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Minnesota Department of Corrections

Psychology Internship Handbook

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Contents

I. Minnesota DOC Psychology Internship Brochure Page 3

1. Introduction Page 3

2. Organization of Mental Health Services Page 3

3. Mission Statement Page 5

4. Philosophy Page 6

4. Goals/Expectations Page 6

5. Internship Activities Page 7

6. Stipend/Benefits Page 8

7. Supervisors Page 8

8. Eligibility Page 8

9. Application Procedures Page 9

II. Supervision Page 10

III. Statement of Training Goals/Standards for Competency Page 10

IV. Internship Admissions, Support, and Initial Placement Data Page 12

V. Intern Performance Evaluation Page 15

VI. Management of Problematic Performance (Due Process) Page 25

APPENDIX Page 33

1. Employee Investigation and Discipline Administration 103.225 Page 33

2. Internship Program 103.015 Page 40

3. Discrimination-free Workplace 103.300 Page 45

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I. Minnesota DOC Psychology Internship Brochure – Minnesota Department of Corrections

INTRODUCTION

The Minnesota Department of Corrections (MN DOC) was created in 1959 to consolidate state correctional functions within one agency. There are three divisions in the MN DOC: Facility Division, Community Services Division, and the Operations Support Division. The MN DOC currently operates ten correctional facilities – eight for adults and two for juveniles. The adult prisons hold more than 9000 men and over 600 women.

Minnesota has a national reputation for operating humane, safe correctional institutions that have low levels of violence and are safe for inmates and staff. Although the adult inmate population in Minnesota has been increasing during the past decade, MN DOC correctional institutions are not confronted with the magnitude of prison crowding that is plaguing most states. Minnesota continually ranks as one of lowest states in the nation in the number of incarcerated individuals per capita. This low rate of incarceration reflects Minnesota’s reliance on alternatives to prison for less serious offenders. The system is designed to reserve expensive prison space for only those criminals who are dangerous and need to be incarcerated.

ORGANIZATION OF MINNESOTA DOC MENTAL HEALTH SERVICES

Psychology is part of the Behavioral Health Services Unit, which is part of Health Services. The overall management and direction of mental health services is the responsibility of the MN DOC Behavioral Health Services Director. At the institution level, behavioral health services are under the supervision of Psychology Directors.

Internships are offered at four MINNESOTA DOC facilities:

The MN DOC Psychology Internship Program is a member of Association of Psychology Postdoctoral and Internship Centers (APPIC). This internship site agrees to abide by the APPIC policy that no person at this training facility will solicit, accept, or use any ranking-related information from any intern applicant. The internship is accredited effective October 2020 by the American Psychological Association (APA). Applicants can access program information from the MN DOC public website or directly contact the TC. (https://mn.gov/doc/employment-opportunities/intern-opportunities/intern-positions/mentalhealth/doctoral-psychology-internship/) The MN DOC Internship Program has established a profile on the Association of Psychology Postdoctoral and Internship Centers’ website. This website exhibits the accreditation status of the Psychology Internship Program. Questions related to the program’s accredited status should be directed to the Commission on Accreditation: Office of Program Consultation and Accreditation American Psychological Association 750 1st Street, NE, Washington, DC 20002 Phone: (202) 336-5979 / E-mail: apaaccred@apa.org Web: www.apa.org/ed/accreditation

MCF-StillwaterThe Stillwater facility is a Close (a security level between Maximum and Medium) custody facility with a population of about 1600 adult male offenders. The facility has been in operation since 1914 and is located 20 miles east of the Minneapolis-St. Paul area. The Minnesota Correctional Facility-Stillwater

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(MCF-STW) has a number of special programs including several industry and vocational training programs, education, and a 48—bed long-term chemical dependency treatment unit. The behavioral health staff include licensed doctoral psychologists, licensed master level social workers, mental health and chemical dependency counselors. Behavioral health staff at this facility provide a wide variety of services including the following: diagnostic testing and assessments, individual and group therapy, crisis intervention, and frequent consultation with the numerous disciplines within the facility. An intern at this site can expect a wide diversity of clients and referral issues ranging in complexity and severity of illness.

MCF-Lino LakesThe Lino Lakes facility is a medium custody "campus" with large chemical dependency and sex offender treatment programs. The facility is located twenty miles north of the Minneapolis-St. Paul metro area. One internship slot is available at the Sex Offender Treatment Program (SOTP). SOTP provides direct services to offenders including the following components: security, assessment, treatment planning, individual and group psychotherapy, psycho educational classes, and release planning. SOTP serves approximately 270 adult male offenders at a given time, many of whom also experience co-morbid mental illness, chemical abuse/dependency, and traumatic brain injury. The program operates with a modified therapeutic community model and consists of five treatment tracks: assessment, chemical dependency, primary sex offender treatment, transitions and aftercare. The mission is to protect the safety of the general public and to reduce recidivism among men who have committed sexual offenses by effectively addressing their complex behavioral health issues. The intern will work with team clinicians, including licensed drug and alcohol counselors, sex offender specific therapists, release planners and Psychologists (who conduct psychosexual assessments and provide ongoing mental health services).

MCF-ShakopeeMCF-Shakopee is the MN DOC’s only adult female facility. MCF-Shakopee currently houses over 600 offenders of all custody levels. The Behavioral Health Department includes a multidisciplinary team of psychologists, therapists, licensed alcohol and drug counselors, and a release planner. The intern will be involved in a full range of services, including: assessments, crisis management, group therapy, and individual therapy. Additionally, opportunity exists to participate in the chemical dependency treatment program and/or sexual offender treatment program.

MCF-Oak Park HeightsMCF-Oak Park Heights is a maximum-security prison, and houses the MN DOC's inpatient, male psychiatric unit, as well as the MN DOC’s medical unit. The Psychology Department works with both inpatient and outpatient clients, focusing largely on assessment and diagnosis of complex cases involving serious and persistent mental illness, personality disorders, and health concerns, as well as Civil Commitment. Therapy services typically involve mental health stabilization, and brief, solution focused treatments, although some clients do receive longer term, in-depth therapy.

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MISSION

The mission statement of the Minnesota Department of Corrections is as follows:

“Reduce recidivism by promoting offender change through proven strategies during safe and secure incarceration and effective community supervision.

Provide effective correctional services

Hold offenders accountable

Change offender behavior

Provide restorative services for victims

Engage staff and promote workplace safety.”

The mission of the MN DOC is present in the Psychology Internship Program as demonstrated through the behavioral health staff who provide effective correctional mental health services through assessment and individual/group interventions that are aimed at stabilization and treatment of serious mental health conditions, holding offenders accountable for their actions, and changing behaviors using prosocial, evidence-based interventions.  By tending to the mental health needs of our offenders, safety, for both offender and staff, is promoted by reducing the prevalence of negative behaviors that otherwise may lead to undesirable outcomes in the facility and upon their return to public life. 

The MN DOC Psychology Internship Program’s aim is to provide ample supervision and education within a scholar-practitioner training model that prepares individuals for postdoctoral positions in psychology which, ultimately, would lead to a career as a professional licensed psychologist. While geared toward work in and with correctional populations, the Psychology Internship Program is of sufficient breadth and diversity so that it provides the intern with the experiences necessary to perform as a generalist in a non-correctional/forensic setting.

For nearly two decades, the Minnesota Department of Corrections has relied upon the doctoral internship program to provide the department with uniquely qualified entry-level psychologists. Interns who have shown themselves to be competent clinicians within the correctional setting are often recruited by the department at the end of their internship year.

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PHILOSOPHY

The Psychology Internship Program at the Minnesota Department of Corrections emphasizes the practice of clinical psychology in a correctional facility. Correctional facilities are unique institutions, which have their own culture, vocabulary, and social hierarchy. They are also unique for the responsibility and authority given to psychologists. Correctional Psychologists direct mental health services in their facilities; this means that psychologists working in these settings must understand the overall dynamics of corrections as well as develop specialized clinical skills. Therefore, interns in the MN DOC will have experience with diverse issues and clinical problems.

GOALS/EXPECTATIONS

Internships in the MN DOC are twelve months in length, 2000 hours, and typically begin in early September. Interns will spend at least 25% of their time in direct face-to-face clinical service activity. It is the goal of our program that, by the completion of the internship, interns will have developed sufficient competence in the following areas so they can function independently as psychologists:

Assessments: Interns are expected to develop the skills necessary to complete an assessment. Interns receive training in formal psychological assessments, including neurocognitive testing. Under supervision, interns are expected to work with referral sources to clarify the referral question, select and administer appropriate psychological tests, conduct thorough clinical interviews, integrate the test findings and other data, prepare cogently written reports which can be readily understood by referral sources, and provide follow-up consultation as needed.

Intervention: Interns are expected to demonstrate competencies in evidenced-based psychotherapies. It is expected that they will be able to develop treatment strategies to address issues that were identified in the assessments, write treatment plans, provide the appropriate group or individual therapy, and modify their treatment based on changes in the client’s condition. Interns are expected to establish and maintain effective therapeutic relationships with clients. In working with their clients, interns are to develop and adhere to evidence-based service interventions.

Individual and Cultural Diversity: Interns are expected to demonstrate an understanding of how their own personal/cultural history, attitudes, and biases may affect their understanding and interaction with people who are different from themselves. Interns remain current in theoretical and empirical knowledge as it relates to their professional activities. As the internship unfolds, interns will demonstrate the ability to independently apply their knowledge and approach in working effectively with the range of diverse population.

Research: Interns demonstrate the ability to critically evaluate and disseminate research or scholarly activities to inform their clinical practice, and the professional practice of psychology in corrections specifically.

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Consultation and Interprofessional/Interdisciplinary Skills: Interns are expected to learn the role of the psychologist as a consultant to other professionals. This consultation typically focuses on especially challenging clients with whom the intern may or may not have a client-therapist relationship. The intern is expected to learn what behaviors are most likely to lead to a consultation, how to prepare for a consultation meeting, what other professionals expect from a psychologist, and how to achieve a satisfactory outcome.

Supervision: As interns become more experienced on internship, the intern will demonstrate proficiency in understanding basic principles of clinical supervision (e.g. building supervisory alliance, providing and accepting effective summative feedback, promoting growth and self-assessment of peer/intern, seeking consultation) and apply these principles as peer supervisors during group supervision and/or with doctoral practicum students if available.

