A program to outline policy and procedures to deal with non-culpable employee work performance problems.

Transcription

1 Section: PS 804 Performance Improvement Date issued: Purpose A program to outline policy and procedures to deal with non-culpable employee work performance problems. Policy This policy deals with non-culpable or blameless performance problems where the means for resolving such problems exists at work. The employer recognizes that, on occasion, the work performance of some employees falls below the minimum standards of their positions due to factors which may be beyond their control. While such behaviour is non-culpable, it is detrimental to the effective and efficient delivery of services to the people of Saskatchewan. While recognizing that such deficient performance has its basis in non-culpable factors, it is the employer's policy that such performance must be restored to a fully satisfactory level. The employer is committed to providing reasonable assistance to such an employee in his/her efforts to achieve this objective. Application All employees appointed under The Public Service Act. Guidelines Procedures, guidelines and training material regarding the application of this policy are available from Employee Relations. Authority PSA, Part 2, Section 14(i) Inquiries Employee Relations

2 Section: PS 804-Policy Performance Improvement Policy Date issued: This policy deals with non-culpable or blameless work performance problems where the means for resolving such problems exists at work. The employer recognizes that, on occasion, the work performance of some employees falls below the minimum standards of their positions due to factors which may be beyond their control. While such behavior is non-culpable, it is detrimental to the effective and efficient delivery of services to the people of Saskatchewan. While recognizing that such deficient performance has its basis, in non-culpable factors, it is the employer's policy that such performance must be restored to a fully satisfactory level. The employer is committed to providing reasonable assistance to such an employee in his/her efforts to achieve this objective. This document is composed of four sections: Policy - The policy of the employer Table of Contents and Definitions Guidelines - Guidelines that may be helpful in dealing with non-culpable performance deficiencies Appendices

3 Section: PS 804-TOC Performance Improvement Table of Contents Definitions Date issued: Guidelines Part A 1. The status of this document? 2. To whom does policy apply? 3. Who has the authority to implement this policy? 4. What is the basis of problem work performance? 5. How are minor instances of performance problems prevented or dealt with in the Public Service? Oral counseling Formal counseling 6. What mechanisms are available where problem performance continues? 7. What is common to the corrective discipline, employee assistance, and performance improvement programs? 8. What categories of behavior do these programs deal with: Culpable or blameworthy behavior Non-culpable or non-blameworthy behavior 9. What forms of non-culpable behavior does the Employee Assistance Program deal with? 10. What forms of non-culpable behavior does the Performance Improvement Program deal with? 11. Employee Assistance, Performance Improvement, Corrective Discipline Programs - A systems view 12. How do I know what program to use? 13. How do I respond when program choice is later found in error? 14. How do I respond when the problem is improper attitude? Part B 1. What is the objective of the performance improvement program?

4 Section: PS 804-TOC Part C Appendices 2. Employer's response - General Guideline Maintain employee in position Maintain employment - different position Temporary or permanent severance from employment Requirements in all cases 3. Kinds of non-culpable behavior - Employer's Guideline Loss of qualifications Criminal charge, conviction, Incarceration Innocent absenteeism/lateness Non-competence Deficient skills/abilities Medical condition How to implement the Performance Improvement Program 1. Define the performance plan 2. Seek advice 3. Conduct a problem solving interview with the employee 4. Develop an action plan 5. Meet with the employee 6. Implement the action plan Appendix A - Formal Counseling - Sample Memo Appendix B - Formal Counseling Progress acknowledged - Sample Memo Appendix C - Summary of problem solving interview - Sample memo Appendix D1 - Abandonment of position - Sample memo Appendix D2 - Abandonment of Position - Sample memo Appendix E - Problem Solving Interview Guideline

5 Section: PS 804-Definitions Performance Improvement Definitions Date issued: Abandonment of Position Absent from work for one (1) week or more without leave. Culpable Behaviour Behavior for which one is fully responsible and deserving of blame. Demotion The voluntary or involuntary change of employment from one class to another class having a lower maximum rate of pay. Innocent Absenteeism/ Lateness Constant inability to attend at work or report for work in a timely manner, for non-culpable reasons. Non-Culpable Behaviour Behavior for which the employee is not fully responsible or deserving of blame. Termination Ending of employment in the public service for non-culpable reasons. Transfer The voluntary or involuntary movement of an employee from one position to another position having the same maximum salary.

