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COMPLAINTS OF DISCRIMINATION/EQUAL OPPORTUNITY OFFICER RESPONSIBILITIES | SECTION 7

Purpose of this Section:

The AACS designates Equal Opportunity Officer(s) handle internal discrimination complaints, based in federal or state human rights legislation and civil rights protection. When warranted, employees may file discrimination complaints. Before initiating formal complaints, employees are encouraged to communicate with an Equal Opportunity Officer, who may provide appropriate guidance and assistance or mediation of the complaint.

Procedure:

(1) The Equal Opportunity Officer shall:

• Attempt to resolve the problem and assist with an equitable solution
  
• Not identify the complainant without his/her written authorization
  
• Attempt to resolve the complaint informally and within the agency
  
• Communicate complaints to the appropriate supervisor, department head, the Executive Director, and the respondent; and direct action toward resolving the discrimination problem
  
• Access all needed information regarding the complaint
  
• Not withdraw the complaint without written approval from the complainant
  
• Be free of undue agency or departmental constraint or interference while performing his/her equal opportunity responsibilities.
  

• Not have a conflict of interest
  
• Consider complainant and respondent information
  
• Render a judgement within a reasonable time limit
  
• If the judgement- within the scope and means of agency policy-is agreeable to all parties, incorporate their solution into a conciliation agreement which may be used for future reference of similar matters
  
• Provide a copy of the settlement agreement to the complainant, respondent, Equal Opportunity Officer, the Board's Human Rights Committee Chair, and the Executive Director.
  

Equal Opportunity Officer Responsibilities | SECTION: 7.1

The formal complaint shall include:

• Name and address of the complainant
  
• Name and address of the respondent
  
• Pertinent facts confirming the complaint of discrimination
  
• A copy of the Conciliation Panel's recommendations, if any.
  

EMPLOYEE DEVELOPMENT | SECTION 8

EMPLOYEE SUPERVISION POLICY | SECTION: 8.1

Purpose of this Section:

All staff shall receive regular supervision from their respective supervisor. Periodic weekly contacts and, at a minimum, monthly meetings should occur between the employee and his/her supervisor to review:

• Concerns about program participants
  
• Questions about policies
  
• Questions about specific incidents requiring action
  
• Feelings of discomfort about anything
  
• Actions which have produced outcomes contrary to expectations
  
• Questions about job duties
  
• Clarification of staffer's professional role in relation to participants
  
• Actions that have produced commendable outcomes
  
• Impressions of program functioning
  
• Concerns about job performance
  
• Concerns about anything.
  

Notes of critical incidents are kept by the supervisor and should be signed by the employee. Supervision notes are used in filling out the annual performance appraisal for each employee.

Procedure:

(1) The supervisor is responsible for:

• Setting the tone of the supervision
  
• Extending himself/herself more than 50%- in away that meets the employee more than half way in terms of listening and being understanding
  
• Making the expectations of the job clear to the employee
  
• Informing the employee of the things he/she is doing particularly well and reinforcing good performance
  
• Pointing out to the employee areas of concern in his/her performance and helping the employee to seek solutions that would make it easier for the employee to do the job as expected
  
• Explaining to the employee the functioning of the agency, the chain of command and the methods by which the employee has input into agency policy and decisions
  
• Using the chain of command appropriately, bringing employee input to the next level of supervision, making decisions based on employee input and communicating the decisions back to the employee
  
• Listening carefully to the employee and being alert for actions which at first may appear insignificant, but really have a tremendous impact in terms of the Mission and goals, client safety or rights, agency functioning and community perceptions.
  

• Bringing to supervision meetings all concerns related to those areas listed above
  
• Making an honest effort to inform the supervisor of anything that feels confusing, uncertain or uncomfortable to the employee
  
• Accept the fact that the job for which the employee is hired is the employee's own responsibility and not attempt to make it the supervisor's.
  

• Treating each other respectfully
  
• Communicating honestly with each other
  
• Not withholding information
  
• Accepting responsibility for their own actions, feelings and behaviors
  
• Being alert for occasions when both have differing perceptions of what is going on.
  

Within this limitation, supervisors are empowered to command their employee's performance of duty for which the employee is hired and compensated by the agency. Supervisors further have the authority and obligation to objectively evaluate their subordinates' performance and suitability in the job for which they are employed.

