REDUCTION IN FORCE AND FURLOUGH POLICY (HR2403) REDLINED 08-21-2019.PDF

MARICOPA COUNTY INTERNAL POLICY
Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND
Current Adoption Date: 08-21-2019
FURLOUGHS
Current Implementation Date: 08-21-2019
Approved by: Board Agenda Number: C-31-18-008-6-01
BOARD OF SUPERVISORS
Original Adoption Date: 07-1998
I. PURPOSE
Tohis policy establishes requirements for conducting a Reduction in Force (RIF) or a Furlough to
meet business needs while maintaining compliance with all applicable federal, state, and local laws,
including fair employment practices and equal employment opportunities. It explains the process
for accurate and orderly identification of positions that will be subject to a RIF or Furlough and the
requirements for notifying employees that will be affected.
II. AUTHORITY
This pPolicy, is authorized by the Board of Supervisors pursuant to A.R.S. § 11-251as it applies to
classified employees, is based on and consistent with provisions of Maricopa County Employee
Merit System Resolution and Rules and other applicable County policies.
III. APPLICATION
This pPolicy applies to all Maricopa County appointed departments, as well as the Maricopa County
Flood Control District of Maricopa County, and the Maricopa County Maricopa County Library
Special District (Special Districts)s. The Board of Supervisors is authorized to jointly adopt policies
applying to the Special Districts under the Intergovernmental Agreement, C-06-18-393-6-00,
approved on April 11, 2018.
This pPolicy alsoshall appliesy to County elected officieals unless the County elected official has
implemented a similar policy for conducting Reductions in Force and Furloughs specific to his or
/hertheir respective Ooffice.
The provisions of tThis pPolicy pertains to classified and unclassified employees (excluding contract
and temporary employees) affected by a RIF. An Appointing Authority may request approval from
the County Manager to conduct a RIF that includes contract and temporary employees consistent
with the procedures outlined in this Ppolicy.
IV. DEFINITIONS
A. Appointing Authority: An elected official, the single administrative or executive head of a
Department/Special District, or the designated representative authorized to act in this capacity.
B. Department HR: AnThe employee’s assigned internal human resources office or, when an
internal human resources office does not exsist, . If there is no departmental human resources
office, then Department HR refers to the department’s assigned HR Liaison.
C. Furlough: A mandatory unpaid leave of one or more days imposed on employees by a
department facing a budget deficit or shortfall. A Furlough may be imposed independently or in
conjunction with a ReductionI in Force and is not considered a suspension or involuntary

Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
demotion for purposes of merit appeals under the Employee Merit System Resolution and
Rules.
D. HR Director: The Director of the Maricopa County Human Resources Department or the
designated representative authorized to act in this capacity.
E. Initial RIF Notification: The Appointing Authority's first meeting with, which will include written
communication to, affected department employees informing them that positions will be
eliminated as part of a RIF. This meeting shall not occur until the HR Director and County
Manager have approved the Appointing Authority's RIF Justification Memorandum.
F. Job Search Assignment: Administrative leave period prior to separation or placement during
which RIF affected employees continue to receive pay and benefits while they pursue
opportunities for alternate employment both within and outside of Maricopa County.
G. Priority Placement: A process for employees affected by a RIF to volunteer for and receive
priority consideration and possible placement within the department for vacant positions
identified as available under the provisions of this pPolicy.
H. Rating Matrix: A tool that uses Retention Criteria during a RIF to calculate Retention Points for
employees working in Substantially Similar Positions.
I. Reduction in Force (RIF): The involuntary separation of employees from County employment
as the result of an organizational or departmental decision to eliminate positions due to a lack
of funds or lack of work.
J. Retention Criteria: The factors, weighted according to their relative importance to the position
held, which are used to calculate Retention Points on a Rating Matrix.
K. Retention Points: The numerical scores generated by a Rating Matrix that are used to
determine which employees will be affected by a RIF.
L. Severance Agreement: The payment of consideration in exchange for the employee's full
release of all claims against Maricopa County, offered pursuant to Policy HR2423 - Severance
Pay.
M.L. Substantially Similar Position: Positions selected for a RIF that are in the same market
range title, typically the same working title, and have similar duties, qualifications, and/or
essential job tasks.
