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Networking Activity: HR Laws & Regulations

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1 Networking Activity: HR Laws & Regulations
Goal: develop a basic familiarity with HR laws and regulations. The Activity: Introduce yourself to the people at your table – share your name, company, & what you hope to learn today On your table is a sheet that outlines one HR law or regulation. Discuss this topic with those at your table. Summarize the info on your sheet & add any related experience or best practice you have During the presentation you will have an opportunity to share your summary with the large group Facilitator Notes: This is warm up activity is designed to help participants get to know each other, and provide a focus topic to help generate discussion around issues that will be discussed during the session. Not only does this activity “prime the pump” in terms of helping participants focus on the session’s topics, it also is an Adult Learning Principle best practice. One way we learn effectively as adults is to share with others what we already know while being able to engage in discussion of new ideas. Keep this slide displayed during the registration process so its easy to refer to as people enter the workshop room and find a seat. Have several volunteers from the local HR chapter available to circulate in the room to answer questions and stimulate conversation. Encourage participants to share best practices and real-life experiences with each other, and to keep brief notes on key ideas to share later in the session. Ohio SHRM©

2 HR Makes a Difference www.ohioshrm.org
Customization Point – add name, logo, & web address of local HR association “Host” Welcome participants 1. Introduce local HR chapter representatives 2. Describe briefly Ohio SHRM & how interfaces with local SHRM chapter 3. turn off cell phones 4. Set stage for session: - formal (all questions held to the end) versus - open & interactive 5. introduce main presenter/first speaker Disclaimer: Please point out this material is provided as a reference only --- this is not intended as legal advice Ohio SHRM provides this information as a reference only. It is not to be construed as legal advice. Ohio SHRM©

3 Learning Goals Small business owners will discover answers to these questions: How do I hire employees ? How do I pay employees ? How do I protect employees ? How do I keep from being sued ? How do I fire employees ? How do I retain employees? Q&A Facilitator Notes: Will cover a lot of territory during this session Will cover some info that you do already --- will cover other segments that may be beyond the scope of your business. Please be patient, because may be useful info to another person. Will not cover everything HR related – for example people preparing for the PHR (Professional in Human Resources) & SPHR (Senior Professional in Human Resources) certification exam often chose to participate in an 8 to 10 week review course, and invest another 40 to 60 hours studying on their own. Clearly, this session just scratches the surface. What you will receive are handouts you can reference at your office and a cd that also includes this PowerPoint with the embedded hyperlinks. Ohio SHRM©

4 What is HR Management? Talent Acquisition Talent Development
Talent Retention Benefits/Compensation Employee/Labor Relations Risk Management Talent Strategy Organizational Development Identify High-Potential Employees Succession Planning Facilitator Notes = Provide a brief overview of different functions in HR **** do not spend longer than 1 minute on this slide This is a brief overview only Ohio SHRM©

5 HR Roles Operational Administrative Generalist vs. Specialist
Strategic HR Strategy Business Strategy Facilitation Tip: Quick overview of HR roles As HR professionals we think of strategy as the key to HR However in small business the key is really administrative and operational (including legal issues). Please keep this in mind as you briefly review this slide & move from Administrative concerns to the strategic side of HR. Info included in Participant’s PPT: Questions to ask myself & my business to get focused on Strategy: Define the mission: What is our goal? Scan the environment(s): What is going on internally and externally? Forecast supply and demand: What are we going to need? Complete an HR inventory: What do skills do we have and where is the gap? What must we do to bridge/reduce the gap? (aka Strategy) Execute the HR strategy: What is our action plan? Involve the population: Who are other departments and employees that need to be part of the process Use HR Metrics to measure success & identify areas for improvement Ohio SHRM©

6 HR Planning Process Mission (What’s the goal) Assess Environment Scan
(External & Internal) Forecast Supply & Demand What are you going to need Complete HR Inventory What have & where is gap Actions needed to reduce gap Execute Plan Involve Others Assess What went well What to change Facilitation Tip = briefly review this slide - most people has seen some type of planning process/cycle; this slide is not intended to introduce the concept, just to serve as a reminder of the steps in the process Visual model of the HR Planning process – provide a brief overview, then note to the audience: “This process probably feels familiar to you --- it is similar to other planning cycles used in the business world.” Notes below included in Participant’s PPT: Mission – how tie to corporate Vision, Mission, & Values Environment Scan – SWOT Forecast Supply & Demand – what Knowledge, Skills, & Abilities are needed to meet current goal and/or stay responsive to business environment HR Inventory – what Knowledge, Skills, & Abilities have in current staff; describe “Gap” – how will changes in these areas enable business to meet new goals Actions to Reduce Gap – brainstorm all possible actions Train current staff, hire new staff, do nothing, ______________, etc Execute Plan – put it in to play Involve Others – who on team plays a role Department heads, other managers, people on team ??? Assess – did actions have intended effect; what did not go as planned; how do different next time Ohio SHRM©

7 Project Planning Cycle
Conception Team Selection Schedule& Monitor Completion Evaluation Facilitation Tip = briefly review this slide 1. most people has seen some type of planning process/cycle; this slide is not intended to introduce the concept, just to serve as a reminder of the steps in the process 2. Compare steps to previous slide --- not identical, however the modules are similar. Ohio SHRM©

8 Strategic HR Resources
Reminder to Facilitator: prior to presentation check that hyperlinks on all slides still function correctly. The Human Resource Planning Society HR.com - human resources community for knowledge, expertise and resources APQC – membership needed to access most benchmarking resources Facilitator Tips = briefly review this slide; do not spend much time here “These are resources with additional details about the HR Strategic Planning Cycle. You’ll see the hyperlink for each site is included on the slide. You will be able to access these directly from the cd you receive at the end of the program.” Note to Facilitator & host Chapter: always check hyperlinks prior to preparing handouts, cds, and hosting session to ensure all hyperlinks are still active Ohio SHRM©

