performance. This informal supervisory session should be documented by the supervisor, but does not become part of the employees personnel file unless further formal disciplinary actions are needed. If further formal disciplinary action is needed, the documentation from this informal supervisory meeting(s) will become part of the personnel file and will have the same active period as the written notice issued (See Section 7.2.7. ("Active" Life of Notices"). This documentation should be reviewed and signed by the employee to indicate that the documents present a correct account of what took place in the supervisory session.

Disciplinary action refers to a formal corrective measure based on a violation of established Standards of Conduct, which includes discussion of the offense, an explanation of the evidence, and issuance of a Written Notice form.

An employee unable or unwilling to meet the working conditions of his/ her employment due to circumstances such as those listed below (see group offenses) may be demoted or removed under this section. Such demotion or removal shall be the decision of the Executive Director in consultation first with the appropriate Director and the Human Resources Director. A Written Notice with a description of the circumstance will be issued. Examples of such circumstances include: loss of driver's license, which is required for the job; incarceration for an extended period of time; loss of certification or license required for the job; failure to obtain appropriate license as condition of continued employment and continued documented unacceptable conduct.

Prior to such demotion or removal, the Director shall gather full documentation supporting such action and shall notify the employee, in writing, of the reasons for such demotion or removal and give the employee a reasonable opportunity to respond in accordance with section entitled "Notice to Employee and Severance Pay (Non-Probationary Salaried Employees)" (Section 7.2.5)). Copies of such notices and documentation supporting such action shall be sent to the Human Resources Director and Executive Director prior to being discussed with the employee.

Unacceptable conduct shall be divided into three types of offenses according to their severity. Specified corrective action should be progressive and corrective action in application for such offenses shall not be exceeded. However, when in the judgment of the Executive Director and/ or the Director mitigating circumstances exist, specified corrective action may be reduced. (See "Mitigating Circumstances," Section 7.2.12.)

7.2.1     First Group Offenses

First group offenses include those types of behavior less severe in nature, but which require correction in the interest of maintaining a productive and well managed work force.

A supervisor should first discuss a first group offense situation with the employee and advise the employee of the need for correction. If the condition is not corrected, the employee should be given a Written Notice to again indicate to the employee the need for correcting the stated offense.

Active written notices for First Group Offenses shall be cumulative in nature. Such written notices for purposes of corrective action shall remain "active" until 24 months have elapsed since the issuance of the last notice.

The accumulation of active Written Notices, regardless of the nature of the first group offenses should result in suspension without pay on the third active notice, but such suspension shall not exceed three workdays. At this point demotion may be considered, in lieu of suspension, for first group offenses due to inadequate or unsatisfactory job performance. A fourth active Written Notice will normally result in removal.

First Group Offenses encompass, but are not necessarily limited to:

Unsatisfactory attendance (defined as):

• Failure to notify supervisor of absence in timely manner per policy
• Failure to provide physician's statement when absence exceeds three (3) consecutive days
• Excessive Tardiness
• Excessive use of sick leave for non-illness related absences (i.e. not scheduling doctor appointments at beginning or end of day)

Abusive language

Conviction of a moving traffic violation while using Board or other public use vehicles or private vehicles used in performance of official agency business

Inadequate or unsatisfactory job performance

Disruptive behavior

Abuse of time such as unauthorized time away from work area, use of Board time for personal business, and abuse of sick leave

Violation of "EEO" Policy, Policy 2.1 (depending on nature of violation)

Violation of "Sexual Harassment" Policy, Policy 2.2 (depends on nature of violation).

7.2.2     Second Group Offenses

Second group offenses include acts and behavior which are more severe.

Corrective action for these offenses include a Written Notice or Written Notice and suspension without pay. Employees, however, may not be suspended in excess of five workdays for an offense of this nature. An additional Second Group Offense should normally result in removal. A single second group offense, coupled with three "active" First Group Offenses, should also normally result in removal. Written Notices for second group offenses shall remain active for 36 months.

Second Group Offenses encompass but are not necessarily limited to:  

Failure to follow supervisor's instructions, perform assigned work or otherwise comply with applicable established written policy.

Violating safety rules where there is not a threat to life.

Failure to notify supervisor of absence from work.

Unauthorized use or misuse of Board property or records.

Leaving the work site for personal reasons without permission during working hours.

Refusal to work required overtime.

Filing a grievance for the sole purpose to harass the Agency or supervisor.

