CODAC Management Manual

MANAGEMENT RESOURCE MANUAL

TABLE OF CONTENTS Welcome to CODAC’s Management Team .......................................................................................................................3 CODAC Mission, Vision and Values ...................................................................................................................................4 CODAC’s Integrated HEALTH & WELLNESS Philosophy .................................................................................................4 Management Philosophy ....................................................................................................................................................5 Purpose of Management Resource Guide ........................................................................................................................5 How to be Effective in your Role as a Supervisor ............................................................................................................6 Introduction to Executive Leadership ............................................................................................................................. 18 Time Management ............................................................................................................................................................ 22 Leading Hybrid Teams ...................................................................................................................................................... 23 Compassion Fatigue ......................................................................................................................................................... 26 Eight Dimensions of Wellness (Self Care) ...................................................................................................................... 28 COMPLIANCE ................................................................................................................................................................... 31 CARF Accreditation and other Regulatory Agencies ................................................................................................ 31 Arizona Department of Health Licensing ................................................................................................................... 32 Funders ........................................................................................................................................................................... 32 CODAC Plans ................................................................................................................................................................. 33 Meetings & Committees .............................................................................................................................................. 34 Data Validation .............................................................................................................................................................. 36 Corporate Compliance plan ......................................................................................................................................... 37 Employee Training and Skill Development Requirements ....................................................................................... 37 Policies and Procedures ............................................................................................................................................... 39 Ethics, Law and Code of Conduct ................................................................................................................................ 39 P-Card (Corporate Credit Card) ................................................................................................................................... 40 Supervisor Safety Procedures ...................................................................................................................................... 41 How to Facilitate a Meeting ......................................................................................................................................... 41 Competency Checklist(s) .............................................................................................................................................. 42 CLINICAL ........................................................................................................................................................................... 43 Metrics ............................................................................................................................................................................ 43 Managing Caseloads .................................................................................................................................................... 44 NIRP Documentation (Format) .................................................................................................................................... 45 Group Facilitation .......................................................................................................................................................... 46 Understanding Insurance – Member Benefits ........................................................................................................... 48 NextGen for Supervisors .............................................................................................................................................. 50

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PERSONNEL MANAGEMENT – HUMAN RESOURCES ............................................................................................. 53 CODAC’s Human Resources Team .............................................................................................................................. 53 Purpose of CODAC’s Employee Handbook ............................................................................................................... 53 Catalytic Coaching (Performance Management) ...................................................................................................... 55 Succession Planning/Career Ladders .......................................................................................................................... 56 Compensation Model ................................................................................................................................................... 56 CODAC Rewards / Recognition ................................................................................................................................... 57 Employee Relations ....................................................................................................................................................... 58 Disciplinary Actions and Procedures .......................................................................................................................... 59 Workers' Compensation ............................................................................................................................................... 60 Reasonable Accomodations ........................................................................................................................................ 61 Supervisor Role in Separations/Terminations ........................................................................................................... 62 PAYROLL ............................................................................................................................................................................ 65 Timecard Deadlines ...................................................................................................................................................... 65 Payroll Best Practices .................................................................................................................................................... 65 Important Phone Numbers .............................................................................................................................................. 66 Definitions/Acronyms ....................................................................................................................................................... 67 Resources/Appendices ................................................................................................................................................. 71 REFERENCES ....................................................................................................................................................................... 72

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WELCOME TO CODAC’S MANAGEMENT TEAM We are excited you are joining CODAC’s management team, and we look forward to working with you. We know that, with your skills and experience, you are a great asset to CODAC. As someone who has been a manager and also someone who has been managed, I can tell you firsthand that “Management is not simple.” There is no magic formula, however, there are some guideposts that can assist you in being the great Manager that you want to become. The following are just a sample of the skills and traits that you should consider in your Leadership Development.

Adapted from 12 Leadership Qualities to Look for When Hiring a Manager , by Andrew Sumitani (https://www.tinypulse.com/blog/leadership-qualities-when-hiring-a-manager).

