EMPLOYEE WORKPLACE CONCERNS POLICY (HR2405) REDLINED 03-11-2020.PDF
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MARICOPA COUNTY INTERNAL POLICY Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 03-11-2020 Current Implementation Date: 03-11-2020 Approved by: BOARD OF SUPERVISORS Board Agenda Number: C-31-14-035-6-01 Original Adoption Date: 07-01-1998 MARICOPA COUNTY INTERNAL POLICY Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 6-25-2014 Current Implementation Date: 6-25-2014 Approved by: BOARD OF SUPERVISORS Board Agenda Number: C-31-14-035-6-00 Original Adoption Date: 7-1998 I. PURPOSE This Policy provides for a formal resolution process for employee workplace Workplace concerns Concerns and encourages resolution at the lowest possible level and. This Policy is intended to supplement, rather than discourage or replace, informal discussions between a supervisor and employee. II. AUTHORITY This Policy is authorized by the Board of Supervisors pursuant to A.R.S.§11-251. II.III. APPLICATION This Policy applies to all employees of Maricopa Countyall appointed departments as well as the Flood Control District of Maricopa County and, and the Maricopa County Library District,and the Maricopa County Stadium District (Special Districts). 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.and Maricopa County Special Districts. Unless adopted by an elected official, this Policy is instructive only, subject to review by Employee Relations for compliance with federal or state law. This Policy also applies to employees of County elected offices unless the elected official has implemented a similar policy specific to his or herhis or hertheir office. III.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. CARES: An alternative system for employees to report Workplace Concerns anonymously. Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 03-11-xxxx2020 Page 2 of 5 C. Department Human Resources: The employee’s assigned internal human resources office. If there are no departmental human resources, then it refers to the department’s HR Liaison. B.D. Employee Relations: Maricopa County Human Resources DepartmentThe Employee Relations dDivision of the Maricopa County Human Resources Department located at 301 W. Jefferson AvenueStreet, Suite 200, Phoenix, Arizona 85003. C. Department Human Resources: The employee’s assigned internal human resources office. If there is no departmental human resources, then it refers to the department’s assigned HR Liaison. CARES: An alternative system for employees to report Workplace Concerns anonymously. D.E. Workplace Concern: An issue, inquiry, or concernmplaint regarding workplace practices or conduct, which cannot be addressed through other specific complaint or appeal procedures. Examples of workplace Workplace concerns Concerns include, but are not limited to: 1. Inappropriate, unfair, or inconsistent application of policies or procedures 2. Discourteous treatment of an employee, fellow employees or the public 3. Inappropriate relationships in the workplace relationships 4. Misuse of County equipment or property or resources 4.5. Health and safety hazards 5.6. Personal or professional cConflicts of interest 6.7. Code of Ethics violationsUnethical behavior 7.8. A violation Violations of County Ppolicy V. POLICY A. Whenever practicable, employees are encouraged to address issues informally within the workplace at the lowest appropriate level. B. Employees may submit unresolved Workplace Concerns that are not resolved informally to their department supervisors or other management, Department Human Resources, or Employee Relations by utilizing the procedures in this policy. 1. The rRecipients of a Workplace Concerns submitted under this policy should provide acknowledgment ofto the employee upon receipt. 2. The rRecipients should address the Workplace Concerns promptly and respond to the employee within 10 business days. Written responses are not required under this Policy. 3. If a resolution will take longer than 10 business days, the recipients should notify the employee of the status and provide an approximate completion date. C. In accordance with County Policy HR2416 Code of Conduct, supervisors and managers mustwill take appropriate action once they learn of a Workplace Concerns regardless of the reporting methods. This includes concerns submitted verbally, anonymously, or via a third party. D. Employees who submit concerns in good faith under this Policy shall not be subject to adverse action for submitting the concernmplaint. AND Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 03-11-xxxx2020 Page 3 of 5 IV.VI. PROCEDURE A. Addressing Workplace Concerns: Employees are encouraged to submit their concernsmplaint in writing on the Employee Workplace Concern Form when using any of the steps in this procedure. Failure of the employees to submit a written concernsmplaint does not relieve the recipients of the obligation to take appropriate actionwho have a workplace concern should first attempt to discuss the issue with their immediate supervisor whenever practicable, and if possible, the supervisor should work with the employee to resolve the concerns. If the employees does not receive a timely response, or they are not satisfied with the response from a previous step, they employee may proceed to the next available step. The eEmployees should provide an explanation of why they are proceeding to the next step. Step 1 – Department Supervisor: EmployeesAn The employee should report who has a the workplace Workplace concern Concerns should report the concern first to their direct immediate supervisors oas soon as practicable after the concern arisesr the next higher level of management. If thea supervisor is the subject of the concern, the employees may choose to submit the concern to the next higher level of msupervisionanagement.Employees are encouraged to submit the concern by completing the Maricopa County Employee