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PERSONNEL POLICY MANUAL THE ADVOCACY ALLIANCE AN EQUAL OPPORTUNITY EMPLOYER November 11, 2011 TABLE OF CONTENTS I. II. III. IV. V. VI. VII. VIII. IX. X. XI. XII. XIII. XIV. XV. XVI. XVII. XVIII. XIX. XX. XXI. XXII. XXIII. INTRODUCTION __________________________________________3 GENERAL POLICY ________________________________________3 RESPONSIBILITY OF ADMINISTRATION _______________________3 EMPLOYMENT ___________________________________________4 WORK HOURS OF EMPLOYEES _____________________________5 SALARY ADMINISTRATION _________________________________5 EMPLOYEE BENEFITS _____________________________________6 EMPLOYEE FILES ________________________________________6 PAID TIME OFF ___________________________________________7 HOLIDAYS _______________________________________________7 BEREAVEMENT LEAVE ____________________________________8 FAMILY AND MEDICAL LEAVE ______________________________8 MILITARY LEAVE _________________________________________8 JURY DUTY ______________________________________________8 TEMPORARY LEAVE OF ABSENCE __________________________8 TERMINATION OF EMPLOYMENT ___________________________9 GRIEVENCE PROCEDURE ________________________________10 DISCIPLINARY PROCEDURE ______________________________10 EMPLOYEE ACCIDENTS AND SAFETY ______________________10 EMPLOYEE PERFORMANCE EVALUATION ___________________11 EXPENSE ALLOWANCE __________________________________11 JOB DESCRIPTIONS _____________________________________12 TABLE OF ORGANIZATION ________________________________41 2 I. INTRODUCTION This Personnel Policy Manual was designed to provide you with an overview of the Advocacy Alliance (the “Alliance”) policies and procedures. These are the current policies and procedures, which are subject to change at any time, with or without prior notice. The information contained in the Personnel Policy Manual applies to all regular and temporary employees of the Alliance, and not to any independent contractors or other persons associated with The Advocacy Alliance. The information contained in this Manual will acquaint you with important information that affects your day-to-day work life with the Alliance. These policies and procedures are guidelines and should not be construed to imply specific terms of a contract between any employee and The Advocacy Alliance: all employees of the Alliance are at-will employees, who may be terminated at any time, for any reason or for no reason at all. If you have any questions about the provisions in this Manual, please consult with your supervisor. II. GENERAL POLICY It is the policy of the Alliance to: 1. Recruit, select and advance employees on the basis of their relative ability, knowledge, and skills, including open consideration of qualified applicants for initial appointment. 2. Provide equitable and adequate compensation. 3. Train employees, as needed, to ensure high quality performance. 4. Retain employees on the basis of the adequacy of their performance, correct inadequate performance, and separate employees whose inadequate performance cannot be corrected. 5. Assure fair treatment of applicants and employers in all aspects of personnel administration without regard to race, age, religion, national origin, political or union affiliation, marital status, sex, psychiatric or other disabilities. 6. Actively recruit, hire, and retain employees who in the past received or presently are receiving mental health services and/or mental health self-help supports. III. RESPONSIBILITY OF ADMINISTRATION The Chief Executive Officer of the Alliance has the responsibility for administering the written personnel policies that have been approved by the Board of Directors. To handle situations not covered by written policies, the Chief Executive Officer may take temporary problem solving action without Board approval, keeping the Chairman of the Personnel Committee informed of significant circumstances that may indicate the need for future development of formal policies. Changes or amendments to the Personnel Policy Manual may be made by the Chief Executive Officer in consultation with the Personnel Committee and are subject to the approval of the Board of Directors. Any such changes may be made with or without prior notice to employees of the Alliance. Every employee with supervisory responsibility is expected to be familiar with these personnel policies and should consult with the Chief Executive Officer on questions of interpretation before decisions are made or action taken. All employees will receive a copy of these policies. 3 IV. EMPLOYMENT The Chief Executive Officer shall develop and conduct an active recruitment program designed to meet the Alliance’s immediate and projected staffing needs. Recruitment will be planned and conducted in a manner that assures open competition. In order to attract an adequate number of candidates for present or anticipated vacancies, the Alliance will, as appropriate, issue job announcements and otherwise publicize vacancies through such media as deemed appropriate. Job announcements shall include the title, qualification requirements and other pertinent information. Job announcements shall be open for a reasonable period of time, not to exceed ten days, so as to allow candidates an adequate opportunity to file employment applications. 1. Affirmative Action: It is the policy of the Alliance to administer personnel actions such as hiring, promotion, separation, compensation benefits and training without regard to race, age, religion, national origin, political or union affiliation, marital status, sex, psychiatric or other disabilities. Equal employment opportunities are protected by the Alliance in all phases of employment. No retaliation will be taken against employees exercising their rights under company policy or applicable law. 2. Hiring Practices: All applications for employment shall require background information describing in detail the applicant’s training, experience, and other pertinent information. The Alliance may require proof of any applicant’s representations at its discretion, and may contact previous employers and educational institutions to verify employment and education. 3. Chief Executive Officer Hiring Procedure: A Search Committee shall be appointed by the President of the Board of Directors to recommend a candidate for Chief Executive Officer. The Committee will include the President, Chairman of the Personnel Committee and five members-at-large. The Committee will transmit information regarding the selected candidate to the Board of Directors for approval. 4. Staff Hiring Procedure: The Chief Executive Officer as chief staff administrator is accountable to the Board of Directors. He/She is given the authority to employ, supervise and discharge all other employed staff members, to make staff assignments and generally, as delegated by the Board, to administer personnel policies. The Chief Executive Officer delegates responsibility as he/she deems appropriate within the framework of the personnel policy, place of work and the budget adopted by the Board. The Chief Executive Officer shall be responsible for determining the selection of personnel for the various types of positions. Methods of selection may include structured interviews, rating of training and experience, work sample and performance tests, background and reference tests. A reasonable number of candidates will be considered for every opening to assure that the best person available is hired. 