Communication! – Be aware of how you communicate or how you don’t communicate. There are ramifications on not only how engaged your employees are, but also on how they are perceived by others on the team. It’s one thing for managers to know what needs to get done. It’s entirely different for them to clearly communicate priorities to each member of their team – all whom listen, learn and implement in different ways. Honesty – When a team stops believing their leader is telling the truth, things can start to fall apart. Openness and transparency is critical and leading by this example can inspire their staff to be similarly truthful. Confidence – Managers should be confident that the decisions they are making are the right ones. And, when the situation allows, the decisions have been well thought out. Hand in hand with Confidence is: Decisiveness – In addition to decisions that a manager may see as routine, all managers will have to make tough choices. At times, managers will need to act swiftly. Strong and confident leaders are able to make difficult decisions quickly after doing their due diligence and assessing all their options. It has been said that almost any decision is better than no decision at all! So as a manager, you feel confident and show that you can be decisive , however it’s also okay to: Admit what you don’t know – Managers do not need to think they need to know everything. You simply can’t know everything and it’s both misleading and ill served to portray that you do know it all. The potential downfall is giving out misinformation. Our staff may find it refreshing to know you need to look into something and get back to them. The important thing is to GET BACK TO THEM! Empathy – Managers need to be understanding. Managers must listen to their staff and understand where they are coming from, respect contrary opinions and be open. Responsibility, Mentorship, Professional Development – Great managers understand they’re responsible for the performance of their team and therefore responsible to assist individual staff to be as successful as they can be and develop professionally. Managers who are invested in their staff and committed to helping them grow professionally will have the best opportunity to keep their staff engaged. Optimism – Everyone can struggle at work from time to time. It’s easy, at times, to get frustrated at work. When managers openly express their disgust or disappointment about something when everyone else is struggling, it can bring the team down even more. Great managers understand this which is why they try their best to remain optimistic and positive at all times! Certainly, the above information is only a sampling of the skills and traits of an effective manager and leader. We appreciate you joining our Team and look forward to every opportunity for you and your teams to be successful Dennis Regnier, President/CEO

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CODAC MISSION, VISION AND VALUES

VISION CODAC envisions a society where everyone lives healthy, productive and caring lives — positively contributing to their communities. MISSION It is the Mission of CODAC to provide tools, support and services to individuals, families and communities so they may live with dignity, free from the harmful effects of mental illness, substance use disorders and trauma. VALUES

• Recovery • Diversity • Acceptance • Respect • Integrity • Creativity • Commitment

CODAC’S INTEGRATED HEALTH & WELLNESS PHILOSOPHY CODAC’s integrated health model is a comprehensive, holistic approach to care and wellbeing that focuses on the whole person and family/family of choice. Our model is informed by evidence and makes use of best practices through a diverse mix of health and wellness professionals working together for unified care. We believe it is important to address the full spectrum of physical, emotional, behavioral, social, spiritual, relational, occupational, and environmental factors that impact wellness. Because wellness is achieved over time, CODAC will strive to continually engage members beyond their short-term needs so we can help them meet and maintain their ongoing health and wellness needs and goals. CODAC’s integrated care model aims to improve health outcomes and achieve optimal wellness by providing exceptional integrated care, increasing health literacy, promoting disease prevention and management, and increasing health equity. As leaders we have a responsibility to inspire and motivate staff toward this shared vision. Familiarize yourself with our philosophy and work to effectively articulate this among your teams. The healthcare industry has been steadfast at eliminating barriers to access in care and removing the silos that present as obstacles to holistic care. When leadership encourages employees to focus on integrated wellness it results in enhanced collaboration which leads to better outcomes for disease management, overall quality of life and satisfaction. Management should review service plans, assessments, and any documentation to guide staff in feeling more confident in treatment recommendations. Holistic health focus is not just specific to members, but also influences healthier life choices and behaviors in staff. Knowing that, supporting staff wellbeing should be one of your priorities.

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MANAGEMENT PHILOSOPHY CODAC has always emphasized that outstanding people are the key to our success. Our strength and future growth depend on the contributions made by you and each person within our agency. We are glad to have you as a member of our management team. Every employee has an important role in our operations and we value the abilities, experience and background that they bring with them. In your role as a supervisor you will have the opportunity for professional growth in the leadership arena. You will provide hands-on assistance to your direct reports as they work towards fulfilment of CODAC’s Mission Statement through daily service provision. Your role will be crucial to guiding employees in day-to-day operations, handling crises, and succeeding with a variety of challenging situations. You’ll have the opportunity to mentor employees new to the field of integrated health through training, modeling professionalism, and demonstrating effective clinical interventions and teamwork. You’ll develop program components and participate in decisions that impact your team and the agency. Toward these ends, you’ll work closely with your immediate supervisor, your peers, and other CODAC leadership to meet elements of CODAC’s Strategic Plan each year. Welcome to the adventure of leadership at CODAC! PURPOSE OF MANAGEMENT RESOURCE GUIDE This Management Resource Guide contains information about the clinical and employment policies and practices of CODAC. Please note not all CODAC policies, procedures, and practices (how-to) are set forth in this Guide. Nothing in this Guide or in any other document or policy is intended to violate any local, state or federal law. Nothing in this Guide or in any other document or policy is intended to limit any concerted activities by employees relating to their wages, hours or working conditions, or any other conduct protected by Section 7 of the National Labor Relations Act (NLRA). Furthermore, nothing in this Guide prohibits an employee from reporting concerns, making lawful disclosures or communicating with any governmental authority about conduct the employee believes violates any laws or regulations.