Ethical and Legal Standards: Interns are expected to be knowledgeable and act in accordance with the APA Ethical Principles of Psychologists and Code of Conduct; relevant laws, regulations and rules, and policies governing health service psychology; relevant professional standards and guidelines. When ethical dilemmas arise, they seek appropriate consultation and supervision.

Professional Values, Attitudes, and Behavior: Interns will demonstrate proficiency providing psychological services that are consistent with professional values, beliefs, and practices within the field generally, and within the correctional environment specifically.

Communication and Interpersonal Skills: Interns are expected to develop and maintain effective relationships with a range of individuals that include colleagues, communities, organizations, supervisors, supervisees, and those receiving professional services.

INTERNSHIP ACTIVITIES

Given the unique nature of providing mental health services within a correctional facility, the first month of the MN DOC internship is highly geared toward preparing and orienting the intern for work in a correctional setting. Starting with the first day, all interns meet with the director of the department’s internship training program. The director reviews the entire orientation manual with the interns on this first day. This also provides an opportunity for the interns to meet and become acquainted with each other. Each intern will go through a site-specific orientation during their first week. Also, in the first month, interns will attend more than 45 hours of MN DOC academy, training that is required for all department employees. The academy provides training on a range of topics related to working in a correctional facility (e.g., Avoiding set-ups by inmates, First Aid, Incident Command System, and Security Threat Groups aka gangs).

Upon completion of the first month, a relatively routine schedule of training ensues with the intern getting at least two hours of individual supervision weekly. In addition to individual supervision, all MN DOC interns will meet on a weekly basis throughout the year for didactic training totaling over 100 hours.

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There are a total of eight adult correctional facilities in the MN DOC. The interns will have the opportunity to visit each facility for a tour and discussion with the mental health staff on the programming specific to the individual site and the general operation of the psychology unit. Other trainings include seminars in the treatment of sex offenders, personality disorders, and drug and alcohol problems.

Interns will attend MN DOC Mental Health Training Sessions and are encouraged to attend workshops outside of the department. An intern's work and progress are formally evaluated at least twice during the internship year. Evaluations are reviewed with the intern and shared with the MN DOC internship and at the intern's educational institution.

STIPEND AND BENEFITS

Interns are entitled to an annual stipend of $30,000 and are eligible for health insurance benefits. Psychology interns do not receive holiday, sick or vacation pay. Instead they are allowed up to fifteen Personal/Educational/Dissertation (PED) days away from the facility.

Interns are provided an office, computer, telephone, desk, access to and use of psychological testing instruments and manuals, DSM-5, and general office supplies.

SUPERVISORS FOR PSYCHOLOGY INTERNS

Adam Piccolino, Psy.D., LP, ABN, Behavioral Med Practitioner

Shannon Juedes, Psy.D., LP, Psychologist 3

Luke Utecht, Psy.D., LP, Psychologist 3

Charlotte Gerth Haanen, Ph.D., LP, Psychologist 3

Bonnie Bjorke, Psy.D., LP, Psychologist 3

Amanda Knoll, Ph.D., LP, Psychologist 3

Angela Kollmann, Psy.D., LP, Psychologist 3

ELIGIBILITY

Graduate students pursuing doctorates from regionally accredited institutions are eligible to apply for an internship at the MN DOC. The MN DOC is committed to fostering diversity in its training program; members of minority groups are strongly encouraged to apply. Applicants should have the following minimum qualifications:

1. Graduate coursework and practicum training in intellectual and personality assessment.

2. Graduate coursework and practicum training in psychotherapy.

3. Graduate coursework in psychopathology.

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4. Verification from the Director of Training of the applicant’s graduate program that he/she has completed all graduate coursework and any comprehensive examinations required by his or her program before the internship start date.

5. Student is in good academic standing at the educational institution in which they are enrolled.

6. The educational institution is regionally accredited.

7. While correctional experience is valued, intern applicants who have a strong foundation and direct clinical training in psychological assessment and psychotherapy, and who have practicum experiences that have allowed for experience and exposure to a broad clinical population will be given strong consideration.

APPLICATION PROCEDURES

Applications are only accepted through the APPIC Application for Psychology Internships (AAPI). Applicants are required to complete the APPIC Application and submit three letters of recommendation and their curriculum vitae.

Applications for internships starting in 2021 should be completed by November 20, 2020. All applicants will be notified regarding interview status by December 11th, 2020, via email. Applicants will be invited to interview through a combination of email and telephone communication. We will begin interviewing in early January, 2021 and interview for approximately two weeks. Virtual interviews will be scheduled for one to two hour. Applicants are invited to interview by Zoom, Microsoft Office teams, or by telephone if the other platforms are not accessible to the applicant. Please note that we cannot accommodate requests for in-person interviews or on-site tours. We are currently arranging a time to hold a virtual open house at our participating correctional facilities. We will provide the date and time of the virtual open houses at the time interviews are offered. Please note the open houses are not required nor is it part of the interview process and is only for applicants who have been extended an offer to interview with us.

Adam Piccolino, Psy.D., ABN, LP

Psychology Internship Director of Clinical Training

Minnesota Department of Corrections

1010 West 6th Avenue

Shakopee, MN 55379

Telephone: (952) 233-3897

Email: adam.piccolino@state.mn.us

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II. SUPERVISION

The MN DOC values the contribution of interns to the agency. The internship supervisors in particular feel fortunate to work with new professionals who bring enthusiasm and knowledge of current research to invigorate our program. Providing supervision is not a requirement for staff, but is viewed as a benefit and is regarded as one of the more rewarding aspects of professional life in the MN DOC. Interns are regarded as colleagues as well as students, and staff is conscientious about providing the supervision that we agreed to provide.

If intern supervision is not available with the primary supervisor, there are other licensed professional staff to whom interns can go in a crisis or for specialized knowledge regarding a particular issue. The interns have access to the same support services as other staff. They are considered to be staff members and are treated as such. Interns are part of the treatment teams in which they function.

Each intern meets for 2 hours of individual clinical supervision each week with his/her assigned supervisors who are licensed psychologists in the State of Minnesota. The additional two-hour requirement for supervision is provided in group supervision (1 hour) and consultation group (1 hour). All interns also meet on Friday mornings for didactic training. There is a mid-term and final evaluation of intern’s performance which is collaboratively reviewed by interns and primary supervisors.

III. STATEMENT OF TRAINING GOALS/STANDARDS FOR COMPETENCY

The overall training goal is to develop competency in the skills needed to be an independent practitioner of Psychology. In order to successfully complete internship, interns must obtain a minimum level of achievement rating of four (4) in 80% of the elements related of the Profession Wide Competencies. Pursuit of this goal includes the following:

1. Assessments: Goal is to select and apply assessment methods, collect relevant collateral data using multiple sources and methods to answer the identified questions of the assessment taking in mind the diversity of the client to accurately conceptualize the client.

2. Intervention: Goals are as follows: 1. Establish and maintain effective therapeutic relationships with clients; 2. develop and adhere to evidence-based service interventions; 3. inform interventions based on current scientific literature, assessment findings, diversity characteristics of clients; 4. demonstrate the ability to apply relevant research literature to clinical decisions and clinical application; 5. evaluate intervention effectiveness and adapt intervention goals.

3. Individual and Cultural Diversity: Goal: The ability to integrate awareness and knowledge of individual and cultural differences in the conduct of professional roles.

4. Research: Goal: Demonstrate the ability to critically evaluate and disseminate research or scholarly activities to inform their practices with their clinical population.

5. Consultation and Interprofessional/Interdisciplinary Skills: Goals: 1. Demonstrate knowledge and respect for the roles and perspectives of other professions; 2. Apply this knowledge in a direct consultation with individuals, family members, other health care professionals, security staff, Administrative staff, case workers, program directors or systems related to health and behavior.

6. Supervision: Goal is to apply supervision knowledge in a direct or simulated practice.

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7. Ethical and Legal Standards: Goals are as follows: 1. Be knowledgeable and act in accordance with the APA Ethical Principles of Psychologists and Code of Conduct; Relevant laws, regulations and rules, and policies governing health service psychology; relevant professional standards and guidelines. 2. Recognize ethical dilemmas and apply decision-making processes. 3. Conduct self in an ethical manner.

8. Professional Values, Attitudes, and Behavior: Goal is to behave in ways that reflect the values and attitudes of psychology that include integrity, professional identity, accountability, and lifelong learning.

9. Communication and Interpersonal Skills: Goal is to develop and maintain effective relationships with a range of individuals that include colleagues, communities, organizations, supervisors, supervisees, and those receiving professional services.

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IV. Internship Admissions, Support, and Initial Placement DataDate Program Tables are updated: 03/24/2020

Internship Program AdmissionsAn internship in the MN DOC prepares the intern for practice as a generalist in the field of clinical psychology. Interns are provided the opportunity to deliver a breadth of services. These services include individual psychotherapy, group psychotherapy, crisis interventions, psychological assessments, and consultations with peers and interdisciplinary team members.

Graduate students from doctoral programs in professional psychology are eligible. The Minnesota DOC is committed to fostering diversity in its training program; members of minority groups are strongly encouraged to apply. Applicants should have the following minimum qualifications:

1. Graduate coursework and practicum training in intellectual and personality assessment.

2. Graduate coursework and practicum training in psychotherapy.

3. Graduate coursework in psychopathology.

4. Verification from the Director of Training of the applicant’s graduate program that he/she has completed all graduate coursework and any comprehensive examinations required by his or her program before the internship start date.

5. Student is in good academic standing at the educational institution in which they are enrolled.

6. The educational institution is regionally accredited.

7. While correctional experience is valued, intern applicants who have a strong foundation and direct clinical training in psychological assessment and psychotherapy, and who have practicum experiences that have allowed for experience and exposure to a broad clinical population will be given strong consideration.

Does the program require that applicants have received a minimum number of hours of the following at time of application? If Yes, indicate how many:

Total Direct Contact Intervention Hours Y Amount: 350Total Direct Contact Assessment Hours Y Amount: 150

Describe any other required minimum criteria used to screen applicants:Applications are only accepted through the APPIC Application for Psychology Internships (AAPI). Applicants are required to complete the APPIC Application and submit three letters of recommendation and their curriculum vitae.

