The document outlines key challenges for leaders in personnel management, such as investing in leadership development, fostering collaboration, and ensuring effective communication. It addresses absenteeism, attendance issues, and workplace conflicts while providing strategies for managing difficult employees and implementing discipline effectively. Additionally, it covers discrimination laws and policies, emphasizing the importance of an inclusive and respectful work environment.

1. Addressing
Personnel Issues
with Confidence
Robin Carlin
Ohio Turnpike Management Development Program
Presentation – September 5, 2014

2. Top 5 Challenges for Leaders
1. Invest in leadership development by investing in your best
employees. Build the best team you can, then invest to make them
better.
2. Create a culture of collaboration – only in a culture of collaboration
can developing leaders work together to bring out their best.
3. Develop communications skills – good communicators build teams
and trust; poor communicates create and feed uncertainty.
4. Drive and sustain real accountability – leaders must be accountable,
solve problems and own their failures to be credible when claiming
success.
5. Be human and reward emotional intelligence – key emotions
include self-awareness, self-regulation, motivation, empathy and
social skills.

3. The Common
Denominator
Managing your people
Managing your staff will encompass more than a third of
your workday. What do you need to be successful?

4. This Is Your Class
What do you want to
learn?

5. Current Issues
Confronting Managers
• Absenteeism
• Attendance
• Tardiness
• Leaves of Absence
• Accommodating
Employees
• Workplace Violence
• Disruptive Employees
• Disrespectful
Behavior
• Discrimination
• Favoritism
• Harassment
• Interpersonal Conflict
• Reasonable Suspicion

6. Absenteeism/Attendance
• Unscheduled absenteeism costs employers 8.7% of their
payroll costs per year (money paid out to employees
through wages and benefits). Indirect costs include
overtime, hiring additional labor, lost productivity, low
morale, employee fatigue for carrying extra work,
customer dissatisfaction, and loss of revenue.
• Unscheduled absenteeism rate in the U.S. is 9% - that’s
nearly one in ten workers off work.

7. Absenteeism/Attendance
• Personal illnesses account for 35% of unscheduled
absences, while other reasons include family issues
(22%), personal needs (18%), entitlement mentality
(13%) and stress (13%).
• Nearly one-third of working Americans between ages 19
and 64 suffer from at least one chronic disease.
• The use of intermittent FMLA leave has increased 150%
since 2000.

8. Absenteeism/Attendance
• 20% of American workers are late to work at least
once/week; one in ten workers are late at least
twice/week.
• December is the leading month for employees to call in
sick (Happy Holidays!).

9. Questioning Absences
Legitimacy or Necessity for
Leave
• Does the request fall under
the reasons outlined in the
policy or CBA?
• How many times has the
employee called in sick the
past 12 months?
• Could this be a valid reason
under FMLA?
• Can the “appointment” be
scheduled outside normal
working hours?
Documentation/Verification
• Will the employee be off for
less than 3 work days?
• Has the appropriate medical
documentation been
requested and/or submitted?
• Does the documentation
look authentic?
• Has a pattern of absences
been developed? If so, has
HR already sent out a
notification letter or should
a referral be made to HR?

10. Vacation Leave:
Require advance notice,
where practical. Limit #
of people off in your
department/division per
the contract or policy.
Unpaid Leaves of Absence
• General acceptable reasons include
sickness/illness or injury, when all FMLA and
S&A eligibility has been exhausted and the
employee is expected to return to work.
• All sick leave, vacation leave, and “H” days must
be used before unpaid leave will be considered.
Exception is bargaining unit employees are not
required to exhaust vacation leave if the absence
is FMLA-related.
• See also Policy 3.8 of the Employee Manual and
Article 13 of the CBA.
• Approval for unpaid leave will generally not
exceed 30 days and will only be in extraordinary
cases.
Personal Leave
2 days/year for
bargaining employees.
Can you cover
employees for requested
time off?