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HOW TO BE EFFECTIVE IN YOUR ROLE AS A SUPERVISOR

Supervisors play critical roles in the organization and represent the organization from both a practical and a legal perspective. Supervisors are agents of the organization for liability purposes. See the section on Limiting Liability Risks for more detail. A supervisor: • Represents the organization; • Educates employees on corporate policies; • Manages employee relations; • Manages expectations; and • Ensures compliance. Supervisors are the eyes and ears of the employer - at all times. Supervisors need to be "on" constantly and remain vigilant that all systems continue to work properly. Although it has become common to state that supervisors have an "open door" policy (your door is always open), it can be difficult for employees to understand what that means and may not feel comfortable making their thoughts know. Here are some suggestions on how to help employees understand that your door is truly open and what that means: • Set the example: you should reinforce what an open-door policy is and periodically follow up on discussion topics in a positive manner and then have direct reports share their concerns, ideas and challenges resulting from them. (Sandra Hill, New Horizen Coaching & Professional Growth Advancement) • Hold impromptu conversations: catch up with employees personally and professionally in their workspaces or using virtual tools. (Rick Gibbs, Insperity) • Build Boundaries into your Open-Door policy: having an open-door policy does not mean “drop in whenever you like” or that it has to be 24/7. Set expectations that there will be times when you are not available. Explain how they can check for your availability. (Lee Eisenstaedt, Leading with Courage Academy) • Be specific about your expectations: specific expectations around preferred ways of communication will create a win-win situation for everyone. Too many interruptions impact productivity or effectiveness for everyone. (Izabela Lundberg, Legacy Leaders Institute) • Eliminate Judgement and Don’t Problem Solve: demonstrate a non-judgmental approach. When you truly listen without stepping in to solve or address the emotion, your employees feel your full presence. (Sheila Carmichael, Transitions D2D, LLC) • Spell Out What You’re Willing to Offer: Sometimes saying “my door is always open” is too generic. You need to spell out what kind of support you are willing to offer people. Periodically, invite staff members to have one-on-one discussions and give them the opportunity to talk openly in a relaxed environment. Trust is key, but this will only be built through relationships. – (Rebecca Patterson) • Create a Welcoming Space: When a member of your team walks in, greet them with a smile and a “hello.” You could also set up your workspace in a way that is inviting, which would require making your desk an accent in your office, not a barrier to conversation. Finally, be present when they come to you; stay off the phone and welcome them. (Jon Dwoskin, The Jon Dwoskin Experience) • Ensure No Disconnect Between Policy and Practice: sometimes there is a disconnect between the idealized “open-door” policy and the reality of the work environment. Don’t proclaim the door is always open, but in practice, you shut down anyone who offers opposing ideas or challenges the status quo.