5. Promotion: Present employees will be made aware of openings and qualification requirements for any vacant positions. Current employees are encouraged to apply for different positions with the Alliance. 4 6. Types of Appointment: Staff shall be appointed to positions with the Alliance under any of the following types of appointments: Regular Full-Time Appointment – An employee who has completed his or her probationary period; who works at least 37.5 hours per week and is eligible for Health Care and other Insurance benefits. Regular Part-Time Appointment – An employee who has completed his or her probationary period and who works less than 37.5 hours per week. Temporary Appointment – An employee who has completed his or her probationary period and who’s employment shall not exceed one year. 7. Probation: All new regular and temporary employees shall be placed on probation for a mandatory period of three months. At any time during this period the employee’s performance will be evaluated. Upon completion of the evaluation by a direct supervisor, the employee (1) may be given regular status, (2) may be terminated, or (3) may continue as a probationary employee until such time as the employee’s performance rises to an acceptable level. All current employees transferred or promoted to a different position with the Alliance shall be placed on probation in the new position for a period of three months, during which period the employee’s performance will be evaluated by a direct supervisor. This procedure shall also apply to temporary employees except that upon completion of the evaluation regular status will not be given. Regular and temporary employees may also be placed on probation at any time during the employment relationship as a disciplinary measure at the discretion of the Chief Executive Officer. V. WORK HOURS OF EMPLOYEES The Advocacy Alliance is open from 9:00 A.M. to 4:30 P.M., Monday through Friday. Employees may be scheduled for different hours, depending upon the need. Schedules will be altered to meet work demands not personal preferences of employees. Employee schedules are to be approved by a direct supervisor. Additional time demands, such as evening meetings sponsored by the Alliance or by other agencies, when representation by the Alliance is indicated, must be the considered the responsibility of the staff. In these instances, compensatory time on an hour for hour and a half basis is allowed for all nonexempt staff. Earned compensatory time must be used in the same pay period in which it was earned. VI. SALARY ADMINISTRATION Salary increases/adjustments are awarded based upon merit or promotion. Merit increases are based upon the previous year’s performance as revealed in the annual employee performance evaluation, and are a fixed amount or percentage of the current base salary added to the current base salary. Promotional adjustments are based upon an employee being promoted to a new position, and are awarded in accordance with the salary range associated with the new position. Salary increases/adjustments are granted when recommended by the Personnel Committee and approved by the Board of Directors, as feasible within the operating budget. Salaries are paid on the fifteenth and last day of each month. 5 VII. EMPLOYEE BENEFITS Generally, insurance coverage for an eligible employee commences of the first day of the month that begins after thirty (30) days following the employee’s date of hire. Thus, for example, insurance coverage for an eligible employee hired on January 15 would commence on March 1. This does not constitute a contract or a guarantee, and the Alliance has the right at any time to change the employee benefit plan. 1. Medical/Life/Disability Insurance: The Alliance provides Health Care, and Life and Disability Insurance for full-time employees. 2. Benefits and conditions of these policies are contained in descriptive booklets provided by the insurance carriers. Insurance coverage may be extended, in accordance with COBRA regulations, following termination of the employment relationship at the employee’s expense. 3. Worker’s Compensation Insurance: All employees are covered by worker’s compensation, which provides for benefits in case of on-the-job injury. 4. Pension: The Alliance provides a pension plan for full-time and part-time employees who have worked at least 2 years. The employee must be 21 years of age. Employees working less than 20 hours per week will be excluded from the pension plan. 5. Other Benefits: Other benefits may be provided as deemed appropriate by the Board of Directors. VIII. EMPLOYEE FILES It is the policy of the Alliance to maintain a record of employment and personnel action and activities on each employee of the Alliance. Information in each employee’s file may include, but is not limited to, the following documents: 1. A resume of prior employment, education, and job qualifications; 2. Letter of notification of selection of employment including date of hire (starting date, if not the same as the date of hire), position and salary, and special conditions of hire, etc.; 3. A copy of job description; 4. Copy of notification of changes (i.e., promotions, change in hours worked, etc.); 5. Letter(s) of Commendation; 6. Letter(s) of Reprimand; 7. Copies of performance evaluation reports; and 8. Record of work attendance and Paid Time Off accrued. Any and all information, evaluations, etc. retained in the employee’s personnel file shall be confidential in nature, and shall be available to the employee for review upon request. No information contained in this file will be released to any party outside the Alliance absent court order. Employee personnel files shall be retained in a locked file cabinet along with other Alliance documents and records of a confidential nature. 