6 Performance Improvement Guidelines Part A Date issued: The following guidelines may be helpful in dealing with non-culpable performance problems. 1. What is the status of this document? This document takes into account the content of existing collective agreements. However, where there is a conflict between this document and the collective agreement, the latter takes precedence. The collective agreement must be consulted when dealing with those non-culpable performance problems that are dealt with via this policy. 2. To whom does the employer's policy apply? The employer's Performance Improvement policy applies to all employees of the Government of Saskatchewan who are governed by the Public Service Act, other than those on initial probation. 3. Who has authority to implement the Performance Improvement Program? Supervisors and managers, as delegated by department management, have authority to implement this policy. 4. What is the basis of problem work performance? Problem work performance can have its basis in employee behaviour that adversely affects work output. In essence, it is what an employee is actually doing, or not doing, and the effect of that action or inaction on work. 5. How are minor instances of problem work performance prevented or dealt with in the public service? An ongoing supervisory/management responsibility is to ensure the employee work behaviour is consistent with work requirements. Thus, required work behaviour is shaped by such things as orientation and training on initial entry, supervisor/employee goal setting, coaching, feedback, problem solving and evaluation. The overwhelming majority of employees respond positively to these supervising practices. In addition, recourse may be had to oral and formal counselling. Oral Counselling: the verbal pointing out of required behaviour at work where a pattern of unacceptable conduct is having an adverse effect on work performance; e.g. an employee begins to submit reports after the due date. In this situation, the supervisor/manager meets with the employee in private and:

7 i. indicates the unacceptable conduct that is developing ii. iii. iv. describes the impact of that conduct on work performance obtain the employees explanation for his/her behaviour state the behaviour required, when it is required and why it is necessary for work performance Formal Counselling: Written direction to an employee at work where unacceptable behaviour is having an adverse affect on work performance, e.g. in spite of oral counselling, the late submission of reports continues. Formal counselling normally follows where oral counselling has failed. In this situation, the supervisor/manager meets with the employee in private and: i. indicates the unacceptable conduct that is developing and refer to earlier oral counselling if such occurred ii. iii. iv. describes the impact of the unacceptable conduct on work performance obtain the employee's explanation for his/her behaviour state the behaviour required and why it is necessary for work performance, and, where appropriate, the assistance management is prepared to offer to aid the employee in his/her efforts to improve v. indicate a date for review of the employee's progress in achieving the required behaviour vi. summarize the information conveyed and received at the interview in a memo to the employee The sole purpose of the formal counselling memo is to make absolutely clear to the employee the behaviour and resulting performance required at work. As a result, formal counselling is not considered a disciplinary action. (see Appendix A) A copy of the formal counselling memo should be retained by the issuing supervisor/manager. A copy should be placed on the employee's departmental personnel file. Where, in the view of management following a review, the employee's performance is now fully satisfactory, the letter of formal counselling shall be removed from the employee's personnel file and returned to the employee. By such action, management is tangibly acknowledging the employee's effort to improve performance.

8 6. What mechanisms are available where problem performance continues? Human Resource Manual Where normal supervisory/management responses (as outlined in paragraph 5) are not successful in correcting deficient performance, the following administrative mechanisms may be applied: Employee Assistance Program (EAP) Performance Improvement Program (PIP) Corrective Discipline Program (CDP) The Corrective Discipline and Employee Assistance programs are described in detail elsewhere in the Human Resource Manual. 7. What is common to the Corrective Discipline, Employee Assistance and Performance Improvement Programs? These programs have the following common elements: their objective is to restore the employee to fully satisfactory performance recognition that the employee is responsible for achieving fully satisfactory performance. In the case of non-culpable behaviour, the employer will actively assist the employee in this regard that the employer has the right to expect satisfactory performance and, in the public interest, will take those steps necessary to achieve same 8. What categories of behaviour do Employee Assistance, Performance Improvement and Corrective Discipline Programs deal with? Unacceptable behaviour at work can be grouped into two major categories: i. Culpable or blameworthy behaviour - behaviour for which the employee is fully responsible and deserving of blame. In this situation, the employee knows what is required, is capable of doing what is required but chooses to act in a way contrary to requirements. For example, in most theft situations, the employee knows stealing is unacceptable, has the capacity to behave as required but chooses to carry out the act of theft. In making the choice and acting upon it, the employee is fully responsible for the consequences of his actions. Such culpable behaviour warrants a disciplinary response and the employee is responsible for correcting his behaviour. The employer's Corrective Discipline Program deals with culpable or blameworthy behaviour; for details consult your personnel manual.

