Human Resource Administrator Meeting

1. Human Resource Administrator Meeting August 2, 2011 Case Western Reserve University Department of Human Resources

2. Agenda • Welcome • Department of Organizational Development and Learning • Documenting Behavior Issues Via Positive Corrective Action • Legal Update   • Updates and Questions                 

3. Department of Human Resources Organizational Development & Learning Services Erica Merritt, MA, CDP, GPCC Director of Organizational Development and Learning Shirley Mosley, MA, CDP Organizational Development Learning Manager/Employee Relations Specialist

4. Our Purpose • The Organizational Development & Learning (ODL) Unit of the • Department of Human Resources was formed to provide an in- • house, training and OD function.

5. What is OD? • Collaborating with organizational leaders and their groups to • create systemic change on behalf of root-cause problem- • solving toward improving productivity and employee • satisfaction through strengthening the human processes • through which they get their work done.

6. Services • Assessments • Classes/Workshops (open sessions) • Custom Workshops (closed sessions) • Individual Coaching • Focus Groups • Meeting Facilitation • Retreat Design & Facilitation • Strategic Planning • Survey Design & Management • Team Development

7. Custom Learning Solutions • Conflict Management • Customer Service • Diversity Management • Team Development • Workplace Bullying • and much more!

8. Programs • Career Development Series • Lead Certificate Program for Supervisors • Legal Issues for Supervisors • Mentoring Circles (fall launch)

9. Questions

10. Documenting Behavior Issues Via Positive Corrective Action Presented by: Employee Relations

11. Professionalism (Work Environment) (I-7) & Communication and Expectations (I-2)

12. Professionalism (Work Environment) (I-7):Professionalism in communications and behavior is the only acceptable form of interaction on campus and in related university business settings.  Every employee is expected to conduct himself/herself in a manner that is a positive reflection of the university.  When differences of opinions occur, only constructive, legitimate, and respectful forms of communication are considered appropriate. The university does not condone the following behaviors in the workplace: intimidation (raised voice, yelling, screaming), verbal abuse, including the use of profanity, humiliation via sarcasm, inappropriate physical contact, threatening-like behavior, or invading personal space or privacy.  Employees who engage in these types of behaviors may be subject to corrective action via the Positive Corrective Action policy, up to and including termination.  Employees who feel that they have been subjected to these types of behaviors should report such behaviors to their supervisor, Employee Relations or the Office of Inclusion, Diversity & Equal Opportunity immediately.  All reports of these types of behaviors will be taken seriously and handled appropriately. • Communication and Expectations (I-2): • As members of the university community, employees will: • Treat all members of the community fairly, equitably, and courteously • Value the different perspectives of team members, departments, and support groups • Practice individual leadership to foster positive relationships among diverse cultures • Emphasize a service orientation throughout the university community • Utilize the resources and training provided to maximize productivity • Promote high standards of performance in themselves and among their peers • Conduct themselves in a professional and productive manner • Comply with all approved policies and procedures • Recognize the university's proprietary interest in all work, research, materials, projects and information, where appropriate • Raise issues of ethics, conflict, and concern with the proper personnel, as necessary

13. May range from informal counseling with the employee to formal Positive Corrective Action of: Verbal Warning Written Warning Suspension Termination **Not necessarily a continuous process - can be imposed at any step.** Remember: The ultimate goal is a successful and productive employee Positive Corrective Action - Process

14. Professionalism (Work Environment) (I-7) & Communication and Expectations (I-2): • Purpose • Identify acceptable behavior • Opportunity to improve behavior • Action-oriented – Establish clear expectations and method(s) to improve • Provide follow up process • Prevent unnecessary termination • Protection from litigation

15. When is an Employee Considered High Risk? • It is advisable to seek consultation from Employee Relations immediately when you have knowledge of employees presenting with the following traits or behaviors, especially more than one: • Employee with known history of violence who exhibits unprofessional behavior • Preoccupation with violence or weapons (or owns weapons) • Threats with intent to harm self, others, and property • Defiant/ demanding/intimidating behavior • Frequent disruptive behavior in the workplace • Mood swings

16. What to look for and document in job performance: • Absenteeism (Most Obvious) • - Frequent unscheduled short-term absences (with or without medical explanation) • - Frequent use of unscheduled vacation time. • “On the Job” Absenteeism • - At work but productivity and efficiency lacking • - Continued absence from job location more than job requires • - Frequent trips to water fountain or restroom • - Long breaks.

17. What to look for and document in job performance: • Accidents • - Physical complaints on the job • - Accidents on and off the job • Observed Changes in Work Pattern • - General absentmindedness, forgetfulness • - Alternative periods of high and low productivity • - Coming to work intoxicated • - Missed deadlines • - Inability to perform tasks they were able to do in the past

18. What to look for and document in job performance: • Observed Changes in Work Pattern (Cont.) • - Mistakes due to poor judgment • - Outside complaints about the employee’s work • - Improbable excuses for these poor patterns • - Carelessness • Employee Relationships on The Job • - Overreaction to real or imagined criticism • - Borrowing money from co-workers • - Repeated and compulsive criticism of Department or University

19. What to look for and document in job performance: • Employee Relationships on The Job (cont.) • - Unrealistic expectations for promotion • - Abrasiveness with others (managers and co-workers) • Work Relationships in the University Community • - Inappropriate behaviors • - Complaints from other departments or customers