(5) Being an AACS supervisor is a position of great authority and responsibility. While supervisors can - and should where warranted - recommend employee disciplinary action including termination, they should never attempt or threaten to discharge an employee other than though the procedures outlined in this manual. Supervisors shall avoid implied promises to employees concerning job security or tenure, positive performance appraisal outcomes, or salary. The Executive Director has sole authority for executing binding personnel actions.

See also: Section 1.8, "Supervisors' Roles and Responsibilities

EMPLOYEE PERFORMANCE APPRAISAL | SECTION: 8.2

Purpose of this Section:

AACS employees shall receive formal Performance Appraisals at least annually. These appraisals provide AACS supervisors time to review each employee's strengths, limitations, goals, and needs and assess job performance levels. If skills, training, or other employee development is necessary, such needs are specified in the annual appraisal. [REVISED December, 1993]

Procedure:

(1) New AACS employees are designated as Introductory Employees for ninety (90) calendar days. Introductory Employees are formally appraised near the end of their first 90 calendar days. Some new employees may receive an extension of up to ninety (90) calendar days as a "probationary appointment" period if their 90-day performance appraisal is unsatisfactory but the Executive Director believes the employee has good potential and promise. These employees are appraised at intervals of thirty (30) days after their introductory (IND) period. After a period of three (3) introductory/probation periods, new employees with continuous unsatisfactory Performance Appraisals shall be terminated. To gain the status of "regular employee," a new employee must successfully advance through the introductory period. [REVISED December, 1993]

(2) AACS employees changing positions through a transfer shall serve a 90-day introductory period in the new position, and be evaluated at the conclusion of the ninety (90) calendar day introductory period. Unsatisfactory performance in a new position following a transfer may result in a subsequent demotion, assignment for up to ninety days extension in the new position as a "conditional appointment," or termination (discharge) if the former position in which the employee had demonstrated competency (or a reasonably comparable position in the same program) is unavailable. The Executive Director's discretion shall be the prevailing factor in each case. [REVISED December, 1993]

(3) Performance Appraisals enable employees to assess their performance and improve the quality of their work/contributions to the AACS service area and clients. Employee Performance Appraisal guidelines:

• The supervisor should prepare the appraisal thirty (30) days prior to program year end (PYE); or fifteen (15) days prior to the end of an introductory period or probationary milestone.
  
• Nothing shall preclude performance appraisals being conducted more often than the policy dictates; these requirements set forth only minimum standards.
  
• The supervisor and employee shall review, discuss, and sign the appraisal form
  
• The employee shall read and sign the appraisal to acknowledge that it was reviewed with him/her, not to indicate agreement per se:
  

  Appropriate employee response choices are:

  (a) "I have reviewed the Performance Appraisal and agree"
  (b) "I have reviewed the Performance Appraisal and disagree" (He/she may attach comments in support of his/her position
  (c) "I have read the Performance Appraisal."
  
  

• The Executive Director shall review all employee performance appraisals
  
• AACS shall provide employees with a copy of the appraisal within two weeks of the performance appraisal review meeting
  
• The signed appraisal is placed in the employee's personnel file.
  

• The supervisor shall evaluate the employee's performance during his/her introductory ninety (90) calendar days and the subsequent thirty (30) days if the introductory period is extended via "probationary" action.
  
• The Executive Director shall review each new employee's performance appraisal performance and potential shall determine whether a new employee is retained or terminated.
  
• The choice of alternative personnel actions shall relate directly to the employee's performance appraisals, supervisor's reports and recommendations, and the Executive Director's judgement and discretion.
  
• Supervisor shall recommend to the Executive Director whether a "new" employee should be retained, continued on "probationary" appointment (no more than three [3] "probationary" periods of any assigned duration may be granted), or dismissed [REVISED December, 1993]
  
• AACS shall notify the Introductory Employee in writing of decisions relating to his/her employment status
  
• Performance Appraisals are to be placed in the employee's personnel file.
  

(6) Employee performance appraisals shall include:

• Assessing and addressing an employee's overall job performance
  
• Confirming that employee's position description fits the job he/she is actually charged to perform
  
• Comparing the employee's position performance and knowledge with the agency's expectations
  
• Appraising the employee's work quality and quantity
  
• Addressing the employee's personal work habits including subjective and objective areas such as initiative, punctuality, reliability, attendance, dependability, cooperation, friendliness, and attitude.
  

  (a) The Employee performance appraisal instrument shall rate each performance element as: Acceptable: employee meets the acceptable job requirements; Unacceptable: employee does not meet minimum job performance requirements: or, Excellent: employee well exceeds job requirements and acceptable norms and expectations. These ratings shall be scored as follows: Excellent: "2;" Acceptable: "1;" Unacceptable: "0."