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Know yourself. If you are a leader who finds it hard to hear criticism, then devise another way for employees to share their concerns. (Cheryl Czach, Cheryl Czach Coaching and Consulting, LLC) • Bring the Policy to Life Through Trust: Everything starts with trust, without which there is no honest and healthy dialogue about existing problems and the best solutions for everyone. As a result, there is a lack of commitment, motivation and focus. The door remains effectively closed. (Michael Thiemann, Strategy-Lab™) • Make accessibility Your Goal: An open-door policy is just lip service unless you make yourself available. SPOTTING ISSUES A large part of being the eyes and ears of the organization involves spotting compliance issues as they arise. For example, a supervisor must be able to identify a request for job-protected leave even if the employee does not use "the magic words." A direct supervisor tends to have the most information regarding whether a job protected leave would be appropriate or necessary. Therefore, compliance training in this respect is important. In addition, compliance training should address a number of laws and subject areas, including: • Fair Labor Standards Act (FLSA) and other applicable wage and hour laws; • Family and Medical Leave Act (FMLA) and other applicable state and local leave laws; • Federal, state and local discrimination laws, including harassment and retaliation prevention components; • Applicable safety and health laws; • National Labor Relations Act (NLRA) and additional training relating to the workplace's unionized, partially unionized or union-free status; COMMUNICATING EFFECTIVELY A supervisor must be able to communicate effectively with direct reports, other supervisors and management. When communicating in workplaces, a supervisor must seek to maintain a calm demeanor and an ability to focus on the subject at hand. PROFESSIONAL COURAGE IN THE WORKPLACE To quote Nelson Mandela, Courage is not the absence of fear, but the triumph over it – The same can be said for professional courage. In our professional roles, we often need to take action and proceed forward despite fear. Some have said it is when conscience, fear and action come together, It is grit, perseverance and determination. Professional courage is not only a skill that good leaders understand, but also a skill that is mastered. It is critical to career growth, and fulfillment. It is a fundamental element of leading—whether you’re in a formal leadership role or not—and it is critical to your career and personal growth. “To understand why having professional courage is an essential quality to have within the workplace we must first look at the issues that can arise from a lack of it. Certainly, it is easier not to do something than to do it, which is one reason why many people prefer to stay in their comfort zones. But this discourages innovation, empowerment, and positive organizational change. As humans, we are inclined to avoid tough conversations. The consequence is a lack of honesty, clarity and engagement which leads to an increase in stagnated relationships within organizational hierarchy. Furthermore, a lack of connection and empathy from leaders diminishes the trust people have in them. Conversation is key.” (Barnes) • Immigration compliance requirements; • Workplace violence and bullying; and • Privacy and security workplace protections.

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“Remaining in our comfort zones means not enough people are taking smart risks or creating and sharing ideas to meet changing demands. This reiterates the importance of communication, if employees are afraid of being ridiculed for trying something new but failing, they will be reluctant to do it again. Furthermore, individual perfectionism keeps people from taking smart risks to maintain a blemish-free profile. This issue with this is that it encourages a plateau in operations rather than the insatiable need for innovation due to a fear of looking bad. In addition, people are choosing to opt out of vital conversations surrounding significant issues such as diversity and inclusivity because they fear they may say something wrong. Choosing personal comfort over difficult conversations, just because we can, is an issue that many organizations are currently facing. How can organizations progress with meaningful and lasting change if most of their workforce are reluctant to engage in any vital conversations?” (Barnes) “Professional courage is a special brand of bravery because it is rarely defined as an impulsive battlefield moment with life-saving potential. Rather, professional courage involves making bold choices while avoiding career limiting effects. It involves an ability (or an instinct) to sense opportunities and then sus out the right response and timing.” (Brower) “Professional courage relates significantly to decision making—and to being sensitive to both your own emotions and to the context around you. These sensitivities help you avoid impulsive action and ensure the timing will be right for your actions and conversations.” (Brower) Professional Courage is built over time through repetition and experience, more than through imagination. You also demonstrate Professional Courage by being yourself and owning your performance. Be strong in expressing your talents, but also be open in expressing where you don’t know it all. Own your mistakes and seek feedback about how to be better. Keep commitments, follow through and avoiding stalling or procrastinating. Take responsibility when you perform brilliantly, but also when you misstep and know you can do better. Accountability requires professional courage because when you do well, you must be confident enough to feel good about your success, and when you can do better, you must be confident enough to admit the gap and fill it. Being courageous about your own performance allows you to grow. Having professional courage and teaching professional courage can be very challenging. Having the confidence to speak up is not enough when we are talking trying to understand and practice professional courage. Implementing and understanding true professional courage is to embrace the below techniques: • Have tough conversations; say what needs to be said in a tactful way. • Hold others accountable, beginning with holding yourself accountable. • Have the professional courage to deal head on with difficult situations head-on. • Command presence without intimidation. • Know how to communicate the negative as well as the positive. • Have an awareness of your own limitations and participate in ongoing professional development. • Take feedback and listen to your leadership team (who were hired because they are competent and maybe even the experts on a topic in the organization) • Be open to change, recognize when a shift needs to happen and guide the team towards next steps. Is familiar and comfortable with change management theory or recruits’ assistance) • Be comfortable with being challenged professionally by subordinates, peers, and leadership. DISCRETION Being discreet in the workplace is a very valuable trait for a supervisor. Not only does a supervisor have access to highly sensitive information, but they or she also must learn how to communicate that information when appropriate.

