1. 1. Your Name Bernadette Najlaa Williams This process will help you understand yourself, make future decisions, help your resume be better organized, and give you a fresh perspective on what is important to you. Be honest with your answers and evaluations. Please review all pages of this document to ensure all components of the assessment are completed. I. Functional Skills Assessment and Inventory Rate the relative strength of each of your skills as: 1. Weak 2. below average 3. Average 4. Above average 5. Strong Business Skills/abilities Score Leadership (motivating, directing, delegating, hiring/firing) 3 Communication (public speaking, selling ideas, negotiating) 3 Planning (developing strategy, designing, improving) 3 Organizing (seeing goals, scheduling prioritizing) 3 Total score for business skills/abilities 12 Organizational Skills/Abilities Score Administration (expediting, cataloging) 4 Attention to detail 4 Budgeting 3 Buying/purchasing 4 Calculating numbers 4 Follow through 4 Memory 3 Keeping good records 4 Managing projects 4 Precision 4 Total score for organizational skills/abilities 38 Mechanical skills/abilities Assembling 3 Building or crafting 3 Installing 4 Loading or shipping 4 Repairing or maintaining 3 Running or operating machines 4 Working with hand tools 5 construction 2 Total score for mechanical skills/abilities 28
2. 2. Theory skills/abilities Designing systems 3 Envisioning 3 Estimating 4 Evaluating 3 Formulating ideas 3 Investigating 4 Learning quickly 4 Solving problems 4 Total score for theory skills/abilities 28 Artistic skills/abilities Score Aesthetic 4 Artistic 4 Compositional 4 entrepreneurial 4 Idealistic 3 Illustrative 4 Imaginative 4 Inventive 4 Total score for artistic skills/abilities 31 Social skills/abilities Advising 3 Coaching 3 Counseling 3 Explaining concepts 4 Facilitating 3 Generating warmth 4 Listening attentively 4 Motivating 4 Negotiating 3 Sympathizing/empathizing 4 Teaching 4 Total score social skills/abilities 39
3. 3. II. Personal traits assessment inventory Place an X in front of the 15 traits that best describe you. Only choose 15 traits. X Achiever X adaptable adventurous ambitious X analytical Articulate astute authentic aware calm Candid cautious cheerful cheerleader civic minded X Committed confident conscientious X creative curious Decisive dependable detail oriented diligent diplomatic Discerning dominant dynamic easy going emotional X Empathetic energetic entertaining expressive firm Flexible focused formal friendly generous Goal directed X good with information X good with people Hardworking humble humorous imaginative impulsive Informal intelligent leader X level headed loyal Methodical modest natural X open minded optimistic Orderly original outdoors person outspoken patient X Persistent physically strong playful poised Practical precise predictable productive X quick learner Regular X reliable resourceful responsible self assured Self confident self controlled sensible sincere Sociable spontaneous stable strong tactful Talkative task oriented X tenacious through tolerant X Trustworthy versatile well organized X willing to learn
4. 4. From the 15 traits checked choose the top five that best describe you and write them in the spaces that follow: 1.Tenacious 2. Trustworthy 3. Quick learner 4. Analytical 5. Adaptable III. Technical/knowledge skills inventory Purpose: To review jobs you have had and skills you acquired in those jobs. Look at the following examples; Example 1. Job title/Activity: Life guard Technical or knowledge skill 1. CPR certificate: EMT training Technical or knowledge skill 2. Red Cross senior life saving certificate Technical or knowledge skill 3. Technical or knowledge skill 4. Example 2. Job title/Activity: Administrative assistant Technical or knowledge skill 1. Microsoft word Technical or knowledge skill 2. Excel Technical or knowledge skill 3. Technical or knowledge skill 4. Choose two of your past work or life experiences and in the spaces provided fill in your unique technical and knowledge skills: Job title/Activity Vacation planner Technical or knowledge skill 1: Microsoft office applications Technical or knowledge skill 2: Reading Deck Plans Technical or knowledge skill 3: Sales Technical or knowledge skill 4: Saber computer system Job title/Activity Biology Technical or knowledge skill 1: Pipeting for DNA Technical or knowledge skill 2: PCR( polymerase Chain Reaction) Technical or knowledge skill 3: Streaking (Microbiology)
5. 5. Technical or knowledge skill 4: Please answer the following questions about your skills: 1. Which of your technical skills are most marketable? ___ PCR( polymerase Chain Reaction)__________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________________________ 2. Which technical knowledge skills must you build or strengthen to be more competitive?_ PCR( polymerase Chain Reaction__________________________________________________________ _________________________________________________________________ _________________________________________________________________ ___________________ IV. Strengths and weaknesses Its time now to summarize your overall strengths and gauge areas for improvement. Reflect on the skills that gained you frequent compliments, recall favorable performance evaluations (including the praises of your family and friends), and also use constructive critiques from your managers, clients, customers, peers, etc. List your strengths and areas to improve upon Strengths (+) Areas to improve (-) 1. Communication 1. Typing 2 Open mined 2. Finding my niche 3. Follow Directions 3. Comfort Zone 4. Organized 4. Finance 5. Committed 5. Public speaking 6. Bondable 6. Leadership
6. 6. V. Ranking work interests Complete this exercise to look at the types of work that bring you contentment or dissatisfaction. This will help you further clarify your interests Rank each item on the list in a range from Like (4) to Dislike (1) Like Dislike Investigative Interests 4 3 2 1 To read and study 4 To think through problems more than solve them 3 To study math and science 4 To investigate physical things 4 To solve puzzles 4 To tackle ambiguous challenges 3 Total score for investigative interests 29 Realistic interests 4 To operate machinery 3 To work outdoors 1 To repair things 2 To work with my hands 3 To work with tools 1 To do physical work 1 Total score for realistic interests 15 Artistic Interests 4 To avoid structure 2 To work independently 2 To search for creative solutions 3 To express myself 4 To discover unconventional answers 3 To make aesthetic statements 4 Total score for artistic interests 22 Social interests 4 To supervise people 3 To care for others 3 To work with people 4 To help others 4 To be part of a group 4 To train others 3 Total score for social interests 25 Enterprising interests 4 To manage projects 4
7. 7. To speak to groups 3 To persuade others 3 To accomplish tasks 4 To sell things 3 To be the leader 4 Total score for enterprising interests 25 Conventional interests 4 To have stability 4 To be orderly 4 To follow the chain of command 4 To know what is next 4 To have well defined tasks 4 To create systems and procedures 4 Total score for conventional interests 28 List the total score for each category: 1. Investigative __29___ 2. realistic __15_____ 3. Artistic __22____ 4. Social __25_____ 5. Enterprising __25______ 6. Conventional __28______ VI. Your personal interests A final way to look at your interests is to focus on what you like to do in your spare time. What are your hobbies? How do you relax? How do you entertain yourself? What brings you pleasure outside of the job? Please list six, eight, or even more of your personal interests if you have a wide range of interests Personal Interests: 1. Surf The Net 2. Paint and Draw 3. watch animation 4. listen to music and Dance 5. Take care of my Business 6. Day dream of starting multimillion dollar Business that I want to build 7. Horse back riding 8. window shopping 9. counting money if I have any to count 10. play video games 11. go to the movies 12. day dream of starting a family 13. going to an amusement park
8. 8. 14. Planning my wedding 15. Traveling VII. Your Accomplishments A list of your key accomplishments can be compiled from experiences at school, work, or home and reflect your various satisfactions and fulfillments Think of your accomplishments as an OAR in the water helping you row to your destination. O is the opportunity. What opportunity was there for you? What was the problem? What was the context or situation at hand? A is the activity. What action did you take? How did you solve the problem and address the situation? What specifically did you recommend or initiate? R is the result. What did you achieve? What was the successful outcome? What is the metric that illustrates your accomplishment? Here is an example Accomplishment: Increased the attendance at internal training programs O As a corporate trainer, I was asked to improve the participation at internally sponsored programs. A I generated a first time on line needs assessment document and a follow up brochure of topics linked to corporate goals. R Attendance increased by 68 percent Choose two of your key accomplishments that are important to you and make you proud. Explain these accomplishments using the OAR format. Accomplishment 1 O_I started a a Home business to give my self experience/ ideas on how I want to run the company in the future and also how finance/ manage the business money. _- A_I had to find the right home business to persue which I did and then I had to study accounting ,finance and management. ________________ R_I keeped my home business for more than a year now and I have some idea and I feel more prepared for corporate america. _________________________________ Accomplishment 2 O______________________________________________________________________ _______________________________________________________________ A______________________________________________________________________ ___________________________________________________________________ R______________________________________________________________________ ______________________________________________________________