6 All information in the employee’s personnel file is, and shall remain, the property of the Alliance. Upon request, any and all information in an employee’s personnel file shall be available for the employee to review in the Chief Executive Officer’s office, or at an appropriate alternate location designated by the Chief Executive Officer, but not more than twice a year. Should the employee wish to challenge as inaccurate, irrelevant, outdated, or incomplete any information contained in his/her file, a formal written request shall be forwarded to the Chief Executive Officer or, in his/her absence, to the President of the Board of Directors. A review of the written request will occur within forty-five (45) days of the receipt of the request, and a decision relative to the alteration or removal of the challenged information will be made by the Personnel Committee and will follow within thirty (30) days thereafter. Should the employee disagree with the decision made by the Personnel Committee, the employee will retain the right to submit a written rebuttal or memorandum for inclusion in his/her file on the issue in question. IX. PAID TIME OFF Employees will receive Paid Time Off to be used for personal, vacation, religious and illness purposes. *Nonexempt employees upon successful completion of the probationary period, will receive five paid days off and three fourths of a paid day off will be earned each month during the remainder of the first year of employment. On the first day of the second, third, and fourth years of employment five paid days off will be given and one paid day off will be earned each month during that year of employment. On the first day of the fifth year of employment and each year of employment thereafter five paid days off will be given and one and a half paid days off will be earned each month. Part time regular employees are entitled to Paid Time Off prorated upon the percentage of time worked. An employee can carry over no more than fifteen paid days off as of their employment anniversary date. **Exempt employees will receive upon successful completion of the probationary period, seven paid days off and three fourths of a paid day off will be earned each month during the remainder of the first year of employment. On the first day of the second, third, and fourth years of employment eight paid days off will be given and one paid day off will be earned each month during that year of employment. On the first day of the fifth year of employment and each year of employment thereafter nine paid days off will be given and one and a half paid days off will be earned each month. An employee can carry over no more than fifteen paid time off as of their employment anniversary date. *Nonexempt: As described by Federal and State definitions. Typically non-supervisory employees. **Exempt: As described by Federal and State definitions. Typically employees who are management. X. HOLIDAYS The Alliance observes the following holidays with pay: New Year’s Day, Good Friday (Noon), Presidents Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veterans Day, Thanksgiving Day, Day After Thanksgiving, Christmas Eve (Noon), and Christmas Day. 7 XI. BEREAVEMENT LEAVE Time off without loss of pay will be granted for up to three regularly scheduled working days to arrange for and attend the funeral of a member of the immediate family. Immediate family is defined as employee’s spouse; child (including grandchild); parent (including grandparent); and sibling; and those same relatives of the employee’s spouse. XII. FAMILY AND MEDICAL LEAVE The Family and Medical Leave Act of 1993 (FMLA) provides up to 12 weeks of leave for the care of a newborn or newly adopted child, or for personal or family illness, with the guarantee of their regular or an equivalent job upon returning to work. To be eligible, employees must be employed for at least 12 months, and have provided 1,250 hours of service during the 12 months before the leave is requested. An employee must first use all annual time when taking FMLA. The balance of the time after the employee uses all annual time will be unpaid. The total amount of this leave can be only 12 weeks. The rights and responsibilities of an employee seeking F.M.L.A. leave are strictly governed by the Family and Medical Leave Act of 1993 and the regulations interpreting that Act as implemented by the U.S. Department of Labor. XIII. MILITARY LEAVE Regular full-time employees called for military service shall be paid the difference between what he or she is paid by the Military for his/her service and two-thirds of his/her regular rate of pay as an Alliance employee. Military leave with pay shall be granted for up to two weeks to the following employees: 1. Members of the Pennsylvania National Guard engaged in active service of the Commonwealth, as in an emergency; 2. Members of active reserve units in one of the branches of the United States military services engaged in active service, as in an emergency; 3. Members of the Pennsylvania National Guard and of active United States reserve units on annual field training exercises. XIV. JURY DUTY Regular full-time employees called for jury duty shall be paid the difference between what he/she is paid for jury duty and his/her regular rate of pay as an Alliance employee. XV. TEMPORARY LEAVE OF ABSENCE Employees may be granted an unpaid temporary leave of absence for reasons such as medical and family emergencies for up to thirty days at the discretion of the Chief Executive Officer. When the leave of absence begins without pay, insurance coverage may be continued at the employee’s expense. 8 XVI. TERMINATION OF EMPLOYMENT Employment with the Alliance is At Will. Nothing in this Section is intended to take away the right of the Alliance to terminate the employment of an employee at any time with written notice. The end of the employment relationship with the Alliance will fall within one of the following categories: 1. Resignation - A voluntary termination freely made by the employee for any reason he/she chooses. Any employee wishing to resign shall file with the Chief Executive Officer a dated and signed statement indicating his/her intention to resign. Employees are requested to provide advance notice, in writing, to the Chief Executive Officer of his/her intention to resign. At the time an employee notifies the Chief Executive Officer of his/her intention to resign, the Chief Executive Officer may, at his/her discretion, accept the employee’s resignation effective immediately, without providing any amount of severance to the employee. 2. Dismissal - The Chief Executive Officer may, at his/her discretion, dismiss an employee. Dismissal may also be the final step of the disciplinary procedure. There are instances that may require immediate dismissal, including, but not limited to, the following: a. Theft or fraudulent act; b. Falsification of application for employment or fidelity bond; c. Possession of, use of, or being under the influence of illegal drugs while on The Advocacy Alliance property; d. Possession of firearms or weapons on The Advocacy Alliance property; e. Willful destruction of property belonging to The Advocacy Alliance; f. Absence from work without permission; g. Breach of the confidentiality or ethics policy; h. Violation of any policy resulting in a significant financial loss or embarrassment to The Advocacy Alliance; and i. Inappropriate conduct with a client. j. The unwillingness or the inability of the Employee to adequately perform his or her job duties, in the judgment of his or her supervisor or the Chief Executive Officer. 3. Layoff - Layoff is an involuntary separation for reason of lack of funds or work. In the event that a layoff is necessary, the Chief Executive Officer or his/her designee shall prepare a list of affected employees in rank order based upon relevant factors, including, but not limited to, performance, skills, and length of service. The weight to be afforded the various factors shall be determined by the Chief Executive Officer or his/her designee. The names of all employees laid-off shall be placed on a re-employment list for a period of one year. Such employees shall receive priority consideration for all available vacancies in the Alliance for which they qualify for that one-year period. 