APPENDIX
Additional Resources
Note: All forms included in this appendix are samples only. In light of changing legal requirements and state law variations, employers should always consult with employment counsel before using them.
Definitions Under the ADA
An individual with a disability is specifically defined as a person who:
Has a physical or mental impairment that substantially limits one or more major life activities.
Has a record of such an impairment (for example, an individual with a history of heart attacks, or an individual with a history of cancer which is in remission); has a history of or has been misclassified as having a mental or physical impairment.
Is regarded as having such an impairment (for example, someone whose controlled, high blood pressure does not limit work activities, but the employer has an unsubstantiated fear that the individual will suffer a heart attack if given certain duties). An individual is “regarded as” having a disability if the employee established that he/she has been discriminated against because of an actual or perceived physical or mental impairment. This ensures that people who suffer adverse actions because they are perceived as disabled can prevail if they prove that they were discriminated against. However, the “regarded as” requirement does not apply to transitory and minor impairments expected to last less than six months.
A qualified individual can perform a position’s essential functions with or without a reasonable accommodation.
Essential functions are those duties and responsibilities fundamental to the position. For example:
Receptionist: Answer telephones.
Warehouse worker: Lift up to 50 pounds.
Accounts Receivable specialist: Maintain accounting ledger and prepare reports.
Disability refers to a physical or mental impairment substantially limiting a major life activity.
Physical or mental impairment means any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more body systems, or any mental or psychological disorder, such as an intellectual disability, organic brain syndrome, emotional or mental illness, and specific learning disabilities.
An impairment is a disability if it substantially limits the ability of an individual to perform a major life activity as compared to most people in the general population.
An impairment that is episodic or in remission is a disability if it would substantially limit a major life activity when active.
Mitigating measures cannot be considered in determining whether an individual has a disability, with the exception of ordinary eyeglasses and contact lenses. In other words, employees will be evaluated without regard to the hearing aids, medication, prosthetic devices, and other measures they use to manage their impairments.
Major life activities are activities that an average person can perform with little or no difficulty, such as caring for oneself, performing manual tasks, seeing, hearing, eating, sleeping, walking, standing, sitting, reaching, lifting, bending, speaking, breathing, learning, reading, concentrating, thinking, communicating, interacting with others, and working; and the operation of a major bodily function.
A reasonable accommodation is a modification or adjustment to a job, the work environment, or the way things usually are done. Absent undue hardship, a reasonable accommodation must be made to an otherwise qualified individual who has an actual disability or who has a record of a disability. There is no obligation to make an accommodation for an individual who is regarded as having an impairment.
Guidelines for Avoiding Retaliation
Background
Employees have the legal right to workplace issues resolved, including bringing them management’s attention for internal resolution, filing charges of discrimination with government agencies, and initiating lawsuits.
Violation of an employee’s right may result in substantial penalties.
Illegal retaliation can occur when action is taken against the employee because of the complaint of discrimination, or complaint about workplace practices, even if the complaint has no merit.
Companies have been successful in winning lawsuits based on alleged discrimination. However, because of subsequent actions taken against the employee by management, the lawsuit has been amended to include charges of retaliation, and the same employer was not successful in defending the retaliation claim.
Charges of unlawful retaliation continue to increase.
Management Guidance
Retaliation is a serious issue. If an employee files a charge of discrimination, or otherwise complains about workplace practices, treat the person as if the charge had not been filed.
Avoid taking any action that could be interpreted as retaliatory, such as:
Firing, demoting, disciplining, or otherwise treating the employee differently.
Threatening action or criticizing the employee for filing a charge.
Discussing the charge with the employee. This could be viewed as coercion.
Discussing the charge with anyone inside the company, other than those individuals with a business need to know—generally immediate management, human resources, and the legal department (including outside lawyers).
Discussing the charge with anyone outside the company, such as customers, vendors, suppliers, or other colleagues.
Allowing coworkers to tease or harass the employee about the charge, without regard as to how they gained knowledge of the issue.
If the employee who filed the charge has performance or workplace conduct issues, the following guiding principles should be followed:
Proceed with caution. Involve appropriate company resources, such as human resources, legal, or your immediate management.