11. How to Address
Absenteeism
• Review the employee’s absences and meet individually with
him/her to bring forth concerns regarding absenteeism.
• Identify the causes for an employee’s absenteeism – if you can
find out why, you can more effectively deal with the problem
and possibly find a solution.
• Require verification of illnesses – don’t be afraid to request
supporting documentation.
• Identify and address pattern absenteeism – if you notice a
pattern is forming, request HR assistance.
• Follow-up – if improvement occurs, be sure to tell the
employee. If not, be prepared to take next steps.

12. FMLA, ADA & How They Interplay
Definition of a Disability
Substantially limited
Undue hardship
Reasonable Accommodation
ADA/ADAAA
1
FMLA
Serious health condition vs.
Disability
Reasons for Leave
Length of leave as a form of
accommodation
Medical Certification vs. ADA
Request for Accommodation
Benefits Continuation
Reinstatement provisions
How They Interplay
Qualified employees are
entitled to 12 weeks per year.
Serious health condition for
self, child, spouse or parent.
Qualifying exigency leave.
Injured service member.
32

13. Dealing with the Difficult
Employee
• Workplace Violence – know the policy, what it
encompasses and don’t gloss over it.
• Workplace Disruption – handling an employee who is
slowing the work done, lowering the morale, purposefully
creating tension in the workplace or with their supervisor.
• Disrespectful Behavior – stop it before it becomes
infectious.

14. Workplace Conflicts
The types of conflicts you may encounter:
1. Interpersonal – conflict between two individuals. May cause
damage within a department.
2. Intrapersonal – personal struggle within an individual that
interferes with work output or relationships.
3. Intragroup – conflict among individuals within a team.
Results in team dysfunction, lack of progress.
4. Intergroup – misunderstanding that arises among
departments. Oftentimes occurring due to varied goals or
interests.

15. Reasonable Suspicion
Testing conducted after there is reasonable cause for suspicion
of using or being under the influence of drugs or alcohol at
work.
• Testing based upon observable signs and symptoms of possible
drug/alcohol use.
• Testing conducted during a time when individual exhibits signs
and symptoms.
• Not based upon second hand reports.
• Preferable if the decision to test is made by 2 supervisors who
concur.

16. Reasonable Suspicion
Steps
• Observation/Documentation
• Notification to individual
• Consent or refusal to consent
• Transportation of individual to testing facility
• Specimen collection
• Documentation to HR
• Test result notification to HR
• Outcome

17. Thank you!
Questions?

18. Discipline
Purpose
The purpose of discipline is not to
punish an employee. It is an
attempt to work with the
employee to stop improper
conduct.
Always focus on the conduct and
not the person.
Progressive Discipline
• Counseling/Caution &
Instruction
• Verbal/Oral Reprimand
• Written Reprimand
• Unpaid Suspension
• Termination
Other forms:
• Demotion/Reduction
• Working Suspension
• Reassignment

19. Discipline &
Documentation
Why Document?
• If it was not documented,
it didn’t happen.
• If it was not documented
at or near the time of the
event, it is not reliable.
• If the documentation is
incomplete or inaccurate
it is not reliable.
Elements
• Written, dated and timely
• Factual and specific (what exactly
happened, who was involved, where
did it happen)
• Objective – focus on the job-related
behavior and standards, rule or
policy violated
• Not speculative (If I were to guess,
the employee…)
• No editorial comments, no
inappropriate remarks

20. Discipline: 7 Tests of Just
Cause
4. Fair and objective investigation. Was an investigation
conduct, individuals interviewed, written statements?
5. Proof/Substantial Evidence Was there sufficient evidence to
support a finding of guilt?
6. Equal Treatment. Has the employer applied its rules, orders
and penalties evenhandedly and without discrimination?
7. Appropriate penalty. Was the degree of discipline reasonably
related to seriousness of the offense?

21. Discipline: Mitigating
Factors
• Tenure/Seniority of the employee
• Management contribution to the problem/other
employee(s) aggravating situation
• Employee remorse/willingness to atone
• Personal circumstances (custody battle, divorce, financial
problems)
• Previous discipline/clean record
• Whistleblowing/statutory protections

22. Difficult Disciplinary
Issues
• Insubordination vs. Disrespectful Behavior
• Willful refusal to follow a direct order vs. just being a pain.
• Rule of 3 followed – give the order, explain that refusal to
follow direct order will result in insubordination, explain
that the employee has now refused and their refusal will
result in a charge of insubordination and do they understand
this (immediate termination Article 9).
• Clear instructions with consequences explained. Do not rush
to discipline or this may be viewed as escalating.