4. Retirement – The Alliance does not require retirement at any specific age. Whatever the circumstances of termination, all accrued paid time off will be paid to the individual severing the employment relationship. This payment will be made at the end of the pay period following the date of termination. 9 XVII. GRIEVANCE PROCEDURE If a work related problem is causing you concern or dissatisfaction, the Alliance has implemented a grievance procedure. All regular and temporary employees of the Alliance shall have the right to file grievances through the appropriate procedures outlined below. All grievances shall be handled in the following manner: 1. The employee shall submit a written grievance to his/her direct supervisor explaining the circumstances of the situation causing that employee concern. After investigation, if such is warranted, the employee’s direct supervisor will respond to the employee’s written grievance in writing, indicating his/her determination of the grievance and any associated action. 2. If the employee is unsatisfied with the direct supervisor’s determination and/or action, the employee may then file a written appeal of that determination/action to the direct supervisor’s immediate superior within ten (10) working days. The employee must accompany any written appeal with the original written grievance and the direct supervisor’s written response. 3. If the employee is unsatisfied with the determination and/or action of the supervisor’s immediate superior, the employee may then file a written appeal of that second determination/action to the immediate superior of the direct supervisor’s immediate superior within ten (10) working days. The employee must accompany any written appeal with the original written grievance, the direct supervisor’s written response and any subsequent determination/action taken by any managers/supervisors. 4. The employee may appeal any subsequent determinations/actions to the next highest level supervisor in accordance with the procedures outlined in paragraph 3 above. Upon reaching the Chief Executive Officer, and if dissatisfied with any decision of the Chief Executive Officer relative to the employee’s grievance, the employee may direct that the Chief Executive Officer transmit the grievance to the Personnel Committee for review and determination/action. 5. The Personnel Committee will hear and review all evidence presented by the grievant and the employee’s direct supervisor. After careful consideration, the Personnel Committee will render a decision within forty-five (45) working days following receipt of the grievance. At no time is the employee to circumvent the procedures outlined above and petition the full Board of Directors for a hearing on the grievance. Absolutely no action will be taken in any such instance. XVIII. DISCIPLINARY PROCEDURE The Alliance may employ any of the following measures of discipline, as approved by the Chief Executive Officer, regarding the actions or inactions of any employee: a verbal warning; a written reprimand; placing the employee on probation for a specified time; or immediate termination. Any such actions will be documented in the employee’s personnel file. XIX. EMPLOYEE ACCIDENTS AND SAFETY In the event of an accident involving an employee in the carrying out of their job responsibilities, the accident shall be immediately reported to the Chief Executive Officer or in his or her absence, the Chief Administrative Officer. Any safety hazards observed by the staff of the Alliance shall also be immediately reported to the Chief Executive Officer, who will then take all appropriate steps to rectify the safety hazard. 10 Any employee engaged in an unsafe practice will initially receive a verbal warning from the Chief Executive Officer and/or his/her immediate supervisor. If the unsafe practice continues, this behavior could lead to disciplinary action and eventual termination of employment. XX. EMPLOYEE PERFORMANCE EVALUATION An Employee Performance Evaluation is the appraisal of an employee’s overall performance. Staff: The Chief Executive Officer or his/her designees will conduct at least one written evaluation annually of each staff member using documented forms. The written evaluation will be shown to the employee and discussed with him/her. The employee will be required to sign the evaluation, indicating that he/she has communicated on the subject matter, even though he/she may not have agreed with the written evaluation. The employee will be permitted to add his/her written comments at the appropriate place on the written evaluation if he/she desires. The employee will also be given a copy of the written evaluation upon request. Chief Executive Officer: It will be the responsibility of the President of the Board of Directors to assign the Personnel Committee the responsibility of conducting an annual evaluation of the Chief Executive Officer’s performance. XXI. EXPENSE ALLOWANCE Reimbursement for business expenses incurred may be allowed as follows: 1. Mileage for automobile expenses at the rate of $.45 per mile will be paid while on official business. The Alliance is not liable for any personal injuries or damages; 2. Receipts of meals at meetings, seminars, etc., that are attended officially as a representative of the Alliance; 3. Transportation if other than personal automobile; 4. Hotel accommodations if overnight lodging is necessary, including gratuities; and 5. And other reasonable miscellaneous expenses incurred. All expense reports will be approved by the Director of Contracts Management. 11 XXII. JOB DESCRIPTIONS 12 CHIEF EXECUTIVE OFFICER Reports Directly To: Board of Directors Directly Supervises: Chief Administrative Officer; Director of Contracts Management; Director of Advocacy and Community Mental Health Services; Administrative Director of Community Developmental Disabilities/ Information Services; Directors of Health Care Quality Units; and Director of Guardianship/Court Services The Chief Executive Officer is (exempt) responsible for: 1. Providing leadership and management to ensure that the mission, goals, objectives and core values of the Alliance are put to practice; 2. Spearheading the development, communication and implementation of effective service delivery, growth strategies and practices; 3. Establishing credibility throughout the Alliance and with the Board of Directors as an effective developer of solutions to challenges; 4. Collaborating with the Executive Team to develop and implement plans for the operational infrastructure of systems, processes and personnel designed to accommodate service delivery and growth strategies; 5. Fostering a success-oriented, accountable environment; 6. Representing the Alliance with consumers, families, community agencies, professionals and funding sources; and 7. Performing other duties as assigned. 