Set clear performance and conduct expectations to everyone you manage.
Communicate those expectations to all individuals.
Consistently apply those expectations to all individuals.
Document any incidents of performance or conduct issues, discussions with the employee about those issues and any management actions taken.
Communicate to employees the company policies on complaint resolution and encourage their use.
Guidelines for Preventing Workplace Discrimination
Unlawful discrimination occurs when an employment decision is made or someone is treated differently (either treated less favorably or received preferential treatment) because of a characteristic (protection) covered by law, such as race, color, national origin, religion, or gender. For example, consider the following statements:
“Women are not dependable because they always take time off when their kids are sick. I’d rather hire a man for the job.”
“Joe is getting on in years and may be retiring soon. He wouldn’t be a good candidate for the promotion.”
Subtle behavior is often not intentional, but can be discriminatory. For example, referring to a woman as “young lady” may not be blatantly discriminatory, but it could send an inadvertent message that females are not as mature as men and thus not as qualified.
Harassment is also a form of discrimination. It is illegal to harass someone because of his or her race, color, religion, national origin, gender, age, disability status, ethnic background, or citizenship. Some examples of harassment include:
Disparaging or disrespectful remarks and comments.
Slurs and epithets.
Threatening or intimidating communications, whether written, verbal, or electronic.
Jokes, teasing, remarks, drawings, cartoons, or photos that poke fun at any religion, national origin, gender, age, disability, or any other protection.
Behavior that ridicules someone because of his or her religious beliefs, gender, age, ethnic background, disability, or any other protection.
Work assignments based on sex or race or religion. For example, not assigning a woman to a project to satisfy a client’s request.
Employers are required to provide reasonable accommodation for an employee’s religious beliefs, so long as it does not impose a serious hardship or otherwise interfere with business operations. A serious hardship can include anything that is more than minimally expensive, anything that violates the rights of others, anything that might conflict with a collective bargaining agreement, or anything that would compromise health or safety requirements.
Any deeply held belief of a moral, ethical, or spiritual nature is considered to be a religious belief. The employee does not have to belong to a conventional, recognized religion.
Some examples of reasonable accommodation include:
Time off for religious observances. This can include allowing the use of paid or unpaid leave or shift reassignments.
Exceptions to dress codes and appearances, as long as they don’t compromise health or safety requirements.
Allowing time and space to pray during work hours.
Guiding principles to maintaining a work environment that fosters respect and inclusion are:
Make objective employment decisions without regard to race, sex, other protected category, or anything that is not job-related. For example, failing to hire someone because he/she has expressed the need to take time off for religious observances.
Avoid assumptions and stereotypes. They can give rise to disrespectful behavior and lead to unlawful practices.
Communicate company policies to your staff, particularly policies on anti-discrimination, harassment, and problem resolution.
Be aware of your staff’s actions. Don’t tolerate offensive or disrespectful behavior.
Communicate any concerns to management or human resources, as appropriate under your policies and practices. If discriminatory behavior is taking place, you have the responsibility to take action.
Be consistent in your treatment of the staff.
Take appropriate management action when necessary. Remember that preferential treatment of members of racial/ethnic minority groups and females is equally unlawful as it is with respect to white males.
Take requests for religious accommodation and disability accommodation seriously, and seek guidance and review on all requests for accommodation with management.
Assure that all workers, regardless of protected status, are given the same considerations and opportunities.
Don’t inquire about retirement plans or assume someone is planning to retire.
Avoid documenting statements that refer to age in someone’s performance appraisal (for example, “He’s slowing down, but does well for his age.”).
Preventing Harassment: Managers’ Initiatives
Follow your organization’s policy and enforce the policy and the rules.
Immediately document observed or reported incidents of harassment.
Notify human resources immediately.
If an employee says that he or she will handle the incident and does not want you to disclose it, you must advise that this is not an option. (The company is obligated to investigate once it has knowledge of alleged discrimination/harassment.)
Remain neutral. Do not take sides.
Maintain confidentiality.
Set a positive tone and example through your own actions and behaviors.
Be mindful of behavior, language, and social interactions.
