Welcome and congratulations on becoming an employer of record! We are pleased to be your Fiscal Agent and we look forward to working with you and your employees! This video training series presents general information to support and assist you in your role as an employer. NOTE: Always check with your Program to verify details of this information and specifics of the law as they apply to you. If you have questions, please contact us. Terms to know. Important NOTE: Self-directed services means that Participants, or their representatives if applicable, have decision-making authority over certain services and take direct responsibility to manage their services with the assistance of a system of available supports. “You” in the following descriptions is inclusive and refers to the Participant and/or designated representatives. Acumen – The Fiscal Agent that helps you manage employer-related financial and other responsibilities pertaining to your self-directed services. Authorization – Documentation that specifies approved services, service codes, and number of units, hours, or dollars for delivery of goods and services included in the Plan of Care. Case Manager – Person assigned by the Program to work with you and facilitate details of your self-directed program (a Case Manager may be known by other titles, depending on Program terminology). Employee – Person who works for you and provides services to the Participant. Employer – Person who hires and supervises staff to provide services to the Participant (the Employer may also be the Participant). Fiscal Agent – (Acumen) provides payroll processing, tax services, payments and other administrative functions authorized by the Program. Participant – Person receiving services authorized by the Program (the Participant may also be the Employer). Payment Services – Payroll Services (employee-related payments and processing); Vendor Services (vendor-related payments and processing). Plan of Care – Plan you create with your Case Manager and team to determine Participant needs and how to meet them, based on the Participant’s preferences, choices, and abilities. It assists the Participant in directing their services. It includes the number, type and duration of approved goods and services. Program Administrator – Entity that manages the Program and/or waiver funding. Welcome to the module Employee Performance and Terminations. This module covers topics to help you be an effective employer. We hope you will find yourself working with motivated, helpful, hardworking staff who take their job seriously. Topics we will cover: set clear expectations for employee performance; create and maintain good working relationships with employees; recognize and appreciate employee’s efforts and good performance; address employee performance issues promptly with appropriate disciplinary action and documentation; terminate employees properly without violating labor laws; review what happens when terminated employees file unemployment benefit claims; provide employment verification for active and terminated employees; complete required forms (paperwork) within 24 hours that are related to these topics (information change, rate of pay changes, and termination). In the hiring process, you identified specific work an employee must do to support the Participant. You searched for, found, and interviewed interested applicants. Finally, you selected an applicant who meets the criteria for the job to be done. Welcome aboard! In your own experience, you’ve probably noted employees work best when they’re satisfied and happy with their job, and with their boss. Here are some ideas to help you start a good working relationship with your employee. On the first day, set clear expectations for the job to be done. Refer often to the job description you created. Explain working hours, tasks, and any other important information. Train your staff well so they can do the best job possible providing services to the Participant. Pay attention to interactions between the employee and Participant. Encourage the employee to ask questions and offer suggestions. Going forward. Keep employee information current. Use the Change Information Form. We will cover paperwork and forms shortly. Provide regular feedback to the employee about what’s going well and what needs improvement. Use Participant feedback on how things are going with the new employee. Ask the employee how things are going. Work with the employee to correct minor issues and continuously improve performance. Don’t delay giving feedback, both on good work and when you see something that needs improvement. Be consistent. Do what you say you will do. Follow up. Be tactful. Keep good records. Ask the employee to share work-related ideas and use them, when possible. Recognize and express appreciation for good performance. There are many no-cost and inexpensive ways to show appreciation: a note, a good word, positive feedback from the Participant, remembering special occasions (birthday, anniversary of first day of work, etc.) Encourage your employee. Say “please” and “thank you.” Even if your staff is small, perhaps just one employee, you can create a workplace where there is trust, respect, and compassion. This will benefit the Participant, the employee, and you. When things don’t go well. Finding the right employee for the job can be difficult. The employee you hired seemed perfect in the interview, maybe even got off to a great start, but then started to display certain behaviors that you consider unacceptable. Some performance issues are less serious than