13 CHIEF ADMINISTRATIVE OFFICER Reports Directly To: Chief Executive Officer Directly Supervises: Executive Director, NAMI- PA Scranton Area Chapter; Manager of Fiscal Agent Services; Manager of Representative Payee Services; Media and Communications Project Developer; Coordinator of Independent Evaluation Team; Independent Evaluators; and Support Staff The Chief Administrative Officer is (exempt) responsible for: 1. Administering human resource policies, programs, and practices, including planning, directing, executing, and controlling all human resource functions; 2. Planning, coordinating, and implementing activities related to owned/leased properties; 3. Implementing a purchase order system including bids solicitation and review for capital expenditures; 4. Serving as liaison to the broker of record for business related insurance policies and to all consultants including technology, auditing, communications, health-care, and legal; 5. Managing assigned staff; 6. Serving as the “Staff Person in Charge” in the absence of the Chief Executive Officer, as directed by the Chief Executive Officer or in his/her absence by the President of the Board of Directors; and 7. Other duties as assigned. 14 DIRECTOR OF FINANCE Reports Directly To: Chief Administrative Officer Directly Supervises: Manager of Fiscal Agent Services; and Manager of Representative Payee Services The Director of Finance is (exempt) responsible for: 1.) Planning, coordinating, and implementing Representative Payee, Fiscal Agent, Consumer Reimbursement, and related services; 2.) Serving as chief liaison with funding/referral sources for Representative Payee, Fiscal Agent, Consumer Reimbursement, and related services; 3.) Planning, coordinating, and implementing internal auditing functions of the Representative Payee, Fiscal Agent, Consumer Reimbursement, and related services, and corporate financial functions. 4.) Implementing the reconciliation of accounts related to Representative Payee, Fiscal Agent, Consumer Reimbursement, and related services, and corporate financial functions; 5.) Preparing corporate financial statements and the corporate accounts and records for independent audit; 6.) Collaborating with technology consultants to maximize human and other resources related to Representative Payee, Fiscal Agent, Consumer Reimbursement, and related services, and corporate financial functions; 7.) Managing assigned staff and collaborating with other staff; and 8.) Other duties as assigned. 15 ADMINISTRATIVE DIRECTOR OF COMMUNITY DEVELOPMENTAL DISABILITIES/ INFORMATION SERVICES Reports Directly To: Chief Executive Officer Directly Supervises: Manager of IM4Q Services; and Manager of Incident Management Services. Administrative Director of Community Developmental Disabilities/Information Services is (exempt) responsible for: 1. Providing leadership and management to ensure the delivery of community mental retardation services; 2. Analyzing collected data and reporting analytic results; 3. Preparing statistical and methodological support for the development, refinement and reporting of projects and services; 4. Providing leadership and insuring internal quality assurance activities; 5. Coordinating research and development of proposals for service delivery; 6. Developing other (non-quantitative/non-analytical) communication pieces; and 7. Other duties as assigned. 16 DIRECTOR OF CONTRACTS MANAGEMENT Reports Directly To: Chief Executive Officer Directly Supervises: N/A The Director of Contract Management is (exempt) responsible for: 1. Maintaining standard accounting and financial reporting systems; 2. Preparing program and annual budgets for contract sources and proposals; 3. Preparing and carrying out billing of contracts sources; 4. Preparing contract sources proposals; 5. Preparing financial and service statistical reports as required by contract sources; 6. Preparing information for the annual independent audit; 7. Serving as liaison and maintaining effective working relationships with the billing/business and other appropriate departments of contract sources; 8. Serving as liaison and maintaining effective working relationships with the Alliance Directors and Managers to ensure that programmatic obligations of contract sources are met; 9. Meeting and/or facilitating the meeting of all reporting, compliance, and other business/programmatic obligations of contract sources; and 10. Other duties as assigned. 17 DIRECTOR OF GUARDIANSHIP/TRUST SERVICES Reports Directly To: Chief Executive Officer Directly Supervises: Support Staff The Director of Guardianship/Court Services is (exempt) responsible for: 1. Serving as Guardian of Person and/or Estate (and Power of Attorney); 2. Coordinating, implementing, and monitoring all Guardianship (and Power of Attorney) activities. This includes court proceedings, medical/placement decisions, monthly visitation, financial oversight, and preparing/filing reports with the Court; 3. Communicating with wards, providers and family members regarding the Guardianship (and Power of Attorney) role, legal proceedings, and personal/financial management activities; 4. Communicating with caregivers, medical, and community providers to monitor care/treatment and living arrangements in order to keep informed of the needs of wards and to make informed decisions on the wards’ behalf; 5. Providing 24-hour availability to make any emergency decisions for wards’ medical treatment; 6. Developing individualized support and other plans for the individual being served; 7. Guiding the implementation of the Court Appointed Special Advocate (CASA) Program in Lackawanna County; 8. Managing assigned staff; and 9. Other duties as assigned. 18 DIRECTOR OF ADVOCACY AND COMMUNITY MENTAL HEALTH SERVICES Reports Directly To: Chief Executive Officer Directly Supervises: Deputy Director of Community Mental Health Services; Deputy Director of Advocacy and Community Mental Health Services, Mental Health Advocates; and Warm Line Peer Mentors The Director of Advocacy and Community Mental Health Services is (exempt) responsible for: 1. Coordinating, implementing, supervising, and assisting in the planning of the following services: mental health advocacy (children and adults); Friendship “7” Social Club, Recovery Center(s), and Clubhouse(s); community education/services; consumer satisfaction teams; and community support programs; 2. Assisting in ensuring the development and maintenance of working relationships with government/other human service providers and other appropriate organizations and individuals; 3. Managing assigned staff; and 4. Other duties as assigned. 19 DEPUTY DIRECTOR OF COMMUNITY MENTAL HEALTH SERVICES Reports Directly To: Director of Advocacy and Community Mental Health Services Directly Supervises: Community Services Specialist(s) The Deputy Director of Community Mental Health Services is (exempt) responsible for: 1. Providing oversight, serving as the liaison/lead representative in the service areas to funding sources and all other stakeholders, and insuring development and implementation of the Consumer/Family Satisfaction Team process; 2. Serving as the co-chair of the Clarks Summit State Hospital Service Area Planning Committee and the liaison to and active member of the Consumer Community Care Behavioral Health and Northeast Behavioral Health Care Consortium and other committees/task forces pertinent to the Alliance’s mission; 3. Managing assigned staff; and 4. Other duties as assigned. 