Be respectful of others’ personal space.
Be open to discussing the issue of harassment.
Distribute copies of the policy when requested by management.
Remind employees that discriminatory/harassing behaviors or remarks, or any other disrespectful behaviors or remarks do not belong in the workplace.
Be actively alert for inappropriate workplace behavior. Treat it seriously.
Act quickly. Don’t put it off.
Address improper conduct if you see it happening.
Don’t ignore it; it won’t go away.
Remember that, as a supervisor, if you knew or should have known of conduct that potentially could be harassment or discrimination, the company is liable to show that immediate and appropriate corrective action was taken.
Sample Non-Competition/Non-Solicitation/Successors and Assigns/Severability Provisions
NON-COMPETITION PROVISION
1. The Employee specifically agrees that for a period of ______ [months/years] after the Employee is no longer employed by the Company, the Employee will not engage, directly or indirectly, either as proprietor, stockholder, partner, officer, employee, or otherwise, in the same or similar activities as were performed for the Company in any business [within a ______ -mile radius of the Company] [within ______ miles of an office of the Company] [within a State where the Company has offices] [within the State of ______ ] that distributes or sells products or provides services similar to those distributed, sold, or provided by the Company at any time during the ______ [months/years] preceding the Employee’s termination of employment.
2. For a period of ______ [months/years] after the Employee is no longer employed by the Company, the Employee will not, directly or indirectly, either as proprietor, stockholder, partner, officer, employee, or otherwise, distribute, sell, offer to sell, or solicit any orders for the purchase or distribution of any products or services that are similar to those distributed, sold or provided by the Company during the ______ [months/years] preceding the Employee’s termination of employment with the Company, to or from any person, firm, or entity that was a customer of the Company during the ______ [months/years] preceding such termination of employment.
NON-SOLICITATION OF CUSTOMERS/CLIENTS PROVISION
Employee agrees that for ______ [months/years] after Employee is no longer employed by the Company, Employee will not directly or indirectly solicit, agree to perform, or perform services of any type that the Company can render (“Services”) for any person or entity who paid or engaged the Company for Services, or who received the benefit of the Company’s Services, or with whom Employee had any substantial dealing while employed by the Company. However, this restriction with respect to Services applies only to those Services rendered by Employee or an office or unit of the Company in which Employee worked or over which Employee had supervisory authority. This restriction also applies to assisting any employer or other third party.
NON-SOLICITATION OF EMPLOYEES PROVISION
For a period of ______ [months/years] from the date that Employee is no longer employed by the Company, Employee shall not take any actions to assist Employee’s successor employer or any other entity in recruiting any other employee who works for or is affiliated with the Company. This includes, but is not limited to: (a) identifying to such successor employer or its agents or such other entity the person or persons who have special knowledge concerning the Company’s processes, methods or confidential affairs; and (b) commenting to the successor employer or its agents or such other entity about the quantity of work, quality of work, special knowledge, or personal characteristics of any person who is still employed at the Company. Employee also agrees that Employee will not provide such information set forth in (a) and (b) above to a prospective employer during interviews preceding possible employment.
SAMPLE SUCCESSORS AND ASSIGNS PROVISION
This Agreement may be assigned by the Company in the event of a merger or consolidation of the Company or in connection with the sale of all or substantially all of the Company’s business.
SAMPLE SEVERABILITY PROVISION
The covenants of this Agreement shall be severable, and if any of them is held invalid because of its duration, scope of area or activity, or any other reason, the parties agree that such covenant shall be adjusted or modified by the court to the extent necessary to cure that invalidity, and the modified covenant shall thereafter be enforceable as if originally made in this Agreement. Employee agrees that the violation of any covenant contained in this Agreement may cause immediate and irreparable harm to the Company, the amount of which may be difficult or impossible to estimate or determine. If Employee violates any covenant contained in this Agreement, the Company shall have the right to equitable relief by injunction or otherwise, in addition to all other rights and remedies afforded by law.