9 ii. Non-culpable or non-blameworthy behaviour - behaviour for which the employee is not fully responsible or deserving of blame. In this situation, the employee may not know and/or may not be capable of behaving as required. For example, an employee, while endeavouring, may not be meeting work requirements. The impediment may be a lack of skill or knowledge, a personal or health problem, etc. In this situation the employee may not be fully responsible for the results of his behaviour. There is some impediment to performance over which he has limited control. Such non-culpable behaviour warrants a non-disciplinary response. In this situation, while acknowledging the employee's ultimate responsibility but aware of his limited capacity, the employer will assist the employee's efforts in achieving satisfactory performance. The employer's Employee Assistance and Performance Improvement Programs deal with such non-culpable or non-blameworthy behaviour. In summary, culpable behaviour is that where the employee knows and is capable but will not perform as required. Non-culpable behaviour is that where the employee cannot perform. The former warrants a disciplinary response, the latter a non-disciplinary response. 9. What forms of non-culpable behaviour does the Employee Assistance Program deal with? The Employee Assistance Program deals with the identification and treatment of those conditions where the root cause of the employee's deficient performance requires the application of specialized skills not found in the work place. Thus, for example, where the cause of an employee's deficient performance is based in a mental or physical condition, the Employee Assistance Program may arrange for appropriate therapies on a confidential basis. Other kinds of problems which may adversely affect work performance and where the Employee Assistance Program may be called upon include: physical and psychiatric referral, family, legal and debt counselling, alcohol and drug addiction. Employee involvement in the Employee Assistance Program is voluntary. For full details on the scope of this program and how to access it, please refer to the Employee Assistance Program section. 10. What forms of non-culpable behaviour does the Performance Improvement Program deal with? The Performance Improvement Program deals with those conditions where: local management has the skills and capacity to deal with the root cause of the employee's deficient performance at the work site where the employee has refused to participate in the Employee Assistance Program where the Employee Assistance Program involvement has not resolved the problem

10 By way of example, an employee's deficient performance may have its basis in deficient skills. Local management may assist the employee in resolving the problem via normal supervisory practices, i.e. training, coaching, closer supervision. Other kinds of problem behaviour which may adversely affect performance and where the Performance Improvement Program may be used include: loss of qualifications, e.g. loss of license or professional certification, etc. required for work non-competence in performing regular duties due to deficient skills or chronic illness/injury innocent absenteeism/persistent lateness criminal charges, conviction, incarceration Specific direction on how to deal with each of the above can be found in Part B of this document. 11. Employee Assistance, Performance Improvement, Corrective Discipline - A Systems View A diagram setting out how each program functions and their interrelationship can be viewed by clicking here. 12. How do I know what program to use? Any decision you make as to choice of program will be judged on the reasonableness of that decision based on the facts you have, i.e. what you have been told by the employee or what is clearly evident. The guide is: what would a normal person conclude is the appropriate management response in the face of these facts? where there is no obvious non-culpable explanation for the unacceptable behaviour, supervisors/managers can conclude it is wilful and thus deserving of a disciplinary response where an employee advances non-culpable causes for deficient performance it is the employee's obligation to provide reasonable and tangible evidence of the existence of those causes the aforementioned description, i.e. culpable and non-culpable behaviour, as well as the description provided of each program and the kind of behaviour each deals with are instructive in this regard consult with your personnel advisor and test the conclusion you have reached as to program choice and the rationale for that conclusion

11 13. How do I respond when program choice is later found in error? Human Resource Manual Occasionally a behaviour problem that seems appropriate to one program will, after program initiation and increased familiarity with the situation, be seen to more logically belong in another program. Example: the problem was consistent lateness. The employee's explanations - alarm clock failure, missed busses, etc., gave the appearance of culpable behaviour and Corrective Discipline was initiated. After a written reprimand and with continued lateness, the employee admitted to a family problem - abandonment by her husband, dealing with young children in the early morning, etc. Corrective Discipline ceased and the employee engaged in family counselling via the Employee Assistance Program. With such counselling and short term alteration to starting hours, the employee returned to fully satisfactory performance. Example: the employee seemed despondent at work and admitted to occasional drug usage. Medical assessment and drug counselling via the Employee Assistance Program were initiated. No evidence was received that the employee was drug dependent. Further investigation produced an admission that the employee felt no challenge in work and that, while able, simply lacked interest. Corrective Discipline was initiated; the employee voluntarily left the service. The key lesson to be learned from these examples is that the root cause of performance problems may not be initially clear. However, once the true underlying causes are determined, the program appropriate to those causes must be adopted. 14. How do I respond when the problem is "improper attitude"? Given its subjective nature, the employer will not respond solely to claims of "improper attitude." In such circumstances, one must focus on the overt behaviour that flows from the perceived attitude and the impact of that behaviour on work performance. There must be a determination of whether the unproductive behaviour is culpable or non-culpable to determine the appropriate corrective mechanism. The employer is not concerned with the attitudes held by its employees - this is their private concern. It is concerned however with behaviour that adversely affects work performance and will respond to correct such behaviour.