9 General Resources U.S. Department of Labor
U.S. Department of Labor Office of Compliance Assistance Policy – provides an Employment Law Guide, summary of major laws, and materials in Spanish Bureau of Labor Statistics Library of Congress - THOMAS was launched in January of 1995, at the inception of the 104th Congress. The leadership of the 104th Congress directed the Library of Congress to make federal legislative information freely available to the public. Since that time THOMAS has expanded the scope of its offerings to include the features and content listed below. Internal Revenue Service Additional resources for data to support business plans & strategic initiatives Ohio SHRM©

10 General Resources – page 2
State of Ohio SHRM – Society for Human Resources Management _____ – local Human Resources association Customization Point – add name & web address of local HR association Additional resources Ohio SHRM©

11 General Resources – page 3
SBA – U.S. Small Business Administration SCORE – Counselors to America’s Small Business (partner with Small Business Administration) Ohio SBDC (Small Business Development Center) Business and Legal Reports – sign up for free ezines on topics of Compensation, HR, and Safety Resources that focus on small businesses In general, the resources listed here are “neutral” providers of information who do not have a “product” to sell Ohio SHRM©

12 Labor Relations Resources
Federal Mediation & Conciliation Service LaborNet – directory of union organizations on the internet National Labor Relations Board - an independent federal agency created by Congress in 1935 to administer the National Labor Relations Act, the primary law governing relations between unions and employers in the private sector. The statute guarantees the right of employees to organize and to bargain collectively with their employers, and to engage in other protected concerted activity with or without a union, or to refrain from all such activity. Resources on labor relations issues Ohio SHRM©

13 How do I hire my employees ?
What recruiting sources have you used in the past? Facilitation Tips = gather 2 to 3 responses from audience & move on to next slide; this is an easy slide to get side tracked on: Begin by gathering responses from audience to question on screen (“What recruiting sources have you used?”) – will generate lots of discussion & participants will share ideas that others have not thought of Review “Recruiting Process” Designing effective postings/job descriptions Evaluating recruiting efforts (adverse impact) Importance of Diversity 2. Discuss recruiting sources Internal candidates v. external candidates Newspapers Internet/job boards Social Media: LinkedIn, Facebook, etc Craig’s List This info is included in the Participant’s PPT: Job Postings To avoid a discrimination claim, job postings should not include any language suggesting limitations or exclusions based on race, sex, age, or any other protected characteristics. Also, the employer should be careful not to accidentally alter the at-will status of the employment relationship through promises or descriptions contained in a job posting. Employers should ensure that job descriptions and job postings identify the essential functions of the job. Ohio SHRM©

14 How do I hire my employees ?
Employment Documents Interviews: Screening & In-depth Pre-employment Testing Candidate Evaluation Background & Reference Tests Applicant Communication Hiring process Facilitation Tip: walk participants through model listed above This info is included in the Participant’s PPT: Employment Documents – Resumes & Applications A best practice for job applications is to require a signed application from all candidates, and not just a submitted resume. Be sure to: Include a statement that employment is at will. Require a signature from the applicant that all of the information on the application is true, and that any omission or false information will be grounds for rejection of the application or grounds for later termination. Include an authorization to check references. Include an arbitration agreement if applicable. The applicants should initial each provision in addition to signing the application as a whole. Interviews – During the interview, an employer should do two things: gather the relevant information for making a hiring decision document valid reasons for selecting or rejecting applicants. Ensure that interview notes are legible, include no discriminatory language, and are not open to misinterpretation because of sloppy drafting or the odd use of abbreviations. (Computerized forms can be good for this purpose because there's a central location for interview notes in a legible form that HR can easily access and monitor.) Screening – phone or in person; clarify questions about information on resume; goal is to identify if candidate has skills, knowledge, and ability to do job along with are they a good fit for the company/team culture In-depth – consider use of interview team Create list of questions that are consistently asked of each candidate for a specific position Be aware of biases (positive & negative) we each have & how they may impact interview During interview provide a realistic job preview Possible questions: "Describe one of the worst problems you had to handle at your last job and how you resolved it." (This gives you a sense of what the candidate considers to be a "worst problem," and shows their responsiveness when things go wrong, and their reactions to stressful situations.) "What teamwork challenges did you have at your last job and how did you handle them?" (This gives you an idea of what type of teamwork situation they've most recently experienced and are arriving with, and it describes what they consider to be an "issue" and how they managed it.) "What did you 'create' at your last job?" (This shows initiative, innovation, and interest level in their work. It may reveal where a candidate might be really passionate about the work they do.) 3. Pre-employment Testing – variety of tests available to use; key is to select tests that directly relate to performance of job Sometimes pre-employment testing is completed between the screening interview & in-depth interview 4. Candidate Evaulation – of all people interviewed, does one person have the best knowledge, skills & abilities along with a good cultural fit for the team 5. Background & Reference Checks – Document all reference checks. Remember, if you go beyond mere reference checks, and use a third party to obtain more detailed investigative reports, the federal Fair Credit Reporting Act (FCRA) will come into play, as well as any comparable state laws. FCRA has specific notice requirements for two levels of investigation, all of which should be carefully documented. Reference checks – talk with references provided by candidate Criminal checks Credit checks Use of polygraph is limited to specific professions 6. Applicant Communication Offer letter – The offer letter should establish the initial terms and conditions of employment such as salary and bonus eligibility, and also confirm the at-will status of the employee. state wages in terms of “per hour” even for exempt, salaried positions Communicate with other candidates that they were not selected for this position Links: Background Checks (FBI website) Employee Polygraph Protection Act Ohio SHRM©