9. 9. VIII. Your life and career values Who you are what work you are best suited to do comes from your core values__those strongly held beliefs that are the foundation of your life and provide clarity to what you do and how you do it. Values may come from your parents religious beliefs, education, role models, and elsewhere. Review each of the following values and check the column that best describes how consistently important each has been to you: Always, Often, Sometimes, or Rarely Valued. Limit yourself to ten or fewer checks in the Always Valued column. Values Valued Always Often Sometimes Rarely 1. Personal growth. Develop my potential and use my talents. X 2. Reward achievement. Know accomplishments and mastery. X 3. Understanding/knowledge. Develop and use specific expertise and knowledge X 4. Status. Hold a position of recognized importance in an organization X 5. Competitiveness. Take part in activities in which people compete against each other. X 6. Variety and change. Do work with varied tasks and assignments. X 7. Physical Activity. Do tasks that require strength, agility, or physical stamina. X 8. Making a difference to society. Give back and help contribute to a better society. X 9. Autonomy/independence. Control my own schedule/work. X 10. Leadership. Influence others to achieve their goals by helping direct and influence others. X 11. Creative expression. Express my creativity and imagination. X 12. Challenge. Find work that is mentally stimulating. X 13. Money. Reap substantial financial rewards. X 14. Security. Perform assignments without worry about loss of job. X 15. Management. Achieve work objectives as a result of others efforts. X 16. Collaboration. Work with others; belong to a collegial work team or group. X 17. Power. Manage work resources. X 18. Integrity. Work honestly and ethically. X 19. Balance. Establish an appropriate proportion X
10. 10. of personal and professional activities/responsibilities. 20. Friendship. Develop personal/social relationships with colleagues at work. X 21. Career movement. Deserve promotion within the organization. X 22. Detail work. Work with assignments that meet and require specific and accurate attention to detail. X 23. Fast pace. Work under circumstances that are time pressured and demanding. X 24. Helping others. Involve myself in helping others and society. X 25. Location. Reside in a location that is convenient and in a suitable community. X 26. Recognition. Receive credit for work well done. X 27. Excitement. Experience novelty and innovation X 28. Moral fulfillment. Contribute to moral needs. X 29. Aesthetics. Appreciate the beauty of ideas and things. X 30. Vigor/health. Maintain physical and mental fitness. X 31. Positive environment. Work in a supportive, pleasing, and harmonious setting. X 32. Efficient organization. Experience a time- efficient environment, with little bureaucracy. X 33. Family harmony. Maintain good balance between work and family life. X Now write your ten Always Valued criteria below, and then rank your top five. My priority values Rank 1. _13___ 2. _19__ 3. _28___ 4. _08___ 5. _15___ 6. _22___ 7. _10__ 8. _04__ 9. _09___ 10. _02__
11. 11. IX. Self appraisal Using this rating scale, please rate yourself on the following questions: 5 = Perfect (couldnt improve) 4 = Very good (almost to the desired level) 3 = Average 2 = Below average (could be much better) 1 = Poor (needs a great deal of improvement) __4_1. How well do I really know and understand myself; including my personality, interests, and skills? __3_2. How much regard do I have for myself? __3_3. How would I rate my attitude about life? _4_4. How well do I handle my emotions and cope with stress? _5__5. How well do I know and understand my values? __2_6. How satisfied am I with my career choice? (If you havent chosen one, score as 2) __4_7. How well have I researched career fields and job opportunities? __4_8. How would I rate my writing skills? __4_9. How would I rate my speaking skills? __4_10. How prepared am I to participate in a job interview? __4_11. How well do I get along with people? Total your scores and divide by 11 to get an average score. My average self appraisal score is: ________3.727272_____ X. Answer the following questions/Putting it all together 1. What professional goals do you want to accomplish? Becoming a CEO of my own corporate business and helping people that need it. 2. What are your personal goals? To lose weight, get married and have children with a house and some land. 3. What does your self assessment indicate about your ideal job? 4. What do you really want to do? Becoming a CEO of my own corporate business and helping people that need it. 5. Where do you want to do it? Location? In Hawaii and I want to live on the East coast. 6. What are your minimum financial requirements?500,000 7. The career field that interests me most is ___Travel industry , Entertainment industry, Gaming,animation, sales 8. _________________________________________________________________ _____________________________________________________________
12. 12. 9. Two of my marketable skills or talents are _Drawing and Singing _________________________________________________________________ _________________________________________________________________ _ 10. I am proud of my self for _Get this far in school without a lot of money. _________________________________________________________________ _________________________________________________________________ 11. What would I do with one million tax-free dollars? _____I would give some of it to someone that needs it __and some of it will go into the bank into CDs and some of it will go to stocks and bonds and some will go to my business . _________________________________________________________________ _________________________________________________________ 12. Imagine that you have only one year left to live. Use the space provided to describe how you would spend those last 12 months. __ I would spend that time with family and friends. I would also make a tape for my kids if I have any and I would also spend it going to places I never been before like Europe and Asia. _________________________________________________________________ _________________________________________________________________ _______________________________________________________________ 13. A genie magically materializes before you and grants you three wishes. What do you wish for? 1. Peace on Earth 2.Want every one in the world to have upper class or blue collar job 3.I want to be rich in money. XI. My goals Purpose: To record your professional goals as short term (one year or less to accomplish), intermediate term (one to five years to accomplishment), or long term (more than five years to accomplish) Professional goals Short term 1. _To fine a job in my field of study . if not just a job /career __ Do my internship with Secretary of state _________________________________________________________________ ________________________________________________________________ _________________________________________________________________ ______________________________________________________________ 2. Get my Degree and pay Devry for my degree 7,000 Dollars.___________________________________________________________ ______
13. 13. 3. _maintain my job with secretary of the state working at the state museum.__________________________________________________________ _____ Intermediate term 1. Save money To own my own business or borough _the money from the Bank _________________________________________________________________ _________________________________________________________________ _________ 2. __Get lawyer to work for me and get them to draw up documents for my business. _________________________________________________________________ _____________________________________________________________ 3. Pick a location and try to find and close every problem that might happen or can happen within my business. _________________________________________________________________ ______________________________________________________________ Long term 1. _Build my building from scratch and buy the land _________________________________________________________________ _________________________________________________________________ ____________ 2. Have a grand opening for my business ____and try to keep it running through the first 5 years 3. ___Maintain after the 5years and when my children become of age should them the business and they can take it over for me. _________________________________________________________________ XII. Where am I headed with my career? Purpose: To identify a career objective 1. List all the occupations that appeal to you. __owning my own business , project management, web , networking, and animation and gaming. _________________________________________________________________ _________________________________________________________________ ___________ 2. List three occupations that are the most interesting to you 1.__owning my own business, ____________________________________________________________________ ______________________________________________________ 2. ____project management ____________________________________________________________________ _____________________________________________________ 3.animation___________________________________________________________ _____________________________________________________________
14. 14. 4. State the goal you have for your career._Try to be financially free from bills , have fun, and try to as successful as I can in my field. ____________________________________________________________________ ____________________________________________________________________ _________________________________________________________ My career objective is:_unknown__________________________________________________________ ____________________________________________________________________ ____________________________________________________________________ ____ XIII. Lets dream about your ideal job Imagine that you recently located your ideal job. You never thought you could enjoy any situation and position as well as you do this one. Now think about the person who is your very best friend. This best friend just heard that you have a new job and asks several questions abut your new position. Answer your friends questions: 1.What are your responsibilities in your new position? SUMMARY: Senior Management professional with extensive experience in Operations, Sales and Marketing, Business Development, and Corporate Finance. Proven ability to create and lead successful teams, programs, and businesses. International purchasing, negotiations, and logistics experience. Proven ability to identify markets, acquire accounts, and increase revenue. Able to multi-task effectively and manage complex projects. Excellent presentation and communication skills. Founded and led start up company to $4 million in sales in less than four years. Introduced business and operational changes that grew company from $1.8 million to $8 million. Reduced operational, waste, and personnel costs throughout career. Managed all business functions, including Finance, Operations, Sales, and Purchasing. Where is your new position and company located? CEO and Oahu,Hawaii Why is this so ideal? It not Idea but Its for kids to have fun while parents are having grown up fun;D How would you describe this ideal company? What kind of corporate culture and management style are found in this company?
