Progressive Discipline &

Preventing Grievances

Tuesday, August 25, 2013 2:00 p.m. – 3:30 p.m. EST

Presenters:

Nekeisia Booyer, Program Officer Joshua Wadsworth, Program Officer

Objectives:

Terminations for Cause Review SCSEP Policy

Progressive Discipline Review SCSEP Policy

What does good Progressive Discipline look like?

Complaint Resolution/ Grievance Policy Review SCSEP Policy

How to Reduce Grievances

Exit and Complaint Resolution Policies are guided by:

SSAI Policy & Procedures Manual

Your Approved SCSEP Participant Handbook

TERMINATIONS FOR CAUSE

Terminations for Cause Terminations for Cause may include: Refusal to cooperate in establishing

eligibility; Refusal to perform assigned duties without

good cause; Three or more unauthorized absences or a

pattern of unexcused tardiness; Falsification of timesheets, eligibility or

other official records Insubordination

Terminations for Cause

Terminations for Cause may include: Obscene, abusive, harassing, or threatening

language or behavior; Causing an imminent threat to health or safety; Theft; Intentional loss, damage, destruction or disclosure

of unauthorized use of property, records or information;

Workplace harassment or discrimination on the basis of sex, race, color, religion, national origin, age, marital status, or disability;

Terminations for Cause Terminations for Cause may include:

Conviction of a felony or any criminal drug statue for a violation occurring in the workplace while on or off duty, or while on duty away from the workplace;

Consuming, selling, purchasing, manufacturing, distributing, possessing or using any illegal or non-prescribed drug or from being under the influence of alcohol and/or other drugs while performing his/her host agency assignment or while carrying out objectives required by the IEP.

Terminations for Cause

Terminations for Cause may include: Being found to have unsubsidized

employment while on SCSEP; Exceeding the leave without pay policy by

failing to return from leave by the required date

A pattern of consistent and conscious failure to follow the steps mutually agreed upon and outlined in the IEP without good cause, including:

IEP Issues

Refusing to job search if required in IEP

Sabotaging a job interview

Refusing a reasonable number (3) of job offers

Refusing to accept or transfer to a different CSA

IEP Issues (continued)

Refusing to accept IEP-related training opportunities

Refusing to register with the American Job Center/One-Stop

Refusing to accept or follow-through on obtaining a supportive service that will enhance participant’s success at CSA and UE without good cause

IEP Issues (continued)

Refusing to cooperate with the Assessment, Re-Assessment or IEP processes, including IEP Updates

Refusing to cooperate with other IEP-related referrals

Behaviors that may lead to any termination of cause (and corresponding progressive discipline)

MUST BE DOCUMENTED thoroughly

Progressive Discipline is Essential!

Step One: Documented Verbal Warning - Sponsor staff will verbally warn the participant, complete a detailed documentation of the warning for the file, and include this documentation in the participant’s file.

Step Two: Written Warning - Sponsor staff will draft a written warning letter to the participant and discuss the written warning with the participant in person or via the telephone. The written warning letter will be sent to the participant and a copy will be put in the participant’s file.

During both Steps One and Two, project staff must inform the participant of the corrective action and time period in which the corrective action must be taken.

Progressive Discipline Step Three: Termination - Written notices of termination must be given to participants who project sponsors are terminating. Participants have the right to appeal any termination decision.

In no case may a participant be terminated before 30 calendar days after project staff provide him/her with their written notice.

SSAI sponsors can skip Steps One and Two and move directly to “Step Three – Termination” for serious violations such as fraud, theft, destruction of property, violence, or threats to health or safety.

Serious violations should be confirmed as much as possible versus merely “alleged” before terminating the participant

Terminations for Cause Project sponsors must give participants

terminated for cause written notice.

The termination letter must explain the reasons for termination

State the participant is on leave without pay for 30 calendar days before the exit date

and attach your complaint resolution procedures

Terminations for Cause Participants may not be terminated until

30 calendar days after project staff have provided the participant with the written notice.

Date of termination letter must be entered in SPARQ – Field 6b

Good Performance Management Use of Progressive Discipline can help

avoid Terminations for Cause and Grievances. Review SCSEP policies and Host Agency policies.

Project Sponsor/Supervisor reviews expectations for completion of agreed upon tasks.

If it is a matter of Participant will vs. skill, documentation of what is occurring must be captured.

With discussion and direction, Participant should be given a chance to correct performance.

What Does Good Progressive Discipline Look Like?