V. POLICY
Appointing Authorities must ensure that the process for selecting positions for a RIF or Furlough is
fair.
A. Justification Memo: Furloughs may be used as an alternative to a RIF to accomplish a budget
reduction.
B.A. Appointing Authorities must ensure that the process for selecting positions for a RIF or
Furlough is fair and equitable to affected employees. A written Ddetailed justification memo for
a RIF or Furlough that supports the proposed action must be approved byprovided in a written
format to the HR Director and County Manager prior to implementation. The County Human
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
Resources Department will support the Appointing Authority and Department HR staff
throughout the process. Departments considering a Furlough in conjunction with a RIF may
combine the proposed actions into a single jJustification Mmemorandum. The HR Director and
County Manager must approve the Justification Memorandum prior to implementation.
C.B. Retention Criteria: The Appointing Authority may, based on the business needs of the
department, The Appointing Authoritiesy establishes theRIF Retention Criteria for a RIF and the
criteria for selecting positions that will be subject to Furlough based on the business needs of
the department. The proposed criteria are subject to review and approval by the HR Director to
ensure the factors are designed to meet the stated business objective, are not designed to
retain, release, or select specific employees, and are applied consistently and equitably to the
affected employees. No individual criteria category shall be assigned a weight of over 50%, nor
may any category be assigned a weight of less than 5%.
D.C. Job Search Assignment: At their discretion and cContingent upon available funding,
Appointing Authorities may provide all similarly situated employees affected by a RIF with a Job
Search Assignment as followsone of these two options or neither:
1. A Job Search Assignment for uUp to 160 hours (4 weeks) for full-time employees with less
than 5 years of County service. (prorated for less than full-time employees).
2. Affected employees with 5 or more years of County service may be placed on Job Search
Assignment for uUp to an additional 160 hours (4 weeks) for full-time employees with 5 or
more years of County servicebased upon their years of County service..
Calculation:For purposes of this calculation , affected employees may receive aAn
additional 40 hours (1 week) of Job Search Assignment for each full year of County service,
beyond 4 years..
3. Maximum: Under no circumstances will an affected employee be placed on Job Search
Assignment for more than 320 hours (8 weeks)
1. Prorated for less than full-time employees.. The decision to offer Job Search Assignment
shall be at the discretion of the Appointing Authority, consistently applied to all similarly
situated employees and contingent upon available funding; or
2.4. A Severance Agreement that provides for up to 160 hours (4 weeks) of regular pay for
full-time employees (prorated for less than full-time employees). Affected employees with 5
or more years of County service may also receive up to an additional 160 hours (4 weeks)
based upon their years of County service. For purposes of this calculation, affected
employees may receive 40 hours (1 week) of regular pay for each full year of County service,
beyond 4 years. Under no circumstances will an affected employee receive more than 320
hours (8 weeks) of regular pay through a Severance Agreement. The decision to offer a
Severance Agreement as well as the amount of severance offered shall be at the discretion
of the Appointing Authority, consistently applied to all similarly situated employees and
contingent upon available funding.
E.D. Under no circumstances will an Appointing Authorities shall noty have the ability to re-
create a Substantially Similar Position that was abolished as a result of a RIF within 12 months
of the effective date of the RIF without the written approval of the HR Director and County
Manager.
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
E. A RIF or Furlough may have a significant impact to the employees affected, as well as remaining
employees. Appointing Authorities shall ensure the RIF or Furlough process is conducted in a
professional manner in which all employees are treated with respect. Clear communication with
employees regarding the business necessity for the RIF or Furlough, and the department’s
strategy for the future, is encouraged to help minimize confusion, anxiety, insecurity, and
rumors.
F. County Human Resources shall work with the Arizona@Work Division of the Maricopa County
Human Services Department to provide job search information and resources to affected
employees.
VI. REDUCTION IN FORCEPROCEDURES
Appointing Authorities may request approval of RIFs Appointing Authorities may seek approval for
implementing a RIF when business conditions indicate a need to eliminate positions (e.g.,. Typical
reasons for a RIF include: a lack of funds or, lack of work, organizational change, or change of job
responsibilities).