15. 15. Welcome Starchild collectables you now work for a company that has been around since 2004. We hire people to work for us everyday from college students to people that want to make a career. We thrive on customer service and having fun that is what keeps in business. Working for our company provides you with many opportunities and options you wont find anywhere else. This orientation is designed to help make employment with us beneficial for you. After you review our resources for flexibility for students and employees with children. Remember we are a team and the company cares about our employees, their families and situations. What is your new boss like? Im the Boss with two other people. Kind harted willing to give any one a chance no matter what they look like. They just have to ask. What is your compensation and what kind of benefits do you have? Welcome Starchild collectables you now work for a company that has been around since 2004. We hire people to work for us everyday from college students to people that want to make a career. We thrive on customer service and having fun that is what keeps in business. Working for our company provides you with many opportunities and options you wont find anywhere else. This orientation is designed to help make employment with us beneficial for you. After you review our resources for flexibility for students and employees with children. Remember we are a team and the company cares about our employees, their families and situations. Orientation
16. 16. Our company will go over and we will discuss most of the serious issues like Absence Attendance and Punctuality Short-Term Absences Leaves of Absence Rest Breaks Meal Breaks Benefits Disclosure of Benefits Vacations Holidays Educational Assistance Employee Counseling Recognition Awards Company Products Relocation Conduct Behavior of Employees Appearance of Employees Finances of Employees Customer Relations Confidentiality Disciplinary Procedure Drugs, Narcotics, Alcohol Employment Equal Employment Opportunity Sexual Harassment Employment Agreements Training Promotion Hours of Work Termination Retirement Miscellaneous Community Participation Suggestion Program Dispute Resolution Pay Practices Salary Administration Performance Appraisals Severance Pay Job Evaluation
17. 17. Pay Procedures Personnel Responsibilities Model Cover Presidents Letter Functions of this Manual Employee Supervision Personnel Manager Employer-Employee Relations Employment-At-Will Work Areas Employee Safety Maintenance of Work Areas Security Smoking Special Reports New FLSA Regulations: Understanding the Issues Audio Conferences Age Discrimination FMLA Commpliance Policy/Procedures Personnel Policy Manual Employee Handbook Absences Prohibited Conduct At Work ATTENDANCE AND PUNCTUALITY A. Failure to report promptly at the starting time of a shift or leaving before the scheduled quitting time of a shift without the specific approval of the supervisor. B. Unexcused or excessive absenteeism
18. 18. C. Failure to observe the time limits and scheduling of lunch, rest or wash-up periods. D. Failure to notify the supervisor promptly of unanticipated absence or tardiness. Steps to take to report Lateness or Absence 1. Have a good reason why you are absent. 2. Call your employer As Soon As Possible (define acronym ASAP). 3. Make sure you talk to the person in charge. 4. Explain your reason for missing work: *clearly, *completely, *respectfully. Two type of reasons for missing work; Emergencies (tell your boss ASAP) Special Occasions (tell boss 1-2 weeks ahead of time). Provide scenarios of people missing work. Have the students decide if the reasons are good reasons, or a poor reasons, or OK, if not done often. The students can decide if the reason for missing work was an emergency or a special occasion. Include elements of time, common and uncommon situations. For Example: Emergencies- got the flu, sick child to take care of.... Special Occasion- concert, sports event, wedding, ... Clocking in Routine- Skill To teach the skill of clocking in and emphasizing "being on time" I set up the classroom with a real time clock, time card rack with each student having a time card and a bulletin board ( see picture below) where students pick up their work assignments and time sheets. Some students do all of the above and others the parts they can do. The routine gives the students daily practice in clocking in and filling out basic written information on a time sheet including: name, date, name of job ( from job card) and time (also using a digital clock for a model in writing the time. The time clock is analog, giving the students experience in both types of telling time.
19. 19. . Click on thumbnail to see larger image Sample Time Sheet Click here for a picture page (pdf file) illustrating Being On Time and Late The picture pages using scanned pictures or Mayer Johnson Boardmaker symbols are are a great way to develop a vocational notebook for non readers or emerging readers. Collect data on students progress in the following areas: 1. Enters class, goes to time card rack and finds time card. 2. Places card in clock till it clicks. 3. Puts card back in time card rack. 4. Goes to bulletin board and gets time sheet and job card from the folder with his/her name/picture on it. 5. Goes to table and fills out time sheet: 6. Prints/cursive Full name ( Handwriting Without Tears - HWT writing program) 7. Copies Job from job card onto time sheet 8. Prints Time- copied from digital clock 9. Puts time sheet in purple folder on bulletin board 10. Puts Job card in "Jobs" folder on bulletin board 11. Goes to work area and begin assignme
20. 20. SECTION 4: TIME NOT WORKED 4.9 SHORT TERM ABSENCES (UNPAID) When your work performance, attitude, and absence record are satisfactory and you have given proper advance notice, your supervisor may grant you up to two working days off without pay upon your request to attend to a personal matter. First you must have exhausted your accrued vacation time. The Vice President of Human Resources must approve time off without pay in excess of two working days. The College will make every effort to accommodate you if you request time off from work for a religious holiday not observed by the College. Such a request will be approved, without pay, as long as there is no interference with normal operations. If you prefer to take the day off with pay, you may use a vacation day for this purpose. Or, with your supervisor's approval, you may arrange to work on one of the established College holidays instead, and use a floating holiday for your religious holiday. Previous SECTION 5: LEAVES OF ABSENCE 5.1 GENERAL INFORMATION This section describes leaves of absence for medical, personal reasons and military service. The College complies with all provisions of the Family and Medical Leave Act of 1993. For all medical and personal leaves, an "Application for Leave of Absence" must be completed. In reviewing leave of absence requests, the College will review the individual circumstances involved, taking into account the length of service, number of requests, dates, work load, and whether such work can be adequately performed by a temporary replacement. Detailed leave of absence provisions and information on eligibility requirements are available in the Human Resources Office. Your benefits and sick/vacation accruals are suspended on the first day of the month coincident with or following the beginning of any unpaid leave. Accruals begin again upon your return to work. Should you wish to continue benefit coverage during an unpaid leave, you may arrange with the Human Resources office to do so by paying the full cost of the premiums one month in advance of the coverage date. An employee on a leave of absence is expected to keep in regular contact with the supervisor and the Vice President of Human Resources during the leave, and to advise both of any changes to mailing address and/or telephone number during the leave. Previous
21. 21. Rest. Rest periods of short duration, running from 5 minutes to about 15 minutes, are common with in the company. They promote the efficiency of the employee and are customarily paid for as working time. They must be counted as hours worked. Compensable time of rest periods may not be offset against other working time such as compensable waiting time or on-call time. Meal. (a) Bona fide meal periods. Bona fide meal periods are not worktime. Bona fide meal periods do not include coffee breaks or time for snacks. These are rest periods. The employee must be completely relieved from duty for the purposes of eating regular meals. Ordinarily 30 minutes or more is long enough for a bona fide meal period. A shorter period may be long enough under special conditions. The employee is not relieved if he is required to perform any duties, whether active or inactive, while eating. For example, an office employee who is required to eat at his desk or a factory worker who is required to be at his machine is working while eating.(b) Where no permission to leave premises. It is not necessary that an employee be permitted to leave the premises if he is otherwise completely freed from duties during the meal period. Benefits: Disclosure forms; contents; uniform health plan benefits and coverage matrix (a) The director shall require the use by each plan of disclosure forms or materials containing information regarding the benefits, services, and terms of the plan contract as
22. 22. the director may require, so as to afford the public, subscribers, and enrollees with a full and fair disclosure of the provisions of the plan in readily understood language and in a clearly organized manner. The director may require that the materials be presented in a reasonably uniform manner so as to facilitate comparisons between plan contracts of the same or other types of plans. Nothing contained in this chapter shall preclude the director from permitting the disclosure form to be included with the evidence of coverage or plan contract. The disclosure form shall provide for at least the following information, in concise and specific terms, relative to the plan, together with additional information as may be required by the director, in connection with the plan or plan contract: (1) The principal benefits and coverage of the plan, including coverage for acute care and subacute care. (2) The exceptions, reductions, and limitations that apply to the plan. (3) The full premium cost of the plan. (4) Any copayment, coinsurance, or deductible requirements that may be incurred by the member or the member's family in obtaining coverage under the plan. (5) The terms under which the plan may be renewed by the plan member, including any reservation by the plan of any right to change premiums. (6) A statement that the disclosure form is a summary only, and that the plan contract itself should be consulted to determine governing contractual provisions. The first page of the disclosure form shall contain a notice that conforms with all of the following conditions:
23. 23. (A)(i) States that the evidence of coverage discloses the terms and conditions of coverage. (ii) States, with respect to individual plan contracts, small group plan contracts, and any other group plan contracts for which health care services are not negotiated, that the applicant has a right to view the evidence of coverage prior to enrollment, and, if the evidence of coverage is not combined with the disclosure form, the notice shall specify where the evidence of coverage can be obtained prior to enrollment. (B) Includes a statement that the disclosure and the evidence of coverage should be read completely and carefully and that individuals with special health care needs should read carefully those sections that apply to them. (C) Includes the plan's telephone number or numbers that may be used by an applicant to receive additional information about the benefits of the plan or a statement where the telephone number or numbers are located in the disclosure form. (D) For individual contracts, and small group plan contracts as defined in Article 3.1 (commencing with Section 1357), the disclosure form shall state where the health plan benefits and coverage matrix is located. (E) Is printed in type no smaller than that used for the remainder of the disclosure form and is displayed prominently on the page. (7) A statement as to when benefits shall cease in the event of nonpayment of the prepaid or periodic charge and the effect of nonpayment upon an enrollee who is hospitalized or undergoing treatment for an ongoing condition. (8) To the extent that the plan permits a free choice of provider to its subscribers and enrollees, the statement shall disclose the nature and extent of choice permitted and the financial liability that is, or may be, incurred by the subscriber, enrollee, or a third party by reason of the exercise of that choice.