12 Section: PS 804-Diagram Employee Assistance, Performance Improvement, Corrective Discipline A Systems View Date issued: Print diagram for a clearer view

13 Performance Improvement Guidelines Part B Date issued: The following guidelines may be helpful in dealing with non-culpable performance problems. 1. What is the objective of the Performance Improvement Program (PIP)? The objective of the program is to achieve satisfactory work performance by the employee. PIP deals with problem performance that has its basis in non-culpable factors. Recognizing the employees limited control over such factors, the employer will provide reasonable assistance to aid the employee to achieve satisfactory work performance. It is emphasized that the primary responsibility for improvement is with the employee; the employer will assist such endeavours. The assistance provided by the employer will also take into account the legitimate needs of work. Where satisfactory performance cannot be achieved in the present position, emphasis will be on preserving employment at minimum disruption to the employee. Separation from employment for deficient performance, based on non-culpable factors, will only occur as a last resort and only where other alternatives are not appropriate or have failed. Important Qualification Non-culpable deficient work performance may take a wide variety of forms and management response will vary taking into account the particular factors of each case. Given this, it is emphasized that this document is a guideline to assist management in the effective resolution of problems of this kind. 2. The employer s response general guidelines Problem performance stemming from non-culpable factors may take a wide variety of forms. Further, they may occur in quite different work situations. The result is that certain responses, appropriate in one case may not be appropriate in another. The goal is to fashion a response, based on the situation at hand, that promises the best chance of success and that is fair and reasonable in those circumstances. In dealing with performance problems that have a non-culpable basis, the employer's approach is one that starts with initiatives that promise success and that minimize the impact on the employee. Where these initial approaches are not successful, or are not appropriate, the employer will implement alternate responses that promise success and that incrementally increase the impact on the employee's work situation. In essence, the employer's response is progressive. Generally, there are three categories of progressive responses. When dealing with non-culpable performance problems you should consider each category, in the progressive order set out, to determine that response which is appropriate to the situation at hand. These categories are as follows:

14 a) Response that maintains employee in position Used: Where the substandard performance can be temporarily accepted while the employee, with management support, strives to improve, example: i. training, clearer definition of job requirements, coaching, closer supervision, etc. ii. alter work requirements for a specific period - one (1) to three (3) months while employee strives to achieve required performance iii. where requested, granting accumulated vacation leave to allow employee time to resolve basic causes. Accumulated sick leave may be granted on request where causes of deficiency performance have a medical basis It is expected that the majority of non-culpable performance problems will be resolved via the response indicated in category a). b) Response which maintains employment, but in different position Used: Where lesser responses fail or are inappropriate and where it can be clearly demonstrated that the employee cannot perform in present position, example: i. transfer the employee within the work unit, or failing this, out of work unit to a position he is capable of performing ii. demote the employee within the work unit, or failing this, out of the work unit to a position he is capable of performing Transfers and demotions may be voluntary or involuntary. Inter-departmental transfers will be coordinated through the Public Service Commission. c) Responses that temporarily or permanently sever employment Used: Where lesser responses have failed, or are inappropriate, and where it can be clearly demonstrated that the employee cannot perform and there is minimal likelihood he will be able to perform in the immediate future, example: i. determine applicability of disability plan where deficient performance has a medical basis ii. on request, grant definite or indefinite leave to allow employee time to resolve causal factors iii. termination from employment on non-culpable grounds

15 d) Responses common to all categories As stated, non-culpable problems may take a variety of forms and may lead to varied responses. However, in determining a response, the following should be borne in mind in all cases: i. you must seek advice of your departmental personnel advisor and maintain regular communications with that person until the performance problem is resolved ii. in fashioning any response, you should take into account the employee's length of service and work record, the nature of the situation at hand and the impact of deficient performance on operations iii. primary emphasis should be on using those initiatives that will maintain employment in present position iv. where improving performance in present position is not possible, you must be prepared to justify why this is not the case, i.e. what in-position alternatives were considered and why they are not appropriate v. where improved performance is sought by movement to another position, i.e. transfer or demotion, you must be prepared to justify how such action is expected to result in improved performance vi. where termination of employment is recommended, you must be prepared to justify that all reasonable alternatives that would retain employment have been considered and that effective performance in the future is unlikely 3. Kinds of non-culpable behaviour the employer s guideline Various forms of non-culpable behaviour and guidelines as to how they should be dealt with are as follows: a) Loss of qualifications Definition: the loss of a professional certification, license, bondability, insurance coverage that are a requirement of the employee's position. Example: an employee who is required to drive loses driver's license. Where such loss does not occur at work a disciplinary response is generally not appropriate, e.g. employee loses license while driving own car on own time.