Violation of "EEO" Policy (depending on nature of violation).

Violation of "Sexual Harassment" Policy (depends on nature of violation).

7.2.3     Third Group Offenses

Third group offenses include acts and behavior of such a serious nature that a first occurrence should normally warrant written notice and suspension without pay for up to 30 days or removal (termination) or written notice or up to 30 workdays suspension without pay in lieu of removal, except that in cases of client abuse removal shall be mandatory. If the employee is not removed, due to mitigating circumstances, the employee is to be notified that any subsequent Written Notice issued during the active life period of the third group offense notice, regardless of level, may result in removal. Written Notices for third group offenses remain active for a period of 60 months.

Third Group Offenses encompass, but are not necessarily limited to:

Absence in excess of three days without call in or notice to supervisor or without proper authorization or satisfactory reason.

Use of alcohol or unlawful use, possession, or distribution of controlled substances or use, possession, or distribution of illegal substances while on work time or on Board property.

Reporting to work when under the influence of or when ability is impaired by alcohol or the unlawful use of controlled substances or the use of illegal substances.

Falsifying any records, such as, but not limited to: vouchers, reports, insurance claims, time records, leave records, or other official Board documents.

Willfully or negligently damaging or defacing Board records or Board or employee property.

Theft or unauthorized removal of Board records or Board or employee property.

Gambling on Board property and/ or while on work time.

Acts of physical violence or fighting on Board property and/ or while on work time.

Violating safety rules where there is a threat to life.

Participating in any kind of work slowdown, sit-down, or similar concerted interference with Board operation.

Unauthorized possession or use of firearms, dangerous weapons or explosives on Board property and/ or while on work time.

Threatening or coercing employees or supervisors.

Serious or willful breach of confidentiality policy.

Client abuse.

Failure to report incidents of abuse or mistreatment of clients by staff.

Criminal convictions for acts of conduct occurring on or off the job which are plainly related to job performance or are of such a nature that to continue the employee in the assigned position could constitute negligence in regard to the agency's duties to the public, to its clients, or to other Board employees.

Sleeping during work hours.

Violation of "EEO" Policy (depending on nature of violation).

Violation of "Sexual Harassment" Policy (depends on nature of violation).

7.2.4     Pre-disciplinary or Non-disciplinary Suspension

In addition to the suspensions without pay provided for above, suspensions without pay may occur for the following reasons, subject to the limitation noted.

1. Pre-disciplinary or Non-disciplinary Suspension Pending an Agency Administrative Investigation:

   When a suspension without pay is effected pending completion of a disciplinary investigation into misconduct or violation of established work rules, such suspension shall not exceed 10 workdays.

   If the employee is cleared of any such alleged violations, the employee shall be reinstated and paid for this period of suspension. Where no finding of violation or decision on disciplinary action occurs within 10 workdays, the employee shall be permitted to return to work pending a final decision or should be placed on a leave with pay status.

   If the Executive Director decides disciplinary action involving suspension is warranted, the period of suspension pending completion of the investigation shall apply to the period of disciplinary suspension.

2. Suspension - Disciplinary Penalty:
   
   Suspension for First and Second Group Offenses is provided for elsewhere in this policy. However, suspension in lieu of removal shall not exceed 10 workdays.
   
3. Suspension Pending Court Action or Official Investigation:
   
   The 10‑day time limitation shall not apply when an employee is suspended pending completion of court action or an official investigation, provided such court action or official investigation involves alleged criminal violations that occur on or off the job and are plainly related to job performance or are of such a nature that to continue the employee in the assigned position could constitute negligence in regard to the agency's duties to the public, to its clients, and to other Board employees. Upon completion of such court action or official investigation, the employee may be disciplined or removed or may be reinstated with full or partial back pay as the Executive Director determines to be appropriate under the circumstances. ("Official Investigation" shall be limited to those investigations conducted by State Police and/ or other Federal, State or local government law enforcement agencies, or to any internal investigation into what may be criminal behavior on the part of an employee.)