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Under a number of laws and regulations, a supervisor may not be able to guarantee confidentiality to an employee or require confidentiality of that employee. For example, under the NLRA, an employee has the right to discuss the terms and conditions of employment with co-workers (e.g., improving pay or discussing workplace safety concerns). In addition, under several whistleblower laws, an employer may not prohibit an employee from sharing certain protected information with regulatory agencies. However, it is best practice to use discretion in communicating sensitive information and to assure employees that confidentiality will be maintained to the extent provided by law. A particular challenge may arise if an employee making a complaint asks for anonymity. A supervisor should never make promises that he or she cannot deliver, especially if there is a law or workplace policy that would prohibit the request. If an employee requests anonymity because of retaliation concerns, a supervisor should assure the employee that the complaint will be handled with the utmost discretion and that steps will be taken to protect the employee from any reprisals. We also have anonymous avenues for reporting should retaliation be a concern. PREPARATION A supervisor should prepare for a meeting, training or conversation in advance. Ideas regarding the purpose of the meeting, who will speak at the meeting, what information will be conveyed and any follow-up communications or actions that are necessary should be planned ahead of time. This enables the supervisor to set the tone for the dialogue. LOCATION A supervisor should consider the appropriate location for communicating information. If addressing a new corporate policy or a change in working conditions that would affect all employees, then a general meeting in a suitable venue would be best. Having separate meetings with employees may lead to inconsistent delivery of information and to needless speculation and rumors as to what the meetings are truly about. Although convening a general meeting in a work environment with shift workers, telecommuting or remote teams may be challenging, supervisors should plan an effective and consistent communications strategy to meet their goals. Flexibility, use of available technology and embracing new communications methods may assist in meeting the supervisor's objectives. On the other hand, if the supervisor is conducting a job interview, performance review or disciplinary meeting, then a quiet, private location away from the general workforce would be best. COLLABORATION To the extent possible, a supervisor should strive to collaborate in communications. Invite listeners to an opportunity to participate in program planning to promote buy-in. This allows for employee participation and engagement in the material being presented, whether it is a training, a briefing or a performance review. This allows the communicator to be a listener as well. HIRING AND INTERVIEWING A supervisor must strive to identify and select applicants with the skills and qualifications that best match the position for which they are being hired. Therefore, supervisors should look to the requirements of the position and match them to a candidate's education, work experience, skills and other abilities. The decision to hire, may be made in conjunction with HR and other departments. CODAC has established interview questions by position that reduce the likelihood of asking irrelevant or immaterial questions. The

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interview questions also demonstrate that all candidates were subject to the same questions and may be used to create a record of each candidate's responses. Interviewing skills should be honed so that any questions that are inappropriate or that may elicit information that could give rise to liability risks are not asked of a candidate. Questions regarding the following could be problematic: • Parental status • Age • Religion • Citizenship • Birthplace • National origin/ancestry • Race or Color • Disability • Genetic information (including family history) • Sex (including pregnancy, gender identity and sexual orientation) • Political affiliation • Military service • Any inquiry that is not job related or necessary for determining an applicant’s potential for employment A supervisor must also be able to defend a hiring decision by properly documenting and articulating why one candidate was chosen over another. A supervisor should never make any promises to a candidate regarding an employment offer before one is made or about the permanency of the job. Any stray remark could lead a candidate to believe that they are being offered a long-term employment contract instead of a job that is at-will. Authorized representatives within CODAC’s Human Resources department are the only ones authorized to make employment offers. HONESTY Honesty is the central requirement in communicating about an employee’s performance. A candid conversation with an employee regarding the level of their performance must be the central purpose of performance management. It takes time and no small amount of effort to adequately communicate to an employee about their performance. Candid performance management that includes a detailed discussion of strengths and weaknesses may prove difficult for a supervisor that hopes to be popular. However, if approached in a positive fashion, addressing negative performance issues can be communicated in a way that an employee may use as a tool for growth. Finally, an awkward conversation regarding poor performance is often preferable to a larger problem later due to dishonesty. Less-than-truthful performance management conversations can lead to a number of liability risks. See the Limiting Liability Risks section. MAKE IT A CONVERSATION During a performance management conversation (especially one in which less-than-stellar performance is being discussed), supervisors may instinctually monopolize the conversation in order to end the meeting quickly. Instead, a supervisor should always ask for an employee's input regarding his or her performance and any barriers that may exist to achieving better results. Open conversations include open ended questions. By having this two-way conversation, a supervisor may learn of various challenges that could be addressed to improve performance.