others, and can be corrected by talking through them with the employee and working on a corrective action plan. When there is a problem that you feel can be corrected, make sure the employee understands what is expected. It is helpful to write down the issues and go over them with the employee. This makes it clear what needs to change and what actions the employee needs to take, and in what timeframe. This will help you both avoid misunderstandings, and you have a good record of your agreements. Simple coaching may address other issues. Always follow up promptly on corrective actions to ensure performance is improving. Reasons for termination. Other actions are more serious and may result in further disciplinary action, up to and including immediate termination. Here is a list of some issues: fraud; physical, verbal, or emotional abuse; theft; alcohol or drug abuse while at work; behavior that makes you or the Participant feel unsafe or uncomfortable; performance is poor; does not follow instructions; argues with you or the Participant; is late frequently or fails to show-up; does not pay attention to Participant’s needs; cannot meet your scheduling needs. Let’s discuss two of these more serious issues. Fraud. What is fraud? Any misuse of funding is considered fraud. This includes submitting time worked for services that were not provided. For example, you might ask: What if my employee fills out their own timesheets? Your employee may fill out their own timesheets or enter their time in a web-based system. But it is your responsibility as the employer to review all time entries before approving them, electronically or by signature, to make sure they are correct. By approving employee time entries in a web-based system, or by signing your employee’s timesheets, you, as the employer, confirm that the hours being submitted for payment accurately reflect services provided. WARNING: Anything you approve knowing it is inaccurate could be considered fraud or fiscal abuse. This has serious consequences for anyone involved. It may result in being removed from the Program, and possibly include prosecution, and/or repayment of funds. What if my employee changes their timesheet after I approve or sign it? Acumen will not pay for any services that you did not approve electronically or that are not signed by you. NOTE: it is your responsibility to check your Account Statements regularly. An Account Statement is documentation Acumen prepares and sends you regularly, electronically or by mail, showing the status of your Program funds. Review your Account Statement carefully. It will show you what payments were made. You can check these and your available balances for accuracy. You can plan ahead with the information. The Account Statement also shows if your employee has any certifications coming due (if the Program requires). You can also check this information if you’re using a web-based time entry system by running reports. For more information, view the module, Understanding Account Statements and Pay Stubs, in this training series. How do I report fraud? If you suspect fraud, please call Acumen’s Customer Service Department immediately at (866) 795-7163 so we can notify the appropriate authorities. You can also view the Privacy, Fraud Protection and Safety training module in this training series. Abuse is another harmful behavior that must be avoided. Abuse comes in many forms: physical, emotional, verbal, and more. What is adult or child abuse? Abuse is neglect, exploitation, or causing harm to an individual. Anyone can become a victim. A Participant might suffer abuse from their caregiver, or an employee might be abused by the Participant or employer. No one should have to suffer being in an abusive environment. How do I report abuse? If you suspect abuse, neglect, or exploitation, it is your responsibility, by law, to report it to child welfare or adult protective services immediately so quick action can be taken. To report abuse, call your local Adult and Child Abuse Hotline or contact your local police department immediately. Be sure to report abuse to your Program’s Case Manager, as well. Occasionally, someone will report a situation to Acumen. Here’s what to expect if a report is filed with Acumen. Acumen reports the information to the Program Administrator. We do not conduct the investigation ourselves. Acumen gathers basic information such as how to contact you and passes this information on to the Program Administrator. The Program may contact you for more information, so be sure to keep good records and documentation of any suspicious activity. Your Program may require you to take additional steps after they receive a critical incident report. NOTE: Acumen is not able to provide information about the status of any pending investigation. At the Program’s request, Acumen may suspend the account and temporarily stop making payments for services. Payments will resume only when the Program notifies Acumen to do so. Another important employer responsibility is to document employee performance with enough detail so you have a clear record of events if you need to refer to them later. Here are some suggestions for good recordkeeping practices. Documentation. We strongly recommend that you keep a log of employee performance. A brief entry for each shift the employee works will help you recall feedback you want to give. It’s good practice to document both good and bad incidents. You can refer to the log to determine if the employee should receive a raise if/when funding becomes available or is within your budget. You also have