15 Illegal Interview Questions
Employers should not ask about any of the following, because to not hire a candidate because of any one of them is discriminatory: Race Religion Color National origin Sex Birthplace Age Disability Marital/family status Source: Examples of illegal job interview questions from: Top Job Interview Questions to Help You Select the Best Illegal Job Interview Questions By Susan M. Heathfield, About.com Guide Sample Illegal Job Interview Questions What arrangements are you able to make for child care while you work? How old are your children? When did you graduate from high school? Are you a U.S. citizen? What does your wife do for a living? Where did you live while you were growing up? Will you need personal time for particular religious holidays? Are you comfortable working for a female boss? There is a large disparity between your age and that of the position’s coworkers. Is this a problem for you? How long do you plan to work until you retire? Have you experienced any serious illnesses in the past year? Additional resource: 30 Interview Questions You Can't Ask - HR World article Additional Resource: What You Can Ask and What You Can’t – Legal/Illegal Interview Questions from Michigan Tech Ohio SHRM©

16 How do I hire my employees ?
New Hire Forms & Orientation U.S. Citizenship & Immigration Services – source for “I-9 Employment Eligibility Verification” form 2010 W4 2010 W4 – Spanish State & Local Taxes Signed Offer Letter & Job Description Employee Data Form Direct Deposit (if appropriate) Health, Life, and Disability Insurance forms as offered by company Copy of Employee Handbook with separate form document employee has received handbook Confidentiality Agreement Non-Disclosure Agreement Facilitation info: examples of documents often used during hiring process; this list is NOT all inclusive Ohio SHRM©

17 How do I hire my employees ?
Orientation vs. Onboarding Orientation introduces new employee to organization, policy, procedures, and tools to be effective: Computer System & Password Software Telephone System Voice Mail Long-Distance Calls Onboarding is a longer process (3 to 12 months) that acclimates employees to multiple departments, processes & the company’s culture. May include: Mentor or buddy program Work resources & tools Facilitation Note – transition: “Once you have your people hired, the next step is to get them grounded in what you do. The terms “Orientation” and “Onboarding” are often used interchangeably. Lets look at what makes each process distinct.” Now review info on slide. Ohio SHRM©

18 Employment Relationship
Employment-At-Will Doctrine ODU project link Several sample policies are included on your cd SHRM (Society for Human Resources Management) has a variety of sample policies and toolkits available to members Here is a link to sample policies provided on About.com:Human Resources Facilitation Notes: Employement-At-Will – discuss what it is and what it isn’t Things to consider before adding/creating a policy: Use of policies – if use/create a policy, add a statement that policy is not to be construed as a employment contract And enforce each and every policy consistently This is an opportunity for a group discussion about employment contracts & fair enforcement Ohio SHRM©

19 The Basic Company Handbook
Communicates company’s procedures and policies May provide overview of organization’s mission, values, and culture Promote consistent & equitable treatment throughout company by articulating expectations Challenge: if have handbook, need to follow it consistently with all employees Facilitation Note: - most small businesses don’t have a Company Handbook - briefly review these points to consider if decide to create a Company Handbook Ohio SHRM©

20 Document Retention Key question to answer is “How long do I need to keep each document” Employer Record Retention Requirements Document Retention in the Digital Age (article) Facilitation Note: - frequent question from small business owners - resources for Document Retention schedules Ohio SHRM©

21 Required Posters The U.S. Department of Labor provides an online tool to advise you of the Federal posters your business is required to display Ohio Civil Rights Commission Publications List – all items available in English and Spanish Hyperlinks to additional information regarding required posters is included when available on your cd Facilitation Notes: - frequent question from small business owners - Follow local laws too (in addition to State & Federal) - Provide samples (if available) - Websites & addresses on cd of where to get resources at no cost (minimal cost) - Do not “have” to buy expensive posters Ohio SHRM©

22 Employment Law in the Workplace
Title VII of the Civil Rights Act of 1964 (Title VII)/Harassment prevention Employee Polygraph Protection Act ERISA Civil Rights Act of 1991 Occupational Safety and Health Act (OSHA) Privacy Pregnancy Discrimination Act (PDA) Workers Compensation Anti-Harassment Age Discrimination in Employment Act (ADEA) Worker Adjustment and Retraining Notification Act (WARN) Document retention Older Worker’s Benefit Protection Act (OWPA) Equal Pay Act Union avoidance Americans with Disabilities Act (ADA) Fair Labor Standards Act (FLSA) Employee Handbooks Immigration Reform and Control Act Equal Employment Opportunity Commission/Affirmative Action USERRA Family and Medical Leave Act (FMLA) ; National Defense Authorization Act Taft Hartley Act COBRA Fair Credit Reporting Act NLRA/NLRB and ways to promote a non-union workplace HIPPA Drug Free Workplace Act Social Security Sarbanes Oxley Genetic Information Nondiscrimination Act Facilitation Notes: Briefly describe these components & # of employees each law effects Employment Law influenced by - Statutory Law – federal, state & local level; result from decisions by each legislative body - Regulatory Law – issued by government agencies at federal, state, & local level - Common Law – results from court decisions Before we started you had the opportunity to participate in an Opening Activity. Throughout the rest of our session we will be weaving information regarding HR laws & regulations into our discussion. These discussions will be a great opportunity to share insights and examples from your table conversation. Also, on upcoming slides you will see a link to an ODU Project Page. We thank the students from Ohio Dominican University (ODU) for their assistance in preparing the info included in these Project Pages. Ohio SHRM©

23 ADA Resources ADA Home page (Americans with Disabilities Act)
Resource & summary slides (ODU project link) Facilitation Note: - link to ADA website to determine how your business is effected by ADA requirements Ohio SHRM©

24 Civil Rights Federal site
Regulations Enforced by the Office for Civil Rights – summary from U.S. Department of Education Ohio Civil Rights Commission ODU project link Facilitator Notes: “The primary function of The Ohio Civil Rights Commission is to enforce state laws against discrimination. OCRC receives and investigates charges of discrimination in employment, public accommodations, housing, credit and higher education on the bases of race, color, religion, sex, national origin, disability, age, ancestry or familial status.” Mission of Ohio Civil Rights Commission Ohio SHRM©