20. What to look for and document in job performance: • Changes In Employee’s Behavior • Appearance • - Sloppy • - Inappropriate clothing • - Mood • - Withdrawn • - Sad • - Mood swings (high and low) • - Suspiciousness • - Extreme sensitivity • - Frequent irritability

21. Step 1:Take note of dramatic changes in the employee's performance and on-the-job behavior. Adequate documentation will assist you in evaluating job performance and confronting an employee when necessary. Documentation should be: Specific Objective Factual Thorough Timely How to Counsel Employees exhibiting unprofessional behavior

22. How to Counsel Employees exhibiting unprofessional behavior continued… • Step 2:Meet with the employee and determine whether the problem is personal or job-related. • Step 3:Avoid becoming involved in an employee's personal problem. If the employee needs professional help, put him or her in touch with Employee Relations or EASE@Work.

23. How to Counsel Employees exhibiting unprofessional behavior continued… • Step 4:Focus on performance issues if the trouble is job-related. In a calm, non-accusatory manner, point out the changes in the employee's performance. • Step 5:Ask what you can do to help. • Step 6:Work with the employee to develop concrete goals and a timeline for resolving the performance issues. • - Do establish the levels of work performance you expect. Set the limits that you will tolerate. • - Determine what is acceptable and unacceptable to you. • - Be consistent. Treat all employees equally.

24. How to Counsel Employees exhibiting unprofessional behavior continued… • Step 7: • If the person shows behavior that poses a direct threat to themselves or others (including physically being unable to perform at work safely), call Employee Relations and/or Security immediately. A condition of employment or mandatory referral can be made that requires the person to be evaluated by a mental health professional via EASE or outside EASE and recommendations made as to whether the individual can safely and effectively perform in the job. They would be on a suspension during this period to give them time to provide documentation from their physician. Once we receive documentation, they can be placed on a leave. • Important: If you feel threatened, you should suspend immediately and deactivate the employee’s accesses.

25. Preparing PCA documentation Consult with Employee Relations. Recap any prior counseling session (if conducted). Provide copies of internal memos. Specify the problem and provide specific examples – Dates, type of behavior, etc. Assist in setting up meeting between Employee Relations and employee. (ER provides a copy of the PCA policy.) Positive Corrective ActionPerformance/Behavior:

26. Preparing PCA documentation cont. What action will be taken because of the performance/behavior issue. How does this impact your department and its operations? Specify acceptable behavior according to university/ department policy. What action will be taken in the future if unacceptable behavior continues. Positive Corrective ActionAttendance(Cont.) Positive Corrective Action Performance/Behavior (Cont.)

27. Schedule meeting to give employee positive corrective action. Recap prior counseling and internal memos. What action will be taken because of the incident. Specify exact acceptable behavior goals. Future action if no improvement. Time frame if applicable. Take notes during the meeting. Provide a copy of the PCA to the employee, copy for your file and original to Employee Relations. Provide copy of the Grievance Policy, Procedure, and form to the employee. Positive Corrective Action Performance/Behavior (Cont.)

28. Positive Corrective Action Performance/Behavior: cont.

29. Write a memo of acknowledgement to the employee. Included in memo will be notification that if there is a repeat occurrence of unacceptable behavior, performance, or conduct, corrective action will continue at the level that most appropriately addresses the performance issue. Supervisor provides a copy of the acknowledgement memo to the employee, copy for your file and a copy to ER. Successful Completion of Corrective Action

30. Consult with ER when repeat of performance/behavior. Prepare the PCA form, which describes the specifics of the behavior – date, type of behavior/performance, etc. Have the administrative details taken care of before the termination meeting [.e., Personnel Action Form – (know the number of unused vacation hours), Employee Termination Checklist, etc.] Normally meet in Employee Relations. Avoid area where co- workers will be around. The Termination Meeting

31. The Termination Meeting (Cont.)

32. Be tactful. Get directly to the point. Review the performance/behavioral issues. Recommend termination. Politely listen to anything the employee has to state in his/her behalf, but do not apologize or make statements that suggest to the employee that you might change your mind. Do not forget to discuss the business details such as return of keys, papers, and all other university property. (Termination checklist.) Decide how you want to handle the personal belongings. Security may assist with personal belongings. Do not meet longer than necessary to accomplish your purpose. Submit PAF immediately. The Termination Meeting (Cont.)

33. Have you fully explained the professionalism policy to the employee? Are you consistent in your department/management center in applying the work environment (professionalism) and communications and expectations policies? Have you discussed, in a counseling session, the employee’s behavior and performance? Does the employee know that their behavior is unacceptable? Have you told the employee specifically what must improve in order to meet acceptable standards? Considerations Before Issuing Corrective Action To an Employee For Performance/Behavior

34. QUESTIONS?

35. Legal Update! • Wal-Mart Ruling Convolutes Class-Action Landscape. • Wal-Mart Stores Inc. v. Betty Dukes • Verizon Settles $20 million Disability Discrimination Lawsuit • Dodd-Frank Act (Whisteblower Provisions)

36. If you have any questions, please contact Employee Relations: Carolyn Gerich 368-2458 Senior Employee Relations Specialist Shirley Mosley 368-8502 Employee Relations Specialist (dual role with ODL) Lori Seabon 368-4503 Employee Relations Specialist Kathy Willson 368-0195 Employee Relations Specialist Deborah Polter 368-2268 Employee Relations Department Assistant Summary