Financial and Other Benefit Support for Upcoming Training YearAnnual Stipend/Salary for Full-time Interns: $30,000/yearAnnual Stipend/Salary for Half-time Interns: Not Applicable

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Program provides access to medical insurance for intern? Yes If access to medical insurance is provided

Intern contribution to cost required? Yes Coverage of family member(s) available? Yes Coverage of legally married partner available? Yes Coverage of domestic partner available? No

Hours of Annual Paid Personal Time off (PTO and/or Vacation): 120Hours of Annual Paid Sick Leave: None

In the event of medical conditions and/or family needs that require extended leave, does the program allow reasonable unpaid leave to interns/residents in excess of personal time off and sick leave?

Yes Other Benefits (please describe):

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Initial Post-Internship Positions(Aggregated Tally for Preceding 3 cohorts)

Date Range (e.g. 2016-2019):Total # of interns who were in the 3 cohorts: 8Total # of interns who did not seek employment because they returned to their doctoral program/are completing doctoral degree

0

Post-doctoral residency position

Employed position

Community mental health centerFederally qualified health centerIndependent primary care facility/clinic 2University counseling centerVeterans Affairs medical centerMilitary health centerAcademic health centerOther medical center or hospitalPsychiatric hospital – State System 3Academic university/departmentCommunity college or other teaching settingIndependent research institutionCorrectional facility 3School district/systemIndependent practice settingNot currently employedChanged to another fieldOtherUnknown

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V. MINNESOTA DEPARTMENT OF CORRECTIONS

INTERNSHIP EVALUATION FORM

Student Name: _______________________________ Date: _______________________

Intern Site: ______________________________ Supervisor: ____________________

Evaluation Period: ____Mid-Year ____End of year Training Year: 201__

Assessment Method(s) for Competencies

_____ Direct Observation _____ Review of Written Work

_____ Videotape _____ Review of Raw Test Data

_____ Audiotape _____ Discussion of Clinical Interaction

_____ Case Presentation _____ Comments from Other Staff

Minimum Level of Achievement

The MN DOC Intern Evaluation form evaluates interns on the Profession Wide Competencies established under the APA Standards of Accreditation. The competencies are Research; Ethical and Legal Standards; Individual and Cultural Diversity; Professional Values, Attitudes, and Behaviors; Communications and Interpersonal Skills; Assessment; Intervention; Supervision; and Consultation and Interprofessional/Interdisciplinary Skills. Interns are evaluated on their ability to demonstrate or provide the elements that comprises each of the competencies. In order to successfully complete internship, interns must obtain a minimum level of achievement rating of four (4) in 80% of the elements related of the Profession Wide Competencies. The Profession Wide Competencies are established below, along with the specified goals of each area of competency.

COMPETENCY RATINGS DESCRIPTIONS:

5 Post-Doctoral Equivalent Competence Level:

Intern skillset exceeds that expected for psychology interns at the completion of the training year. The Intern has achieved a level of mastery well beyond what is expected for this particular skill set. Intern can manage complex situations independently with minimum supervision. Training needs are mostly consultative in nature.

4 Advanced Competence Level:

Intern displaying greater independence and autonomy of applied skill set to clinical work. Intern consistently integrates well-developed knowledge, skills and abilities into all aspects of professional practice. Intern functions proactively and

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independently in most contexts. Supervision is accessed independently when needed for complex/novel situations.

3 Intermediate Competence Level:

Intern needs minimal structure for routine activities, but may need closer supervision for more complex situations. Generalizes knowledge, skills, and abilities across clinical activities and settings. While the Intern can perform the skills, it may require conscious awareness, i.e., thinking through the steps. This is the level expected for most skills mid-way through the internship year.

2 Novice/Entry Competence Level:

Intern presents with an expected skill level for beginning of internship. Intern has a mastery of skills needed to complete work but require guidance and

supervision for effective application. This is the level of competency expected for a beginning intern working with a new clinical population.

1 Remedial Competence Level:

Intern shows significant deficiencies in this area, with skills below that expected of a beginning Intern. Requires further education and intensive guidance or supervision to be able to apply to clinical work. Intensive supervision is required to attain a basic level of competence, OR the Intern has not attained expected level of competence despite supervision. A remediation plan is likely to be implemented at this level.

NA Not applicable or not assessed

COMPETENCY: COMMUNICATION AND INTERPERSONAL SKILLS

Goal: Develop and maintain effective relationships with a range of individuals that include colleagues, communities, organizations, supervisors, supervisees, and those receiving professional services.

1 2 3 4 5 NA Ability to engage client effectively; capacity for empathy and rapport building.

1 2 3 4 5 NA Ability to develop and maintain a constructive working alliance with clients.

1 2 3 4 5 NA Ability to develop and maintain a constructive working alliance with supervisor(s).

1 2 3 4 5 NA Produce oral, nonverbal, and written communications that are informative and well-integrated.

1 2 3 4 5 NA Demonstrate a grasp of professional language and conduct.

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1 2 3 4 5 NA Respond to emails and phone calls in a timely manner.

1 2 3 4 5 NA Complete documentation in a timely manner as set forth by policy, legal, and professional standards.

1 2 3 4 5 NA Demonstrate professional demeanor in meetings.

1 2 3 4 5 NA Demonstrates ability to manage conflict in interpersonalrelationships.

1 2 3 4 5 NA Ability to establish collaborative professional relationships with correctional staff, colleagues, students and/or members of

other disciplines.

1 2 3 4 5 NA Actively participates in team meetings.

1 2 3 4 5 NA Understanding of appropriate boundaries in relationships.

1 2 3 4 5 NA Composite evaluation of communication and interpersonal skills.

Additional comments:

COMPETENCY: PROFESSIONAL VALUES, ATTITUDES, AND BEHAVIORS

Goal: Behave in ways that reflect the values and attitudes of psychology that include integrity, professional identity, accountability, and lifelong learning.

1 2 3 4 5 NA Engage in self-reflection of one’s personal and professional functioning.

1 2 3 4 5 NA Engage in activities to maintain and improve performance, well- being, and professional effectiveness.

1 2 3 4 5 NA Actively seek feedback and supervision.

1 2 3 4 5 NA Demonstrate openness and responsiveness to feedback and Supervision.

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1 2 3 4 5 NA Recognition of limits and willingness to obtain consultation prior to taking action.

1 2 3 4 5 NA Responding in an increasingly complex situations with a greater degree of independence throughout the training year.

1 2 3 4 5 NA Composite evaluation of relationship competency.

Additional comments:

COMPETENCY: ETHICAL AND LEGAL STANDARDS

Goals: 1. Be knowledgeable and act in accordance with the APA Ethical Principles of Psychologists and Code of Conduct; Relevant laws, regulations and rules, and policies governing health service psychology; relevant professional standards and guidelines. 2. Recognize ethical dilemmas and apply decision-making processes. 3. Conduct self in an ethical manner.

1 2 3 4 5 NA Knowledge of ethics, professional guidelines and standards of conduct.

1 2 3 4 5 NA Ability to apply ethical standards in interactions with others and demonstrate professional behavior with patients, peers,

and other professionals.

1 2 3 4 5 NA Ability to adhere to laws, regulations, rules, and policies governing profession.

1 2 3 4 5 NA Respect for confidentiality.

1 2 3 4 5 NA Recognition of ethical dilemmas and demonstration of the use of ethical decision-making model.

1 2 3 4 5 NA Professional demeanor; comfort with various professional roles and responsibilities.

1 2 3 4 5 NA Time management, ability to complete work in a timely manner and follow through on commitments.

1 2 3 4 5 NA Compliance with documentation and other professional requirements of the setting.

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1 2 3 4 5 NA Commitment to self-evaluation and lifelong learning.

1 2 3 4 5 NA Actively seeks consultation when treating complex cases and working with unfamiliar symptoms.

1 2 3 4 5 NA Open to supervisory feedback.

1 2 3 4 5 NA Engages in self-reflection regarding one’s personal and professional functioning.

1 2 3 4 5 NA Shows awareness of strengths and weaknesses.

1 2 3 4 5 NA Composite evaluation of ethical/professionalism competency.

Additional comments:

COMPETENCY: SUPERVISION

Goal: To demonstrate knowledge of evidence-based supervision models and practices and apply this knowledge in direct or simulated practice.

1 2 3 4 5 NA Engage in independent efforts to learn about supervision theory, models, and effective practices in supervision through the use of directed readings.

1 2 3 4 5 NA Demonstrates knowledge of theories, models, and effective practices in supervision.

1 2 3 4 5 NA Actively applies supervision skills with peers in a group supervision format and/or with another trainee

1 2 3 4 5 NA Engages in self-reflection regarding one’s personal andprofessional functioning as it relates to the supervisor-supervisee relationship.

1 2 3 4 5 NA Shows awareness of supervisory strengths and weaknesses.

1 2 3 4 5 NA Is knowledgeable about and able to apply ethical principles relevant to training and supervision

1 2 3 4 5 NA Ability to provide supervisory feedback to others effectively.

1 2 3 4 5 NA Reflects on and effectively manages one’s own reactions (e.g.

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supervisory counter-transference) within the supervisory relationship

1 2 3 4 5 NA Composite evaluation of supervision competency.

Additional comments:

COMPETENCY: ASSESSMENT

Goal: Select and apply assessment methods, collect relevant collateral data using multiple sources and methods to answer the identified questions of the assessment taking in mind the diversity of the client to accurately conceptualize the client.

1 2 3 4 5 NA Ability to conduct an effective clinical interview.

1 2 3 4 5 NA Ability to select, administer, score, and interpret standardized intelligence, cognitive, and personality testing measures.

1 2 3 4 5 NA Ability to conceptualize and integrate information from multiple sources.

1 2 3 4 5 NA Ability to develop appropriate conceptualizations of clients with appropriate diagnoses.

1 2 3 4 5 NA Ability to effectively communicate evaluation results in writing.

1 2 3 4 5 NA Ability to effectively verbally communicate evaluation results to clients and other professionals.

1 2 3 4 5 NA Demonstrates a thorough knowledge of psychiatric classification including multiaxial diagnoses and relevant diagnostic

criteria to develop an accurate diagnostic formulation autonomously.

1 2 3 4 5 NA Answer the referral question.

1 2 3 4 5 NA Composite evaluation of assessment competency.