25 EEOC U.S. Equal Employment Opportunity Commission
The U.S. Equal Employment Opportunity Commission (EEOC) is responsible for enforcing federal laws that make it illegal to discriminate against a job applicant or an employee because of the person's race, color, national origin, sex (including pregnancy), age (40 or older), religion, or disability. It is also illegal to discriminate against a person because the person complained about discrimination, filed a charge of discrimination, or participated in an employment discrimination investigation or lawsuit. Most employers with at least 15 employees are covered by EEOC laws (20 employees in age discrimination cases). Most labor unions and employment agencies are also covered. The laws apply to all types of work situations, including hiring, firing, promotions, harassment, training, wages, and benefits. Website: Federal Laws Prohibiting Job Discrimination Questions And Answers Equal Employment Advisory Council ODU project link Ohio SHRM©

26 HIPPA - Resources HIPAA: HIPAA (Health Insurance Portability and Accountability Act of 1996) is a broad federal law that addresses many healthcare issues, including insurance benefits, medical savings accounts, and fraud and abuse.   The Portability focus of HIPAA is to let people take their health insurance benefits with them when they change jobs or leave the workforce.   The Accountability focus of HIPAA is to protect the confidentiality of Protected Health Information (PHI).   While the law outlines broad requirements for healthcare organizations, more detailed requirements are found in the federal regulations.   These regulations have been developed by the Center For Medicare & Medicaid Services (CMS) and enforced by a combination of the Office of Civil Rights and CMS, all within the Department of Health and Human Services. HIPAA Overview by Centers for Medicare and Medicaid ODU project link ***have a local source/expert able to provide updates to HIPAA law prior to event (HITECH, new additions/changes) Ohio SHRM©

27 Social Security Resources
U.S. Social Security Administration – information for employers: ODU project link Facilitator Notes = Federal government site includes info on: - instructions for employer to file W2 - SSN verification - steps on what to do if employer receives a “No Match” letter Ohio SHRM©

28 How Do I Stay Informed of Legislation Changes
Websites & newsletters that provide legislative related information: Workforce Management BLR – Business and Legal Resources Become a member of: Local HR association SHRM Local Chamber of Commerce Ohio Chamber of Commerce Customization Point – add name & web address of local HR association and area Chamber of Commerce Facilitation Note = by becoming a member of your local HR association, will have ready access to those who interface with HR issues on a daily basis and their network of experts Ohio SHRM©

29 Diversity Resources Engaging Multiple Generations Among Your Workforce (article) National MultiCultural Institute - provider of services, knowledge, and skills in the growing field of multiculturalism and diversity NAACP - mission is to ensure the political, educational, social, and economic equality of rights of all persons and to eliminate racial hatred and racial discrimination National Business & Disability Council - resource for employers seeking to integrate people with disabilities into the workplace and companies seeking to reach them in the consumer marketplace Native Links Sources - Native American website links and resources Facilitation Note: - respect for core definitions of diversity (race, gender, age, sexual preference, and disability) still apply - discuss Generations in the Workforce, differing work preferences, and unique thinking/personality styles as new “trends” in workplace diversity Ohio SHRM©

30 How do I pay my employees ?
Total Compensation System Equity Pay strategies (lead, lag) FLSA exemptions Incentives Differentials Starting pay rates, increases Job Analysis (benchmarking and fair pay analysis) Job Evaluation/Market Analysis Facilitation Notes: - this is a list of some of the factors to consider while doing payroll - Payroll has its own unique skills & process in HR; the American Payroll Association (APA) offers the “Certified Payroll Professional” exam Ohio SHRM©

31 How do I pay my employees ?
Creating a pay structure Pay ranges – how to article Compa-ratios – introduction Pay (or Salary) compression – definition Deciding which benefits to offer Legally mandated benefits Pay for time not worked Health Care Benefits Flexible Benefit Plans Retirement/Pension Benefits Other (tuition, transportation, etc.) Facilitation Notes: - additional points to consider regarding compensation Ohio SHRM©

32 FLSA - Resources World at Work FLSA Implementation Toolkit:
Wage and Hour Division (WHD): Compliance Assistance - Fair Labor Standards Act (FLSA) – includes links to articles & posters in 8 languages ODU project link Facilitation Notes = cover exempt & non-exempt employees; 1099; contract workers Notes included in Participant’s PPT: Effective January 1, 2009 Ohio’s minimum wage increased as follows: • $7.30 per hour • $3.65 per hour for tipped employees (plus tips) The Ohio minimum wage is $6.55 per hour for: • Those employees whose employers gross $267,000 or less • 14 & 15 year olds On July 24, 2009 the Ohio minimum wage increased to $7.25 per hour for: Will remain same for 2010 LSA Minimum Wage: The federal minimum wage is $7.25 per hour effective July 24, Many states also have minimum wage laws. In cases where an employee is subject to both state and federal minimum wage laws, the employee is entitled to the higher minimum wage. FLSA Overtime: Covered nonexempt employees must receive overtime pay for hours worked over 40 per workweek (any fixed and regularly recurring period of 168 hours — seven consecutive 24-hour periods) at a rate not less than one and one-half times the regular rate of pay. There is no limit on the number of hours employees 16 years or older may work in any workweek. The FLSA does not require overtime pay for work on weekends, holidays, or regular days of rest, unless overtime is worked on such days. Ohio SHRM©

33 How do I pay my employees ?
Job Analysis: O*NET Resource Center (Occupational Information Network) – cosponsored by the U.S. Department of Labor/Employment and Training, this site is the nation's primary source of occupational information. Use this site to download the O*NET database, career exploration tools, job analysis questionnaires, employer guides, and technical reports. Online resource Ohio SHRM©