7.2.5   Notice to Employee and Severance Pay (Non-Probationary Salaried Employees)

Prior to suspension, demotion, or removal, employees shall be informed by the Executive Director, in writing, of the reasons for the suspension, demotion, or removal and be given 48 hours to respond to those reasons for removal, demotion or suspension. Effective date of the action will be at the end of the 48 hours allowed for employee to respond. However, an employee may be immediately suspended or removed without written notification where the employee's continued presence may be a substantial threat to the welfare of the agency, clients, or fellow employees, or may threaten the reputation of the agency in the community. Employees will be immediately dismissed if a report of client abuse is substantiated, if a staff member is found to have seriously or willfully violated the confidentiality policy, or if the staff member has engaged in other seriously unprofessional conduct. In such cases, the employee shall be informed, in writing, of the reasons for such suspension, or removal as soon as possible thereafter and shall then be given 48 hours to respond to those reasons. A letter confirming the cause and nature of the suspension or removal actions shall be provided to the employee either before or promptly following such actions.

Employees who are removed will be paid in full for the current pay period in which termination takes place.

All suspensions/ terminations shall be made in writing and shall include a reference to the employee's right to file a grievance should they disagree with the agency's termination action.

7.2.6     Access to Board Premises and Work While on Suspension

Employees who are suspended from work shall not be allowed on agency premises. If person comes on premises authorities will be called. Person may be subject to trespassing charges.

7.2.7     "Active" Life of Notices

Group I written notices shall have a 24-month "active" period from the date the notice was issued to the employee. Group II written notices shall have a 36-month "active" period from the date the notice was issued to the employee. Group III written notices shall have a 60-month "active" period from the date the notice was issued to the employee. These active periods are definite and shall not be extended because of absence.

Written notices shall not be removed from the employee's personnel file. EXCEPTION: A written notice can be removed if the Board reduces or vacates its action, or through the grievance procedure, it is determined the notice issued was not justified. In such cases, the Human Resources Director shall be responsible for placing the removed notice in a grievance or separate confidential file. Under no circumstances should it be destroyed or remain in the employee's personnel file, nor should it be taken into consideration in any future personnel actions.

Written notices that are no longer active shall not be taken into consideration in the accumulation of notices or in the degree of discipline for a new offense. When the active life of a written notice expires, the notice will be marked "Inactive."

7.2.8     Executive Director's Responsibility

The Executive Director, in consultation with the Human Resources Director, shall be responsible for the review of all corrective action involving suspension, demotion, and/ or removal and to determine if mitigating circumstances exist which would otherwise justify modified corrective action. The Executive Director's review will include information received from management, the Human Resources Director and the employee.

7.2.9     Management Responsibility

Management is responsible to assure that corrective actions are progressive in nature and are therefore timely, fair, and objectively and consistently applied. Moreover, effective corrective procedure requires that the employee's actions rather than his/ her personality be the subject of disciplinary decisions.

7.2.10     Use of Grievance Procedure

Eligible employees may use the Board grievance procedure on any matters related to the application of this policy.

7.2.11     Probationary Employees

The above disciplinary procedures do not apply to probationary employees, inasmuch as it is recognized that the failure of the probationary employee to meet conduct standards is grounds for immediate removal.

7.2.12     Mitigating Circumstances

Mitigating circumstances include those conditions related to a given offense that would otherwise serve to support a reduction of corrective action in the interest of fairness and objectivity. Mitigating circumstances may also include consideration of an employee's long service with a history of otherwise satisfactory work performance. Mitigating circumstances may also justify the use of demotion, transfer, or suspension as an alternative to removal. Suspension in lieu of removal shall not exceed 30 workdays for a Group III offense or an accumulation of Group I or Group II offenses.

7.2.13     Employee's Role in Internal Investigation

1. Employees are encouraged to cooperate in the investigative process.
   
2. No disciplinary action will be taken if staff refuses to participate or provide factual information that may be damaging to the Board.

All D19 CSB personnel, including students and volunteers, are committed to the belief in the dignity and worth of the individual human being. They maintain integrity with respect to their duties as they come in contact with clients, other service providers, and the public.

7.3.1     Principle A: Confidentiality

A primary obligation of all staff members is to safeguard information about a client that has been obtained by D19 CSB personnel.

7.3.2     Principle B: Professional Conduct

Maintaining high standards of professionalism is the responsibility of all personnel:

1. Each staff member will conduct himself/ herself in accordance with the code of ethics of his/ her profession and in the best interests of the programs' clients.
   
2. Each staff member avoids misrepresentation of his/ her own professional qualifications, affiliations, and purposes, and those of the colleagues, institutions, and organizations with which he/ she is associated.
   