Signed:
Employee Name Date
Sample Non-Disclosure Agreement
NON-DISCLOSURE AGREEMENT
This Agreement is made as of the ______ day of ______ 20XX, by and between (client) and (consultant). The Parties intend to disclose to each other proprietary/confidential information (the “Confidential Information”) as further described in Paragraph 1 below, and in consideration of the receipt thereof, each Party hereby agrees to protect that information as required hereunder.
The purpose for the disclosure of Confidential Information to be disclosed by each Party is described as follows: (short description of nature of consulting engagement). The Parties further agree as follows:
1. The Parties may exchange Confidential Information under this Agreement in oral, visual, or written form, which may include, but not be limited to, documentation, specifications, drawings, models, sketches, computer programs, reports, data techniques, designs, codes, and financial, statistical, or technical information. Where possible, each Party shall identify its Confidential Information with an appropriate, conspicuous legend (“Proprietary” or “Company Confidential”). All other non-tangible (discussions, briefings, etc.) disclosures shall be identified as Confidential Information at the time of disclosure and will be summarized in writing, identified with a legend as described above, and forwarded to the other Party within thirty (30) days of disclosure. Each Party’s duty to protect such information shall commence from initial disclosure.
2. Each Party shall hold each other’s Confidential Information in strict confidence and shall use it only for the purpose described above. Each Party shall limit distribution of the other’s Confidential Information only to those individuals within its organization who have a need to know such information in order to accomplish the Purpose. Neither Party shall disclose any of the other’s Confidential Information to any other person, organization, or corporation without the other Party’s prior written approval.
3. Each Party shall protect the other’s Confidential Information with at least the same degree of care that it uses to protect its own Confidential Information; provided, however, that this obligation shall not apply to any portion of the information that:
a. is or becomes publicly available, other than through the fault or negligence of the receiving Party;
b. was known to the receiving Party, without restriction, at the time of receipt from the Disclosing Party;
c. is rightfully and lawfully obtained by the receiving Party from a third Party rightfully and lawfully possessing the same without restriction;
d. is independently developed by the receiving Party without having had access to the information disclosed hereunder, as evidenced by appropriate documents;
e. is obligated to be produced under an order of a court of competent jurisdiction, providing that the Disclosing Party is immediately notified by the Recipient Party; or
f. is disclosed in any event, after the expiration of five (5) years from the date such information was delivered to Recipient Party.
g. The Receiving Party shall not use the Disclosing Party’s Confidential Information under any of these exceptions without advance notification to and concurrence from the Disclosing Party of the appropriateness of the exception.
8. All Confidential information obtained by either Party hereunder shall remain the property of the Disclosing Party and shall be returned to it, or destroyed, promptly upon request, together with all copies made thereof by the Receiving Party. Upon request, the Receiving Party shall promptly submit to the Disclosing Party a certificate of destruction.
9. Except as specifically provided for herein, neither Party shall make use of the other Party’s Confidential Information for its own benefit or the benefit of any third party. Each Party agrees to notify the other as soon as possible if it becomes aware of any misappropriation, misuse, or disclosure of the other’s Confidential Information.
10. Neither the Confidential Information nor the act of disclosure thereof by either Party shall constitute a grant of any license of any kind either under any trademark, patent, or copyright, or application for same, or otherwise, nor shall they constitute any representation, warranty, assurance, guarantee, or inducement by either Party with respect to the infringement of any trademark, patent, copyright, any right of privacy, or any right of third persons.
11. EACH PARTY IS PROVIDING THIS CONFIDENTIAL INFORMATION “AS IS” AND MAKES NO WARRANTY, EXPRESS OR IMPLIED, AS TO THE ACCURACY, CAPABILITY, EFFICIENCY, MERCHANTABILITY, OR FUNCTIONING OF THIS INFORMATION. IN NO EVENT WILL EITHER PARTY BE LIABLE FOR ANY GENERAL, CONSEQUENTIAL, INDIRECT, INCIDENTAL, EXEMPLARY, OR SPECIAL DAMAGES, EVEN IF THE OTHER PARTY HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES.
12. Each Party accepts the other’s Confidential Information on the condition that it indemnifies and holds harmless each other Party, its Board of Directors/Trustees, officers, agents, and employees, from any and all liability or damages, including attorneys’ fees, court costs, and other related costs and expenses, arising out of its use of this information irrespective of the cause of said liability.