24. 24. (9) A summary of the provisions required by subdivision (g) of Section 1373, if applicable. (10) If the plan utilizes arbitration to settle disputes, a statement of that fact. (11) A summary of, and a notice of the availability of, the process the plan uses to authorize, modify, or deny health care services under the benefits provided by the plan, pursuant to Sections 1363.5 and 1367.01. (12) A description of any limitations on the patient's choice of primary care physician, specialty care physician, or nonphysician health care practitioner, based on service area and limitations on the patient's choice of acute care hospital care, subacute or transitional inpatient care, or skilled nursing facility. (13) General authorization requirements for referral by a primary care physician to a specialty care physician or a nonphysician health care practitioner. (14) Conditions and procedures for disenrollment. (15) A description as to how an enrollee may request continuity of care as required by Section 1373.96 and request a second opinion pursuant to Section 1383.15. (16) Information concerning the right of an enrollee to request an independent review in accordance with Article 5.55 (commencing with Section 1374.30). (17) A notice as required by Section 1364.5.
25. 25. (b)(1) As of July 1, 1999, the director shall require each plan offering a contract to an individual or small group to provide with the disclosure form for individual and small group plan contracts a uniform health plan benefits and coverage matrix containing the plan's major provisions in order to facilitate comparisons between plan contracts. The uniform matrix shall include the following category descriptions together with the corresponding copayments and limitations in the following sequence: (A) Deductibles. (B) Lifetime maximums. (C) Professional services. (D) Outpatient services. (E) Hospitalization services. (F) Emergency health coverage. (G) Ambulance services. (H) Prescription drug coverage. (I) Durable medical equipment. (J) Mental health services.
26. 26. (K) Chemical dependency services. (L) Home health services. (M) Other. (2) The following statement shall be placed at the top of the matrix in all capital letters in at least 10-point boldface type: THIS MATRIX IS INTENDED TO BE USED TO HELP YOU COMPARE COVERAGE BENEFITS AND IS A SUMMARY ONLY. THE EVIDENCE OF COVERAGE AND PLAN CONTRACT SHOULD BE CONSULTED FOR A DETAILED DESCRIPTION OF COVERAGE BENEFITS AND LIMITATIONS. (c) Nothing in this section shall prevent a plan from using appropriate footnotes or disclaimers to reasonably and fairly describe coverage arrangements in order to clarify any part of the matrix that may be unclear. (d) All plans, solicitors, and representatives of a plan shall, when presenting any plan contract for examination or sale to an individual prospective plan member, provide the individual with a properly completed disclosure form, as prescribed by the director pursuant to this section for each plan so examined or sold. (e) In the case of group contracts, the completed disclosure form and evidence of coverage shall be presented to the contract holder upon delivery of the completed health care service plan agreement.
27. 27. (f) Group contractholders shall disseminate copies of the completed disclosure form to all persons eligible to be a subscriber under the group contract at the time those persons are offered the plan. If the individual group members are offered a choice of plans, separate disclosure forms shall be supplied for each plan available. Each group contractholder shall also disseminate or cause to be disseminated copies of the evidence of coverage to all applicants, upon request, prior to enrollment and to all subscribers enrolled under the group contract. (g) In the case of conflicts between the group contract and the evidence of coverage, the provisions of the evidence of coverage shall be binding upon the plan notwithstanding any provisions in the group contract that may be less favorable to subscribers or enrollees. (h) In addition to the other disclosures required by this section, every health care service plan and any agent or employee of the plan shall, when presenting a plan for examination or sale to any individual purchaser or the representative of a group consisting of 25 or fewer individuals, disclose in writing the ratio of premium costs to health services paid for plan contracts with individuals and with groups of the same or similar size for the plan's preceding fiscal year. A plan may report that information by geographic area, provided the plan identifies the geographic area and reports information applicable to that geographic area. (i) Subdivision (b) shall not apply to any coverage provided by a plan for the Medi-Cal program or the Medicare program pursuant to Title XVIII and Title XIX of the Social Security Act. Vacation (a) Determining length of service for vacation eligibility. It has been found that for many types of service contracts performed at Federal facilities a successor contractor will utilize the employees of the previous contractor in the performance of the contract. The employees typically work at the same location providing the same services to the same clientele over a period of years, with periodic, often annual, changes of employer. The incumbent contractor, when bidding on a contract, must consider his liability for vacation benefits for those workers in his employ. If prospective contractors who plan to employ the same personnel were not required to furnish these employees with the same prevailing vacation benefits, it would place the incumbent
28. 28. contractor at a distinct competitive disadvantage as well as denying such employees entitlement to prevailing vacation benefits. (1) Accordingly, most vacation fringe benefit determinations issued under the Act require an employer to furnish to employees working on the contract a specified amount of paid vacation upon completion of a specified length of service with a contractor or successor. This requirement may be stated in the determination, for example, as ``one week paid vacation after one year of service with a contractor or successor'' or by a determination which calls for ``one week's paid vacation after one year of service''. Unless specified otherwise in an applicable fringe benefit determination, an employer must take the following two factors into consideration in determining when an employee has completed the required length of service to be eligible for vacation benefits: (i) The total length of time spent by an employee in any capacity in the continuous service of the present (successor) contractor, including both the time spent in performing on regular commercial work and the time spent in performing on the Government contract itself, and (ii) Where applicable, the total length of time spent in any capacity as an employee in the continuous service of any predecessor contractor(s) who carried out similar contract functions at the same Federal facility. (2) The application of these principles may be illustrated by the example given above of a fringe benefit determination calling for ``one week paid vacation after one year of service with a contractor or successor''. In that example, if a contractor has an employee who has worked for him for 18 months on regular commercial work and only for 6 months on a Government service contract, that employee would be eligible for the one week vacation since his total service with the employer adds up to more than 1 year. Similarly, if a contractor has an employee who worked for 16 months under a janitorial service contract at a particular Federal base for two different predecessor contractors, and only 8 months with the present employer, that employee would also be considered as meeting the ``after one year of service'' test and would thus be eligible for the specified vacation. (3) The ``contractor or successor'' requirement set forth in paragraph (a)(1) of this section is not affected by the fact that a different contracting agency may have contracted for the services previously or by the agency's dividing and/or combining the contract services. However, prior service as a Federal employee is not counted toward an employee's eligibility for vacation benefits under fringe benefit determinations issued pursuant to the Act. (4) Some fringe benefit determinations may require an employer to furnish a specified amount of paid vacation upon completion of a specified length of service with the employer, for example, ``one week paid vacation after one year of service with an employer''. Under such determinations, only the time spent in performing on commercial work and on Government contract work in the employment of the present contractor
29. 29. need be considered in computing the length of service for purposes of determining vacation eligibility. (5) Whether or not the predecessor contract(s) was covered by a fringe benefit determination is immaterial in determining whether the one year of service test has been met. This qualification refers to work performed before, as well as after, an applicable fringe benefit determination is incorporated into a contract. Also, the fact that the labor standards in predecessor service contract(s) were only those required under the Fair Labor Standards Act has no effect on the applicable fringe benefit determination contained in a current contract. (b) Eligibility requirement--continuous service. Under the principles set forth above, if an employee's total length of service adds up to at least one year, the employee is eligible for vacation with pay. However, such service must have been rendered continuously for a period of not less than one year for vacation eligibility. The term ``continuous service'' does not require the combination of two entirely separate periods of employment. Whether or not there is a break in the continuity of service so as to make an employee ineligible for a vacation benefit is dependent upon all the facts in the particular case. No fixed time period has been established for determining whether an employee has a break in service. Rather, as illustrated below, the reason(s) for an employee's absence from work is the primary factor in determining whether a break in service occurred. (1) In cases where employees have been granted leave with or without pay by their employer, or are otherwise absent with permission for such reasons as sickness or injury, or otherwise perform no work on the contract because of reasons beyond their control, there would not be a break in service. Likewise, the absence from work for a few days, with or without notice, does not constitute a break in service, without a formal termination of employment. The following specific examples are illustrative situations where it has been determined that a break in service did not occur: (i) An employee absent for five months due to illness but employed continuously for three years. (ii) A strike after which employees returned to work. (iii) An interim period of three months between contracts caused by delays in the procurement process during which time personnel hired directly by the Government performed the necessary services. However, the successor contractor in this case was not held liable for vacation benefits for those employees who had anniversary dates of employment during the interim period because no employment relationship existed during such period. (iv) A mess hall closed three months for renovation. Contractor employees were considered to be on temporary layoff during the renovation period and did not have a break in service. (2) Where an employee quits, is fired for cause, or is otherwise terminated (except for temporary layoffs), there would be a break in service even if the employee were rehired at a later date. However, an employee may not be discharged and rehired as a subterfuge to evade the vacation requirement. (c) Vesting and payment of vacation benefits. (1) In the example given in paragraph (a)(1) of this section of a fringe benefit