Additional comments:

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COMPETENCY: INTERVENTION

Goals: 1. Establish and maintain effective therapeutic relationships with clients; 2. develop and adhere to evidence-based service interventions; 3. inform interventions based on current scientific literature, assessment findings, diversity characteristics of clients; 4. demonstrate the ability to apply relevant research literature to clinical decisions and clinical application; 5. evaluate intervention effectiveness and adapt intervention goals.

1 2 3 4 5 NA Establish and maintain rapport with clients.

1 2 3 4 5 NA Demonstrate the knowledge of theory and the ability to apply theory and technique to develop useful case

conceptualizations and treatment plans.

1 2 3 4 5 NA Ability to inform therapeutic interventions based on effective scientific based treatment to meet the needs of

diverse patient populations.

1 2 3 4 5 NA Ability to revise treatment strategies based on available outcome data.

1 2 3 4 5 NA Demonstrate awareness of diversity and culture in the therapeutic relationship.

1 2 3 4 5 NA Able to identify own issues, including countertransference, that impact the therapeutic process.

1 2 3 4 5 NA Effectively evaluates, manages and documents patient risk by assessing immediate concerns such as suicidality,

homicidality, and any other safety issues.

1 2 3 4 5 NA Seeks supervision/consultation as emergent issues unfold.

1 2 3 4 5 NA Composite evaluation of intervention competency.

Additional comments:

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COMPETENCY: INDIVIDUAL AND CULTURAL DIVERSITY

Goal: The ability to integrate awareness and knowledge of individual and cultural differences in the conduct of professional roles.

1 2 3 4 5 NA Knowledge of their own personal/culture history, attitudes, andbiases and its impact on their values and world view.

1 2 3 4 5 NA Knowledge of the current theoretical and empirical knowledgebase as it relates to addressing diversity in all professional

activities.

1 2 3 4 5 NA Ability to apply a framework for working effectively with areas of individual and cultural diversity not previously encountered.

1 2 3 4 5 NA Ability to work effectively with individuals whose group membership, demographic characteristics, or worldviews

create a conflict with their own.

1 2 3 4 5 NA Awareness of their own personal reactions and ability to seek consultation to maintain clinical objectivity.

1 2 3 4 5 NA Demonstrate ability to work effectively with a range of diverse individuals and groups.

1 2 3 4 5 NA Composite evaluation of diversity competency.

Additional comments:

COMPETENCY: RESEARCH

Goal: Demonstrate the ability to critically evaluate and disseminate research or scholarly activities to inform their practices with their clinical population.

1 2 3 4 5 NA Independently seeks out scientific literature to inform and enhance clinical practice in assessment and psychotherapy through the use of professional literature, seminars, training, and other resources.

1 2 3 4 5 NA Demonstrates a commitment to evidence-based practice that integrates research with clinical expertise in the context of

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patient characteristics, culture, and preferences.

1 2 3 4 5 NA Recognizes limits to competence and areas of expertise and takes steps to address the issues.

1 2 3 4 5 NA Demonstrates motivation to increase knowledge and expand range of professional skills through reading and supervision/consultation

1 2 3 4 5 NA Demonstrates familiarity with empirical research and methods.

1 2 3 4 5 NA Provides quality oral presentations in case conferences and in Journal Club.

1 2 3 4 5 NA Composite evaluation of research and evaluation competency.

Additional comments:

COMPETENCY: CONSULTATION AND INTERPROFESSIONAL/INTERDISCIPLINARY SKILLS

Goals: 1. Demonstrate knowledge and respect for the roles and perspectives of other professions; 2. Apply this knowledge in a direct consultation with individuals, family members, other health care professionals, security staff, Administrative staff, case workers, program directors or systems related to health and behavior.

1 2 3 4 5 NA Ability to consult with and educate others through oral and written communications.

1 2 3 4 5 NA Ability to consult and relay information to others effectively in manner that the receiver of the information understands.

1 2 3 4 5 NA Demonstrate respect for the roles and perspectives of otherprofessions and contacts.

1 2 3 4 5 NA Composite evaluation of consultation competency.

Additional comments:

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Intern Comments:

This evaluation has been shared and discussed with the intern on ________________(date) and a copy of the evaluation was given to the intern.

CONCLUSIONS

REMEDIAL WORK INSTRUCTIONS

In the rare situation when it is recognized that an intern needs remedial work, remediation plan should be filled out immediately prior to any deadline date for evaluation and shared with the intern and the Director of Clinical Training. In order to allow the intern to gain competency to pass criteria for the internship activity, a remediation plan needs to be developed and implemented for specific competency area(s).

GOAL FOR INTERN EVALUATIONS DONE PRIOR TO 12 MONTHS

All Objective Composites will be rated at a level of competence of 3 or higher, with a minimum score of 3 in 80% of the elements related to each competency area. No competency areas will be rated as 1 or 2.

GOAL FOR INTERN EVALUATIONS DONE AT 12 MONTHS

All Objective Composites will be rated at level of 4 or higher, with a minimum score of 4 in 80% of the elements related to each competency area. No competency areas will be rated as 1 or 2.

_______ The intern HAS successfully completed the above goal. We have reviewed this evaluation together.

_______ The intern HAS NOT successfully completed the above goal. We have made a joint written remedial plan as attached, with specific dates indicated for completion. Once completed, the training experience will be re-evaluated using another evaluation form, or on this form, clearly marked with a different color ink. We have reviewed this evaluation together.

Supervisor _________________________________ Date ___________

I have received a full explanation of this evaluation. I understand that my signature does not necessarily indicate my agreement.

Intern____________________________________ Date ___________

Please retain a copy of this evaluation for your records and submit the original form to the student’s clinical training director.

_______________________________ ___________________________

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Director of Clinical Training Signature Date

VI. MANAGEMENT OF PROBLEMATIC PERFORMANCE & INTERN GRIEVANCE PROCEDURES

This section provides guidelines for managing problematic intern conduct and/or performance. The guidelines incorporate Human Resource directives of the Minnesota Department of Corrections. The guidelines emphasize due process and assure fairness in the program’s decisions about interns. There are also avenues of appeal that allow interns to file grievances and dispute program decisions.

Evaluation and RemediationThe training program follows due process guidelines to ensure that decisions about interns are not arbitrary or personally based. The program uses comparable procedures to evaluate all interns, and it has appeal procedures that permit any intern to challenge program decisions. The due process guidelines include the following:

1. All interns receive a written statement of program expectations for professional functioning.2. Evaluation procedures are based on the requirements of the MN DOC internship program.3. Graduate programs are informed about any suspected difficulties with interns.4. Remediation plans are instituted for identified inadequacies, including time frames for

remediation and specify consequences for failure to rectify the inadequacies.5. All interns receive a written description of procedures they may use to appeal the program’s

actions.6. Interns are given sufficient time to respond to any action taken by the program.7. Decisions or recommendations regarding the intern’s performance are based on input from

multiple professional sources.8. Program actions and their rationale are documented in writing to all relevant parties.

IDENTIFICATION OF "PROBLEMATIC BEHAVIOR" AND DUE PROCESS FOR TRAINING CONCERNS

Interns make significant developmental transitions during the training period. Part of the training process involves the identification of growth and/or problem areas of the intern. Clinical supervisors often identify these and deal with them in supervision. However, problems may sometimes require more formalized intervention.

This document provides MN DOC interns and staff with an overview of the identification and management of intern problems and concerns, a listing of possible sanctions and an explicit discussion of the due process procedures. Also included are important considerations in the remediation of problems. We encourage staff and interns to discuss and resolve conflicts informally but, if this cannot occur, the following formal mechanisms allow for a response to issues of concern.

Definition of Problem

Lamb et al. describe a problem as a behavior, attitude, or other characteristic that, although causing concern, is not excessive or outside the domain of expected behaviors for professionals in training (Lamb et al., 1987). Problems are typically amenable to management procedures, supervision, or

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education. The formal procedures outlined below may be utilized if management procedures, supervision, or education do not result in improvement of the problem.

Definition of Problematic Behavior

Problematic Behavior is defined broadly as an interference in professional functioning which is reflected in one or more of the following ways:

1) An inability and/or unwillingness to acquire and integrate professional standards into one's repertoire of professional behavior;

2) An inability to acquire professional skills in order to reach an acceptable level of competency; and/or

3) An inability to control personal stress, strong emotional reactions, and/or psychological dysfunction which interfere with professional functioning.

It is a professional judgment as to when an intern's behavior becomes problematic rather than of concern. Interns may exhibit behaviors, attitudes or characteristics that, while of concern and requiring remediation, are not unexpected or excessive for professionals in training. Behaviors typically become identified as problematic when they include one or more of the following characteristics:

1. The intern does not acknowledge, understand, or address the problem when it is identified;

2. The problem is not merely a reflection of a skill deficit which can be rectified by academic or didactic training;

3. The quality of services delivered by the intern is sufficiently negatively affected;

4. The problem is not restricted to one area of professional functioning;

5. A disproportionate amount of attention by training personnel is required; and/or

6. The intern's behavior does not change as a function of feedback, remediation efforts, and/or time.

Guidelines for Due Process

Psychology interns occupy a unique position at MN DOC. They are professional staff members and are thus subject to the policies and procedures applicable to professional staff. They are also graduate interns at various institutions, and by completing a psychology internship are fulfilling an academic requirement of their home institution. Psychology interns may have multiple supervisors and reporting lines. It is therefore necessary to define a due process procedure that takes into account the agency’s personnel policies, the multiplicity of lines of authority over interns, the duality of their status, and published professional standards. The following procedures clarify how Progressive Discipline shall be applied to interns.

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Due Process: General Guidelines

Due process ensures that the decisions about interns are not arbitrary or personally based. It requires that the Training Program identify specific evaluative procedures that are applied to all interns and provide appropriate appeal procedures. All steps need to be appropriately documented and implemented. General due process guidelines include:

1. Providing interns with the program’s expectations related to professional functioning in writing during the orientation period and discussing these expectations.

2. Stipulating the procedures for evaluation, including when and how evaluations will be conducted. Such evaluations should occur at meaningful intervals.

3. Articulating the various procedures and actions involved in making decisions about problem behaviors.

4. Communicating, early and often, with graduate programs about any difficulties with interns and, when necessary, seeking input from these academic programs about how to address such difficulties.