13. In compliance with U.S. Department of Commerce Export Administration Regulations and the U.S. Department of State International Traffic in Arms Regulations as they exist during the applicability of this Agreement, and notwithstanding any other provision of this Agreement, neither Party shall attempt to, nor knowingly export or re-export to any country prohibited from obtaining such data, either directly, or indirectly through affiliates, licensees, or subsidiaries, any U.S. source technical data acquired from each other, any products utilizing such data or any proprietary/confidential information provided under this or any ancillary agreements, to any countries outside the U.S. that export may be in violation of U.S. Export Laws or Regulations. Nothing in this provision shall relieve either Party from any other obligation stated elsewhere in this Agreement not to disclose such information.
14. This Agreement shall be effective as of the date first written above and shall terminate one (1) year thereafter, provided, however, that this Agreement may be terminated by either Party at any time via written notice of termination to the other Party. A Party’s obligations herein shall survive the termination of this Agreement. Notwithstanding the termination or expiration of any other Agreement executed in conjunction with this Agreement, the obligations of the Parties with respect to Confidential Information shall continue to be governed by the Nondisclosure Agreement.
15. Points of Contact for all communication pertaining to this agreement, and subject to change upon written notice:
For (client):
Company Name
Address
City, State Zip
ATTN: ________
For (consultant):
Company Name
Address
City, State Zip
ATTN: ________
16. In the event that any of the provisions of this Agreement shall be held by a court or other tribunal of competent jurisdiction to be unenforceable, that portion shall be severed and a new enforceable provision shall be negotiated by the Parties and substituted to accomplish the intent of the severed provision as nearly as practicable. The remaining provision s of the Agreement shall remain in full force and effect.
17. No waiver or modification of this Agreement will be binding upon either Party unless made in writing and signed by a duly authorized representative of such Party, and no failure or delay in enforcing any right will be deemed a waiver.
18. All documentation, correspondence, and communications relating to this Agreement shall be in the English language.
19. Each Party shall bear all costs and expenses incurred by it under or in connection with this Agreement. Nothing in this Agreement shall be construed as an obligation by either Party to enter into a contract, subcontract, or other business relationship with the other Party.
20. Neither Party may assign or transfer this Agreement or any of its rights and obligations hereunder to any third party (except to a legally recognized successor in interest to all or substantially all of the Party’s assets) without the prior consent in writing from the other Party, which consent shall not be unreasonably withheld.
21. This Agreement, which shall be governed by the laws of (state), represents the complete and exclusive understanding of the Parties pertaining to the disclosure of this proprietary/company-confidential information. It may be amended only by a mutually executed writing.
The Parties agree to the above as signified by executing below:
For: (Client) __________________________ |
For: (Consultant __________________________ |
Signature: __________________________ |
Signature: __________________________ |
Name: __________________________ |
Name: __________________________ |
Title: __________________________ |
Title: __________________________ |
Sample Statement of Work
A. Statement of Work:
(Name of consultant or consulting firm) agrees to (describe type of work) for (your organization).
B. Scope of Work (Steps to be taken; following is a representative scope for information purposes only):
Consultant proposes the following to complete this project:
1. Gather appropriate informational data.
2. Consultant to meet with appropriate managers, in particular, VP Human Resources and Manager, Human Resources, to glean any other relevant information (List titles to be included).
3. Consultant will submit a written draft of material and present to client for their review.
4. Consultant may recommend that client present this written draft to an internal Focus Group to determine if each individual can readily understand the content of this document.
5. Client will review the written draft, modify as needed, and return to Consultant.
6. Consultant will review the modified information from client and adjust the written document.
7. Consultant will provide completed document to client no later than (agreed to due date).
C. Efforts and Service Fee:
Describe the time proposed to do the work and the cost (can be a project fee, daily rate or hourly rate.
D. Consultant:
Show credentials of person (s) who will do the work.
E. Non-Disclosure:
Consultant agrees to keep confidential any and all material submitted by the Client.