30. 30. determination calling for ``one week paid vacation after 1 year of service with a contractor or successor'', an employee who renders the ``one year of service'' continuously becomes eligible for the ``one week paid vacation'' (i.e., 40 hours of paid vacation, unless otherwise specified in an applicable wage determination) upon his anniversary date of employment and upon each succeeding anniversary date thereafter. However, there is no accrual or vesting of vacation eligibility before the employee's anniversary date of employment, and no segment of time smaller than one year need be considered in computing the employer's vacation liability, unless specifically provided for in a particular fringe benefit determination. For example, an employee who has worked 13 months for an employer subject to such stipulations and is separated without receiving any vacation benefit is entitled only to one full week's (40 hours) paid vacation. He would not be entitled to the additional fraction of one-twelfth of one week's paid vacation for the month he worked in the second year unless otherwise stated in the applicable wage determination. An employee who has not met the ``one year of service'' requirement would not be entitled to any portion of the ``one week paid vacation''. (2) Eligibility for vacation benefits specified in a particular wage determination is based on completion of the stated period of past service. The individual employee's anniversary date (and each annual anniversary date of employment thereafter) is the reference point for vesting of vacation eligibility, but does not necessarily mean that the employee must be given the vacation or paid for it on the date on which it is vested. The vacation may be scheduled according to a reasonable plan mutually agreed to and communicated to the employees. A ``reasonable'' plan may be interpreted to be a plan which allows the employer to maintain uninterrupted contract services but allows the employee some choice, by seniority or similar factor, in the scheduling of vacations. However, the required vacation must be given or payment made in lieu thereof before the next anniversary date, before completion of the current contract, or before the employee terminates employment, whichever occurs first. (d) Contractor liability for vacation benefits. (1) The liability for an employee's vacation is not prorated among contractors unless specifically provided for under a particular fringe benefit determination. The contractor by whom a person is employed at the time the vacation right vests, i.e., on the employee's anniversary date of employment, must provide the full benefit required by the determination which is applicable on that date. For example, an employee, who had not previously performed similar contract work at the same facility, was first hired by a predecessor contractor on July 1, 1978. July 1 is the employee's anniversary date. The predecessor's contract ended June 30, 1979, but the employee continued working on the contract for the successor. Since the employee did not have an anniversary date of employment during the predecessor's contract, the predecessor would not have any vacation liability with respect to this employee. However, on July 1, 1979 the employee's entitlement to the full vacation benefit vested and the successor contractor would be liable for the full amount of the employee's vacation benefit.
31. 31. (2) The requirements for furnishing data relative to employee hiring dates in situations where such employees worked for ``predecessor'' contractors are set forth in Sec. 4.6. However, a contractor is not relieved from any obligation to provide vacation benefits because of any difficulty in obtaining such data. (e) Rate applicable to computation of vacation benefits. (1) If an applicable wage determination requires that the hourly wage rate be increased during the period of the contract, the rate applicable to the computation of any required vacation benefits is the hourly rate in effect in the workweek in which the actual paid vacation is provided or the equivalent is paid, as the case may be, and would not be the average of the two hourly rates. This rule would not apply to situations where a wage determination specified the method of computation and the rate to be used. (2) As set forth in Sec. 4.172, unless specified otherwise in an applicable fringe benefit determination, service employees must be furnished the required amount of fringe benefits for all hours paid for up to a maximum of 40 hours per week and 2,080 hours per year. Thus, an employee on paid vacation leave would accrue and must be compensated for any other applicable fringe benefits specified in the fringe benefit determination, and if any of the other benefits are furnished in the form of cash equivalents, such equivalents must be included with the applicable hourly wage rate in computing vacation benefits or a cash equivalent therefor. The rules and regulations for computing cash equivalents are set forth in Sec. 4.177. Holidays (a) Determining eligibility for holiday benefits--in general. (1) Most fringe benefit determinations list a specific number of named holidays for which payment is required. Unless specified otherwise in an applicable determination, an employee who performs any work during the workweek in which a named holiday occurs is entitled to the holiday benefit, regardless of whether the named holiday falls on a Sunday, another day during the workweek on which the employee is not normally scheduled to work, or on the employee's day off. In addition, holiday benefits cannot be denied because the employee has not been employed by the contractor for a designated period prior to the named holiday or because the employee did
32. 32. not work the day before or the day after the holiday, unless such qualifications are specifically included in the determination. (2) An employee who performs no work during the workweek in which a named holiday occurs is generally not entitled to the holiday benefit. However, an employee who performs no work during the workweek because he is on paid vacation or sick leave in accordance with the terms of the applicable fringe benefit determination is entitled to holiday pay or another day off with pay to substitute for the named holiday. In addition, an employee who performs no work during the workweek because of a layoff does not forfeit his entitlement to holiday benefits if the layoff is merely a subterfuge by the contractor to avoid the payment of such benefits. (3) The obligation to furnish holiday pay for the named holiday may be discharged if the contractor furnishes another day off with pay in accordance with a plan communicated to the employees involved. However, in such instances the holidays named in the fringe benefit determination are the reference points for determining whether an employee is eligible to receive holiday benefits. In other words, if an employee worked in a workweek in which a listed holiday occurred, the employee is entitled to pay for that holiday. Some determinations may provide for a specific number of holidays without naming them. In such instances the contractor is free to select the holidays to be taken in accordance with a plan communicated to the employees involved, and the agreed-upon holidays are the reference points for determining whether an employee is eligible to receive holiday benefits. (b) Determining eligibility for holiday benefits--newly hired employees. The contractor generally is not required to compensate a newly hired employee for the holiday occurring prior to the hiring of the employee. However, in the one situation where a named holiday falls in the first week of a contract, all employees who work during the first week would be entitled to holiday pay for that day. For example, if a contract to provide services for the period January 1 through December 31 contained a fringe benefit determination listing New Year's Day as a named holiday, and if New Year's Day were officially celebrated on January 2 in the year in question because January 1 fell on a Sunday, employees hired to begin work on January 3 would be entitled to holiday pay for New Year's Day. (c) Payment of holiday benefits. (1) A full-time employee who is eligible to receive payment for a named holiday must receive a full day's pay up to 8 hours unless a different standard is used in the fringe benefit determination, such as one reflecting collectively bargained holiday benefit requirements issued pursuant to section 4(c) of the Act or a different historic practice in an industry or locality. Thus, for example, a contractor must furnish 7 hours of holiday pay to a full-time employee whose scheduled workday consists of 7 hours. An employee whose scheduled workday is 10 hours would be entitled to a holiday payment of 8 hours unless a different standard is used in the determination. As discussed in Sec. 4.172, such holiday pay must include
33. 33. the full amount of other fringe benefits to which the employee is entitled. (2) Unless a different standard is used in the wage determination, a full-time employee who works on the day designated as a holiday must be paid, in addition to the amount he ordinarily would be entitled to for that day's work, the cash equivalent of a full-day's pay up to 8 hours or be furnished another day off with pay. (3) If the fringe benefit determination lists the employee's birthday as a paid holiday and that day coincides with another listed holiday, the contractor may discharge his obligation to furnish payment for the second holiday by either substituting another day off with pay with the consent of the employee, furnishing holiday benefits of an extra day's pay, or if the employee works on the holiday in question, furnish holiday benefits of two extra days' pay. (4) As stated in paragraph (a)(1) of this section, an employee's entitlement to holiday pay fully vests by working in the workweek in which the named holiday occurs. Accordingly, any employee who is terminated before receiving the full amount of holiday benefits due him must be paid the holiday benefits as a final cash payment. (5) The rules and regulations for furnishing holiday pay to temporary and part-time employees are discussed in Sec. 4.176. (6) The rules and regulations for furnishing equivalent fringe benefits or cash equivalents in lieu of holiday pay are discussed in Sec. 4.177. Educational Assistance Program Purpose The purpose of the educational assistance program is for workforce planning and development. It provides a tool for managers and employees to support academic activities that directly relate to the organization's identified knowledge, skills, and behaviors (organizational competencies), and which support the mission, vision, and values of the organization. The educational assistance program is not an employee benefit, right or entitlement; it is a management program for workforce development. Denial of participation in the educational assistance program is not grievable, except on grounds of discrimination. Use of the educational assistance program shall be identified, described, and documented in the employee's development plan within his/her work plan. This provides a measurable link between the employee's increased competency and the agency's workforce planning efforts.