20 MEDIA AND COMMUNICATIONS PROJECT DEVELOPER Reports Directly To: Chief Administrative Officer Directly Supervises: NA The Media and Communications Project Developer (non exempt) is responsible for: 1. Planning, developing, and implementing media and communication projects and determining resource requirements, tracking project schedules, and maintaining controls over quality and cost; 2. Arranging for obtaining content information from Directors/Managers and/or other sources; 3. Maintaining a close relationship with Directors/Managers to ensure that projects receive proper input as to requirements; 4. Serving as liaison with vendors used for reproduction, printing, and related tasks; and 5. Other duties as assigned. 21 MANAGER OF FISCAL AGENT SERVICES Reports Directly To: Chief Administrative Officer Directly Manages: Fiscal Agents The Manager of Fiscal Agent Services (exempt) is responsible for: 1. Maintaining a caseload of consumers/employers receiving fiscal agent services; 2. Assisting in the planning and implementation of fiscal agent services; 3. Providing technical assistance and leadership (e.g., scheduling, assigning tasks, and ensuring quality enhancement) to fiscal agents; 4. Management of assigned staff; and 5. Other duties as assigned. 22 MANAGER OF REPRESENTATIVE PAYEE SERVICES Reports Directly To: Chief Administrative Officer Directly Supervises: Accounts Specialists The Manager of Representative Payee Services (exempt) is responsible for: 1. Maintaining a caseload of consumers receiving representative payee services; 2. Assisting in the planning and implementation of representative payee services; 3. Providing technical assistance and leadership (e.g., scheduling, assigning tasks, and ensuring quality enhancement) to accounts specialist; 4. Managing assigned staff; and 5. Performing other duties as assigned. 23 DEPUTY DIRECTOR OF ADVOCACY AND COMMUNITY MENTAL HEALTH SERVICES Reports Directly To: Director of Advocacy and Community Mental Health Service Directly Supervises: Coordinator of Information Services; Director of Lackawanna County CASA; Community Services Specialist; and Mental Health Advocates The Deputy Director of Advocacy and Community Mental Health Services is (exempt) responsible for: 1. Ensuring the successful implementation and of the Consumer/Family Satisfaction Team process which includes supervising and managing Community Services Specialist(s); reviewing and revising monthly, quarterly, and annual reports; and collaborating with the Deputy Director of Community Mental Health Services; 2. Planning, coordinating, implementing, and supervising the following services: Mental Health Advocacy (Children and Adults); Recovery Center; Mental Health Justice Project; Social Media Development; WARM LINES; Lackawanna County CASA Program; Community Support Programs; and any other mental health programs and initiatives; 3. Managing assigned staff; and 4. Other duties as assigned. 24 MENTAL HEALTH ADVOCATE(S) Reports Directly To: Director of Advocacy and Community Mental Health Services Directly Supervises: N/A The Mental Health Advocate(s) (pursuant to assignment) is (exempt) responsible for: 1. Receiving, investigating, and resolving complaints from patients at Clarks Summit State Hospital and mental health consumers in the community regarding violations of rights; 2. Informing patients, concerned family members and legal guardians, and staff of the advocate’s services and the rights of patients as contained in the “Manual of Rights for Persons in Treatment” in DPW regulations and other applicable Federal and State Law and regulations; 3. Reviewing the commitment procedure of patients when requested to do so; 4. Assisting patients and consumers in obtaining legal or other representation or in completing forms or preparing correspondence related to his/her rights as a patient; 5. Developing and distributing patients’ rights materials and information; 6. Developing reports about serious incidents as they occur and other reports and policy recommendations based on the patients’ and consumers’ complaints; 7. Visiting all patient areas at Clarks Summit State Hospital, community in-patient psychiatric units and other mental health programs and facilities on a regular basis, and meeting with all patients, both during regular business hours and at other times as deemed necessary; 8. Advocating with and on behalf of parents and children in asserting and protecting their rights in the various child-serving systems of care and related services; 9. Obtaining and monitoring the coordination and delivery of appropriate services for children and adolescents from the mental health and other systems; 10. Developing, updating, and disseminating information and referral resources including provision of information regarding the rights of children and adolescents and family members; 11. Facilitating and encouraging parents’ groups by encouraging parent leadership; 12. Implementation of education programs; and 13. Other duties as assigned. 25 COORDINATOR OF INFORMATION SERVICES Reports Directly To: Deputy Director of Advocacy and Community and Mental Health Services Directly Supervises: NA The Coordinator of Information Services is (exempt) responsible for: 1. Coordinating the process and completing reports which includes the creation of templates, spreadsheets, and electronic file systems for the review, maintenance and storage of critical information, and preparing the finished products needed to fulfill multiple contractual and other obligations; 2. Serving in a collaborative role for the WARM LINE and Consumer Support Services operations and personnel; and 3. Other duties as assigned. 26 DIRECTOR OF LACKAWANNA COUNTY CASA Reports Directly To: Deputy Director of Advocacy and Community Mental Health Services Directly Supervises: N/A The Director of Lackawanna County CASA is (non-exempt) responsible for: 1. Overall leadership of the Lackawanna County Court Appointed Special Advocate (CASA) Program which includes: supervision and coordination of volunteer services; community relations; report preparation; compliance with established policies and procedures; and development, implementation, and maintenance of tracking systems; and 2. Other duties as assigned. 27 MANAGER OF INCIDENT MANAGEMENT SERVICES Reports Directly To: Administrative Director of Community Development Disabilities/Information Services Directly Supervises: Incident Management Specialists The Manager of Incident Management Services is (non-exempt) responsible for: 1. Directing the implementation of Incident Management Services which includes understanding and overseeing the daily monitoring and related activities of the Incident Management process and scheduling and understanding investigations; 2. Developing and maintaining working relationships with provider agencies and units of government; 3. Supervising assigned staff; and 4. Other duties as assigned. 