Participant Centered: It should be an Authentic Approach– See this as a means to help the Participant stay in the program!

Scheduled formal check-ins should occur with both the Participant and the Supervisor throughout the agreed timeframe for performance correction.

Feedback should be explicitly clear at all times. Review where improvements have been observed and where they have not. Provide this in writing after each check-in.

What Does Good Progressive Discipline Look Like?

Feedback is about the behavior or the performance, not the individual.

Participant should be given a chance to respond and feel heard.

Document all related discussions.

Scenarios

Use of Progressive Discipline can help avoid Terminations for Cause and Grievances.

Does anyone have an example of a time that they have used Progressive Discipline effectively, and prevented a Termination for Cause?

Scenarios

The host agency supervisor called and wants the participant removed immediately? What do I do?

I have a Participant who is persistently tardy. How should I handle the situation?

COMPLAINT RESOLUTION Grievance Policy Procedure

“An ounce of prevention is worth a pound of cure”

Complaint Resolution/ Grievance Policy Procedure

Grantees must establish a complaint resolution procedure for participants.

Must be included in your Policies and your Participant Handbooks

Complaint Resolution Procedure

Adverse Action Against Participant

When a project sponsor takes an adverse action against a participant, the sponsor must notify the participant in writing of the reason or reasons for the action, and advise him or her of the complaint resolution procedures and of his or her right to appeal

Procedures can vary among

grantees but generally three steps Step 1: A prompt informal

conference with the parties to resolve the differences.

A written summary of the meeting should be provided to all.

Step 2

If participant is not satisfied with the outcome of Step 1, they can take complaint to a secondary level

For most subgrantees, it is the leadership of the organization(CEO or Board who are above project director)

Step 3: Right to Appeal

Persons who are dissatisfied with a decision resulting from the project sponsor’s complaint resolution procedure have the right to appeal to the SSAI.

The SSAI makes the final decision.

Appeals to the U.S. Department of Labor

Complaints alleging violations of the law

The department shall limit its review to determining whether the appeals procedures of a project sponsor and SSAI were followed. The National or State Grantee’s decision is final unless DOL determines we did not follow our stated procedures.

Complaints alleging a violation SCSEP’s nondiscrimination requirements

Must be sent directly to the U.S. DOL Civil Rights Center

Good Practices

Make sure all appeals are heard

promptly

Allow participant the right to use the assistance of others at the hearing, to call witnesses and to question those involved in the complaint

How to Reduce Grievances What are some key reasons that Grievances occur?

Poor or Inconsistent Communication

Perception of being treated unfairly

Expectations are not clearly stated or understood

Participant not receiving critical feedback because giving “bad news” is put off.

Feedback not given when poor performance or results first observed

Performance issues not documented when they occur

SCSEP Project Sponsor not brought in until too late

How to Reduce Grievances

For the Participant Make sure Participants know what is expected….

Proper behavior while working in the program.

Are Participants provided with a copy of the progressive discipline steps in advance?

Are they asked to sign an acknowledgement?

Inform them that this policy is similar to what many employers have in place.

Tell Participants that CSAs allow them to practice good workplace behavior in addition to skills building.

How to Reduce Grievances

For the Participant During IEP/Assessment discussions, indicate that

if the agreed actions are not or cannot be followed, to discuss with Project Director

Remind them of the process that if agreed actions are not followed intentionally, they may have to go through a disciplinary process that gives them an opportunity to correct performance

Failure to make the appropriate actions could result in termination from the program…the last resort!

How to Reduce Grievances

For the Supervisor Discuss and give a copy of the Progressive Discipline

steps before placing any participant – even if the supervisor has managed participants before.

Let Supervisors know that Participants have the option of filing a grievance if they believe they are not treated fairly.

Indicate that performance feedback is critical throughout the Community Service Assignment (CSA).

How to Reduce Grievances

For the Supervisor If a Participant is not performing well in their CSA,

Supervisor should first ask self how they’ve contributed to the poor results.

It is important to course correct poor performance as soon as it is observed.

Let Participant know as soon as it is clear that performance is not meeting expectations and discuss what needs to change.

How to Reduce Grievances For the Supervisor

Notify the SCSEP Project Sponsor if marginal performance continues after providing feedback

Refer Supervisor to their Human Resources Dept for advice…especially if management experience is minimal.

Consider requiring that Host Agency Supervisors must have previous management experience.

Invest more time in performance management when working with a new Supervisor and during your annual Supervisor meetings.

Final Questions?

THANK YOU!