16 When such loss occurs at work, disciplinary action may be taken; e.g. employee loses license while speeding in departmental vehicle. However, separate from the disciplinary response, this policy will be used to deal with the loss of a qualification the employee requires for work. Where a qualification is lost the supervisor/manager should determine why the loss occurred, the circumstances under which and when the loss will be rescinded and the employee's intentions in regard to regaining the qualification. The most appropriate response to this situation may be to place the employee in other work at the work site in the same classification for which the qualification is not required if such work is available. Termination of employment due to the loss of a qualification requires the following be satisfied: the employee was made aware that the qualification was required for work; the qualification is required for work and is a reasonable requirement; the requirement has been consistently enforced; an effort has been made to find the employee alternate employment where the qualification is not required. Failure to satisfy one or more of these requirements may prejudice the termination at grievance/arbitration. b) Criminal Charge, Conviction, Incarceration Definition: inability to participate at work due to the aforementioned. Example: employee imprisoned for non-work related misconduct. The laying of charges, conviction and presence or absence of incarceration that flow from on the job criminal activities are dealt with via Corrective Discipline. Corrective Discipline is also appropriate where: continued employment would prejudice the employer's reputation or program, e.g. child case worker charged with non-client drug trafficking the interests of the employer or employees would be prejudiced by attendance at work, e.g. employee charged with a serious sexual offense A charge and conviction of off the job criminal activity not related to work may result in the application of Performance Improvement policy to the employee e.g. the employee is incarcerated and cannot report. Where an employee must stand trial, is held pending charges or is convicted and incarcerated, he may request leave, e.g. accumulated vacation, definite, indefinite.

17 Such requests will be fairly considered by the employer taking into account: the impact of the employee's absence on operations the ability to find and train a temporary or permanent replacement the length of incarceration the employee's work record Human Resource Manual Where an employee is incarcerated and does not request a leave of absence or where such leave is denied, the employee will be considered to have abandoned his job and will be separated. The employee will be informed of his right to request leave before such action is taken. For administrative steps when a position is declared abandoned, see Appendix D-1 and D-2. An employee may be convicted but the judicial ruling may be to place him on a temporary absence program, i.e. while the sentence is served the employee is permitted to attend work on a partial week basis. In order to serve his sentence, the employee may seek leave, i.e. accumulated vacation or definite. The employer will fairly consider such requests. Where the employee is: convicted but not incarcerated on return from incarceration charges are laid but trial is pending and where there is clear evidence that the employee's presence at work will have an adverse impact on clients, fellow employees, operations due to the nature of the crime, the employer may transfer/demote the employee to work where such impacts are minimized. The most appropriate response to the incarceration situation may be to place the employee on leave. c) Innocent Absenteeism/Lateness Definition: Consistent inability to either attend at work or, report for work in a timely manner. Example: Employee has a high absence record due to illness. Where absenteeism/lateness is innocent i.e. caused by legitimate factors beyond the employee's control, e.g. illness, personal problems, etc. disciplinary action is not appropriate.

18 Innocent absenteeism and lateness must show a consistent pattern, not simply isolated occurrences. Absenteeism includes long periods as well as numerous short periods. The latter are considered more injurious to the employer given their frequency, difficulty in planning/making alternate arrangements, etc. The most common reasons for innocent absenteeism/lateness are medical or personal problems. Where a medical problem is the source, a medical evaluation and prognosis may be required. Where a medical problem is determined to be the root cause, please refer to Non-competence - Medical Condition. In taking action to deal with innocent absenteeism/lateness, the employer should: be able to indicate, via comparative evidence, that the attendance/lateness record of the employee is significantly greater than that of other employees in the work unit be able to demonstrate the negative impact of the continuing absenteeism/lateness on operations offer reasonable assistance to the employee in his efforts to overcome the problem give clear written warning to the employee of the job consequences of continued absenteeism/lateness In addition to the above, termination for innocent absenteeism/lateness requires that two (2) criteria be met: a serious and consistent pattern of absence/lateness can be demonstrated there is little likelihood the situation will improve in the future The future prognosis is dependent on an understanding of the factors causing absenteeism/lateness and the likelihood of correcting these causes. Commonly this requires the employer obtain a medical prognosis. Should termination be challenged management has the onus of establishing both criteria have been met. Termination for absenteeism/lateness is prompted by the occurrence of a culminating incident after a final warning. An appropriate response to innocent absenteeism/lateness is job redesign whereby job requirements are temporarily reduced while the employee strives to resolve underlying problem and achieve satisfactory performance.