28 MANAGER OF IM4Q SERVICES Reports Directly To: Administrative Director of Community Developmental Disabilities/Information Services Directly Supervise: Community Services Specialist(s) The Manager of IM4Q Services is (non-exempt) responsible for: 1. Direct the implementation of the Independent Monitoring For Quality (IM4Q) which includes recruiting and training consumer/family members as volunteers, scheduling and attending surveys and/or focus groups of consumer participants and/or family members, collection of data from monitoring and survey visits, and assisting in preparing reports and other related duties; 2. Recruiting, interviewing, screening, training, matching, and monitoring of volunteers IM4Q, and other special projects; 3. Developing and maintaining working relationships with provider agencies and units of government; 4. Supervising assigned staff; and 5. Other duties as assigned. 29 EXECUTIVE DIRECTOR, NAMI-PA SCRANTON AREA CHAPTER Reports Directly To: Chief Administrative Officer Directly Supervises: N/A The Executive Director, NAMI-PA Scranton Area Chapter is (exempt) responsible for: 1. Advising and coordinating activities for the NAMI-PA Scranton Area Chapter Board of Directors; 2. Implementing the day-to-day operations of NAMI-PA; 3. Coordinating volunteer efforts; 4. Coordinating NAMI-PA efforts with state and national organization efforts; 5. Providing persons with mental illness and families with information, education, and referrals to mental health resources; 6. Providing short-term counseling/crisis intervention information; 7. Providing information and direction to families and consumers regarding selfadvocacy; 8 Communicating to legislators, state, and county mental health personnel, and mental health providers concerns and needs of NAMI-PA Scranton membership; 9. Planning, organizing, and implementing two annual mental health community awareness events (Walk the Walk and the Candlelight Vigil) as well as any education/information programs throughout the year; 10. Participating on behalf of the membership on numerous boards and committees and preparing a summary of the meetings to board members; and 11. Other duties as assigned. 30 COMMUNITY SERVICES SPECIALIST(S) Reports Directly To: Deputy Director of Community Mental Health Services; Manager of IM4Q Services; and/or Manager of Incident Management Services Directly Supervises: N/A The Community Services Specialist(s) (pursuant to assignment) are (nonexempt) responsible for: 1. Assisting in the implementation of the Consumer and Family Satisfaction Team (C/FST) and Independent Monitoring for Quality (IM4Q) programs which includes recruiting and training consumers/family members as volunteers, scheduling and attending surveys and/or focus groups of consumer participants and/or family members, collection of data from monitoring and survey visits, assisting in preparing reports and other related duties; 2. Recruiting, interviewing, screening, training, matching, and monitoring of volunteers for programs such as C/FST, IM4Q, and other special projects such as Peer Assessments; 3. Planning and delivering Peer Support Services (Certified Peer Specialist(s) only) pursuant to Pennsylvania Office of Mental Health and Substance Abuse Services regulations; 4. Assisting in the implementation of Incident Management Services which includes daily monitoring and related activities of incidents and/or understanding investigations; 5. Communicating with mental health and mental retardation professionals in the process of C/FST, Community Support Program (CST), and IM4Q projects; 6. Developing and maintaining working relationships with mental health consumer participants and persons with mental retardation; 7. Assisting in in-services, trainings, and education workshops as needed; 8. Maintaining liaison with referral sources, volunteers, consumer and family participants and professionals; 9. Implementing the Community Support Program (CSP) including scheduling, note taking and dissemination of notes; 10. Assisting with the development, planning, and implementation of Self Advocacy efforts which will include Speaking For Ourselves, other Self Advocacy Groups, and Conferences events; 11. Facilitating but not being a voting member of the Advisory Boards for IM4Q and Recovery Centers; 31 12. Developing, planning, implementing, and staffing programs which include the Recovery Centers, Friendship “7” Social Club, Club House (s) and other consumer led initiatives; and 13. Other duties as assigned. 32 WARM LINE MENTOR(S) Reports Directly To: Director of Advocacy and Community Mental Health Services Directly Supervises: N/A The WARM LINE Mentor(s) are (non-exempt) responsible for: 1. Continuing a commitment to his/her own Recovery; 2. Answering the WARM LINE calls from a stationary location and land telephone line; 3. Maintaining records (e.g., calls received, types of calls, and disposition of calls) and submitting records in a timely fashion; 4. Making follow-up/outreach calls to individuals who request them; 5. Making referrals to emergency services for individuals who are in crisis; 6. Adhering to the established procedures and protocols of the WARM LINE; and 7. Other duties as assigned. 33 INCIDENT MANAGEMENT SPECIALIST(S) Reports Directly to: Director of Community Mental Retardation Services (with the support of the Manager of Incident Management Services) Directly Supervises: N/A The Incident Management Specialist(s) are (nonexempt) responsible for: 1. Reviewing daily of and follow-up to Incident Management reports, including any internal and external tracking; 2. Communicating with mental retardation and mental health professionals regarding the Incident Management process; 3. Conducting Certified Investigations; 4. Assisting in in-services, training, and education workshops; 5. Assisting in ensuring the maintenance of working relationships with government/other human services providers and other appropriate organizations/individuals. 6. Assisting in preparing Incident Management reports and conducting Quality Management Reviews; and 7. Other duties as assigned. 34 ACCOUNTS SPECIALIST(S) Reports Directly To: Manager of Representative Payee Services Directly Supervises: N/A The Accounts Specialist(s) is (nonexempt) responsible for: 1. Assisting in the implementation of representative payee services; 2. Maintaining a caseload of participants receiving representative payee services; 3. Meeting with participants as needed; 4. Establishing budgets for participants; 5. Writing checks and deposits for participants; 6. Completing applications (e.g., social security, public assistance, housing, etc.) for participants; and 7. Other duties as assigned. 35 FISCAL AGENT(S) Reports Directly To: Manager of Fiscal Agent Services Directly Supervises: N/A The Fiscal Agent(s) (nonexempt) is responsible for: 1. Assisting in the implementing of fiscal (payroll) agent services; 2. Maintaining a caseload of consumers/employers receiving fiscal (payroll) agent services; 3. Meeting with and educating consumers/employers; 4. Assisting consumers/employers in completing employer related forms; and 5. Other duties as assigned. 