34 How do I pay my employees ?
FAQs About Benefits—General Overview of Employment-Based Benefits: The vast majority of Americans who have retirement and health coverage receive it through employment-based benefits from either their own or a family member's job. The employee benefit system in the United States today is a partnership among businesses, individuals, and the government. In general, benefits fall into three categories: Voluntary Benefits: Most employment-based benefits, particularly retirement plans and health insurance, are provided voluntarily by businesses. The government supports these voluntary employment-based benefits by granting favorable tax treatment both to the employers that sponsor them and to the workers who receive them. Mandatory Benefits: Certain other benefits, including Social Security, unemployment insurance, workers' compensation, and family and medical leave, are mandatory under federal or state law. Individual Programs: The government also supports individual financial security programs through individual retirement accounts (IRAs), favorable taxation of life insurance contracts, and tax-free death benefits. Facilitation Notes: Why offer health care benefits? - recruit & retain quality employees - increase employee engagement - improve employee satisfaction - reduce absenteeism - healthier employees = happy, healthy, productive workplace = stronger bottom line Study from Journal of Occupational and Environmental Medicine indicated that the loss of productivity from coming to work sick was four times greater than the medical and pharmacy costs associated with the illness Ohio SHRM©

35 How do I pay my employees ?
Benefit Resources: Employee Benefit Research Institute (EBRI) International Foundation – Education, Benefits, Compensation Ohio Department of Insurance Benefits related resources Ohio SHRM©

36 How do I pay my employees ?
Work-Life Effectiveness: Recognizing the importance of “Work-Life Effectiveness” at your organization establishes your company as an active supporter of work-life efforts (a.k.a. Work-Life Balance). Evaluating your company’s existing work-life programs will reveal your programs’ strengths and weaknesses and help determine which programs and policies to promote and those to consider for future development. Checklist for self-audit: Work-Life and Human Capital Solutions – many free resources Facilitation Notes: - another way to provide for the health and wellness of your workers is to look out for their work-life balance; people who are overly stressed by either work or home issues frequently do not contribute at work and are likely to make more mistakes Ohio SHRM©

37 Activity: Safety Review
Find 3 other people Grab a marker As a team visit each flip chart & add relevant info and best practices to each chart as it relates to the title Facilitation Note: - this is a fun interactive activity to get people up & moving. They also have a chance to share what they know (an Adult Learner best practice) as well as meet other people. - State before activity starts that participants will have 10 minutes to visit each chart. - at end of 10 minutes have people stand where they are & quickly share all notes that everyone added to the flip chart they are currently in front of - use caution to ensure this segment does not run too long Ohio SHRM©

38 How do I protect my employees?
The Business Case for Safety – PowerPoint developed by OSHA, Abbott, and The Center for Business and Public Policy at Georgetown University Violence in the Workplace FBI Resource: Workplace Violence - Issues in Response FBI Poster: Protect Your Workplace Emergency Response Planning OSHA website: Emergency Preparedness and Response Business Continuity and Recovery From Ready.gov website: “Plan to Stay in Business” OSHA Review – 2 year review at their website Administrative & Mfg versions Largest group of OSHA claims is admin/office claims Violence in Workplace – FBI website FMLA or ADA & Healthy Families Act = time off for violence in home/domestic violence Ohio SHRM©

39 How do I protect my employees?
Key OSHA Standards Bloodborne Pathogens HazCom Noise Standard/Hearing Conservation Needle Stick Key OSHA Reporting Requirements Accident Investigation Incident Reporting OSHA Logs Posting Requirements OSHA Review – 2 year review at their website Administrative & Mfg versions Largest group of OSHA claims is admin/office claims FMLA or ADA & Healthy Families Act = time off for violence in home/domestic violence Ohio SHRM©

40 How do I protect my employees?
United States Department of Labor - Occupational Safety & Health Administration: Forms 300, 300A, and 301 and including instructions on how to complete Main OSHA webpage: In case of emergency call OSHA Ohio is part of OSHA’s Region 5: Regional Office 230 South Dearborn Street, Room 3244 Chicago, Illinois (312) (312) FAX Columbus Area Office 200 North High Street, Room 620 Columbus, Ohio (614) (614) FAX OSHA On-site Consultation Program - Programs and services available in Ohio OSHA resources Ohio SHRM©

41 How do I protect my employees?
Health & Safety Resources: U.S. Department of Health and Human Services U.S. Environmental Protection Agency Federal Emergency Management Agency Job Accommodation Network The National Institute for Occupational Safety and Health (NIOSH) Additional health & safety resources Ohio SHRM©

42 How do I keep from being sued?
Performance Appraisal Objectives Delivering Feedback Positive Constructive Rating methods Global ratings: A one-dimensional rating that uses a rater's overall estimate of performance without distinguishing between critical job dimensions (poor, fair, good, excellent). Trait-based scales: A multidimensional (or graphic) approach used to measure performance. Some commonly used traits are: loyalty, dependability, cooperation, initiative, and self-confidence. Effectiveness-based systems: A system based on "objective" results, representing the measurement of an employee's contribution, not an employee's activities or behaviors. Management by Objectives (MBO) is a popular example of this kind of performance appraisal format. Common Errors Peer Review Process Reward & Recognition Facilitation Note = preventing being sued is a big issue with small business Rating Methods: Paired Comparison. - The term used to describe an appraisal method for ranking employees. First, the names of the employees to be evaluated have been placed on separate sheets in a pre-determined order, so that each person has been compared with all other employees to be evaluated. The evaluator then checks the person he or she felt had been the better of the two on the criterion for each comparison. Typically the criterion has been the employees over all ability to do the present job. The number of times a person has been preferred is tallied, and the tally developed is an index of the number of preferences compared to the number being evaluated. Narrative or Essay Evaluation. - This appraisal method asked the evaluator to describe strengths and weaknesses of an employee's behavior.  Some companies still use this method exclusively, whereas in others, the method has been combined with the graphic rating scale. Most truly effective performance appraisal systems are characterized by the fact that those administering the performance appraisals are well trained. Instead of offering simple instructions to performance raters, organizations that want the most from their appraisal process usually implement training programs to correct a rater’s common mistakes. A list of common mistakes is as follows: 1. Halo effect – rating employees “excellent” in many categories when they excel only in one. 2. Leniency/stringency – very low or high ratings instead of finding any category in which the employee is average. 3. Contrast effect – evaluating an individual in relation to other employees’ performance instead of on job requirements. 4. Similar-to-me effect – rating employees favorably because they mirror the rater’s self-image. 5. Central tendency error – putting every employee’s performance in the middle of the rating scale. 6. First impression – letting initial evaluations of employees overshadow actual performance during the rating period. Ohio SHRM©