5. Instituting, when appropriate, a remediation plan for identified inadequacies, including a timeframe for expected remediation and consequences for not rectifying the inadequacies.

6. Providing interns with a written procedure that describes how the intern may appeal the program’s action. These procedures are included in the materials provided to interns during orientation.

7. Ensuring that interns have sufficient time to respond to any action taken by the program.8. Using input from multiple professional sources when making decisions or recommendations

regarding an intern’s performance.9. Documenting, in writing and to all relevant parties, the actions taken by the program and its

rationale.

Procedures for Responding to Problematic BehaviorBasic Procedures

If an intern receives an unacceptable rating from any of the evaluation sources in any of the major categories of evaluation, or if a staff member or another intern has concerns about an intern's behavior (ethical or legal violations, professional incompetence) the following procedures will be initiated:

1. In some cases, it may be appropriate to speak directly to the intern about the concerns, and in other cases a consultation with the Director of Clinical Training (DCT) will be warranted. This decision is made at the discretion of the staff or intern who has concerns.

2. Once the DCT has been informed of the specific concerns, they will determine if and how to proceed.

3. If the staff member who brings the concern to the DCT is not the intern's supervisor, the DCT will discuss the concern with the supervisor(s).

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4. If the DCT and supervisor(s) determine that the alleged behavior in the complaint, if proven, would constitute a serious violation, the DCT will inform the staff member who initially brought the complaint.

5. The DCT will meet with the training committee to discuss the concern.

6. The DCT will meet with the Director of Behavioral Health Services to discuss the concerns and possible courses of action to be taken to address them.

7. The DCT, supervisor(s), and Director of Behavioral Health may meet to discuss a possible course of action (as listed below).

Notification Procedures to Address Problematic Behavior or Inadequate Performance

Meaningful ways to address problematic behavior, once identified, are important. In implementing remediation or sanctions, the training staff must be mindful and balance the needs of the intern with problematic behavior, the clients involved, members of the intern’s training group, the training staff, other clinic personnel, and the agency community. All evaluative documentation will be maintained in the intern’s file. The trainee’s academic program will be notified of a Verbal and/or Written Notice(s) at the discretion of when warranted.

1. Verbal Warning: Verbal Warning emphasizing the need to remedy the problematic behavior.

2. Written Notice to the intern stating:a. That the supervisor and DCT are concerned about the problematic behavior,b. That the concern has been brought to the attention of the intern, andc. That the supervisor and DCT will work with the intern to rectify the problem.

3. Second Written Notice : To the intern will identify possible sanction(s) and describe the remediation plan. This letter will contain:

a. A description of the intern’s unsatisfactory performance;b. Actions needed by the intern to correct the unsatisfactory behavior (see possible

remediation processes in the next section);c. The timeline for correcting the problem;d. What action will be taken if the problem is not corrected, and,e. Notification that the intern has the right to request a review of this action (see Appeals

Procedures).

Remediation and Sanctions

The following remediation with possible sanction processes are not necessarily linear in their application. The type of remediation and/or sanction utilized, will depend on the type and seriousness of the problematic behavior(s). The severity of the problematic behavior plays a role in the level of remediation or sanction.

1. Schedule Modification is a time-limited, remediation-oriented closely supervised period of training designed to return the intern to a more fully functioning state. Modifying an intern’s schedule is an accommodation made to assist the intern in responding to personal reactions to

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environmental stress, with the full expectation that the intern will complete the internship. This period will include more closely scrutinized supervision conducted by the regular supervisor in consultation with the Director of Clinical Training. Several possible concurrent courses of action may be included in modifying a schedule. These include:

a. Increasing the amount of supervision, either with the same or other supervisors;b. Recommending personal therapy;c. Reducing the intern’s workload; andd. Requiring specific academic coursework.

The Director of Clinical Training, in consultation with the primary supervisor and the Director of Behavioral Health Services, will determine the length of the schedule modification. Again, the Director of Clinical Training will inform the intern’s academic department of this situation, with the intern receiving a copy of this letter.

2. Probation is also a time-limited, remediation-oriented, more closely supervised training period. Its purpose is to assess the ability of the intern to complete the internship and to return the intern to a more fully functioning state. Probation defines a relationship where the Director of Clinical Training systematically monitors the degree to which the intern addresses, changes, or otherwise improves the problem behavior. The intern is informed of the probation in a written statement that includes:

a. The specific problem behaviors;b. The recommendation for rectifying these behaviors;c. The timeframe for the probation during which the problem is expected to be

ameliorated, andd. The procedures to ascertain whether the problem has been appropriately rectified.

The Director of Clinical Training, in consultation with the primary supervisor and the Director of Behavioral Health Services, will evaluate the intern’s improvement. If, at the end of the probation, the problem behavior has not been rectified, the Director of Clinical Training will communicate this, in writing, including the course of continuation of the remediation efforts for a specified time period or implementation of another alternative. The Director of Clinical Training will inform the intern’s academic department of these events, with the intern receiving a copy of any letters. Additionally, the DCT will communicate that if the intern's behavior does not change, the intern will not successfully complete the training

3. Suspension of Direct Service Activities is necessary if a determination has been made that the welfare of the intern’s clients has been jeopardized. In this case, direct service activities will be suspended for a specified period as determined by the Director of Clinical Training in consultation with the Director of Behavioral Health Services, and the intern’s supervisors. At the end of the suspension period, the intern’s supervisor in consultation with the Director of Clinical Training will assess the intern’s capacity for effective functioning and determine when direct service can be resumed. The Director of Clinical Training will inform the academic department of these events, with the intern receiving a copy of any letters.

4. Administrative Leave involves the temporary withdrawal of all responsibilities and privileges in the MN DOC. If the Probation Period, Suspension of Direct Service Activities, or Administrative

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Leave interferes with the successful completion of the training hours needed for completion of the internship, this will be noted in the intern’s file and the intern’s academic program will be informed.

5. Dismissal from the Internship involves the permanent withdrawal of all Department of Corrections’ responsibilities and privileges. When specific interventions do not rectify the impairment and the intern seems unable to or unwilling to alter his/her behavior, the Director of Clinical Training will discuss with the Director of Behavioral Health Services the possibility of dismissal from the internship. Dismissal would be invoked in cases of serious violations of the APA Code of Ethics, or when imminent physical or psychological harm to a client is a major factor, or the intern is unable to complete the internship due to physical, mental or emotional illness. The Director of Behavioral Health will make the final decision about dismissal. When an intern has been dismissed, the Director of Clinical Training will communicate to the intern’s academic department that the intern has not successfully completed the internship.

6. Immediate Dismissal involves the immediate, permanent withdrawal of all agency responsibilities and privileges. Immediate dismissal would be invoked but is not limited to cases of severe violations of the APA Code of Ethics, or when imminent physical or psychological harm to a client is a major factor, or the intern is unable to complete the training program due to physical, mental or emotional illness. In addition, in the event an intern compromises the welfare of a client(s) or the clinic community by an action(s) which generates grave concern from the DCT or the supervisor(s), the Director of Behavioral Health may immediately dismiss the intern from MN DOC. This dismissal may bypass steps identified in notification procedures and remediation and sanctions alternatives. When an intern has been dismissed, the DCT will communicate to the intern's academic department that the intern has not successfully completed the training program.

If at any time an intern disagrees with the aforementioned sanctions, the intern can implement Appeal Procedures (see section below on Appeal procedures).

Due Process: Appeal Procedures

The basic meaning of due process is to inform and to provide a framework to respond, act or dispute. When a matter cannot be resolved between the Director of Clinical Training and intern or staff, the steps to be taken are listed below.

A. Grievance Procedure

There are two situations in which grievance procedures can be initiated.

1. In the event that an intern encounters any difficulties or problems (e.g., poor supervision, unavailability of supervisor, evaluations perceived as unfair, workload issues, personality clashes, other staff conflict) during his/her training experiences, an intern can:

a. Discuss the issue with the staff member(s) involved;

b. If the issue cannot be resolved informally, the intern should discuss the concern with the Director of Clinical Training. The Director of Clinical Training may meet with the intern and the staff

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member involved individually or with both the intern and the staff member involved, to assist in mediation of the issue. Possible solutions may include but are not limited to, reassessment of the intern's evaluation, reassessment of the intern's workload, providing additional supervision to the intern, consultation for the supervisor, reassignment of the intern to another supervisor, etc. The intern's academic program will be informed of the concern and its resolution;

c. If the issue cannot be resolved by the Director of Clinical Training, the intern should discuss the concern with the Behavioral Health Services Director. The Behavioral Health Services Director may meet with the intern, the staff member involved, and the Director of Clinical Training individually or as a group to assist in mediation of the issue. Possible solutions may include but are not limited to, reassessment of the intern's evaluation, reassessment of the intern's workload, providing additional supervision to the intern, consultation for the supervisor, reassignment of the intern to another supervisor, etc. The intern's academic program will be informed of the concern and its resolution;

d. If the issue cannot be resolved with the Director of Clinical Training or the Director, the intern's academic program may be contacted to assist in mediation of the grievance;

e. If the Director of Clinical Training or Director cannot resolve the issue, the intern can request that a Review Panel be convened to hear this grievance:

1) The intern should file a formal complaint in writing including any supporting documents with the Director of Clinical Training. If the intern is challenging a formal evaluation, the intern must do so within five (5) workdays of receipt of the evaluation.

2) Within three (3) workdays of a formal complaint, the Director of Clinical Training must consult with the Director and implement Review Panel procedures as described below.

2. If a training staff member has a specific concern about an intern, the staff member should:

a. Discuss the issue with the intern(s) involved.

b. If the issue cannot be resolved informally, the training staff member should discuss the concern with the Director of Clinical Training. The Director of Clinical Training may meet with the intern and the staff member involved individually or with both the intern and the staff member involved, to assist in mediation of the issue. The intern's academic program will be informed of the concern and its resolution.

c. If the issue cannot be resolved by the Director of Clinical Training, the training staff member should discuss the concern with the Director. The Director may meet with the intern, the staff member involved, and the Director of Clinical Training individually or as a group to assist in mediation of the issue. The intern's academic program will be informed of the concern and its resolution.

d. If the issue cannot be resolved with the Director of Clinical Training or Director, the intern's academic program may be contacted to assist in mediation of the grievance.