a record of what needs to be worked on when you have performance review conversations with the employee. At a minimum, when an employee exhibits unacceptable behavior or there is some other performance issue, log the date and time of the occurrence and describe the incident. You should address the issue with the employee as soon as possible to correct any problems. Employee discipline. While some behavior may have obvious grounds for immediate termination, you may consider other behavior issues to be less severe. As an employer, you are able to take disciplinary action when an employee’s performance is poor. Appropriate discipline practices can include: verbal warnings; written warnings. All methods of discipline should be documented. Describe the details of what happened in writing, and note the number and dates of occurrences. Verbal warnings should be documented, and include in your notes what you said to the employee and the employee’s response. Written warnings should state in detail the nature of the offense; what the expectation is going forward; what the consequences will be if the offense occurs again. Both you and the employee should date and sign the document. File it in the employee record. The employee may request a copy of the document. By keeping a record of any personnel issues, you have the necessary back-up if you need to discipline or even terminate your employee. Termination. NOTE: this is general information. Be sure to check with your state’s Department of Labor (DOL) for employment laws and rules, exceptions and additional considerations in your state regarding employee discipline and termination. These may differ from state to state, so be sure to check. If disciplinary action failed to correct your employee’s behavior or improve poor performance, you may choose to terminate employment. You do not have to tolerate bad behavior and poor performance! In most states, both you and your employee have the right to terminate employment for any reason, with or without cause, at any time. The term for this is at-will-employment. THERE ARE EXCEPTIONS. Be sure to check with your state’s Department of Labor (DOL) for rules in your state. In states that are exceptions, a different process must be followed that may require a probationary performance period, and then require cause. Even states with at-will-employment law may have certain exceptions that prohibit disciplining or discharging-at-will for such things as: being called to military service, jury duty, political opinions or voting, exercising right of association, wage garnishment, filing a Workers’ Compensation claim, and whistleblowing. It is always important to treat your employees professionally and fairly. It’s critical that you do not violate any labor laws. When you decide to terminate an employee, the same laws apply as when you were hiring. You may not discriminate against any employee on the basis of the employee’s race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran or disabled status, or genetic information. For a complete list of federal, state and local labor laws, check with your state’s department of Labor (DOL). When you have made the decision to terminate an employee, things can be difficult and tense. Here are some tips for conducting a smooth termination. Comply with your state’s employment laws. Follow the correct process whether or not your state is an at-will-employment state. Comply with your state’s final paycheck law. These laws may differ from state to state. It is essential that you notify Acumen within 24 hours of termination. You must complete and submit the termination form in the same time period. This notice will allow Acumen to prepare and deliver the final paycheck in compliance with your state’s law. Keep your personal safety in mind when you plan the termination conversation. If you have any reason to think your own or the Participant’s safety will be a factor, you may wish to have another person with you at the time of termination. In an extreme situation, contact your local authorities. If there is no concern about the employee’s response, you may want to extend the courtesy of telling the employee in person that you will no longer be requiring their services. However, you also have the option of communicating a termination by telephone. Be sure to ask for the return of any personal property. Such items may include house keys, car keys, etc. Document the termination, and include a list of any property returned or not returned at the time of termination. Notify Acumen within 24 hours. As the employer, it is your responsibility to report all employee terminations within 24 hours of termination. This includes completing and submitting the termination form. If you fail to notify Acumen immediately, there is increased risk of unauthorized payment, if your employee submits time without your knowledge. You, as the employer, will be personally liable for any incorrectly issued paycheck resulting from failure to notify Acumen within 24 hours of the employee’s termination. If termination takes place after business hours or on a weekend, leave Acumen a voicemail or email message and then follow-up with us when the Acumen office reopens. Here is a sample of the form that Acumen requires to terminate an employee. It is called the Termination Form which must be completed and sent to Acumen immediately. Instructions for sending it to Acumen are printed on the form. We’ll review forms shortly. Unemployment benefits. Will your terminated employee be eligible for unemployment benefits? Your former employee may be