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For example, an employee may disclose that they may need an accommodation in order to better complete job duties, such as access to specific accessible software. The supervisor can then follow internal procedures and engage the employee in an interactive process to arrive at a choice of reasonable accommodation, ensuring that HR is involved throughout the process. CONSISTENCY A supervisor should strive to achieve consistency by using uniform criteria for addressing performance. Employees should be confident that their performance is being evaluated in a consistent fashion. An employee's performance, development or leadership prospects should not depend solely on their supervisor. However, this does not mean that all employees will be evaluated in a similar fashion. In fact, each employee has their own particular performance/development goals that should be aligned with the requirements of their particular job. That said, criteria should be uniformly applied for all employees in the same job category. FAIRNESS To a great extent, fairness is derived by consistency. If an employee believes that they are being treated differently based on their supervisor, a protected trait or characteristic or because they may have filed a recent complaint, then the employee is much more likely to think of the process as unfair and, in certain cases, file a complaint of discrimination. If a supervisor is implementing workplace policies and enforcing employer expectations in a consistent manner across all direct reports, then the direct reports will be less likely to feel alienated, singled out or discriminated against. MOVING FORWARD Performance management should be a continuous process. A supervisor should always celebrate the successful attainment of current goals, but plan ahead by adding new goals. IMPLEMENTING DISCIPLINE AND TERMINATIONS One of the supervisor’s most important tasks in managing employee relations is to implement employee discipline. To do this effectively, a supervisor must be familiar with workforce policies and procedures. Once an incident of misconduct has been identified, or poor performance has become serious enough so as to warrant discipline, the timeliness of the response becomes crucial . Failure to address problems as they occur may increase liability risks. In addition, a delay in correcting a problem could also contribute to lower workplace morale if a problem persists unaddressed. A supervisor, in collaboration with Employee Relations (Human Resources) must determine the appropriate level of discipline for an employee. Often, a supervisor is in the best position to determine what the level may be, given that they may have direct knowledge of:

• An employee's training, performance, and discipline history; and • The consequences of the misconduct or poor performance.

Different types of conduct and performance issues merit different levels of discipline. If it is determined that formal disciplinary action is not recommended, at minimum a memo of conversation within Paycom is recommended to memorialize the concern.

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REVIEW OF DECISION FOR CONSISTENCY, PROPRIETY AND FAIRNESS In determining the appropriate level of discipline, a supervisor must ensure that the situation is addressed consistent with organizational policies and procedures and akin to the types of discipline that similarly situated employees have received. Policies and procedures must be implemented consistently throughout the organization. For example, if an employee is being terminated for arriving late to work for the third time, and another employee was only given a verbal warning, then the termination may be more difficult to justify or defend. A second level of review of discipline decisions is critical prior to any decision being communicated to the employee. An employee should never be terminated in the heat of the moment. Any termination decision or other decision involving advanced disciplinary measures must be subject to review by your direct supervisor and Employee Relations in the Human Resources department. DOCUMENTATION Documentation of strengths and challenges should occur whenever a success or a corrective/disciplinary conversation occurs. A written record of performance concerns, and ways in which they were addressed, including dates and follow up, serves as substantiating documentation when further disciplinary action is needed. Employee discipline should be properly documented, and files kept in accordance with internal policies and procedures. In addition, recordkeeping should comply with federal, state and local laws. In the event of litigation, any legal hold order (i.e., a notification to preserve certain information pending the outcome of an investigation or case) should be meticulously followed. INCREASING EMPLOYEE PRODUCTIVITY, ENGAGEMENT AND RETENTION Research has shown that one of the top reasons cited by employees leaving an organization is a negative relationship with their first-line supervisor. Employees may leave because of a distant relationship with a supervisor, a perception that the workplace is unfair or a belief that the supervisor will block career advancement prospects. A supervisor must be aware of their power to motivate - or to discourage - employees. Focusing on employee motivation may yield higher productivity, increased engagement and, ultimately, less undesirable turnover. With the right approach, you can learn what to do to improve your employees’ connection to their work and to CODAC. A supervisor must focus on motivation. Ask the employees for feedback on processes. Identify which goals or visions motivate employees into working harder to move forward. One of the most common mistakes supervisors make is to approach engagement as a sporadic exercise in making their employees feel happy— usually around performance review time or when things go awry. Motivating employees requires focusing on their workplace experience, and lines of communication. Employees that are able to share personal thoughts, perspectives and experience are likely to be more invested in the topic or task at hand. The engagement process should track individual, organizational, and any other relevant goals (e.g., team-based goals, professional goals) and strive for their alignment. Employees should understand how their individual contributions can lead to the organization's overall success - and the concept should be reinforced regularly. Failure to actively engage employees to do so could lead to increased absenteeism, higher turnover and wholesale employee disengagement. Additionally, motivated employees usually stick with the organization

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longer, improving overall employee retention. Because this affects the organization's bottom line, it is important to instill positive motivational behaviors in supervisors. DELEGATING TASKS Although the power to make a variety of employment decisions is part of the responsibilities of any supervisor, it is also important to not hold on to power at all costs. Working with top management and other departments such as Human Resources, collaborating with peers and reporting teams and delegating are all important parts of being a supervisor. It’s important to discern what is appropriate for delegation and what is important to handle individually. There is a balance that should be maintained, and it’s important to not delegate too much.