43 How do I keep from being sued?
Disciplinary Problems Disciplinary Action Progressive Discipline & Documentation Termination Process & Pitfalls Facilitation Note – ask question: “What types of situations warrant no use of Progressive Discipline process because situation is so severe that it warrants immediate attention & resolution?” - some issues where safety is involved - harassment - violence in the workplace - theft of company property These situations are serious & warrant direct addressing of situation Ohio SHRM©

44 How do I keep from being sued?
Employment at Will: Both employee and employer are free to leave employment relationship at any time & for any reason Good Bad No reason Note: can not terminate employee for an illegal reason Link to ODU project USERRA exception to Employment At Will Note: if you have employees that serve in the military, please contact Rebecca Jefferies & she will share a PPT with USERRA updates Ohio SHRM©

45 Conducting Balanced Investigations
Identify Investigation Goals Determine Questions to Ask Investigate Complaint Complete Investigation Facilitator Note = additional question to ask is “am I the best person to complete this investigation?” Sometimes the owner/hr professional/department leader may have a conflict of interest, or a neutral party might be more effective *** consider outsourcing the investigation to an HR consultant if not able to be neutral and unbiased e.g. equitable pay, employee harassment Religious accommodation, harassment, retaliation, age discrimination Ohio SHRM©

46 Conducting Balanced Investigations
Identify Investigation Goals Determine Questions to Ask Investigate Complaint Complete Investigation Which Company policies & procedures apply to this situation? Does situation impact organization’s mission and/or vision? e.g. equitable pay, employee harassment Religious accommodation, harassment, retaliation, age discrimination Ohio SHRM©

47 Conducting Balanced Investigations
Identify Investigation Goals Determine Questions to Ask Investigate Complaint Complete Investigation What happened? Who was directly involved? Are there witnesses? Is there any documentation? e.g. equitable pay, employee harassment Religious accommodation, harassment, retaliation, age discrimination Ohio SHRM©

48 Conducting Balanced Investigations
Identify Investigation Goals Determine Questions to Ask Investigate Complaint Complete Investigation Is immediate action needed to attend to a safety issue? Select an investigator. Interview people directly involved along with any witnesses. Keep notes of investigation process. e.g. equitable pay, employee harassment Religious accommodation, harassment, retaliation, age discrimination Ohio SHRM©

49 Conducting Balanced Investigations
Identify Investigation Goals Determine Questions to Ask Investigate Complaint Complete Investigation Is any corrective action necessary? Inform complainant of results. Document steps taken during investigation. Do results of investigation point to changes in process or policy that need to be changed or updated? e.g. equitable pay, employee harassment Religious accommodation, harassment, retaliation, age discrimination Ohio SHRM©

50 How do I keep from being sued?
Ensure consistency in words & actions – as much as possible: If its in your company handbook, then enforce it for all If enforce a policy in one way for one person, enforce consistently for all Facilitator Notes = consistency is the name of the game here If have policy, then enforce it equally for all No Exceptions ! The slippery slope is its easy to provide a special response for someone who has done extra/above & beyond standard job expectations for the company in the past, then another person calls “Foul” when they don’t get the same considerations this is especially a challenge when you “like” one employee, and find another to be lazy/annoying/abrasive Ohio SHRM©

51 How do I keep from being sued?
Document Facilitator Notes = 1st, don’t do it wrong ! Document every Performance Review Document every step of the Progressive Discipline process (even the “Verbal” warning = make note that employee received verbal warning & on what date and topic) Ohio SHRM©

52 How do I keep from being sued? Legal Resources:
Ohio House of Representatives: Ohio Senate: Supreme Court of Ohio & Judicial System: U.S. House of Representatives: U.S. Senate: U.S. Supreme Court: State Statutes: understand how to find these as well as when they do and do not “trump” the Federal ones – i.e. most stringent one “wins” Ohio SHRM©

53 How do I fire my employees ?
Can I fire my employees ? Remember “Employment at Will” – either the employer or the employee is free to end the employment relationship at any time With or without notice With or without cause When Can You Legally Fire Employees? Finding out when you can legally fire employees isn't an easy question to answer. Laws and cases have become increasingly protective of employees. Although the "at will" doctrine is still prevalent in many states (meaning that you can freely fire an employee at any time), there are many exceptions. Plus, employees are increasingly suing managers and companies for "wrongful termination," harassment, discrimination, and other reasons. Employment lawsuits can be nasty and expensive, and they can generate negative publicity for your company. Juries tend to be particularly partial to terminated employees. So when can you legally fire an employee? Here is a list of some reasons that should generally stand up: Consistent incompetence. If an employee just isn't able to do a competent job, and you have given the employee a reasonable opportunity to succeed, then termination will often be seen as appropriate. Violation of company policy. If you have established clear, legal, and consistent policies, and the employee obviously has violated them in a meaningful way, then termination is appropriate. Violation of antiharassment, discrimination, or confidentiality policies are particularly actionable. Repeated unexcused absenteeism or tardiness. Your company depends on its employees to show up for work and perform their jobs. Continual absence or tardiness jeopardizes the ability of an employee to complete important tasks. If absenteeism or tardiness is continual and unexcused, then termination may be justified. Be careful to investigate the reason for the absences. If they're the result of a medical condition, you may need to accommodate that condition, or at least attempt to do so. Physical violence. If an employee commits or threatens physical violence, you will want to fire him or her immediately. All employees are entitled to a safe work environment, and employers have a duty to take reasonable steps to provide for that. Drugs and alcohol. Depending on the circumstances, being under the influence at the office may be grounds for immediate suspension or termination. Some companies now offer treatment and rehabilitation counseling as an alternative to immediate firing. Conditions caused by the use of prescribed drugs may also require a more tempered response. Illegal acts. If you find the employee committing illegal acts, such as theft or embezzlement, immediate termination is justified. Before you fire the accused employee, however, make sure you know all the facts and have heard the employee's side of the story. Falsified information. Sometimes employees lie on their employment applications or resumes (they list fake degrees or jobs they've never held). When you discover this, and the falsification appears deliberate and material, termination of the employee is usually warranted. There are other instances when you can legally fire an employee. For example, if the employee has had shortcomings and has been given fair warning of these problems with a reasonable opportunity to respond, then a firing can often be legally defensible. Note: If you do fire an employee and a lawsuit is brought against your company, you should have adequate backup documentation and proof as to the rationale and reasonableness of your actions. Numerous employee appraisals that show consistent poor performance can be part of the documentation (see the sample employee appraisal form listed on this page). Ultimately, the safest approach to firing an employee is to make sure you have a reasonable and legitimate business reason — one that you have carefully thought out and adequately documented. Ohio SHRM©