  (b) The respective appraisal elements shall also be ranked on a scale from "1" to "4," with "1" being an element of "lower" rank, "2" being an element of "material" (important) rank, "3" being an element of "serious" rank (weighty importance), to "4" being an element of "critical" rank. The employee score on each appraisal element shall be the job performance rating points earned times the element ranking points. [REVISED December, 1993]

  (c) Employee performance appraisals receive numerical scores and indications of acceptable/unacceptable performance. Scores and satisfactory ratings determine promotion potential, relative performance level among like positions, and whether the employee needs any special supervision or monitoring. Low scores and unacceptable ratings on three or more items may confirm the need to demote or discharge an employee.

  (d) Performance Appraisals require supervisors to address these questions asking, "How well does the employee work with others?" and "Does the employee have the ability to perform more important tasks?"
  

(8) Employees receiving three or more "unacceptable" ratings on elements in their respective performance appraisals are given a specified time to correct problems or suffer disciplinary action or termination (discharge). (This corrective action requirement procedure does not apply to new employees who have, thus, failed to demonstrate job proficiency and are candidates for immediate dismissal.)

(9) Employees receiving at least three "Unacceptable" points on their performance appraisals are candidates for intensive counseling, close supervision, and adverse personnel action. Employees receiving five "Unacceptable" points on their performance appraisals are subject to summary suspension or termination (discharge).

(10) At the Executive Director's discretion, employees receiving unsatisfactory ratings in any one or more "material" job element(s) - or higher rated job element - may be appropriately disciplined. Such action(s) may range from assignment to "conditional appointment" in the employee's current position for a period not to exceed ninety (90) days (renewable at the Executive Director's option) up to and including demotion (if an appropriate position is available and the Executive Director so elects) or termination (discharge). [ADDED December, 1993]

(11) Superior Performance Appraisals may warrant an employee's pay increase and/or promotion. An employee's cumulative Performance Appraisal score may bear on the Executive Director's decisions and actions regarding pay increment or promotion. As always, such potential action is subject to agency limitations, for example, the availability of budget flexibility and requisite funds and appropriate/available positions. Any and all decisions relative to the potentialities herein stated are at the sole discretion of the Executive Director- and restricted by the limitations previously enumerated.

(12) The agency's Guide to Performance Appraisal and a generic appraisal form are included in the Appendix to this manual. All employee Performance Appraisal instruments are tailored to the requirements, circumstances and performance criteria; all should closely mirror employee position descriptions.

EMPLOYEE CAREER DEVELOPMENT (GENERAL) | SECTION: 8.3

Purpose of this Section:

The AACS provides for and conducts training and workshops intended to enhance employees' career development. The agency may encourage or mandate program and workshop attendance (inside and outside agency's area), relating to employee improvement, upgrading, and/or career development and advancement.

Procedure:

(1) Career Development guidelines and procedures include:

• Notifying employees by personal contact, memorandum or other means of programs and workshops deemed appropriate for their personal development
  
• Communicating to employees when program attendance is mandatory
  
• Reimbursing employees for travel participation expenses (within agency guidelines) when various training and staff development offerings are required
  
• Allowing employees to attend educational, vocational, and other programs directed toward enhancing their career improvement. The employee normally pays the tuition. The Executive Director may adjust the employee's work schedule if classes occur during work hours. Employees shall not exceed six (6) hours enrollment per semester.
  

PROFESSIONAL AND/OR ORGANIZATIONAL DEVELOPMENT | SECTION: 8.4

Purpose of this Section:

AACS offers training and development programs assisting employees to achieve required position performance and goals. These programs compliment the agency's mission and stimulate employee and service improvement. Most, but not all, are provided through the professional development and trade groups/associations in which the agency holds membership.

Procedure:

(1) The AACS promotes employee and agency improvement by:

• Encouraging professional growth through participation in professional/trade associations
  
• Communicating and interpreting employee responsibilities and the agency's mission
  
• Stressing excellence and quality job performance
  
• Identifying and developing employee skills and strengths.
  

  (a) The AACS defines training as providing participants with the knowledge and skills necessary to perform current and future agency assignments and needs.

  (b) The AACS defines development as relating to employees personal growth and long term career advancement through training opportunities and various position assignments and responsibilities.
  