34. 34. The educational assistance program provides reimbursement of academic costs if funds are available at the agency level, and/or time off the job if the course is available only during working hours. Eligibility Eligible: Permanent and time-limited employees regularly scheduled 20 hours or more per week and probationary and trainee employees after satisfactory performance for a period of not less than three months, as determined by management. Selective Service Registration: NCGS 143B-421.1 requires those eligible for selective service to be registered in order to be reimbursed academic costs. The federal Selective Service law specifies that males, both US citizens and immigrant aliens residing in the US and its territories, ages 18 through 25, shall register with the Selective Service. Not Eligible: Permanent part-time employees regularly scheduled less than 20 hours per week and all temporary employees. Origination of Request Requests for educational assistance may be initiated by the employee or management. Employees may initiate requests for educational assistance to: Maintain/enhance current skills Develop new skills/competencies for career development within the agency Management may initiate requests for educational assistance to: Ensure employees have mandated licensure or certification Address a shortage of skilled workers in specific classifications Develop a pool of employees for succession planning Build specific high priority skills Address performance expectations of the employee as specified on the performance management improvement plan. Job-related degrees and corresponding non-work related courses within a degree program may be approved at the discretion of management. Academic Sources and Approved Courses
35. 35. Academic Courses Eligible Sources - Academic courses are defined as a course/degree provided by an accredited community college, college, or university. Academic courses/degrees provided through traditional classroom, video-based, distance learning, web-based, e-learning and certain correspondence courses (see Ineligible Sources below) are eligible for approval. The course must provide academic credit (as opposed to CEUs), be listed in the college/university course catalog and charge tuition in the traditional meaning of tuition (as opposed to only registration fees). Accreditation must be via an accrediting agency authorized by the US Department of Education. Ineligible Sources - Correspondence courses not accredited by the US Department of Education or the American Council on Education/CREDIT for academic credit are not eligible under this policy. Approved Courses Management, when making the determination whether to provide educational assistance to take a specific course, must consider the basic principle: "deemed beneficial to both the University and the employee." Completion of the course should have a direct benefit to the University. The improved knowledge, skills and abilities gained by the employee should benefit the individual in completion of his/her current and/or potential job duties. Management should consider workforce planning, succession planning and career development in approving employees to receive educational assistance. Guidelines to consider in course selection are: Courses which provide knowledge and skills directly related to maintaining or improving current job skills; Courses mandated by law or regulation as a job requirement for continued employment; and Courses directly related to the employee's current job or a documented workforce need. When approving courses, management must consider workforce planning in developing employees who demonstrate the ability to perform at a higher level of responsibility. Hard to recruit classifications are areas in which an employee could be approved to take courses outside his/her current classification level to meet future work needs. Examples of this are: Technicians working on a college degree to fill professional engineering positions; or Health care workers participating in a nursing program; or Courses included in an academic program which are necessary to complete a management approved degree program. Educational assistance shall not be approved for courses where management
36. 36. has determined that neither the course nor degree is of benefit to the University. The Director of Benefit Program Administration, Office of Human Resources may approve exceptions to the approved course policy. Audited Courses - Academic courses which are audited are eligible for educational assistance; however an employee may be reimbursed for the same course or course equivalent only once. Reimbursement requires a statement written on school letterhead and signed by the instructor that the employee attended at least 85% of the scheduled class meetings during the academic term. Certification/Licensing (Post-Employment) - Incumbent employees who meet minimum educational requirements for employment and for whom certification/licensing is required after employment or is deemed desirable by management are eligible for educational assistance under the following conditions: Certification/licensing is mandated or is a policy requirement of the University or hiring department. Educational assistance is authorized for certification or licensing only if the certification or license is attained via academic course work. Coursework for certification or licensure will be considered "At Agency Request" as described in this policy. Reimbursement Academic Costs - Eligible employees approved for educational assistance may be reimbursed academic costs charged by the academic source at which the employee is enrolled. Academic costs are defined as charges assessed by an academic source to every person enrolling for the course. These charges are required of everyone and are neither negotiable nor discretionary for the individual enrolling in the course. Academic costs include in-state tuition, fees and course/lab fees. Course/lab fees must always be itemized. Reimbursement of course/lab fees may require a written statement from the academic source justifying the fee as a required fee in addition to other fees. Amount of Reimbursement - Eligible employees may be reimbursed academic costs charged by the academic source where enrolled. Departments may reimburse all academic costs as specified in the paragraph "Academic Costs," or reimburse only tuition and other academic-related fees, but not fees unrelated to registering for a course or a degree program, such as dorm, student union construction, athletic fees, student health service, cultural event fees, etc. Management may also, with a bona fide business justification, reduce the amount of reimbursement per employee to a set amount less than the tuition and fees and/or limit the number of courses for which any one employee may be reimbursed in an academic term. Management choosing to reimburse an amount less than the academic costs specified in the paragraph
37. 37. "Academic Costs" shall make this information available to all employees at the beginning of the fiscal year and apply this limitation in a fair and equitable manner to all employees requesting educational assistance in that fiscal year. (See also "Reimbursement without Department Funds" section below.) For study at University of North Carolina Institutions or the Institutions of the North Carolina Community College System, eligible employees may be reimbursed for 100% of academic costs for up to 20 credit hours per fiscal year. For study at all academic institutions other than institutions of The University of North Carolina and Institutions of the NC Community College System, eligible employees may be reimbursed up to the maximum academic cost charged by the UNC institutions for up to 20 credit hours (or 32 quarter hours per fiscal year). This amount will be determined by the Office of State Personnel and published within 10 working days of the adjournment of the General Assembly and the meeting of the UNC Board of Governors to approve fees (see Related Subjects below). Reimbursement of tuition and fees from out- of-state colleges/universities shall not exceed the amount as specified above. Special Graduate Programs - Graduate professional programs (medicine, veterinary medicine, business, etc.) with unusual course/lab fees, tuition or other fees will be considered on a course by course basis. The Director of Benefit Program Administration, Office of Human Resources, may approve payment of these academic costs. Non-reimbursable Expenses - Reimbursement shall NOT be made for: Charges specifically related to processing or receiving continuing education units (CEUs) Application, examination, and graduation fees Transportation costs Textbooks * and supplies * See Sections "Courses Taken at Agency Request" and "Reimbursement without Department Funds" below for other textbook reimbursement provisions. Other Financial Assistance - Financial assistance from any other financial aid program shall not be duplicated under this program. (If eligible for Tuition Waiver and/or Student Fee Waiver, the employee must apply these programs first.) However, the difference, if any, between such aid and the allowable costs under the Educational assistance program may be reimbursed. Tax Status - Congress enacted the Economic Growth and Tax Relief Reconciliation Act of 2001 which allows an employer to offer its employees up to $5,250 in tax-free (job related and non job-related) educational assistance for undergraduate and graduate level courses begun after December 31, 2001. Requirement for Reimbursement - Management may consider any current disciplinary action for job performance or personal conduct prior to approval of the application for reimbursement. If funds are available, the applicant shall receive reimbursement of approved academic costs upon