Signed:
Consultant Date
Client Date
Sample Job Description
JOB TITLE: Administrative Assistant II
FLSA STATUS: Non-Exempt
REPORTS TO: VP Marketing
LOCATION: Corporate
POSITION SUMMARY:
Under the direct supervision of the Vice President of Marketing, this position provides administrative and secretarial support for the Vice President and the Marketing Department. In addition to typing, filing, and scheduling, performs duties such as financial record-keeping, payroll, coordination of meetings and conferences, obtaining supplies, coordinating direct mailings, and working on special projects. Also, answers non-routine correspondence and assembles highly confidential and sensitive information. Deals with a diverse group of important external callers and visitors as well as internal contacts at all levels of the organization. Independent judgment is required to plan, prioritize, and organize diversified workload, recommends changes in office practices or procedures. Summary: Administrative/Secretarial: Provides administrative support to the Vice President of Marketing and the Marketing Department including high-level secretarial support.
1. Schedules and organizes complex activities such as meetings, travel, conferences, and department activities for all members of the department.
2. Performs desktop publishing. Creating and developing visual presentations for the Vice President.
3. Establishes, develops, maintains, and updates filing system for the Vice President and the department. Retrieves information from files when needed. Establishes, develops, maintains, and updates library of trade journals and magazines.
4. Organizes and prioritizes large volumes of information and calls.
a. Sorts and distributes mail. Opens mail for the Vice President. Drafts written responses or replies by phone or email when necessary. Responds to regularly occurring requests for information.
b. Answers phones for Vice President and Marketing Department. Takes messages or fields/answers all routine and non-routine questions. Works in cooperation with other System Development Assistants to cover phones.
3. Acts as a liaison with other departments and outside agencies, including high-level staff such as CEOs, Presidents, Senior Vice Presidents, and Chiefs. Handles confidential and non-routine information and explains policies when necessary.
4. Works independently and within a team on special nonrecurring and ongoing projects. Acts as project manager for special projects, at the request of the Vice President, which may include: planning and coordinating multiple presentations, disseminating information, coordinating direct mailings, creating brochures.
5. Coordinates division of workload with the administrative assistant in Community Relations.
6. Types and designs general correspondences, memos, charts, tables, graphs, business plans, etc. Proofreads copy for spelling, grammar, and layout, making appropriate changes. Responsible for accuracy and clarity of final copy.
7. Supports Market Data Analyst in maintenance of the department finances. Activities include: copying check requests & sending to Accounts Payable Travel reimbursement, documenting corporate credit card expenses to corporate finance.
QUALIFICATIONS/SKILLS & KNOWLEDGE REQUIREMENTS
Work requires an extensive knowledge of business and an excellent command of the English language.
Must have knowledge of secretarial, office administrative procedures, and knowledge of use and operation of standard office equipment, at a level generally acquired through 1+ years related experience.
Must have knowledge of a variety of computer software applications in word processing, spreadsheets, database and presentation software.
Must have high level of interpersonal skills to handle sensitive and confidential situations. Position continually requires demonstrated poise, tact, and diplomacy.
Some analytical ability is required in order to gather and summarize data for reports, find solutions to various administrative problems, and prioritize work.
Work requires continual attention to detail in composing, typing, and proofing materials, establishing priorities, and meeting deadlines.
APPROVALS:
Supervisor Name 
Title
Date
GENERAL INFORMATION
The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this position. They are not intended to be an exhaustive list of all duties, responsibilities, and skills required of personnel so classified.
The incumbent must be able to work in a fast-paced environment with demonstrated ability to juggle and prioritize multiple, competing tasks and demands, and to seek supervisory assistance as appropriate.
Incumbents within this position may be required to assist or find appropriate assistance to make accommodations for disabled individuals in order to ensure access to the organization’s services (may include: visitors, patients, employees, or others).
Sample Job Application
[Company] is an equal opportunity employer and does not discriminate against otherwise qualified applicants on the basis of race, color, creed, religion, ancestry, age, sex, marital status, national origin, disability or handicap, or veteran status.