A. RIF Justification Memo – Should Contain:
1. A detailed justification for the RIF.
2. The scope of the RIF (e.g., entire department, specific division or, market range/working
titles, positions funded by a specific grant, function, work unit, or market range/working
titleetc.).
3. A list of all positions selected for RIF to . For each position, include the position control
number, market range title, working title, position control number, budgeted salary rate,
assigned work unit, position status (e.g. classified, unclassified, etc.), budgeted rate, market
range minimum and maximum, and whether the position is occupied or vacant.
4. If grant-funded positions are to be eliminated, include copies of the grant and confirmation
that each employee in the selected position(s) signed an acknowledgment of their grant-
funded position status; it is not necessary to include copies of the acknowledgments.
5. A list of all department positions that are available for immediate recruitment (i.e., currently,
or soon to be, vacant) to. For each available position, include the position control number,
market range title, working title, assigned work unit, market range minimum and maximum,
and position status (e.g. classified, unclassified, etc.). For any vacant position that is not
currently available for recruitment, provide the reason the position is not available
6. If applicable, tThe Appointing Authority's decision and justification reason for providing the
affected employees with Severance Agreements and/or Job Search Assignment,s or
neither.
7. The Retention Criteria that will be used for the Rating Matrix, or the justification for not using
a Rating Matrix, for each group of Substantially Similar Positions that are affected by the
RIF if all of the Substantially Similar Positions will not be eliminated.
8. Organizational charts depicting the department before and after the RIF and how services
will be maintained.
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
8. A proposed timeline for RIF events.
B. Reduction in Force Approval Process
C.B. The Appointing Authority must
1. Appointing Authorities must notify their Deputy/Assistant County Manager HR Director of a
proposed RIF as soon as the decision to request such an action has been made and work
with their HR Group Manager on the RIF process.
. HR Group Manager submits Every effort should be made to notify the HR Director as
early as possible of a proposed RIF, including the proposed RIF timeline, in order to
ensure there is adequate time for the review/approval process.
2. The Appointing Authority will prepare a draft RIF JJustification MMemorandum for the HR
DirectorLegal Counsel's review and HR Director’s approval.
3. .
4.3. If approved, HR Group Manager provides the memo to the Deputy/Assistant County
Manager.
4. The Deputy/Assistant County Manager will seekobtain the County Manager’s approval of
the memo.
5. A copy of the approved memo should be submitted to Human Resources. n
6.5. NOTE: The Rating Matrix shall not be used to determine any employee’s Retention
Points until the HR Director has reviewed and approved the Retention Criteria. This
approval must be done in writing in advance of the final approval of the RIF Justification
Memorandum.;;;;;
7. When the RIF memo is approved by the County Manager draft RIF Justification
Memorandum is submitted to the HR Director for review, all recruitments for positions within
the department that are at or below the market range midpoint of any position that may be
eliminated in the RIF will be suspended unless the department requests and receives a
written exemption from the HR Director.
8. The HR Director will review the draft RIF Justification Memorandum and consult with the
Appointing Authority.
9. If applicable, the HR Director will provide written approval of the Retention Criteria included
in the draft RIF Justification Memorandum. Once approval of the Retention Criteria is
received, the Appointing Authority may enter Retention Criteria into a Rating Matrix to
determine the Retention Points and which employees will be affected by the RIF. The Rating
Matrix and Retention Criteria result for each employee evaluated will be validated by the HR
Director prior to approval to ensure there are no calculation errors.
10.6. After consultation(s) with the HR Director on the draft RIF Justification Memorandum
has concluded, the Appointing Authority shall submit a final RIF Justification Memorandum
to the HR Director and County Manager for approval, which will include all of the information
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
listed in this section. A RIF shall not proceed and approval is not final until the final
memorandum has been signed by the HR Director and County Manager.
D.C. Reduction in Force Implementation
1. Advanced Notice: Prior to the final approval of the RIF Justification Memorandums,
Appointing Authorities may, in consultation with the HR Director, exercise their discretion, in
consultation with the HR Director, to provide advance notice to their department or divisions
within their department that a reorganization or RIF is being considered based on the
situation and circumstances involved. Factors influencing the decision to provide advance
notice, and the amount of advance notice, may include but are not limited to: the need to
transfer funding, projects, job knowledge, records, and County-issued items to others that
may need to be transferred or reallocated. Any employees who are given advance notice of
a possible RIF remain accountable to the applicable Merit Rules, County Policies, and
Department Policies throughout their employment.