38. 38. submitting evidence of satisfactory completion of a preapproved course. Completion is defined as "Satisfactory," "Pass," or a grade of "C" or better for undergraduate courses, and a "B" ("P") or better for graduate courses. An "Incomplete" shall not be reimbursed until a final grade is issued. Requests for reimbursement must be submitted within 30 calendar days of completion of the course. Employee Transfers and Separations - If an employee transfers to another department or State agency, and subsequently completes an approved course, the employee shall submit a request for reimbursement to the employing agency or department. The employing agency is responsible for processing the request per the provisions of this policy, and providing reimbursement if funds are available. Employees who separate from State service prior to the completion of the course are not eligible for reimbursement. Employees who separate by reduction in force (layoff) remain eligible for approved coursework completed within 12 months of the employee's separation date. Courses Taken "At Agency Request" Because of specific high priority skill needs of the University or department, management may require employees to take specific courses or degree programs "at agency request". Under these circumstances, the following applies: All limitations under the provisions of this policy are waived. Employees are still responsible for requirements for withholding taxes and FICA. All expenses to the individual shall be reimbursed related to acquiring the necessary course or degree, to include: travel costs; examinations and administrative fees; textbooks and other course materials. (Any books or materials paid for by the department become the property of the department.) If courses taken "at agency request" exceed the credit hour per fiscal year limitations of the educational assistance program, then the situation shall be administered under the policy provisions for Extended Educational Leave. Not all courses specified as part of an employee's improvement/development plan are necessarily considered to be "at agency request" unless specifically approved as such by the department head or designee and approved by the Director of Benefit Program Administration (see "Application Procedures" section below). Leave An approved course should be taken on the employee's own time. If a course can be taken only during working hours, eligible employees must request Educational Leave prior to the beginning of the course allowing sufficient time for the educational assistance request to be reviewed. Educational Leave may be granted unless the supervisor identifies work conditions that will not permit the employee to be absent from the job. Supervisors are encouraged to develop alternate work arrangements to complete the work assignments and also grant Educational Leave. Reasonable travel time as determined by the
39. 39. supervisor may be permitted to attend approved courses. Management may approve Educational Leave, and, if approved, Educational Leave shall not be charged to the employee's vacation leave. Educational Leave during work hours shall not exceed one course up to five hours academic credit per academic term. Exceptions to the leave restriction may be addressed using the Educational Leave with Pay provisions of this policy. Thesis/Dissertation Research Courses - Job-related thesis/dissertation research courses at the masters/doctoral level are restricted as follows: All required written examinations for the degree shall be successfully completed before the course is approved. A maximum of 15 hours leave may be approved for each academic credit hour. All leave hours shall be used during the academic term and may not be accumulated. A maximum total of 9 academic credit hours are allowed for any one employee. Extended Leave Situations Courses taken at agency request that exceed the credit hour per fiscal year limitation must follow the Extended Educational Leave policy. An agency wishing to initiate a program for a number of employees to participate in a degree or certificate program must also refer to the Extended Educational Leave policy. Extended Educational Leave - The department may provide leave with pay or leave without pay for certain types of academic courses. The references to these specific policies are set out below. Educational Leave Without Pay - Extended Educational Leave without pay may be granted by department management in accordance with the normal Leave Without Pay Policy. Educational Leave With Pay - Extended Educational Leave with Pay is allowed only with advance approval of the Director, Benefit Program Administration, Office of Human Resources Justification for the paid leave must be attached to the Educational Assistance Application at the time of pre-approval (see "Application Procedures" section below). Management may consider any employee (permanent, probationary, trainee or time-limited) for extended Educational Leave to participate in job or career-related work-study, scholarship or fellowship programs based upon the following criteria: Verification that both labor market and organizational needs exist for development in the program requested. Equal opportunity provided in selection of candidates.
40. 40. Employees are informed of University and/or department policies and procedures regarding: Announcement and application procedures, Screening and selection of employees, Limitations and restrictions on academic courses, Leave, salary, benefit conditions, withholding taxes and FICA, and Reimbursement agreement. Requests for extended Educational Leave initiated by the employee and which do not meet with the above criteria will be administered according to the Leave without Pay Policy. Maintaining Records Benefit Program Administration in the Office of Human Resources is responsible for retaining records, on a fiscal year basis, of educational assistance activity. This information shall be reported annually to the Office of State Personnel upon request and shall include the following: Number employees participating in the program, Amount (tuition and fees) reimbursed, Number employees granted Educational Leave, Number employees taking courses at agency's request, Number employees granted extended education leave, Number of employees taking courses for mandated/required certification/licensing Benefit Program Administration will request additional information from University departments as needed. Reimbursement without Department Funds The University allocates a calculated amount of money for this program based on usage in prior years in order to provide some benefit for all eligible University employees. Eligible employees who are from departments that may lack necessary funds for reimbursement under the Educational Assistance Program, or who are taking academic coursework that is not work-related, may request reimbursement through the Office of Human Resources. Employees may also request textbook reimbursement through this program. The maximum reimbursement an employee may receive through the Office of Human Resources for tuition expenses for coursework approved under this policy is $500 per fiscal year. The maximum reimbursement an employee may receive through the Office of Human Resources for textbook expenses related to coursework approved under this policy is $100 per fiscal year. Application Procedures Pre-Approval (Part I of the Educational Assistance Application)
41. 41. Deadline: Educational Assistance Application must be approved prior to the start date of the course. Employee submits Educational Assistance Application to his/her supervisor. Supervisor reviews request and authorizes any departmental contribution to the employee's coursework. The supervisor must forward the Educational Assistance Application for pre-approval to Benefit Program Administration, CB# 1045, ONLY if requesting: o "At Agency Request" Designation o Paid Extended Educational Leave o Exceptions to the Approved Course Requirements If required, Benefit Program Administration will review the Application, verify employee and course eligibility, and return the Application to the employee. Reimbursement (Part II of the Educational Assistance Application) Deadline: Educational Assistance Application and all supporting documents must be submitted within 30 calendar days of completion of the course. Employee submits Educational Assistance Application (Parts I & II) to his/her supervisor and attaches the following documentation: o Proof of completion of the course, including grade (If an audit course, the employee must provide a letter on the institution's letterhead certifying that the employee attended at least 85% of the course sessions) o Receipt of course expense(s) o Checklist for Taxability of Tuition Waiver & Educational Assistance Reimbursement Supervisor reviews documentation authorizes reimbursement, and completes the Educational Assistance Application. o If only leave has been given to the employee - The department completes the Educational Assistance Application. o If the employee's department will reimburse the employee for all or part of the course - The Department completes the reimbursement process with Disbursement Services. o If the employee's department will provide partial or no reimbursement, and reimbursement is requested through the Office of Human Resources - The department completes the departmental reimbursement (if any) and forwards the Educational Assistance Application with all supporting documents to Benefit Program Administration, CB# 1045. Benefits will complete the reimbursement with Disbursement Services.