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e. If the Director of Clinical Training or Director cannot resolve the issue, the training staff member can request that a Review Panel be convened to hear this grievance:

1) The training staff member should file a formal complaint, in writing, including any supporting documents, with the Director of Clinical Training.

2) Within three (3) workdays of a formal complaint, the Director of Clinical Training must consult with the Director and implement Review Panel procedures as described below.

Review Panel and Process:

1. Upon receipt of a formal complaint the Director of Behavioral Health Services will convene a Review Panel. The Panel will consist of three staff members selected by the Director of Behavioral Health Services with recommendations from the Director of Clinical Training and the intern involved in the dispute. The intern has the right to hear all the facts with the opportunity to dispute or explain the behavior of concern.

2. Within five (5) workdays, a hearing will be conducted in which the challenge is heard, and relevant material presented. Within three (3) workdays of the completion of the review, the Review Panel submits a written report to the Director of Behavioral Health Services, including any recommendations for further action. Recommendations made by the Review Board will be made by majority vote.

3. Within three (3) workdays of receipt of the recommendations, the Director of Behavioral Health Services will make a final decision regarding what action is to be taken.

4. Once a final and binding decision has been made, the intern, his/her academic department, and other appropriate individuals will be informed in writing of the action taken.

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APPENDIX

Minnesota Department of Corrections

Policy: 103.225 Title: Employee Investigation and Discipline Administration

Issue Date: 10/6/15

Effective Date: 10/20/15

AUTHORITY: Minn. Stat. 43A.20

Minn. Stat. Chap. 179A, Public Employment Labor Relations

Prison Rape Elimination Act (PREA), 28 C.F.R. §115 (2012)

PURPOSE: To establish procedures regarding instances of employee conduct that may lead to discipline, non-certification, or termination of intern status.

APPLICABILITY:Minnesota Department of Corrections (DOC)

POLICY: Managers and supervisors conduct employee investigations as directed by the appointing authority/designee. Allegations of discrimination or sexual harassment must be handled in accordance with Policy 103.300, “Discrimination-free Workplace.” For incidents of alleged criminal misconduct, refer to Policy 107.100, “Internal Affairs - Office of Special Investigations.”

DEFINITIONS:

Appointing authority - for the purposes of this policy, appointing authority is defined as a warden, superintendent, or manager delegated the authority for personnel transactions by the Commissioner of Corrections.

Discipline levels (in order of severity)

1. Oral reprimand;

2. Written reprimand;

3. Suspension;

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4. Demotion; and

5. Discharge.

Just cause standards - the seven standards the DOC must meet to impose discipline on an employee. The standards are:

1. The employee was forewarned that conduct may result in discipline.

2. The DOC rule, order, or standard is reasonable.

3. The investigation was conducted prior to issuing discipline to the employee.

4. The investigation was fair and objective.

5. The investigation showed evidence/proof of wrong doing.

6. The DOC has applied the rules, standards, and penalties in a non-discriminatory manner.

7. The proper degree of discipline was applied reasonably related to the seriousness of misconduct and past record of the employee.

Work Incident Review Committee (WIRC) – the committee that meets to review employee misconduct/performance issues and determines the appropriate level of action when the expected discipline is at the level of suspension or greater.

WIRC membership, central office (CO)/field services – membership is established by the CO regional human resource director (RHRD)/designee to include the division head/designee (of the employee under investigation) and limited to Managerial Plan employees.

WIRC membership, facility – membership is established by the facility warden/superintendent and must include the warden/superintendent, a corrections facility operations director (AWO)/assistant superintendent, a corrections facility administration director (AWA), the RHRD/designee, and other executive team members.

WIRC membership, shared services – membership is established by the appointing authority and comprised of the RHRD/designee, the division head/designee (of the employee under investigation), Managerial Plan employees, and may include members of the facility WIRC (depending on the circumstances).

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PROCEDURES:

A. Incidents of alleged employee misconduct must be documented and brought to the appointing authority/designee’s attention (see Policy 103.220, “Personal Conduct of Employees”).

B. The appointing authority/designee determines when to initiate an investigation concerning employee misconduct. For investigation of allegations of discrimination or sexual harassment, see Policy 103.300, “Discrimination-free Workplace.”

C. Confidentiality - information gathered during an investigation is handled in accordance with federal and state data privacy laws (refer to Policy 106.210, “Data Practices”).

D. Investigatory leave - the appointing authority determines if a reasonable basis exists for placing the employee on paid investigatory leave in accordance with the applicable contract/plan.1. The appointing authority considers the following factors to determine if a reasonable

basis exists:a) Does the subject’s presence in the workplace pose a clear or imminent threat to

safety and security of the facility, other staff, or the subject?b) Does the subject’s presence in the workplace threaten the integrity of the

investigation? c) Is the subject likely to influence the testimony of other staff or destroy or

tamper with evidence?

2. If the employee is placed on investigatory leave, the RHRD/designee and the involved division/unit manager must ensure the employee is provided with a) Preliminary information concerning the nature of the allegations; and b) Expectations of the employee while on investigatory leave.

3. The decision to place an employee on investigatory leave may be made at any time during the investigative process.

4. Resignations submitted by employees under active investigation must not be accepted without review by the agency human resource manager and deputy/assistant commissioners.

E. Investigation process

1. The appointing authority/designee assigns an investigator.

2. The appointing authority/designee must notify the RHRD/designee when a) The appointing authority/designee has assigned employee investigator; b) The allegations to be investigated;c) The alleged policy/procedure violated;d) The name of the investigator; and e) The subject(s) of the investigation.

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3. The human resources management (HRM) office establishes a record of the investigation in the agency investigation and discipline tracking system.

4. The investigator must give notice to the employee, in accordance with applicable bargaining agreements and plans, that

a) The employee is the subject of an investigation; and b) The identity of the investigator or other department contact.c) Unless providing notice will be detrimental to the investigation. d) Employees must cooperate in investigations as outlined in the investigation

interview Tennessen Warnings (attached).

5. An investigation commences gathering all material evidence available to prove or disprove the allegations.

6. If information regarding other potential employee misconduct emerges through the investigation, the investigator reviews the additional information and determines whether to expand the scope of the investigation or address the additional issues through a different process or personnel.

7. Investigators must complete the entire investigation process from time of assignment to issuing of disciplinary action within 30 days.

a) A shorter investigation period or weekly update requirement may be specified by the appointing authority.

b) The appointing authority and RHRD/designee must be notified if an investigation exceeds 30 days, with specific reasons for the delay.

c) The investigation summary must also note the reason(s) for untimely completion.

8. With appointing authority approval, an investigation may be discontinued if it becomes apparent that further investigation is unwarranted.

9. If an investigation is discontinued, the appointing authority must notify the RHRD/designee to close out the file in the investigation and discipline tracking system.

10. Any individual providing false statements during an investigation may be subject to discipline, up to and including discharge.

F. Investigation review - before submitting an investigation to the WIRC for review, the appropriate

facility associate warden or CO appointing authority/designee:1. Ensures:

a) The facility/field services office is identified at the top of the first page as “Department of Corrections – {location}”

b) The report is signed or initialed by the investigator.

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c) Respondent information is provided: 1) Name; 2) Date of hire; 3) Dates and overall ratings of last three performance review reports; 4) All corrective and disciplinary actions received within the past three

years; and 5) Training record for the preceding three years.

d) Policy violation/post order violation/etc. are identified and referenced in the investigation report.

e) The report includes sufficient information and detail to determine that the just cause standards are met.

2. Proofreads the report thoroughly and has the investigator correct any content, spelling, grammatical, or other errors.

3. Verifies the consistency and accuracy of dates, times, specific quotations, or statements identified as facts included in the report.

4. Ensures all attachments (e.g. incident reports, policies) are identified, labeled, and provided.

5. Verifies that all the documents to be submitted to human resources are provided such as:a) Investigative notes; b) Final investigation report; c) Tennessen Warning;d) Union waiver; ande) Applicable policies, directives, instructions, post orders and/or position

descriptions.

6. Amends the attachment statement at the end of the report, if necessary.

7. Ensures any video is copied and submitted with the completed investigation.

8. Signs off on the investigation, affirming that all of the above steps were taken.

G. The facility associate warden or CO appointing authority/designee, in consultation with RHRD, determines whether or not to refer the investigation to the WIRC or to process within the managers’ decision making authority.1. If a determination not to refer to WIRC – the discipline level expected to be at or below

a written reprimand—then the facility associate warden or CO appointing authority/designee musta) Consult with the RHRD/designee regarding the facts of the case, comparable

employee misconduct, and/or procedural issues surrounding the case.b) Review the investigation with the supervisor of the subject of the investigation

and determine appropriate discipline.c) Ensure just cause standards have been met for disciplinary action.

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2. If a determination to refer to WIRC - any discipline level expected to be a suspension or greater; or for non-certifications or termination of interns, then facility associate warden or CO appointing authority/designeea) Must convene the WIRC within a reasonable period of time. b) May request the investigator and/or supervisor attend the WIRC meeting.

3. At the appointing authority’s discretion, facilities may convene WIRC meetings for discipline estimated to be less than a suspension.

4. When WIRC convenes, it a) Discusses the investigation, b) Ensures just cause standards are met, and c) Determines appropriate discipline. d) No standard, higher than a preponderance of the evidence, may be used in

determining whether allegations of sexual abuse or sexual harassment are substantiated.

5. Discipline resulting in a possible suspension of five days or greater must be approved by the DOC human resource manager and the appropriate assistant or deputy commissioner prior to administration of the discipline.

6. The manager must ensure implementation of the decision with notification to the RHRD/ designee.

H. Discipline1. Any individual who violates agency sexual abuse or sexual harassment policies may be

subject to discipline up to and including discharge.

2. If the allegations are unsubstantiated or no discipline will be issued, the supervisor must inform the employee of the outcome of the investigation and the determination of no discipline.

3. If the determination is for discipline of a written reprimand or greater, the supervisor of the impacted employee must a) Draft a letter of discipline using the guide templates located on HRM updates, b) Review the letter with the associate warden/division manager, and c) Obtain the RHRD/designee’s approval prior to providing the letter to the

employee.