19 c) Non-competence Definition: where the employee endeavours to perform but does not achieve required performance for reasons that are beyond the employees control. Example: A clerk typist who endeavours but cannot master the skills involved in computer based word processing. Non-competence normally has its origins in two distinct situations: lack of inherent abilities or skills existence of a medical condition Each will be addressed in turn. 1) Deficient Skills/Abilities In dealing with performance problems that have their origin in deficient skills and abilities, it is critical that supervisor/management initiatives have as their goal the restoration of the employee to effective performance. Thoroughness to this end will assist in achieving the desired result or provide the justification for other actions that may be required. For non-competence, a consistent pattern of deficient performance must exist, rather than an isolated instance. In dealing with non-competence due to deficient skills/abilities, supervisors/managers must: establish the level of performance required, based on the employees job description. The level of performance required is not "exceptional performance" but "meets requirements" where appropriate, prepare a comparison between the performance of other employees engaged in the same kind of work in the work unit and the employee in question inform the employee of the performance required and the standards to be used to measure that performance. Such standards should be concrete, e.g. number of claims processed by when etc. indicate the actual performance of the employee relative to the standard and the effect of this deficiency on program delivery in the work unit provide ongoing supportive instructions, coaching, training etc., appropriate to resolving the performance problem. The objective is to assist the employee achieve the standard required inform the employee in writing of the job consequences of failure to improve monitor and record the employee's progress

20 To justify termination for reasons of non-competence the foregoing must be met. In addition, two additional criteria must be satisfied: the employee is clearly unable to perform the duties of this position consideration has been given to placing the employee in alternate employment for which he would be competent, with no success Where such termination is challenged, management has the onus to demonstrate that all criteria have been met. The most appropriate response to the non-competence problem may be to assist the employee via training, coaching, etc. at the work site to achieve required standards. 2) Medical Condition An employee who cannot perform due to the existence of a medical condition cannot be disciplined for work deficiencies that result from that condition. Non-competence due to a medical condition may or may not be accompanied by a pattern of absenteeism/lateness. The employer may at any time, remove from work any employee whose medical condition: clearly renders them unfit for duty where presence at work would clearly constitute a real and immediate danger to the employer, other employees or the employee A typical case is the employee who reports for work ill and is unable to work. In such situations, sick leave may be granted on request. Where there is no request or no accumulated sick or vacation leave credits, the employee is absent without pay due to inability to perform. Where the employer has reasonable grounds for believing an employee is physically or mentally ill, a medical assessment and prognosis can be required. The employer may remove the employee from work, only where the employee is unfit to perform or would constitute a danger at work. If requested, sick leave may be granted during this period of absence. If employee is found fit, sick leave credits will be restored. Requests for medical assessment/prognosis will be arranged via the department personnel adviser. Consideration should be given as to whether the employee should be advised of the existence of the Employee Assistance Program. The medical assessor should be provided with an accurate copy of the employee's job description and asked to determine:

21 the employee's fitness for the job as described the prognosis for achieving fitness for the duties as described in the reasonable future The employer can consider the alternate employment possibilities that exist and that are within the capacity of the employee. The employer is not required to create a job for the employee. To justify a termination from employment for medical reasons, two criteria should be satisfied: the employee is clearly unable to perform the duties of his position it is unlikely the employee will be able to perform the duties of his position in the near future given the medical prognosis If termination is challenged, management must satisfy that the two criteria have been met. The most appropriate response to this non-competence/medical condition problem is to allow the employee to use accumulated sick leave. Alternately, consider work redesign whereby job requirements are temporarily reduced while employee endeavours to achieve fitness to perform to required standards.

22 Performance Improvement Guidelines Date issued: Part C How to implement the Performance Improvement Program The following steps should be taken when dealing with problems dealt with under the Performance Improvement Program. While oriented to the non-competence problem, they are appropriate to other performance problems - innocent absenteeism, personal/health problems, etc. These steps should be followed in conjunction with guidelines found in Part B. Objective: the objective of the Performance Improvement Program is to assist employees to achieve satisfactory performance. 1) Define the Performance Problem: any action taken by supervision/ management must be based on evidence that can be clearly demonstrated, communicated and that clearly indicate the need for performance improvement. This would include: accurate job description: the job description should reflect what the employee is actually expected to do at work and specific and measurable standards of what the employee is expected to achieve. indicators of performance: examples of work done by the employee that fail to meet standards of performance. impact of sub-standard performance: ability to tangibly indicate the effect of the substandard performance on the work unit. This phase focuses on individual performance relative to standards. The objective is threefold: to establish the required performance baseline; to set out the actual performance of the employee and finally, demonstrate the impact of the deficient performance on the work unit. Emphasis is on the concrete and measurable. Preparation must be thorough if the following steps are to be effective. This is the most impact component of successfully dealing with non-culpable performance problems. Record Retained: job description, examples of deficient work, written indication of impact of deficient work on operations. 2) Seek Advice: when considering implementing the Performance Improvement Program you must consult your departmental personnel advisor. Such discussions will include: your perception of the performance problem, i.e. performance required, actual performance and the performance gap the impact of deficient performance on the work unit