42. 42. Employee Counseling I. NON-DISCIPLINARY PERFORMANCE MANAGEMENT COACHING As it relates to performance management, coaching is a process that is used primarily to motivate and/or teach employees certain tasks/responsibilities. Coaching is a method especially useful in assisting employees to address complex problems and/or attain significant goals in a highly individualized fashion. Coaching is a collaborative process, one where a supervisor and employee continually set short and long term performance goals; listen actively to each other during coaching sessions; and ask questions, share views, and negotiate approaches for further development. Coaching is not disciplinary, and occurs BEFORE performance problems occur. There are three major steps to coaching: 1 Preparation 2 Discussion 3 Follow-up Preparation is the key to coaching success. A good coach writes a discussion plan beforehand identifying the things that need to be covered during the coaching session. The employee should also write a discussion plan prior to each coaching session. In the coaching session both coach and employee should agree to and list areas where results were achieved or exceeded; areas where results did not meet expectations; action plans for remedying problems where desired results did not occur; and additional short and long term performance goals. Follow up should occur on a regular basis. Good coaches continually reinforce positive performance results and address issues arising when goals are not reached. The difference between coaching and counseling: COACHING is meant for when a person does not know how to do the task/assignment. Coaching takes place BEFORE problems occur. COUNSELING is for when a person knows how to do the assignment but is not able to or not willing to do it.
43. 43. 1 COUNSELING The counseling session is a meeting held between the supervisor and employee to discuss either specific general work performance areas in need of improvement or a violation of policies or work rules. Frequently, problems that are recognized early can be resolved by counseling. Privacy and sufficient time devoted to the meeting are essential. It is generally helpful to prepare for the counseling session by developing a written outline of specific problem areas with corresponding suggestions/directives for improvement. A positive approach to the discussion, coupled with constructive counseling, serve as key elements to the counseling session. Documentation of the session on the appropriate counseling form or kept in supervisory notes is strongly urged. This provides a basis for follow-up at future meetings with the employee, and gives you a source of documentation if the problem persists. When Counseling Is Used Counseling is used at first indication that improvement is necessary. It is important to remember that although counseling sessions may precede written warnings and official disciplinary action(s), it is not in and of itself considered disciplinary. Some supervisors feel that because a topic has been mentioned in a conversation with the employee at some time, counseling has occurred. However, a casual conversation, combined with other topics, may not have the desired impact on the employee. Counseling is a private discussion with a closed door and limited interruptions. It is meant to impress upon the employee the seriousness of your expectations, and permit the exchange of information that is critical to the employees success. If feasible, the situation should be reviewed with facility Human Resource staff prior to proceeding with the meeting. If the employee does not improve, or the problem is not corrected following counseling, it may be necessary to move to progressive discipline. A general rule of thumb is that if a person has been counseled twice without improvement, it may be appropriate to move on to progressive disciplinary procedures. When counseling an employee, remember that the proper objective is corrective action, not punishment. DO tell the employee at the outset, This is a counseling session. DO tell the employee what the SPECIFIC problem is. DO tell the employee the expected improvements. DO NOT threaten the employee with discipline. DO NOT describe adverse consequences if no improvement is made. A calm and thoughtful approach will keep the supervisor in control of the situation and hopefully allow the employee to move positively towards a productive goal without causing resentment or embarrassment.
44. 44. 2 A counseling session is not discipline, and the employee has no contractual right to union representation. If an employee insists upon union representation during a counseling session, the supervisor may comply with such requests, in accordance with specific bargaining unit language. Consult with your Human Resource Officer if you have questions about this. Record of Counseling Make a written record showing the date and circumstances of the counseling session. This may be done in one of several ways: 1 The counseling session may be documented by informal notes in the supervisors administrative file or notebook and on his/her calendar. The notes should include the date the counseling session was held, who attended, and what was discussed. 2 The Immediate Supervisors Record of Counseling form may be completed and kept in the supervisors administrative file. (See Appendix). 3 A memo to the employee should be issued confirming that the verbal counseling session was held on a given date. This is strictly a communication between the supervisor and the employee. It should restate the problem that was discussed, indicate who attended the meeting, the supervisors specific expectations, a description of the objective and a target date, and state what assistance the supervisor will provide. The memo must NOT include any warning of consequences if the objective is not met, and it must NOT include any reference to discipline or further disciplinary action. A copy of this memo should be placed in the supervisors administrative file. A copy is NOT placed in the employees official personnel file. PLEASE NOTE: The collective bargaining agreement may require written notice to the employee of counseling under some circumstances. The memo confirming the counseling session as described above will fulfill such a contractual requirement. A facility Human Resource staff member should be consulted for guidance. This process also applies to managerial employees. POINTS TO REMEMBER DURING ANY DISCUSSION WITH AN EMPLOYEE BE IN CONTROL OF YOURSELF Nothing constructive is accomplished with loss of temper. Things are likely to be said and accusations made that will later be regretted. By being in control and thinking clearly, the supervisor can maintain a positive environment. SPEAK WITH THE EMPLOYEE IN PRIVATE Labor contracts as well as counseling objectives require that it be done in private. Safety violations which endanger others or department property must be stopped immediately, but even in those situations, the employee should be taken aside at the first opportunity and counseling should be conducted in private. BE POSITIVE OF YOUR FACTS
45. 45. A supervisor should be certain that counseling is necessary. Therefore, it is important that the supervisor does not rely on gossip, rumors, or hearsay. What did the person do wrong? What are the consequences? Has the individual committed similar infractions in the past? How long ago? The supervisor needs all the facts in order to be well prepared. Supervisors who impulsively counsel an employee and then discover that the counseling was not warranted may find the employee and the work environment negatively impacted. Plan your comments and directives before the meeting. Make an outline of subjects to be discussed in order to address all of the important issues. Dont rely on memory alone. GET THE EMPLOYEES SIDE OF THE STORY By listening attentively and courteously to the employees explanation, the supervisor shows concern for fair treatment of the individual. Facts may need to be verified and/or mitigating circumstances considered. This may revise the supervisors approach or treatment of the subject(s) to be covered. The success of the counseling session will depend on the supervisors approach to understanding the employees side of the story and the facts of the issues being discussed. BE FIRM BUT FAIR MEASURE THE EMPLOYEE BY A REALISTIC STANDARD The supervisor should explain that the employees performance is below what is expected or that her/his behavior is unacceptable, how the performance or behavior violates the supervisors expectations or the rules, and the reasons for these expectations and rules. In order to be fair in counseling, the supervisor and employee should set an objective for the employee to reach in a reasonable period of time by a certain date.
46. 46. 4 SHOW CONFIDENCE IN THE EMPLOYEES ABILITY TO LEARN AND CHANGE An employees fear of counseling can be lessened if a supervisor shows that s/he has confidence in the ability of the employee to change his/her behavior or meet performance standards. Showing confidence in the employee is a strong, positive way to conclude the session. MAKE A WRITTEN RECORD OF THE COUNSELING A record of the counseling in the form of supervisory notes or a memo to the employee should be completed immediately after the counseling session. It should confirm that a counseling session was held on a given date, restate the problem and the supervisors expectations, describe the specific objective(s) and target date, and offer assistance to the employee to reinforce the need for change. FOLLOW-UP If the employee has met the objective(s), tell the employee and compliment him/her. If the employee fails to meet the objective(s), disciplinary action may be necessary. A key point to remember in the non-disciplinary process is that clear and thorough communication of work rules, policies and procedures is a critical first step to ensuring employee compliance. In fact, ensuring that employees know and understand all rules, policies and procedures can sometimes help you avoid having to take disciplinary action. EMPLOYEE ASSISTANCE PROGRAM Solutions EAP (Employee Assistance Program) is a program of Behavioral Health Connecticut, LLC. Solutions provides Employee Wellness Program services to DMHAS employees and their families. If you believe that an employee may be having problems that require outside assistance you may mention the EAP in your counseling session with them. In some cases a statement on EAP may be placed into the text of a letter of warning, usually stating If you are experiencing problems that are affecting your work performance you may contact the DMHAS Employee Assistance Program at 1- 800-526-3485. The website for Solutions is at www.solutions-eap.com.
47. 47. 5 II. THE PROGRESSIVE DISCIPLINE PROCESS Progressive discipline is a generally accepted supervisory practice that establishes penalties of increasing severity for repeated infractions or work performance issues. Done correctly, it provides a fair, consistent method of addressing unsatisfactory performance or inappropriate behavior. Progressive discipline offers the employee the opportunity to correct unacceptable behavior before being discharged. Disciplinary action will normally begin at the lowest step in the progressive discipline process, but may be advanced d