2. Initial RIF Notification: After the final RIF Justification Memorandum is approved by the
HR Director and the County Manager, the Appointing Authority shall conduct an Initial RIF
Notification meeting to notify employees in affected positions of the RIF and provide
information relevant to the RIFthat all or some of the positions are being eliminated.
3. Rating Matrix Employee Review: At the same Initial RIF Notification meeting, each
eEmployees in the Substantially Similar Positions affected by the RIF will have an
opportunity to review their applicable Rating Matrix documents for accuracy, if applicable.
This review should occur during or immediately following the Initial RIF Notification meeting
to allow any discrepancies to be addressed within 24 hours of the Initial RIF Notification
meeting.
4. Employee WEach affected employee will receive written Nnotification that– Should
containincludes:
a. Pertinent dates and, including deadlines for all RIF related events (e.g., expected last
date of employment with the department for those employees whose position is
eliminated, deadline for submitting Priority Placement documentationeclaration of
interest and submission of an online application, if applicable, etc.).;
b. If applicable, aAn explanation of the offer of a Severance Agreement as provided by
Policy HR2423 and/ or any period of Job Search Assignments, if either of these options
are applicable; and.
c. A list of all vacant department positions available under the Priority Placement provision
of this policy.
5. HR Employment Services, in concert with other department representatives as
needed, will meet with the affected employees immediately following the Initial RIF
Notification meeting to provide information on topics relevant to the RIF. Topics may
include but are not limited to: Priority Placement, County benefits, and important
contact information.
6. If applicable, once the Rating Matrix has been confirmed, a written notification shall
be provided to employees whose positions will be eliminated, confirming the
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
available options for that employee consistent with the RIF Justification
Memorandum and the RIF timeline.
7.5. Department Notification: Once employees affected by the RIF have beenare notified,
the Appointing Authority may inform other department employees of the RIF and any
additional information deemed helpful or appropriate (e.g.,such as explanations of the
scope, impact, and justification for the action).
8.6. Appeal: Classified employees affected by a RIF may file an appeal with the Merit
Commission consistent with provisions related to RIF as set forth in the applicable Employee
Merit System Resolution and Rules.
E.D. Priority Placement
1. The Priority Placement process shall be handled by HR Employment Services, which shall
develop and apply procedures consistent with this policy. Any concerns about an
employee’s compliance with the established procedures shall be addressed by HR
Employment Services, so long as this is consistent with the departmental reasons and
timeline set forth in the RIF Justification Memorandum.
2.1. Employees affected by a RIF may declare interest in and apply for Priority Placement
into positions within the department that are vacant and available for recruitment.
3.2. The affected employees must meet the minimum qualifications for the position ANDand
the available position’s market range midpoint must be at or below the affected employee's
employees’ current market range midpointtitle minimum and maximum compensation rates.
4. Unclassified employees are ineligible to be considered for any vacant, classified positions.
If an exemption has been requested and approved by the County Manager to include
contract and temporary employees, they are also ineligible to be considered for any vacant,
classified positions.
5. Affected employees who have declared interest in Priority Placement may be placed on paid
administrative leave through the duration of the Priority Placement process.
6.3. Employees who meet the minimum qualifications for a Priority Placement position
shallThe Appointing Authority and HR Employment Services will make every effort to place
qualified employees that declare interest in and apply for Priority Placement into available
positions within the department receive priority consideration and receive an interview for
the vacant position.
7. The rate of pay for employees retained inoffered positions under Priority Placement will be
determined by HR Compensation consistent with the County’s compensation policy and
shall not exceed the affected employee’s current pay rate.
8.4. Employees who are not retained as a result of Priority Placement will, if applicable,
receive a Severance Agreement or be placed on Job Search Assignment for the period set
forth in the RIF Justification Memorandum or until otherwise employed, whichever comes
first.
VII. FURLOUGHS
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
Furloughs may be used independently or in conjunction with a RIF because of a budget deficit or
shortfall.