TRAVEL REGULATIONS | SECTION 9

Travel Regulations/General Policies | SECTION: 9.1

Purpose and Procedure:

The agency's travel policies apply to all AACS employees-and other personnel traveling on official AACS business - whose travel is authorized and funded under the agency's programs. Persons employed intermittently as consultants or experts who receive compensation on a lodging and/or per diem basis when actually employed and persons serving without compensation are included in this procedure. [Revised April, 1994]

(1) Travel Authority. All travel must be authorized or approved by the Executive Director or by his/her designee.

• An authorization shall be issued before a traveler incurs travel expenses, and the travel to be performed must be specified, unless circumstances prevent such action
  
• Travel outside the seven county Green River area (or the Green River and Pennyrile area for Head Start-related travel) may not be taken unless properly authorized in advance
  
• Odometer readings before and after travel, and destination and purpose of travel must be recorded on the travel reimbursement request form
  
• Meal allowances for intra-area travel are non-reimbursable
  
• Travel will be reimbursed based on the approved per diem rate schedule for "meals and incidental expense" (M&IE) in addition to actual lodging costs. (Exceptions may be made at the Executive Director's discretion for high-rate requirements that exceed the customary levels provided in the per diem schedule.) [Revised April, 1994]
  
• Travel must follow regularly-traveled routes, unless the official necessity is established and is determined to be advantageous to AACS
  
• Persons travelling on interrupted travel or by an indirect route must bear the extra expense.
  

• A Request for Out-of-Area Travel form must be completed by the person who will travel and be approved by his/her supervisor and the Executive Director
  
• Travel expenses claimed shall reflect lodging costs per diem (M&IE: meals, tips, etc.) and other allowable charges [Revised April, 1994]
  
• An Out-of-Area Travel Expense Statement shall be prepared promptly upon the return of the traveler
  
• Lodging mileage and other-than-per diem travel expenses are reimbursed at actual costs; per diem ( M&IE) shall be reimbursed according to the agency's approved per diem standards (schedule). [Revised April, 1994]
  
• Support documentation for claiming per diem shall be available, e.g., hotel bills; in addition, parking garage receipts, ticket stubs from common carriers and toll receipts must be attached to claims vouchers (Even if most expenses are covered by some other agency or source, the traveler must submit a copy of a room receipt or similar document to prove their attendance before any remaining expense can be charged to the AACS.)
  
• Supervisory approval of all travel reimbursement claims
  
• Reimbursement, if due, will be made by agency check
  
• Travel claims for reimbursement should be submitted to the Finance Department within seven (7) days following the traveler's return
  
• Any travel overpayment must be cleared, that is, repaid to the agency within seven days of the traveler's return; all overpayment returns shall be payable to the agency- preferably by personal check, and the amount due supported by the employee's completed Out-of-Area Travel Expense Statement.
  

(4) Travel Forms. Standard forms, approved by the Executive Director, will be used for all travel expense claims. Any recovery of the cost of travel by other methods is not allowed. Travel forms must show in detail the times of arrival and departure, and certain expenses (specified above) must be accompanied by receipts.

(5) Administrative Rules. Additional procedural rules on how to complete travel forms, the prescribed per diem and mileage rates- as adopted and updated by the Board, and other directives within the scope of the foregoing policy are issued by the Executive Director. Those directives are issued in the form of "Operational Memorandums" and are filed in the Operations Manuals, which are placed in each AACS location.

TRAVEL TERMINOLOGY | SECTION: 9.2

Purpose of this Section:

Certain common terms have specific meaning relative to agency travel. Following are some of those terms commonly used when referring to agency travel:

(1) Reimbursable Expenses. Travel costs which are limited to those expenses essential to transacting one's official agency business.

Examples of expenses which are not reimbursable are personal telephone calls, movies charged to one's hotel room, beverage bills and virtually everything other than those items listed below under "subsistence."

Also not reimbursable is mileage incurred by Head Start employees traveling to and from college classes. (See Section 13.6)

(2) Official Work Station. The location of an employee's designated station of duty assignment.

(3) Employee Traveling Expenses. Employees traveling on official business are expected to provide themselves with sufficient personal funds to cover their trip expenses.

(4) Leave of Absence While Traveling. An employee's exact hours of departure from official duty and return to duty status while engaged in official travel must be shown on a travel voucher.

(5) Use of Government-Owned or Leased Transportation Equipment. All government-owned or leased transportation equipment (vehicles) shall be limited to essential official purposes and are not available for private use. . (See the AACS Personnel Manual's Section 6.17 (3) and Operational Memorandum # 16, Section D, "Vehicles.")