23 your proposed course of action You will receive advice on how to approach this situation, the employer's practice in such situations and available options. Such contacts should continue throughout the remaining steps until the performance problem is resolved. Record Retained: make note of advice received, from whom, when, etc. 3) Conduct a problem solving interview with the employee Note: guidelines for conducting a problem solving interview can be found in Appendix E. Arrange the meeting: inform the employee you would like to meet with him concerning a performance problem. Briefly outline the nature of the problem inform him that his union steward may attend if that is his wish state that the purpose of the meeting is to get his views as to the existence and cause of the performance problem with a view to reaching jointly agreed to solution if possible schedule the meeting shortly thereafter At the meeting: reiterate that the purpose of the meeting is to discuss a performance problem you perceive exists. Emphasize that the objective is to reach a joint resolution to the matter indicate you will take notes and that your sole purpose is to accurately obtain the employee's views. Indicate the notes will be read back and revised to the employee's satisfaction to ensure they reflect his views briefly describe the performance expected at work with reference to the employee's job description and measures of performance. Indicate the employee's actual performance and the effect of this performance deficiency on work unit performance. Illustrate with concrete examples ask for the employee's explanation of the problem. If there is denial, seek an explanation for the facts you have presented If there is agreement that a problem exists, seek the employee's agreement as to cause. Your objective here is to fully understand the employee's perception of the problem and its cause seek the employee's views as to that action necessary to resolve the problem - what action could he take, how might you assist. Indicate that such proposals are welcomed and will be considered

24 close the meeting by reading back the information and proposals advanced by the employee. Amend your notes as required. Indicate your wish to consider the matter further and that you will meet with him shortly as to the course of action to be taken Note: Your objective in this meeting is to obtain information via questioning. By the end you will have: set out the problem as you perceive it obtained the employee's perception of the problem received suggestions as to how the employee intends to resolve the problem as well as the assistance the department might provide After the meeting: Prepare a memo to the employee containing the following information (see Appendix B) the date, location, attendees and purpose of the meeting a brief description of the performance problem you advanced - expected performance, actual performance citing examples and the impact of the deficient performance summary of discussion concerning the performance problem; includes employee's perceptions and views as to cause describe the action the employee proposed to take to resolve the problem as well as assistance sought from management to that end indicate you will meet with the employee shortly to propose a course of action to resolve the problem Note: this summarizes the results of your meeting. If as a result of your meeting you believe the Employee Assistance or Corrective Discipline Programs are necessary to resolve the matter, follow the steps set out in those programs. Record Retained: a copy of this memo is retained by the issuing supervisor/manager, a copy is placed on the employee's personnel file in the department. If successive problem solving interviews occur, a summary memo of each is to be issued as above.

25 4) Develop an action plan Based on the information obtained in the interview and advice received from your departmental personnel advisor. determine the course of action the employee must adopt to resolve the problem. The suggestions of the employee to this end should be accommodated whenever possible establish the assistance the employer is to provide to assist the employee indicate the changes that are necessary in employee performance and how these changes will be measured in concrete terms indicate the time frame within which these changes must occur 5) Meet with the employee meet with the employee; inform him that his union steward may attend if that is his wish review the results of your last meeting as well as your investigation/consideration of the situation set out the course of action required by management, as per paragraph 4. Clarify as required. Indicate that performance must improve or adverse job consequences could result set a date for reviews of the employee's progress in relation to the action plan Record Retained: after meeting is concluded, summarize the results in a memo to the employee. (see Appendix C) Copy of memo is retained by issuing supervisor/manager. A copy is placed on the employee's departmental personnel file. 6) Implement the action plan where you have made commitments to the employee in terms of assistance, e.g. training, leave, work adjustments, etc. you must follow up on these commitments. Your action in this regard should be recorded monitor and maintain a record of the employee's progress against the plan of action. Provide continuing coaching and feedback as to performance, both positive and negative; maintaining a written record of same at the time previously agreed upon, conduct a formal review of the employee's progress