23. Difficult Disciplinary
Issues
Addressing Insubordination:
• Remain calm – speak a little softer so the employee has to
lean in to hear
• Do not argue – conflict has already escalated
• Do not retaliate – you are a supervisor and held to a
higher standard
• When possible, obtain a witness
• Document immediately

24. Discipline: 7 Tests of Just
Cause
1. Reasonable rule or order. Was the employer’s rule or order
reasonably related to the orderly, efficient and safe operation
of the employer’s business and the performance the
employer might properly expect?
2. Notice. Did the employer give the employee forewarning of
the possible consequences of the disciplinary conduct?
3. Effort to determine if there was a violation. Before
administering discipline, did the employer make an effort to
find out if the employee did violate or disobey a rule or
order?

25. Investigations
• All investigations are taken seriously.
• Facts will be gathered.
• List of witnesses and affected parties will be prepared.
• Who, what, when, where and why will be answered.
• Determine whether or not other individuals have been
subjected to similar situations.
• Interviews will be conducted and/or statements
obtained from the alleged victim, alleged
harasser/instigator, and any witnesses.

26. Investigations
• Determine whether this behavior had been reported
before, and if there was a past pattern of this type of
behavior.
• Consider the severity, frequency, pervasiveness of the
conduct when recommending or imposing discipline.
• Investigation is not “confidential” but is kept to a
“need to know” basis.
• Remind all parties involved in the investigation of
the Commission’s policies and to report any
additional information – discuss issue of retaliation.

27. Investigations &
Discipline
• Investigation report completed (4th Test of Just
Cause)
• Recommendation to discipline made.
• Pre-disciplinary hearing scheduled, if applicable.
Weingarten rights must be given.
• Level of discipline recommended.
Reprimands Supvr./Dept. Head
Suspensions Director of Administration
Terminations Director of Admin, General
Counsel, Executive Director

28. Grievances
• What is a Grievance? See also Article 11.
• Misunderstanding, misapplication or miscommunication of
an Article in the CBA.
• An opportunity to improve communications between
Commission and Union or between Supervisor and
Employee.
• General Rule: Follow orders now, grieve later.
• Exception: safety and health.

29. Grievance Process
• Step 1 – formal and informal, grievance presented to and
answered by Foreman or Toll Plaza Supervisor.
• Step 2 – formal, grievance answered by Division
Superintendent or District Toll Plaza Supervisor.
• Step 3 – formal, grievance answered by the Director of
Administration.
• Pre-Arbitration – informal, grievance reviewed by
General Counsel and possible settlement or movement to
arbitration discussed with Union.

30. Avoiding Grievances
• Establish and respect lines of communication with your
employees and be familiar with their concerns.
• Be open and communicate with employees – letting them
know what’s going on (within limits).
• Listen to employees. Oftentimes, employees just need to
vent. Use this as an opportunity to improve
communications.

31. Avoiding Grievances
• Be fair and consistent. Follow the contract and treat all
employees the same with respect to rules and rule
violations.
• Read and be familiar with the labor contract.
• Do not discuss sensitive employee issues with other
employees.
• Praise employees, when appropriate.

32. Workplace
Discrimination Defined
Discrimination occurs when an employee or group of
employees are treated less favorably than similarly
situated employees based on their protected class
status.
The difference in treatment can be blatant – such as
jokes, slurs or innuendoes – subtle, such as job
assignments, training and promotion.