3. Respect for the rights and privacy of colleagues is maintained.
   
   1. A clinician cannot treat another clinician's consumer without supervisor's approval or unless an emergency situation exists.
      
   2. Criticism of the colleague's services or procedures should be directed to the colleague for potential resolution. If resolution is not achieved to the satisfaction of each worker, the respective supervisor(s) need to be included for satisfactory resolution of their concerns.
      
4. Each staff member takes responsibility for assuring the continuity of his/ her client's case by continuing contact and following up referrals to other agencies of individuals.

7.3.3     Principle C: Quality of Service

The maintenance of high standards of professional competence and quality of service is the responsibility of all D19 CSB personnel:

1. A professional will offer services and use techniques that are generally acceptable in terms of effectiveness and procedure based upon professional judgment. Controversial issues shall be discussed with supervisory staff and meet with supervisory approval.
   
2. Each individual will be responsible for recognizing the limitations of his/ her competence and will only provide services and use procedures with which he/ she is familiar.
   
3. Each professional should seek supervisory advice for problematic issues.

7.3.4     Principle D: Moral and Legal Standards

A D19 CSB staff member will show regard for the social codes and moral expectations of the community in which he/ she works, recognizing that violations of accepted moral and legal standards on his/ her part may involve his/ her clients or colleagues in damaging personal conflicts, and injure his/ her own name and the reputation of the organization.

7.3.5     Principle E: Therapist-Client Relationships

The relationship between a therapist and a client will be professional, with all interactions based on accepted therapeutic principles and standards as determined by D19 CSB.

1. The therapist will always seek to maintain professional and objective personal conduct between himself/ herself and the client and the client's family and close associates.
   
2. The therapist should have a personal concern for his/ her client. He/ she will always maintain his/ her personal concern within the bounds of his/ her professional responsibilities, so as to safeguard the welfare of the client both during and after treatment.
   
3. Every effort must be made to discourage the development of personal obligations and social relationships in the therapeutic relationship.
   
4. Every effort should be made to discourage behaviors on the part of the therapist which would be abusive or damaging to the client.
   
5. When there is a conflict among professional workers, the professional is concerned primarily with the welfare of the client involved and secondarily with the interest of his/ her professional group.
   
6. The professional attempts to terminate a clinical relationship when it is reasonably clear that the client will not benefit from it.
   
7. Care must be taken to insure an appropriate setting for clinical work to protect both client and therapist.
   
8. District 19 Community Services Board shall offer treatment services at other locations to consumers who seek treatment services at a site staffed with anyone whom they have or have had significant personal relationships.

District 19 Community Services Board adopts the following measures to promote carrying out this policy:

1. Significant personal relationship will be defined as the following: related to staff by birth or marriage; considered to be a friend of staff who spends time together after work; in an intimate relationship with staff or has been in the past.
   
2. Significant professional relationships may include staff having been coworker or former coworker of an individual seeking service.
   
3. Consumers seeking treatment will be asked if they know anyone working at the site where they seek treatment.
   
4. Consumers affirming a past or current relationship will be offered treatment at another D19 CSB site with the issue of confidentiality explained to them.
   
5. The facility manager, in conjunction with the consumer and intake person, will decide if the relationship poses a threat to the consumer's confidentiality and/ or treatment.
   
6. The facility manager is responsible for arranging the transfer to another D19 CSB site or, if need be, another agency for treatment.
   
7. All staff who become aware of a consumer with whom they have or have had significant relationships must inform the facility managers of this matter immediately.
   
8. Violation of this policy may result in disciplinary action.

7.3.6     Principle F: Professional Relationships

Therapists act with regard to the needs and feelings of their colleagues in other professions. Therapists respect the prerogatives and obligations of the institutions and organizations with which they are associated.

1. Therapists understand the areas of competence of related professions and make full use of other professional expertise, which may best serve the interest of the client. The absence of formal relationship with professionals does not relieve therapists from the responsibility of securing for other clients the best possible professional service.
   
2. Therapists know and take into account the traditions and practices of other professional groups with which they work and cooperate fully with members of such groups when activities or functions are shared.
   
3. Therapists respect the viability, reputation, and integrity of the organization in which they serve. Therapists show due regard for the interests of their present and prospective supervisors. In those instances where they are critical of programs or policies, they attempt to effect change by constructive action within the organization.

Chapters 7.4 through 7.5
Chapters 7.6 through 7.11.3
Chapters 7.12 through 7.17