(6) Subsistence. Basic living costs while on official travel. "Subsistence" costs are generally limited to room, meals, and reasonable tips.

(7) Per Diem Schedule. The agency adheres to the federal Government Travel Regulations per diem schedule (M&IE: meals and incidential expense). However, some state-funded programs restrict their funded personnel, by contract, to the state (Kentucky) per diem schedule. [Revised April, 1994]

(8) Travel Time. [Added April, 1994] "See the Work Schedule" policy provisions in Section 2.10, subsection 7. [Also: Section 3.3 (13) in the "Overtime" section.]

ALLOWABLE TRANSPORTATION EXPENSES | SECTION: 9.3

Purpose of this Section:

AACS reimbursement allowances are based on the federal Governmental Travel Regulations and directives approved by the Board of Directors.

Reimbursement for official travel and/or travel expenses is based on expenses incurred in travel on behalf of the agency. That includes the following expenses:

(1) Private Conveyances (Automobiles, Motorcycles, etc.). Odometer readings shall be recorded at one's departure and return to their official work station. These are recorded on the AACS Travel Log; the reason for travel must be indicated and the voucher shall be signed by his/her supervisor in order for a traveler to receive reimbursement.

(2) Common Carriers (Taxis, Limousines, and Similar Conveyances). Reimbursement for taxi or limousine fares from a common carrier terminals to or from the place of lodging or business will be allowed only if advantageous to AACS and not in excess of the approved limits for federally-funded grantees. When two (2) or more employees are traveling by the same means, the name(s) of accompanying person(s) must be stated on the travel voucher(s) if one party paid taxi/limo fees for both/all travelers.

(3) Miscellaneous Reimbursements. Expenses for parking fees, ferry fares, and bridge/road/tunnel tolls will be allowed and receipts must be attached to the travel voucher. The fee for parking an automobile at a common carrier terminal or other parking area while the traveler is away from his/her official station will be allowed only to the extent that the fee, plus the allowable mileage reimbursement to and from the terminal or the parking fee does not exceed the estimated cost for the use of a taxicab to and from the terminal. The use of rental vehicles may be reimbursed, but prior clearance to rent a vehicle for agency business use must be obtained in advance from the Executive Director.

SUBSISTENCE AND OTHER ALLOWABLE EXPENSES | SECTION: 9.4

Purpose of this Section:

Subsistence expense normally includes all charges for meals, lodging, fees and tips to food servers and hotel staff. These are reimbursable as per diem expenses. Lodging does not include accommodations on airplanes, trains, or steamers.

Subsistence costs are factored into the federal per diem rates employed by the agency. Any claims in excess of the prescribed per diem rates for each given city must be approved by the Executive Director. [Revised April, 1994]

Non-subsistence expenses may also be reimbursed to the traveler to the extent that costs were actually incurred and for which documentation is provided by the traveler.

These include transportation expenses by personal vehicle or common carrier. Business related telephone/fax/telegraph, copier, and other allowable business-related expenses only may also be reimbursed upon proper documentation.

TRAVEL ADVANCES | SECTION: 9.5

Purpose of this Section:

Agency business travelers may receive advancements of agency funds to help offset the costs of required travel. Travel advances are subject to regulatory limits and must be cleared within seven (7) days of a traveler's return to his/her official duty station.

Procedures:

(1) Certain requirements and limitations apply:

• Advancements will be approved only on the basis of the traveler's financial need for an advance of funds
  
• A traveler may receive only eighty percent (80%) of his/her projected trip expenses for per diem and transportation costs
  
• "Advancements" include the traveler's use of the agency credit card(s) for which copies of all charges made must be submitted immediately upon the traveler's return
  
• Advancements must be reconciled to the traveler's actual allowable claim immediately upon his/her return from travel; any overpayment must be repaid to the agency within seven (7) days of the return.
  

(3) The traveler must submit within seven (7) days of his/her return from travel an Out-of-Area Travel Expense Statement detailing his/her reimbursable expenses; all required supporting documentation must be attached.

(4) The traveler's claim must be reconciled against the travel advancement (whether by check or credit card charge.) Underpayments (advance amount relative to actual reimbursable claims) will be paid in the agency's normal "payables" cycle; overpayments received by travelers must be repaid to the agency by the traveler in cash or, preferably, by personal check.

(5) Failure to submit timely close-outs on travel advancements and clearing travel advancement overpayment(s) will result in disciplinary and/or legal action. Funds advanced but, in effect, not due to the traveler remain federal/state funds, not the property of the traveler.

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