36 DIRECTOR(S) OF HEALTH CARE QUALITY UNITS Reports Directly To: Chief Administrative Officer Directly Supervises: Behavioral Health Coordinator; Physical Health Coordinator; and Health Care Professionals The Director(s) of the Health Care Quality Units (HCQU) is (exempt) responsible for: 1. Working in concert with the Policy/Executive Committee (as delineated in the HCQU description), mental retardation services providers, and other stakeholders in the mental retardation service delivery system to formulate a prioritized agenda for the HCQU; 2. Managing the HCQU on a day-to-day basis and ensuring that the work is being carried out as desired by the Policy/Executive Committee; 3. Supervising the Health Care Professionals and Health Coordinators administratively And logistically; 4. Meeting all other responsibilities as delineated in the HCQU description; and 5. Administrative and other duties as assigned. 37 BEHAVIORAL HEALTH COORDINATOR(S) Reports Directly To: Director of Health Care Quality Unit Directly Supervises: N/A The Behavioral Health Coordinator(s) is (exempt) responsible for: 1. Addressing training/educational issues that are relevant to the dually diagnosed population, i.e., persons who are mentally retarded with a mental illness diagnosis; 2. Working in concert with the consulting psychiatrist, physical health coordinator, and consulting medical director to develop materials for other professionals regarding the current "best practices” for treatment of the dually diagnosed population; 3. Designing training/educational materials and conducting training/educational sessions; 4. Ensuring that an appropriate level of behavioral health specific program planning, implementation, ongoing management, and coordination occurs; 5. Interfacing with existing county mental retardation systems, assessing and evaluating behavioral, social, and emotional support plan processes, along with training efforts and measures to increase community capacity; 6. Reviewing Health Risk Profiles and providing feedback to Health Care Professionals on clinical issues related to behavioral health; and 7. Other duties as assigned. 38 PHYSICAL HEALTH COORDINATOR(S) Reports Directly To: Director of Health Care Quality Unit Directly Supervises: N/A The Physical Health Coordinator is (non-exempt) is responsible for: 1. Addressing training/educational issues that are relevant to addressing the unique medical needs of persons who have mental retardation; 2. Working in concert with the behavioral health coordinator, consulting medical director, and consulting psychiatrist to develop materials for distribution to other professionals regarding current “best practices” for innovative ways of addressing health problems of persons who have mental retardation; 3. Designing and conducting training/educational session; 4. Reviewing Health Risk Profiles and providing feedback to Health Care Professionals: and 5. Other duties as assigned. 39 HEALTH CARE PROFESSIONAL(S) Reports Directly To: Director of Health Care Quality Unit Directly Supervises: N/A Health Care Professional(s) are (non-exempt) responsible for: 1. Completing Health Risk Assessments and Consumer Satisfaction Surveys as well as reviewing consumers’ medical records for completeness and accuracy; 2. Reviewing and standardizing lifetime medical histories; 3. Assisting with the design and implementation of various training programs; and 4. Other duties as assigned. 40 SUPPORT STAFF Reports Directly To: Chief Administrative Officer Directly Supervises: N/A The Clerical Support (pursuant to assignment) are (nonexempt) responsible for: 1. Typing general correspondence and creating “finished products” versions of training materials that will be used by medical professionals, community groups, and staff; 2. Operating computers for data entry and related tasks; 3. Serving as receptionist (telephone and face-to-face); 4. Filing and traveling to various locations including post offices and office supply stores; and 5. Other duties as assigned. 41 INDEPENDENT EVALUATOR(S) Reports Directly To: Chief Administrative Officer Directly Supervises: N/A The Independent Evaluator(s) are (non-exempt) responsible for: 1. Maintaining certification/licensure (e.g., special instructor, speech therapist, or occupational therapist); 2. Working in cooperation (as a Team Member) with other Independent Evaluators; Coordinator of Independent Evaluation Team; Service Coordinators; Families, and County Early Intervention Program; 3. Administering the appropriate Early Intervention Evaluation Tool, utilizing best practices, completing the Evaluation Report, collaborating on the Individual Family Service Plan, and related tasks; and 4. Other duties as assigned. 42 COORDINATOR OF INDEPENDENT EVALUATION TEAM Reports Directly To: Chief Administrative Officer Directly Supervises: N/A The Coordinator of Independent Evaluation Team is (non-exempt) responsible for: 1. Assisting in developing and operating a system in compliance with Early Intervention Services’ regulations which schedules and completes Early Intervention Independent Evaluations; 2. Assisting in developing and operating a tracking and monitoring system to collect data and maintain databases; 3. Implementing a billing system for services rendered in compliance with Early Intervention Services’ regulations; 4. Developing and maintaining collaborative relationships with Independent Evaluators; Service Coordinators; Families; and County Early Intervention Programs; and 5. Other duties as assigned. 43 QUALITY ASSURANCE MANAGER Reports Directly To: Administrative Director of Community Developmental Disabilities/Information Services Directly Supervises: N/A The Manager of Quality Assurance is (non-exempt) responsible for: 1. Overseeing and monitoring the internal Quality Management Plan; 2. Performing monthly monitoring visits and meetings to assure that contracted providers and Program staff are in compliance with the Quality Management Plan; 3. Collecting, studying and analyzing data to track trends to prepare recommendations on changes in policies and procedures as needed; 4. Monitoring the State Plans regarding services for individuals with mental health and developmental disabilities; 5. Conducting QMRP assessments for individuals qualifying for waiver services; 6. Ensuring waiver files meet ODP compliance standards, including a yearly physical completed for each waiver recipient; 7. Completing annual re-certifications for waiver recipients; 8. Reviewing psychological and adaptive functioning assessments for individuals needing services at intake; and 9. Other duties as assigned. 44 IM4Q MONITORS Reports Directly To: Community Services Specialists Directly Supervises: N/A The IM4Q Monitors are (nonexempt) responsible for: 1. Carrying out surveys; 2. Participating in trainings and meetings; and 3. Other duties as assigned. 45 CFST MONITORS Reports Directly To: Community Services Specialists Directly Supervises: N/A The CFST Monitors are (nonexempt) responsible for: 1. Carrying out surveys; 2. Participating in trainings and meetings; and 3. Other duties as assigned. 46