Workplace Concern Form and providing the completed form to their supervisor or manager. Step 2 – Department Human Resources: If a supervisor or manager receives a completed form or a verbal statement regarding a workplace concern from an employee, the supervisor or manager should respond to the employee within 14 calendar days after receiving the notice. (Written responses are not required under this Policy.) If a resolution is taking longer than 14 calendar days, the supervisor or manager should notify the employee of the current status and provide an approximate completion date. Step 3: If the employee is not satisfied with the supervisor’s or manager’s response, tThe employee Employees should may forwardsubmit their concerns in writing to Department Human Resources within five (five (5)) business days after receiving athe supervisor’s response or lack of timely response. The eEmployees may also proceed to Step 3 if . If their Appointing Authority or Department Human Resources is the subject of the concerns., the employee may submit the concern to Employee Relations. The employee should submit a written statement to Department Human Resources as soon as possible after the date of the employee’s receipt of the supervisor’s or manager’s response or lack of a timely response. Department Human Resources may investigate the employee’s concern and consult with Employee Relations, the Department’s Appointing Authority, and any other necessary members of management to resolve or address the employee’s concern. If resolution by Department Human Resources is taking longer than 14 calendar days, Department Human Resources should notify the employee of the current status and provide an approximate completion date. If Department Human Resources decides not to take further action regarding the matter, the employee should be notified within 14 calendar days. Step 43 – Employee Relations: If the employee is not satisfied with the response from Department Human Resources, theThe eEmployees may should submit their concerns, along with any prior documentation, to Employee Relations. The employee should submit the written statement to Employee Relations within five (7 calendarfive (5)) business days from the date of the employee’s receipt of Department Human Resources’ responseof receiving athe response or lack of timely response. If the employee has not received a timely response from Department Human Resources, the employee may notify Employee Relations. Employee Relations may investigate the employee’s concern and consult with Department Human Resources, the Department’s Appointing Authority or other employees, as needed, to resolve or address the employee’s concern. If a resolution is taking longer than 14 calendar days, Employee Relations should notify the employee of the current status and provide an approximate completion date. Step 5: If Employee Relations is unable to resolve or address the employee’s concern or decides not to Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 03-11-xxxx2020 Page 4 of 5 take further action regarding the matter, Employee Relations, with the concurrence of the Maricopa County Human Resources Director, will provide a responses to the employees, which will be the final decision and resolution of anythe employee’s concerns. A.B. Anonymous Workplace Concerns: Employees who submit concerns in good faith under this Policy shall not be subject to adverse actionwishing to report concerns anonymously may use the CARES reporting system. Employee Relations will review the concerns and ensure they are provided to the appropriate authority. Voice messages submitted to the CARES system will be transcribed before forwarding. If an employee chooses to submit an anonymous concern, the County encourages the employee to provide as much information as possible. Submitting an anonymous concern may limit the scope of an investigation or investigator's ability to gather information. V.VII. ISSUES EXCLUDED FROM THIS POLICY A. An eEmployees may not use the process outlined in this Policy to requestseek reviews of decisions or actions for which there is already another available internal review procedure. These include, but are not limited to, performance annual performance evaluation reviewsratings and issues that may be appealed to the Merit Commission (dismissal, suspension, or involuntary demotion). Employees also may not use this policy Policy to challenge a reduction-in-force or a Ddepartment’s decision to use furloughs. B. Concerns about potential employment discrimination or, harassment or retaliation based on a characteristic protected by sCounty Policy or state or federal law, or about retaliation for engaging in a protected activity, are addressed in the Prohibition Against Discrimination, Harassment, and Retaliation Policy (HR2406). If an employee Employees should seek assistance from Department Human Resources or Employee Relations if they areis not sure whether their concerns falls under this Policy or the Prohibition Against Discrimination, Harassment, and Retaliation Policy (HR2406), the employee should contact Department Human Resources or Employee Relations for guidance. C. Employee Relations’ review of a decision by an elected official will be limited to employee workplace concerns that relate to compliance with state or federal law. Revision History Version Revision Date Description of Revision 1 07/-01/-1998 Initial version. Approved by County Manager. 2 02/-2002 Approved by County Manager. 3 09/-20/-2005 Approved by County Manager. 4 06/-25/-2014 Updated policy title, updated for consistency with current policy format, expanded definitions, and updated the process for employees to raise workplace concerns. (C-31-14-035-6-00) 5 03-11-2020 Removed outdated language, updated definitions, and rearranged language for consistency. (C-31-14-035-6-01) Policy Title: EMPLOYEE WORKPLACE CONCERNS Policy Number: HR2405 Current Adoption Date: 03-11-xxxx2020 Page 5 of 5