4. Disciplinary actions administered must be issued and signed by the supervisor of the employee receiving the discipline. a) Discharge, non-certifications, and termination of intern letters are signed by the

appointing authority. b) If the employee’s supervisor is unavailable to issue disciplinary action, it is

issued by the next level supervisor within the employee’s chain of command.

5. After the imposition of discipline for any violation of Policy 103.300, “Discrimination-free Workplace,” the appointing authority must arrange a meeting with the employee

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and supervisor to reinforce the department's expectations of maintaining a work environment free from illegal discrimination, including sexual harassment.

6. Termination is the presumptive disciplinary sanction for staff who engaged in sexual abuse as defined in Policy 202.057 “Sexual Abuse/Harassment Prevention, Reporting, and Response.”

I. Records1. The RHRD/designee records the final decision in the agency investigation and discipline

tracking system for retention purposes and in SEMA4, if appropriate. 2. The division manager ensures the original investigation and all supporting

documentation is forwarded to the RHRD/designee to maintain in accordance with the records retention schedule.a) Written disciplinary actions/non-certification letters are placed in the

employee's personnel file and may only be removed upon an employee’s written request to the RHRD/designee in accordance with the applicable collective bargaining agreement (see Policy 106.230, “Personnel Files”).

b) Oral reprimands and other actions (e.g. supervisory conferences, performance improvement plans) must be documented in the supervisory file and notice of when the discipline was administered must be sent to the RHRD/designee.

INTERNAL CONTROLS:A. Investigations are entered, tracked, and retained in the investigation and discipline tracking

system.

B. Investigation documentation is retained in the HRM office.

C. Discipline actions are documented in the personnel or supervisory file.

REVIEW: Annually

REFERENCES: Policy 103.300, “Discrimination-free Workplace”

Policy 107.100, "Internal Affairs - Office of Special Investigations"

Policy 106.210, "Data Practices"

Policy 106.230, "Personnel Files"Policy 103.220, “Personal Conduct of Employees”Policy 202.057, “Sexual Abuse/Harassment Prevention, Reporting and Response”Applicable collective bargaining agreements and plans

Minnesota Government Data Practices Act

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Minnesota Department of Corrections

Policy: 103.015 Title: Internship Program

Issue Date: 12/15/15

Effective Date: 1/5/16

AUTHORITY: Minn. Stat. §43A.04

Minn. Rules 3900.9000

PURPOSE: To provide learning experiences which are of mutual benefit to the intern and the department. The internship program aims to increase future applicant pools and workforce diversity.

APPLICABILITY: Minnesota Department of Corrections (DOC), department-wide. This policy is not applicable to student workers, work study, or AmeriCorps volunteers.

POLICY: The DOC provides work opportunities and practical learning experiences to students to enhance their academic preparation. Internships and practicums are unpaid except for pre-doctoral psychology interns or other interns specified as paid interns. Supervisors considering a paid internship outside of the pre-doctoral psychology internship must discuss the position with human resources, including compensation as outlined in Minnesota Management and Budget (MMB) Administrative Procedure 21 E, prior to posting the position. All interns delivering health care or mental health services in a facility must work under direct staff supervision matching their level of training. All intern applicants who are not current DOC employees must successfully pass a Bureau of Criminal Apprehension (BCA) background check, in order to be considered for an internship. All juvenile facility intern applicants who are not current DOC employees must also pass the Department of Human Services background check in order to be considered for an internship. All paid internships must follow the hiring process, in accordance with DOC Policy 103.009, “Affirmative Action/Monitoring the Hiring Process.” Upon acceptance, human resources staff works with the affirmative action manager to properly document the temporary hire. All DOC training must be documented in the agency approved training management system.

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DEFINITIONS:

DOC internship coordinator - a centralized position responsible for coordinating the activities and processes for all DOC interns and the DOC internship program

Intern - an individual receiving academic credit or fulfilling an academic requirement of an accredited educational institution through work experience. Appointments may be part time or full time as appropriate to meet the academic requirements of the internship and the needs of the supervisor

Internship background forms packet – may include the DOC consent form; Criminal History/Release of Predatory Offender Registration/Sexual Abuse Record (103.014F); Release of Information (103.014G); Offender Association Disclosure form (103.223A); Forms Packet for Positions Involving Provision of Psychotherapy (103.070B); Psychotherapy Background Information Release (103.070A).

Preceptorship intern - A period of practical experience and training for a nursing student, that is supervised by a DOC health services expert or specialist in a particular field. Participating schools that supply preceptor interns have pre-established agreements with the college/university and the DOC prior to the preceptor intern’s start date.

Pre-doctoral psychology intern* - an internship emphasizing the practice of clinical psychology in a correctional facility in association with the Association of Psychology Postdoctoral and Internship Centers.

Psychotherapy background review - a requirement for all applicants for any treatment position, including sex offender therapy, chemical dependence therapy, and psychotherapy. The review is performed by a behavioral health intern supervisor.

PROCEDURES:

A. The department internship coordinator is responsible for:

1. Recruiting interns by identifying and establishing relationships with educational institutions that have formal internship programs, and verifying that the accredited educational institution and the interns may receive academic credit and meet course requirements;

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*The use of “pre-doctoral psychology intern” seen here is currently in the government agency policy. Steps are being taken to update the use of this term to that of psychology intern.

2. Working with the department recruitment coordinator to ensure that facility recruitment coordinators are attending internship-based recruitment fairs;

3. Responding to applicant inquiries regarding the internship program;

4. Posting internship opportunities within the DOC on educational institution websites;

5. Receipt, review, and retention of Intern Evaluation Form for Interns (attached); and

6. Retention of application materials, background checks, forms, and test results of interns. Records are retained within the same provisions of applicant data practices used by human resources.

B. The intern supervisors are responsible for:

1. Identifying/creating internship opportunities in their work areas;

2. Forwarding any applications received directly from an intern applicant to the facility intern coordinator;

3. Scheduling and conducting interviews with the intern applicant(s);

4. Notifying the applicant of decisions to accept/deny the internship;

5. Daily supervision and final evaluations of the intern; and

6. Ensuring the “Intern Entry/Exit Checklist for Supervisors” form (attached) is completed.

C. Facility intern coordinators are responsible for:

1. Assisting supervisors and managers in creating internship opportunities;

2. Submitting new internship opportunities to department intern coordinator for posting;

3. Forwarding intern application to appropriate managers and supervisors;

4. Submitting the completed Internship Background Forms Packet (attached) to the department internship coordinator;

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5. Scheduling the intern for facility orientation;

6. Collecting documentation of current negative Mantoux (Tuberculosis) test for interns with more than ten hours of direct offender contact per week and providing the information to the DOC intern coordinator; and

7. Ensuring the selected student completes the Volunteers, Contractors, and Interns Orientation Checklist Agreement (attached).

D. The behavioral health (BH) intern coordinator is responsible for:

1. Identifying BH internship opportunities;

2. Reviewing all BH intern applications to determine eligibility for BH placement;

3. Forwarding BH intern applications to appropriate BH managers and supervisors;

4. Ensuring that BH interns have received all pertinent policies;

5. Submitting the completed Internship Background Forms Packet to the department internship coordinator; and

6. Notifying the facility intern coordinator to schedule BH intern(s) for facility orientation.

E. The intern is responsible for:

1. Completing all application materials and obtaining all necessary signatures prior to the internship start date;

2. Attending all required training, orientation, and tours;

3. Providing the facility intern coordinator with TB test results prior to the internship start date (as required by DOC Policy 105.180, “Tuberculosis Control for Applicants, Employees, Contractors, Volunteers and Students”);

4. Turning in DOC identification badge and all other state property at the conclusion of the internship;

5. Completing the Intern Evaluation Form for Interns; and

6. Complying with all DOC policies.

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INTERNAL CONTROLS:

A. The DOC internship coordinator retains the intern application, and medical and background information applying the same data practices provisions used by human resources.

B. All training is documented and retained in the DOC’s electronic training system.

REVIEW: Annually

REFERENCES: Administrative Procedures #21E

Policy 103.014, “Background Checks for Applicants and Current Employees”

Policy 105.180, "Tuberculosis Control for Applicants, Employees, Contractors, Volunteers and Students"

Policy 103.223, “Personal Associations Between Staff and Offenders”

Policy 103.070, “Prohibition of Sexual Exploitation of Offenders – Psychotherapy”

Minn. Stat. §43A.02, subd. 24

Policy 103.009, “Affirmative Action/Monitoring the Hiring Process”

Policy 103.300, “Discrimination-Free Workplace”

Policy 103.310, “Reasonable Accommodation”

Policy 300.040, “Volunteer Services Program”

SEMA4 Instructions #HR006.

ACA Standards 4-4392, 1-ABC-4E-14

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Minnesota Department of Corrections

Policy: 103.300 Title: Discrimination-free Workplace

Issue Date: 11/1/16

Effective Date: 11/1/16

AUTHORITY: Minn. Stat. §§241.01, subd. 3a; 363A.01 et seq.; 43A.01, subd. 2

PURPOSE: To describe the department’s commitment to providing a workplace free from discrimination, including discriminatory harassment and reprisal; to establish clear procedures for handling reports of alleged violations of this policy; and to comply with Minnesota Management and Budget (MMB) HR/LR Policy #1329 Sexual Harassment Prohibited.

APPLICABILITY: Minnesota Department of Corrections (DOC); department-wide (including such examples as applicants, employees, contractors, student workers, vendors, and volunteers)

POLICY:The DOC is committed to providing to all its employees a workplace free from discrimination and does not tolerate unlawful discrimination in employment actions or discriminatory harassment on the basis of age, ancestry, color, creed, disability, familial status, gender, genetic information, marital status, membership or activity in a local human rights commission, national origin, race, religion, sex, sexual orientation, or status with regard to public assistance; or reprisal for making a good faith report about discrimination or discriminatory harassment. Individuals who do not comply with this policy are subject to disciplinary action, up to and including termination of employment, contract, or other affiliation.

The following conduct is prohibited:

A. Discrimination with respect to hiring, compensation, or other terms, conditions, and privileges of employment based upon an individual’s protected class status, except when based upon a bona fide occupational qualification.