 Know when to delegate (e.g., routine tasks).  Know when NOT to delegate (e.g., hiring, firing and budgets).  Avoid undermining supervisors.  Set up a balanced system of availability and support.

A manager who is new to the role may experience some uneasiness with delegating. First, there is that natural tendency to think, “I can do this better or faster myself” or my direct report will “like me better” if I take this task from them. Second, a manager may be fearful to ask more of their employees. For instance, if the direct report fails at the task, the responsibility still rests with the supervisor; it is the supervisor who will take the heat, so to speak. There is also a certain loss of satisfaction and recognition; supervisors are often removed from day to-day interaction with members and their families and their own professional peers who remain in the arena of active, hands-on practice. Recognition of these inner barriers to delegation is the first step to overcoming resistance to this necessary aspect of authority. HOARDING POWER A supervisor often wants to hold on to whatever power he or she has been delegated. However, it is important to delegate with authority. Being a supervisor is not a "one-person show." Engaging in teamwork better achieves organizational goals. Simply put, delegation is an essential part of management. In addition to aiding a supervisor in completing necessary tasks and reaching organizational goals, delegation also has benefits for the team. For example, delegation may: • Provide developmental opportunities for employees; • Increase an employee's ownership of organizational challenges and credit when achieving results; and • Facilitate collaboration among delegates in reaching goals. However, if a supervisor is choosing to delegate certain tasks to an employee, then that supervisor must ensure that the employee has the necessary authority and training to complete the task. An employee must have the authority to complete a task if they are given one. If a supervisor does not fully delegate a task, then they may not hold that employee fully responsible for the results. Of course, even if a task is fully delegated, a supervisor can never dodge responsibility for a failure in completion or in outcome. If a supervisor does not want to fully delegate a task but thinks that exposure to a particular task could present a development opportunity for an employee, then the supervisor should work closely with the employee to provide feedback and, if necessary, coaching on how to better accomplish the task or a portion of a task.

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PROFESSIONAL DISTANCE Since there is a power dynamic differential between staff and supervisors, setting boundaries can be slightly complicated. Boundaries are important in a professional environment. It is natural to want to be liked, but if you end up only being the “cool boss,” employees might not respect you and you may run the risk of diminishing your role as a leader. A professional distance encourages an unbiased relationship with employees they work with. Blurring these lines or maintaining a friendship outside of work (Facebook Friends, Happy Hour, etc.) puts a manager at risk for accusations of favoritism or employee underperformance. This does not mean you should isolate yourself or not socialize with staff, it just means to proceed with caution. Close friendships with employees where there is a risk of divulging too much personal information or disclose of your private life may create a conflict of interest. The conflict of interest is in your ability remain impartial or fair, and in your ability to render constructive criticism. Keep your conversations professional, too. Avoid sharing anything that could be considered an overshare, such as details about your love life, politics, or other deeply personal information. This can make other people uncomfortable and invite boundary violations. THE ROLE OF HUMAN RESOURCES (HR) Supervisor should understand and respect Human Resources’ role in the organization. The collaborative relationship between Human Resources and management is invaluable. For example, a supervisor must be confident to manage a direct report's performance while understanding when to bring in Human Resources, such as when an employee requests an accommodation. In addition, the supervisor should be open to training sessions held by HR, such as on subjects regarding workplace policies and the employee handbook. LIMITING LIABILITY RISKS AGENT OF THE EMPLOYER A supervisor is an agent of the employer. what a supervisor does, an employer also does. In addition, a supervisor may serve as a role model to other employees. A supervisor must learn and communicate expectations for workplace conduct, which are formed by the following sources: Taken together, all these sources of workplace standards provide a supervisor a map for compliance. Ignorance of these standards is not acceptable at any level in the workplace hierarchy, but ignorance at the supervisory level is especially troublesome and may lead to increased liability risks for the employer. In highly regulated industries, such as healthcare, a failure to follow professional ethics codes or agency rules may threaten the very survival of an organization. INDIVIDUAL CAPACITY A supervisor may be sued in an individual capacity for employment law violations, including: • Wage and hour (e.g., overtime and working time issues); and • Sexual harassment. A supervisor may also be sued in his or her individual capacity for a number of other laws depending on the jurisdiction. For example, a supervisor may be sued in certain areas of the country for violations of the FMLA depending on the local federal circuit court's rulings. • Handbooks, policies and work rules; • Internal or professional codes of ethics; • Federal, state and local laws and regulations; and • Professional standards.