54 How do I fire my employees ?
Your ability to terminate an employee with the least amount of stress depends on how consistently you Follow your policies and procedures Utilize a Progressive Discipline process turn into the need to fire for either performance or economics, etc. under employment at will - given that they do not discriminate based on AGE, VET status, Disability or any of the 5 protected classes under Civil Rights - if their orgs are larger than the law said employee #.  I am not sure I would change it given that you have gone to print. Ohio SHRM©

55 How do I fire my employees ?
Decide RIF Restructure Poor Performance Communicate Stay calm & respectful Have facts in order Be firm, clear & direct Have final check ready Post-Meeting Assist in gathering personal items Gather all company property Turn off all accounts Of course process is supported by Employee Handbook & Policies - if RIF or Restructure, make sure follow own policies & handbook - if terminate for Poor Performance, make sure have followed procedures for Progressive Discipline & other policies - a Firing should never be a surprise for an employee (because have followed steps in Progressive Discipline) Ohio SHRM©

56 How do I fire my employees ?
Resources: Top 10 Firing Mistakes – article Employee Termination from an IT Perspective - article *** leave time for lots of questions & discussion here *** Have a local source/expert to update all Ohio COBRA and Unemployment Laws prior to event Assess your process before proceeding with a termination: Documentation. Do you have the records you need to show a legitimate business reason for the termination? Treatment in relation to others. Does it look as if you're out to "get" this employee? Discrimination. Is there a possibility that discrimination (sex, age, race, religion, workers' compensation, disability, national origin, marital status, garnishment, leave status, polygraph, etc.) could have been a factor in the decision to terminate? Unfair treatment. Will the employee soon vest in any bonus, retirement benefit, or other benefit? Retaliation. Has the employee recently filed a claim or made a complaint about safety, wages, harassment, etc.? Adequate notice. Will the employee be surprised? (Unless the reason for termination is a sudden single act, the employee should be aware of performance or behavior problems.) If you answer any of the above questions in the affirmative, step back and satisfy yourself that going ahead with the termination is the best course. Investigation. Did you investigate to find out what really happened? Policy. Did you follow your policy? Opportunity to explain. If you are terminating the employee for cause, have you provided the employee an opportunity to correct the behavior or to explain the behavior? Consistency. Is this action consistent with the action that has been taken in the past in similar circumstances? If you answer no to any of the above questions, you may want to reconsider the decision to terminate. What Alternatives Are Available? Finally, it's important to ask (because the jury will want to know), did you consider alternatives? Naturally, there are many clear-cut cases where termination is the only alternative. There are, however, other possibilities to consider. For example: Reassignment Further training Counseling Ohio SHRM©

57 How do I retain my employees?
What is Orientation? Difference between orientation and probationary period General Departmental Onboarding Facilitator Notes = Orientation is process of becoming familiar with responsibilities of job & company policies Probationary Period = receive more frequent interaction with supervisor while learn chunks of the job Onboarding = longer process – up to 12 months in length – where learn the “Why” of the job, along with company history and mission Ohio SHRM©

58 How do I retain my employees?
Training versus Development: Training – provide knowledge, skills & abilities to support a specific task Development – ongoing learning to prepare for future position while increasing employee’s ability to perform in current job E.g. mentoring, dual career paths, coaching Organizational Development – enhance effectiveness of organization & well being of employees; may include: System change Succession planning Diversity programs Facilitator Notes = briefly review points on slide Ohio SHRM©

59 How do I retain my employees?
How adults learn Differences in generational needs/responses Adult Learning Theory - article ADDIE Model Assess needs Design program Develop program Implement program Evaluation Delivery Methods Off-the-job Training – learning which takes place away from worksite Classroom E-learning On-the-job Training – supervisor trains employee in the actual work site Just in Time Training – learning provided immediately prior to its use Facilitator Notes = principles to consider while planning training or L&D components For a well balanced session, include a variety of learning methods so learners can best connect with the info in their preferred learning style Utilization of “ADDIE” model helps ensure all steps of planning process are covered Consider which deliver method is most appropriate for the content and the specific learners participating in the session Ohio SHRM©

60 Learning & Development Resources
American Society for Training & Development (ASTD) Free Management Library International Society for Performance Improvement (ISPI) Organization Development Network Facilitator Notes = resources available to assist with planning Ohio SHRM©