eligible for unemployment benefits upon termination, depending on the reason for termination and several other factors as determined by your local unemployment office. Unemployment Insurance is included in the Employer tax that Acumen is paying on your behalf. You can refer your former employee to their local unemployment office for more information or to apply for benefits. As an employer, you will be required to complete any unemployment paperwork. Acumen completes a portion of this information for you. We provide the wages, hire date and termination date, if known. We also direct the unemployment office to contact the employer (you) for reasons for termination. You are responsible to provide this information when the unemployment office requests it. Failure to do so may result in an increase of the employer burden (taxes) which could have an effect on the budget available. What is verification of employment? Sometimes current or former employees may need to show proof of employment. They may need this qualify for financial assistance, such as a loan, apartment lease, or unemployment benefits. Information that is usually requested: initial hire date; if the employee is still employed by you; termination date, if any; how many hours the employee typically works (or worked); how much money the employee makes (or made). Acumen will respond to these requests on your behalf providing we receive the request in writing, showing the employee’s consent to provide the information. Acumen will respond within five (5) business days. Fax employment verification requests to Acumen at fax # 877-277-3049. There are several required forms to complete employee actions mentioned in this module. These are: Change Information Form: Employee; Employee Rate Form; Employee Termination Form (required within 24 hours of termination). You can download all these forms from the Acumen website. You may also request to have them sent to you by calling Acumen Customer Service. Instructions are printed on each form. All forms require your signature as the employer. You are also responsible to submit completed forms to Acumen. Use the Change Information Form: Employee version to notify Acumen of any change in employee information. Here’s a sample Change Information Form for employees. The employee (the person who works for you) should supply the information. Examples of changes that may require you to use the Change Information Form are changes of: name, address, phone number, and email address. it is your responsibility to report all employee changes promptly so there are no miscommunications. Use the Employee Rate Form to make a change in the rate of pay. Here’s a sample Employee Rate Form. Use the Employee Rate Form when you notify Acumen of a pay rate increase. This may be a raise that you choose to give your employee, based on your Program budget that is within Program rules. It may reflect adding a new service for the Participant. Or it may be a result of a tax increase which impacts the employee’s wage. Return this form to Acumen promptly to comply with the effective date of the change. Use the Employee Termination Form to notify Acumen of an employee termination. Here’s a sample Employee Termination Form. Use the Employee Termination Form to notify Acumen of an employee termination. This is highly time sensitive. Submit the Employee Termination Form to Acumen within 24 hours of employee termination. Remember to pay careful attention to the final check law in your state. Review. We covered a lot of information today. Let’s review the highlights. Set and communicate clear expectations for employee performance. Create and maintain good working relationships with your employees. Recognize and appreciate your employee’s efforts and good performance. Address employee issues promptly. If you suspect fraud, call Acumen’s Customer Service Department at (866) 795-7163 so we may notify the appropriate authorities. To report abuse, call your local Adult and Child Abuse Hotline or contact your local police department, then contact your Program’s Case Manager. It is your responsibility to document any and all personnel issues. Discipline fairly and within DOL laws and rules. Most states have at-will-employment laws. This means you and your employee have the right to terminate employment at any time with or without cause. There are exceptions to this. Know your state’s laws/rules and act accordingly. Do not discriminate. Your employee may be eligible for unemployment benefits upon termination, depending on the reason for termination as determined by your local unemployment office. Both you and Acumen will provide information to the local unemployment office. If your current employee or one who was terminated needs to obtain verification of employment, you will fax a request, showing the employee’s consent to release information, to Acumen at 877-277-3049. Acumen will respond within five (5) business days. As the employer, it is your responsibility to report all employee changes, including pay rate changes, promptly using the correct forms. A termination form must be completed and returned to Acumen within 24 hours of employee termination. Congratulations! And thank you for completing the Acumen Employer Training module, Employee Performance and Terminations. It can be challenging to supervise people and manage their performance. We hope this module provided some useful information and tools to help you bring out the best in your employees and deal effectively and confidently with employee-related issues. Welcome to Self-Direction. Welcome to Acumen!