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A supervisor should take care to be aware of legal requirements and to do everything possible to avoid even the appearance of impropriety. Being the subject of a lawsuit does not only carry with it economic liability, but, depending on the severity of the allegations, a lawsuit may also tarnish a supervisor's reputation and disrupt personal relationships. COSTS OF NONCOMPLIANCE The costs for a workplace legal claim are not measured simply in the amount of the court's damages award or in the amount of the attorney's legal fees and costs. Other workplace costs include: • Devoting internal resources to defend the claim; • Pulling together documents; • Identifying witnesses and allowing time for witness interviews; • Providing depositions or trial testimony; and • Loss of productive worktime on other projects in order to attend to the defense of a claim. Because a supervisor will have to manage others' time and projects in the event of an external investigation or a court claim, it is in the supervisor's interest to minimize the potential for claims in the first place. EEO Equal Employment Opportunity (EEO) training must enforce internal policies and procedures. A supervisor should emphasize to direct reports and other employees that the organization values fairness in the workplace and will not tolerate instances of discrimination, harassment, retaliation, or bullying. A supervisor should be aware of federal laws that protect certain traits and characteristics, including: • Race • Sexual orientation • Sex, including pregnancy • Gender identity • National origin or ethnicity • Age over 40 DIVERSITY AND RESPECT A diverse workforce can allow for a free exchange of ideas. An inclusive environment can spark creativity, collaboration, spontaneity, and innovation, and may lead to a perception of the workplace by employees as one that is fair and hospitable. Workplace diversity encompasses various distinctions, including but not limited to: • Race; • National origin; • Sex; • Gender Identity • Sexual Orientation • Geography; • Generational identity • Locally protected traits. A supervisor should encourage interaction among diverse members of the organizations and foster respect for different views within the workplace. • Disability (Physical or mental) • Uniformed Service Member • Genetic Information • Religion • Color • Veteran Status • Any other protected by Federal, State or Local law

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CODAC established a formal Diversity, Equity and Inclusion (DEI) Committee in 2022 and participation by you and your direct reports is encouraged. Our communities are diverse, composed of many unique humans with different cultural backgrounds, ethnicities, races, and experiences. CODAC’s DEI committee helps ensure the diversity and reality of our communities are reflected in every aspect of our mission. RETALIATION PROTECTIONS A growing number of federal laws contain retaliation protections for employees. For example, employees who make complaints under the Fair Labor Standards Act (FLSA) are protected from retaliation for exercising rights guaranteed under the Act. In addition, the Family Medical Leave Act (FMLA) prohibits employers from interfering with or retaliating against an employee for exercising rights regarding requesting or taking protected leave. Many of these laws have state and local counterparts, so supervisors need to be aware not to take any adverse employment actions (such as termination) against an employee who either takes a protected leave or otherwise engages in protected activities. Depending on the jurisdiction, the following actions could be protected activities: • A worker injured on the job files for workers' compensation benefits; • A crime victim attends a trial; • A woman testifies in a co-worker's sexual harassment hearing; • An employee requests paid sick leave for a doctor's appointment; or • An accountant discloses information to the local labor department that she honestly believes to be related to illegal activity. A supervisor must be aware of all applicable laws that afford employees protections in the workplace in order to be fully compliant and to minimize liability risks. ADVERSE EMPLOYMENT ACTIONS As a supervisor, a number of actions that you are now authorized to take may give rise to liability if they are done in an unfair and discriminatory manner. If the following decisions are based on a protected characteristic or activity, then they could give rise to liability risks: • Hiring; • Compensation and benefits; • Performance reviews; • Refusing to process a grievance (in unionized environments);

• Promotions; • Demotions;

• Disciplinary actions; • Reassignments; and • Changes in job duties.

WAGE AND HOUR A supervisor must be intimately familiar with all applicable wage and hour laws and with organizational internal policies regarding overtime, timekeeping, and paperwork. The supervisor must be the immediate, frontline resource for employee questions and concerns regarding pay. Additionally, a supervisor must understand the difference between Exempt and Non-exempt employees in order to make management decisions (such as whether to approve a telecommuting request) and to ensure

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