B. Discriminatory harassment is conduct or communication toward an individual based upon that individual’s protected class status that is unwelcome, personally offensive, insulting or demeaning, and when:

1. Submission to the conduct or communication is explicitly or implicitly made a term or condition of an individual’s employment;

2. Submission to or rejection of the conduct or communication by an individual is used as a factor in employment decisions affecting that individual; or

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3. The conduct or communication has the purpose or effect of substantially or unreasonably interfering with an individual’s performance in employment or creating an intimidating, hostile, or offensive work environment.

4. Any of the following types of conduct or communication could constitute discriminatory harassment, as defined in B.1 through 3 above:

Displaying, transmitting, or storing either physically or electronically, any writing, sign, or other visible representation that demeans, offends, threatens, or belittles any individual or group of individuals based on their protected class status, including such examples as posters, signs, photographs, drawings, cartoons, or symbols.

Verbal communication, whether in-person or electronic, of demeaning, derogatory, vulgar, threatening, or offensive comments or references about any individual or group of individuals based on their protected class status.

Physical acts, movements, or gestures in the presence of others that communicate demeaning, derogatory, threatening, vulgar, or otherwise offensive messages about any individual or group of individuals based on their protected class status, regardless of whether the acts involve physical contact with another.

C. Reprisal, which includes any form of intimidation, retaliation, or harassment against an individual because that individual reported an alleged violation under this policy or assisted or participated in an investigation, regardless of whether a claim of discrimination or discriminatory harassment is substantiated.

D. Knowingly making false reports or providing false information about a report of discrimination or discriminatory harassment during the investigation of such a report.

DEFINITIONS:

Appointing authority - the warden, superintendent, or manager who has been designated as the authority for personnel transactions by the commissioner.

Employment actions – includes such things as hiring, terms and conditions of employment, benefits, training, discipline, compensation, promotions, working conditions, or discharge.

Individuals - applicants, employees, contractors, volunteers, and student workers.

Individuals designated to receive reports of suspected violations – any supervisor, manager, regional human resources director (RHRD), and the diversity director.

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Protected class characteristics - age, ancestry, color, creed, disability, familial status, gender, genetic information, marital status, membership or activity in a local human rights commission, national origin, race, religion, sex, sexual orientation, or status with regard to public assistance.

Reprisal – any form of intimidation, retaliation, or harassment directed toward an individual who has made a good faith report or participated in an investigative, administrative, or legal process initiated under this policy.

PROCEDURES: These procedures are intended to ensure the DOC and all employees take appropriate action in reporting and responding to alleged discrimination, discriminatory harassment, and reprisal.

A. Responsibilities for compliance

1. All individuals affiliated with the DOC are required to comply with this policy and failure to comply is grounds for discipline, up to and including termination of employment, contract, or other affiliation.

2. All training must be documented in the agency approved training system, including an annual acknowledgement of MMB’s HR/LR Policy #1329 Sexual Harassment Prohibited.

3. All individuals subject to this policy:

a) Must complete training in accordance with agency training plans to ensure they are aware of and understand the policy and procedures;

b) Must comply with all aspects of this policy and procedures;

c) May promptly advise the policy violator that his or her behavior is unwelcome and request that it be discontinued. Often this request alone resolves the problem;

c) Are encouraged to report to a person designated to receive reports if the individual, in good faith, believe they have been subjected to conduct that violates this policy and whether they have tried to resolve the problem with the policy violator;

d) Must report if the individual observes or otherwise learns about conduct that they, in good faith, believe violates this policy;

e) Are required to cooperate and testify truthfully in any investigative, administrative, or legal process related to alleged violations of this policy; and

f) Must maintain confidentiality requirements.

4. Managers, supervisors, and lead workers must:

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a) Ensure the workplace is free from unlawful discrimination by modelling appropriate behavior in the workplace;

b) Monitor the work environment for signs of prohibited conduct;

c) Complete training for managers, supervisors, and lead workers in accordance with agency training plans;

d) Educate all individuals covered by this policy about prohibited conduct and complaint procedures;

e) Initiate and support programs and practices designed to develop understanding, acceptance, commitment and compliance with this policy;

f) Document and report any violations of this policy they observe or have reported to them regardless of whether the individual subjected to the offending conduct chooses to report;

g) Cooperate and testify truthfully in any investigative, administrative, or legal process related to an alleged violation of this policy;

h) If authorized, take disciplinary action or make remedial operational changes, when necessary; and

i) Maintain confidentiality requirements.

B. Reporting suspected violations of this policy – to encourage and facilitate prompt and appropriate response to suspected violations of this policy, the following individuals designated to receive reports: any supervisor, manager, regional human resources director (RHRD), or the diversity director.

1. Individuals encouraged to report – individuals who are being, or have been, subjected to conduct that they, in good faith, believe violates this policy are encouraged to report it to their supervisor, the supervisor of the person whose conduct is objectionable, or any person designated to receive reports.

2. Individuals required to report – all individuals subject to this policy who observe and otherwise learn of conduct that they, in good faith, believe violates this policy are required to report it.

3. Contents of report – a report must include, at a minimum, the following information

a) Reporting person’s name, job title, work address, telephone number, and supervisor’s name;

b) The name of the person responsible for the objectionable conduct;

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c) A description of the conduct that violates this policy;

d) The date of the most recent conduct; and

e) The names of any individuals who witnessed the conduct.

f) Reports must be made on the Discrimination/Discriminatory Harassment Report form (attached), which is also available on the DOC intranet or in any human resources office.

C. Initial receipt of report

1. Person who receives a report of alleged violations

a) For reports received on the Discrimination/Discriminatory Harassment Report form, contact the RHRD immediately or, if RHRD is not available, the appointing authority(ies) or director of field services. If the form is missing any information, contact the individual who completed the form and obtain the necessary details to fully document the report in writing.

b) For all other reports (verbal or submissions on incident reports)

(1) Contact the individual who has been subjected to the objectionable conduct and encourage the individual to file a report on the Discrimination/Discriminatory Harassment Report form.

(2) If the individual being subjected to the offensive conduct chooses not to file a written report,

(a) Collect the necessary information;

(b) Complete the Discrimination/Discriminatory Harassment Report form on behalf of the individual; and

(c) Immediately submit the form to the RHRD, or, if RHRD is not available, the appointing authority(ies) or director of field services.

2. RHRD – the RHRD and the appointing authority(ies), in consultation with the director of human resources must:

a) Determine whether it is necessary to limit contact between the individual allegedly responsible for the offensive conduct and the individual who has been subjected to it and, if so, give directions for temporary reassignment of anyone involved. Depending on the seriousness of the alleged conduct, any individual involved may be reassigned pending the investigation.

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b) Forward the report to the director of human resources immediately.

3. Director of human resources – the director of human resources reviews and determines whether the report alleges conduct based on protected class status in violation of this policy, whether a fact-finding investigation is necessary, and what the scope of the investigation should be.

a) If no investigation is warranted, the director of human resources notifies the appointing authority(ies).

b) If an investigation is necessary, the director of human resources notifies, in writing, the individuals who reported or were subjected to the conduct, and the individual(s) whose conduct allegedly violated this policy, and notifies the appointing authority(ies) and associate or deputy commissioner.

D. Investigation

1. Director of human resources – the director of human resources assigns an investigator to conduct an investigation into the alleged violations of this policy.

2. Assigned investigator – the investigator assigned to conduct the investigation:

a) May interview any or all individuals who were involved in or witnessed the alleged violation of this policy and may review pertinent documents, including such examples as personnel files, reports of related investigation(s), computer files, and email.

b) Conducts the investigation with respect for confidentiality to the extent practicable and in accordance with federal and state data privacy laws, however, confidentiality is not guaranteed. To protect the privacy of the complainant(s), respondent(s) and other participants in the investigation, only those persons determined to have an absolute business need to know are informed of an ongoing investigation and all parties involved in an investigation are directed not to discuss the matter with any individual who does not have a business reason to know.

c) Submits a written report of the findings to the director of human resources when the fact-finding investigation is complete, generally within 30 calendar days of the decision to investigate unless there is reasonable cause for delay.

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E. Review of findings and determination of whether violation of policy has been substantiated – the director of human resources reviews and determines, based on the totality of the circumstances, whether the findings of the investigation substantiate a violation of this policy.

1. If the findings of the investigation do not support the conclusion that a violation of the policy occurred, the director of human resources notifies, in writing, the individual(s) who were subjected to and responsible for the alleged misconduct that the investigation has been completed.

2. If the investigation findings support the conclusion that a violation of the policy occurred, the director of human resources

a) Notifies the RHRD, the appointing authority(ies), and the respective assistant or deputy commissioner;

b) Provides them with a copy of the report;

c) Refers the matter to them to determine what corrective actions are necessary; and

d) Notifies, in writing, the individual(s) who were subjected to and responsible for the alleged misconduct that the investigation has been completed..

F. Corrective action

1. The appointing authority(ies) and the RHRD determine what corrective actions are appropriate and consult with the director of human resources to ensure all policies, procedures, and post orders; collective bargaining agreements; and organizational concerns are considered. Corrective actions include such examples as employee discipline and remedial operational changes.

2. The appointing authority(ies), after consulting with the director of human resources, must

a) Promptly administer the disciplinary action;

b) Implement any remedial operational changes; and

c) Remind affected employees of the availability of conflict resolution options, and the employee assistance program.

3. Discipline may not be carried out or altered during any grievance procedure of a collective bargaining agreement unless authorized by the director of human resources.

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G. Maintaining records

1. The appropriate RHRD has primary responsibility for maintaining records of all reports filed pursuant to this policy.

2. Reports on the disposition of complaints must be filed with Minnesota Management and Budget within 30 calendar days of a final determination; and each January in the DOC’s annual report.

INTERNAL CONTROLS:

A. All training is documented and retained in the training management system.

B. Copies of all reported violations, investigation reports, and communication with the involved parties are retained by the appropriate RHRD.

REVIEW: Annually

REFERENCES: ACA Standards 2-CO-1C-11, 1-ABC-1C-05, 1-ABC-1C-02, 4-JCF-6D-01, 4-4056, 4-APPFS-3E-16

Age Discrimination in Employment Act

Americans with Disabilities Act

Genetic Information Nondiscrimination Act

Minnesota Human Rights Act

MMB HR/LR Policy #1329 Sexual Harassment Prohibited

Rehabilitation Act of 1973

Title VII of the Civil Rights Act of 1964

Sexual Harassment Zero Tolerance (#1329) Statewide Policy

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