61 How do I retain my employees?
Motivate employees to reach business & professional development goals Clearing Up Common Myths About Employee Motivation – article Recognize employees for a job well done 5 Tips for Effective Employee Recognition – article Reward employees for team, department, and company success 25 Ways to Reward Employees Without Spending a Dime – article Facilitator Notes = ask: “What have you seen to be great ways to motivate your employees?” 9 Leadership Strategies to Beat the Recession Blues by Steve Bruce “Even if companies haven’t literally lost their employees, many have lost them psychologically,” warns Gordon in his new book, The Shark and the Goldfish: Positive Ways to Thrive During Waves of Change.  “Leaders have to change that.” “You need to personally make sure that your company is a place where people want to work. You must focus on winning in the workplace if you want to win in the marketplace,” says Gordon. Here are his nine strategies for boosting morale and engagement in the current economy. 1. Focus on People, Not Numbers “It’s not numbers that drive people, but the people that drive numbers,” Gordon points out. After all, he says, numbers are just indicators of how well your people are executing. Remember, he says, “Culture drives behavior, behavior drives habits, and habits drive results.” 2. Model Good Behavior Leaders set the tone for employees. They can inspire, or they can extinguish. For example if you greet workers cheerfully even though you’ve both had to come into work an hour early, they’re likely to mirror that attitude. “Whatever you expect from your people, you must also expect from your senior leadership,” Gordon says. Leaders need to be humble and hungry, he explains. Humble in that they seek to learn, grow, and improve every day, and hungry with a passion to work harder than everyone else. 3. Practice Positive Leadership “Positive leadership” means remaining purposeful in the face of adversity. “While it’s important to acknowledge the obstacles your organization is facing (after all, no one really respects a naïve Pollyanna!), don’t dwell on them, and don’t bring up bad news before you’ve pointed out one or two things that are going well,” says Gordon.  Optimistically focus on where you are going. Remember, Gordon says, “Culture drives behavior. You win in the office first. Then you win in the marketplace.” 4. Fill the Void In these uncertain times, employees are questioning how their industries and jobs will be impacted. This uncertainty creates a void, and “Where there is a void, negativity will fill it,” Gordon believes. In the absence of clear and positive communication, people assume the worst, Gordon says. As a leader, you must personally meet with your employees and continually communicate, communicate, communicate. “Make transparency the norm, not the exception,” asserts Gordon. “Talk to your team members often, and let them know where they stand. Host frequent town hall meetings in which you listen to employees’ fears, concerns, and ideas, and share your vision for the future.” 5. Tell Energy Vampires, ‘It’s time to get on the bus … or off.’ You might think that a few nonconformists and cynics won’t be a major problem, but Gordon insists you’d be wrong. He calls those who are a constant source of negativity “Energy Vampires” because they suck the energy and life out of everyone around them. “Once you’ve identified the naysayers, gently approach them and give them a chance to get on the bus and share in a positive vision,” Gordon advises. If they refuse to get on board, you must get them off the bus. “Even if your biggest complainer is your highest performer, the negative energy outweighs any positive contributions,” Gordon says. 6. Forbid All Complaining Successful organizations with great cultures focus on solutions, not on complaints, Gordon says. His rule is simple: “You are not allowed to complain unless you also offer a solution.” 7. Teach Your People to Be Heroes, Not Victims Gordon points out that both heroes and victims get knocked down. The distinction is that heroes get back up while victims simply give up. Help your employees to realize that they are not victims of circumstance, Gordon says. Remind them that they have a high locus of control—in other words, they have a significant influence over how things turn out. "True, you can't always control the events in your life, but you can control how you respond to these events—and your response determines the outcome," Gordon says. 8. Focus on the Small Wins The key, says Gordon, is to always place your attention on those little, ordinary, nonspectacular "wins" that add up to big successes. His credo is to expect success, look for success, and celebrate success. "Keep in mind that employees might be discouraged or burnt out right now, so make sure to really highlight and celebrate the small wins in order to foster loyalty, excitement, and confidence," Gordon urges. "Championships are won as the result of many small wins." 9. Make Sure You Have Sharks in Your Key Positions When the economy was thriving, it didn't matter as much if key employees turned in a mediocre performance. Now, that isn't the case, Gordon says. He suggests looking at your team and figuring out which people display the characteristics of driven, go-get—'em "nice sharks" and which are "goldfish" or more natural relationship managers. Your sharks are the people you need in sales or business-driving positions, Gordon suggests, not your goldfish. People who aren't in the right positions won't thrive—and your organization will constantly find itself struggling, he says. Too many organizations have goldfish types in sales positions, and that's why they aren't thriving, Gordon says. "Put your people in the right positions and allow them to do what they do best—and they will help your company to perform its best." Ohio SHRM©

62 Hiring an HR Consultant
Check for certification – PHR, SPHR Check for references Check for areas of expertise Look for merging of personality style and company culture Review cost benefit analysis Check local SHRM chapter for recommendations or free/low cost seminars Ohio SHRM©

63 Many thanks to Dr. Maria Moore & the Fall 2009 students of Ohio Dominican University’s Business & Employment Law class for their contributions to the laws ®ulations: Andrew Backoff John M. Bowron, Ryan W. Burton Chase A. Carris Lasha N. Carson Jennifer A. Carter Jayna J. Chandler Christopher D. Curry Edward J. Deluca Antonio R. Diaz Michael A. Dicarlantonio Christopher R. Feller Liam L. Fitzgerald Kyle M. Gore Ashley N. Hanners Brigitte L. Haskins Florence Hudo Christian A. Irskens Manju B. Jabbie Ebony L. Johnson Brett A. Lacko Kofi Mamphey Timothy J. Martin Jason M. McCurdy Patrick M. McGrath Robert P. McMahan Steven D. Messer Matthew D. Miller Jared M. Parks Sarah R. Perkins Joseph A. Pissocra Maria L. Staton Eric M. St John Paul R. Szymanski Latoya R. Terry Narcissa M. Turner Ryan J. Vonderbrink Eric S. Walker Danielle J. Weekley Joseph B. Woodring Course description: Introduction to the American legal system, dispute reconciliation, and functions of the law emphasizing employment law issues to include employee rights, equal opportunity employment, compensation matters, and emerging legal issues in personnel administration. Ohio SHRM©

64 Questions Ohio SHRM©

65 Many thanks to Ohio SHRM Workforce Readiness Committee
Rebecca Jeffries, MBA, SPHR Gail Reese, SPHR Lauren Rudman, PHR, MLRHR Bonnie Thompson Terri Vetter, SPHR Ohio SHRM©


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