33. Protected Classes
• Age
• Race/Color
• Sex/Gender/Orientation
• Religion
• National Origin/Ethnicity
• Disability
• Veteran Status

34. State & Federal Laws Governing
Nondiscrimination
• Civil Rights Act of 1964 and 1991
• Equal Pay Act
• Age Discrimination in Employment Act
• Pregnancy Discrimination Act
• Rehabilitation Act
• Americans with Disabilities Act
• Family and Medical Leave Act
• Ohio’s Fair Employment Practices Act (ORC 4112)

35. Age Discrimination
• The Age Discrimination in Employment Act of
1967 protects individuals who are 40 years or older
from employment discrimination based on age.
• Applies to hiring, termination, promotion, layoff,
compensation, benefits, job assignments and
training.
• No age preferences, limitations or specifications
unless BFOQ.

36. Race/Color
Discrimination
• Title VII of the Civil Rights Act of 1964 protects
individuals against employment discrimination on the
basis of race and color.
• Also prohibited are actions based on stereotypes and
assumptions about abilities, traits, or the performance of
individuals of certain racial groups.

37. Religious Discrimination
• Title VII of the Civil Rights Act of 1964 prohibits
employers from discriminating against individuals
because of their religion.
• May have to reasonably accommodate religious
requests, unless to do so would create an undue
hardship on the employer or violate the collective
bargaining agreement.
• Issues may include time off, dress code, job
reassignments, seniority system, union dues.

38. National Origin
Discrimination
• Title VII of the Civil Rights Act of 1964 protects
individuals against discrimination on the basis of national
origin.
• Birthplace, ancestry, culture, linguistic characteristics.
• Marriage or association; Membership or association with
specific ethnic groups.
• Attendance or participation in schools, churches, temples,
or mosques.
• No English-only.
• Immigration Reform and Control Act

39. Sex Discrimination
• Title VII of the Civil Rights Act of 1964 protects
individuals against discrimination on the basis of sex or
gender.
• EEOC guidance in 1980 addressing sexual harassment.
• Governor Strickland’s Executive Order 2007-10S.

40. Pregnancy
Discrimination
• The Pregnancy Discrimination Act of 1978
amended Title VII of the Civil Rights Act of 1964.
• Prohibits discrimination on the basis of pregnancy,
childbirth, or related medical conditions.
• Impacts hiring, benefits, assignments, leaves.
• See also Family and Medical Leave Act.

41. Disability Discrimination
The Americans with Disabilities Act of 1990
prohibits private employers with 15+ employees
and all public employers from discrimination
against qualified individuals with a disability.
• Qualified individual with a disability
• Substantially limits
• Major life activity
• Reasonable Accommodation
• Undue Hardship

42. Veteran Discrimination
• Vietnam Era Veterans Readjustment Assistance Act of
1974 protects the employment rights of all disabled
veterans and sets forth obligations of employers to
military reservists and National Guard members called to
active duty.
• See also Uniformed Services Employment and
Reemployment Rights Act (USERRA)

43. Sexual Harassment
EEOC Definition:
“Unwelcome sexual advances, requests for sexual favors,
and other verbal or physical conduct of a sexual nature
constitutes sexual harassment when submission to or
rejection of this conduct explicitly or implicitly affects an
individual’s employment, unreasonably interferes with an
individual’s work performance or creates an intimidating,
hostile or offensive work environment.”

44. Types of Sexual
Harassment
• Quid Pro Quo
• Hostile Environment
• Third Party Harassment
• Same Sex Harassment

45. Hostile Work Environment
• Frequency of the unwelcome discriminatory
conduct.
• Severity of the conduct.
• Whether the conduct was physically threatening or
humiliating, or a mere offensive utterance.
• Whether the conduct unreasonably interfered with
work performance.
• Effect on the employee’s psychological well-being.
• Alleged harasser’s role in the organization.

46. Examples of Inappropriate
Conduct
• Discussing sexual activities
• Telling inappropriate jokes
• Undesired, intentional touching (i.e., embracing,
patting, pinching)
• Commenting on physical attributes
• Displaying sexually suggestive pictures
• Using demeaning or inappropriate terms such as
“babe”, “honey”, or “sugar”
• Using indecent gestures

47. Examples (Cont.)
• Sabotaging the victim’s work
• Granting job favors to those who participate in
consensual sexual activity
• Using crude or offensive language
• Engaging hostile physical conduct
• Discriminatory ridicule or insults
• Threat of rape or attempted or actual sexual assault