F.A. Furlough Justification Memo – Should Contain:repare a draft Furlough Justification
Memorandum for the HR Director's review that documents the specific business reason(s) for
the Furlough and how the department will maintain services during the Furlough. The draft
Furlough Justification Memorandum will contain the following information for review:
1. A detailed justification for the Furlough, including how the specific positions were selected
for Furlough.
2. The scope of the Furlough (e.g., entire department, specific division, function, work unit, or
market range/working titles).
3. A list of all positions affected to. For each position, include the employee’s name, market
range title, working title, position control number, budgeted salary, assigned work unit, and
position status (e.g. classified, unclassified, etc.).
4. A timeline of the Furlough events.
G.B. Furlough Approval Process
1. Appointing Authorities must nThe Appointing Authority must notify their Deputy/Assistant
County Manager HR Director of a proposed Furlough as soon as the decision to request
such an action has been made and work with their HR Group Manager on the Furlough
process.
2. HR Group Manager submits a Furlough Justification Memo to the HR Director for approval.
3. If approved, HR Group Manager provides the memo to the Deputy/Assistant County
Manager.
4. The Deputy/Assistant County Manager will seekobtain the County Manager’s approval of
the memo.
1.5. A copy of the approved memo should be submitted to Human Resources. Every effort
should be made to expedite the Furlough approval process in order to meet the proposed
Furlough timeline.The Appointing Authority will p
H.C. Furlough Implementation
1. Employee Written Notification: After consultation(s) with the HR Director on the draft
Furlough Justification Memorandum has concluded, the Appointing Authority shall submit a
final Furlough Justification Memorandum to the HR Director and County Manager for
approval, which will include all of the information listed in Section E.2.a-e of this policy. A
Furlough shall not proceed and approval is not final until the final memorandum has been
signed by the HR Director and County Manager.
2.1. Once the final Furlough Justification Memorandum is approved, the Appointing Authority
shall notify the affected employees affected by the Furlough in writing to. Each employee
will receive written notification that includes:
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
a. The reason for the Furlough.
b. The dates and total hours of the Furlough.
c. The dates of the employee’s Furlough or the procedure for determining the dates.
d.c. The rules for employees on a Furlough.
i. Employees on Furloughed status shall accrue leave and remain eligible for holiday
pay if a Furlough is taken before or after a holiday, or other paid time off, as
appropriate.
ii. Employees subject to a Furlough will not at a later time be compensated for their
unpaid Furlough days.
iii. Employees are not to perform any work for the County whatsoever while they are on
a Furlough status.
e.d. Additional information as determined by the Appointing Authority and HR
Director.
3. Employees affected by a Furlough should also be informed on other topics that may
include but are not limited to: how the Furlough will affect the employee’s tenure with
the County, Arizona State Retirement System status, and the use of paid leave in lieu
of the Furlough.
4.2. Department Notification: Once the employees affected by a Furlough have beenare
notified, the Appointing Authority may inform other department employees of the Furlough
and any additional information deemed helpful or appropriate (e.g., such as explanations of
the scope, impact, and justification for the action).
3. Concerns: Employees with concerns regarding the manner in which the Furlough was
implemented should discuss their concerns with their Department HR and Appointing
Authority for resolution.
5.4. Appeal: Classified employees affected by a Furlough may file an appeal with the Merit
Commission consistent with provisions set forth in the applicable Employee Merit System
Resolution and Rules. Classified employees affected by a Furlough may file an appeal with the
Merit Commission consistent with provisions related to Furloughs as set forth in applicable Merit
System Resolution and Rules.
Revision History
Version Revision Date Description of Revision
1 07-1998 Initial version
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Policy Title: Policy Number: HR2403
REDUCTIONS IN FORCE AND FURLOUGHS 08-21-
Current Adoption Date:
201917
2 05-20-2009 Added a new section on furloughs. (C-31-09-014-6-00)
4 12-09-2015 Minor revisions to align with Employee Merit System Rules’ changes. (C-31-16-016-6-00)
5 10-4-2017 Added language for re-creating RIF positions. Modified Priority Placement to within a
department. Eliminated Preferential Placement. (C-31-18-008-6-00)
6 08-21-2019 Updated language for consistency, eliminated requirements for draft memos, and outlined
the approval process. (C-31-18-008-6-01)
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