26 if the plan of action has resolved the problem, acknowledge this to the employee orally and in memo form; copy retained by issuing supervisor/manager and a copy is placed on the employee's departmental personnel file if the performance problem continues to exist, consult with your personnel advisor (step 2), conduct a problem solving interview with the employee (Step 3) and develop an alternate action plan (Step 4), if appropriate. Record Retained: notation of assistance provided the employee - informal notes indicators of the employee's progress in achieving required standards; includes examples of work both positive and negative - informal notes and samples of work written memos indicating employee's progress or absence of same

27 Section: PS 804-A Performance Improvement Appendix A Date issued: April 3, 1985 To: Jack Morton From: Neil Ryan, Manager, Real Estate Branch Re: Formal Counselling - Report Submission This memo will summarize our meeting of April 2, 1985 As stated at that time, my purpose was to discuss with you the late submission of your weekly reports, as well as certain errors therein, that have begun to appear over the past several weeks. You may recall our brief discussions on this matter in early March. As expressed to you, when reports are late or in error, the result is late and inaccurate payments to our clients. You explained that the new computer based reporting procedure was complex and different from those with which you are familiar. I in turn pointed out the importance of staff meeting job requirements in submitting their weekly reports. As a result we agreed that you would be provided with additional instruction in order to overcome this problem. I will review this matter further with you in early May, In the interim, please feel free to discuss with me any problems you encounter so I can be of assistance. Yours truly Neil Ryan Manager cc: Personnel File - Jack Morton

28 Section: PS 804-B Performance Improvement Date issued: Appendix B May 16, 1985 To: Jack Morton From: Neil Ryan, Manager, Real Estate Branch Re: Weekly Report Submissions This memo results from our meeting of May 15, 1985 at which we discussed the late submission of your reports as well as errors therein. The objective of this meeting was to determine the cause of this problem and to achieve a solution. As pointed out at our meeting, your weekly reports have been submitted late in eight (8), the past ten (10) weeks. Clear evidence of this fact was submitted to you, re: the date received stamp on each report. In addition, the error rate in your reports is 7%, while that of other employees is 2%; this comparison was demonstrated to you. A result of these deficiencies are incorrect payments to our clients; written complaints have been received. As a result, I emphasized that it is of great importance that your reports be both timely and accurate. You explained that you continue to have difficulty with the new computer based reporting requirements and with the reluctance of certain suppliers to submit their statements in a timely manner. You also stated that while additional instruction and assistance with the new reporting procedures had been helpful, and should continue, some intervention with problem suppliers would be appreciated. As stated, it is my intention to review this matter further and to meet with you before May 21, 1985 to set out the course of action to be adopted to resolve this problem. Yours truly Neil Ryan Manager cc: Personnel File - J. Morton

29 Performance Improvement Appendix C Human Resource Manual Section: PS 804-C May 21, 1985 To: Jack Morton From: Neil Ryan Re: Action Plan. Weekly Report Submission This memo will summarize the results of our meeting of May 20, 1985 concerning your weekly reports. At our meeting of May 15, 1985 I promised to review this matter further based on our discussions at that time. As a result I find you are endeavouring to meet job requirements. I have also spoken to the three (3) suppliers you indicated do not submit statements in a timely manner and they have stated they will improve in this area. To resolve this problem, the following action is required: you must continue to fully familiarize yourself with our reporting requirements your reports must have an error rate of 2% or less your reports must be submitted to your supervisor by 4:00 P.M. Friday of each week you must report to me, by noon Thursday of each week, any supplier who is late in submitting a statement To assist you in achieving these job requirements and in accordance with your suggestions: I will continue to provide you with daily assistance as to reporting requirements I will intercede on your behalf to prompt suppliers who are late in submitting statements The timely and accurate submission of weekly reports, as described here, must be achieved by June 15, I will review your progress on or about that date. I would add that failure to meet these job requirements will prompt further action by management. Yours truly Date issued: Neil Ryan Manager cc: Personnel File - J. Morton

30 Section: PS 804-D-1 Performance Improvement Appendix D1 Date issued: June 15, 1985 Mr. Jack Morton 1004 Greenbough Drive Regina, Saskatchewan Dear Mr. Morton: Our records reveal you have been absent from work without leave since June 6, During this interval, attempts have been made to contact you to determine if you intend to return to work. (Specify actions taken). In accordance with the Public Service Act Regulations, this letter will serve to inform you that if you fail to report for work within seven (7) calendar days of receipt of this letter, you will be considered to have abandoned your position and your employment with the public service will be terminated. Your intentions in regard to your future employment with the public service should be conveyed to: (Give name, title, address and phone number of contact person). Yours Truly, Director, Human Resources Branch - Department for Deputy Minister cc: Deputy Minister Personnel File - Jack Morton (Note: This letter must be registered and have acknowledgement of receipt. This will ensure letter is delivered and will provide signed proof of receipt and date of delivery).