PERSONAL
EDUCATION
PROFESSIONAL LICENSE or MEMBERSHIP
SKILLS
During the last ten years, have you ever been convicted of a crime other than a minor traffic offense? _____ Yes ____ No If yes, explain:
(A conviction will not necessarily automatically disqualify you for employment. Rather, such factors as age, date of conviction, seriousness and nature of the crime, and rehabilitation will be considered.)
EMPLOYMENT: List last employer first, including U.S. Military Service. May we contact your present employer? _____ Yes ____ No If any employment was under a different name, indicate name:
REFERENCES
APPLICANT’S CERTIFICATIONAND AGREEMENT
I hereby certify that the facts set forth in the above employment application are true and complete to the best of my knowledge and authorize [Company] to verify their accuracy and to obtain reference information on my work performance. I hereby release [Company] from any/all liability of whatever kind and nature that, at any time, could result from obtaining and having an employment decision based on such information.
I understand that, if employed, falsified statements of any kind or omissions of facts called for on this application shall be considered sufficient basis for dismissal.
I understand that should an employment offer be extended to me and accepted that I will fully adhere to the policies, rules, and regulations of employment of the Employer. However, I further understand that neither the policies, rules, regulations of employment or anything said during the interview process shall be deemed to constitute the terms of an implied employment contract. I understand that any employment offered is for an indefinite duration and at will and that either I or the Employer may terminate my employment at any time with or without notice or cause.
Signature of Applicant Date
Sample Release Information to Include on Employment Applications
Reference Checks. I authorize [Company] to communicate with references and former employers to verify information related to this application in order to make an employment decision. I agree to hold such persons harmless with respect to any information they may give about me.
Background Investigations. In making this application for employment an investigative consumer report may be obtained from a consumer reporting agency for the purpose of evaluating employment history. This report may contain information regarding my past education, past employment, and general reputation from public record sources. I understand that I have a right to request additional disclosures regarding the nature and scope of the investigation.
Consumer Report Disclosure Notice & Authorization.
Thank you for your application. This Consumer Report Disclosure Notice and Authorization is to inform you that [the organization] may obtain or cause to be obtained a consumer report as part of its pre-employment background check. Such a report, which may contain information bearing on your credit worthiness, credit standing, credit capacity, character, general reputation, personal characteristics, or mode of living, will be used for employment purposes only. The fact that [the organization] may obtain a consumer report does not mean that [the organization] has otherwise decided to offer you employment.
By signing this form below, you authorize [the organization] to obtain or cause to be obtained a consumer credit report. If hired, this authorization shall remain in effect and serve as continuing authorization for [the organization] to obtain consumer reports at any time during your employment with [the organization].
Applicant’s Name:
Signature:
Sample Internal Transfer Policy
Purpose: This policy exists to offer employees of the XYZ Company the opportunity for skill development and career development through executing a transfer/promotion to a position outside their department/division but within the organization. This policy applies to all employees whether part or full-time below the level of Senior Vice President.
1. All positions below the level of Senior VP will be posted internally on the organization’s job posting site. Positions will be posted internally for five business days prior to going to outside sources for candidates.
2. Employees who have been in their current position for at least one year and are not currently on a performance improvement plan are eligible to apply for the open position by completing the Internal Job Transfer/Promotion Form available on the organization’s intranet and attaching a current resume.
3. Employees must obtain the approval of their current manager prior to submitting the form to Human Resources.
4. HR will evaluate the internal candidate’s qualifications against the job specifications and qualified candidates will be shared with the hiring manager. Candidates will be notified at that time whether or not they are being considered.
5. The Hiring manager, with support from HR, will determine which candidates to interview and select based on skills, abilities, and qualifications. All decisions will be made without regard to age, color, race, national origin, religion, gender, disabilities, veteran status, or sexual orientation.
6. If an internal candidate is selected, HR and the hiring manager will work with the releasing manager on a timeframe for the employee to transfer to the new position.
The hiring manager and/or HR will meet with internal candidates who were not selected to discuss where they need to improve their skills in order to move forward in the company.
Sources for Minority Applicants
African-American Career World magazine: www.eop.com/aacw.html
American Jewish World Service: www.ajws.org/index.cfm
The Black Collegian: black-collegian.com
Black Enterprise: blackenterprise.com
National Black MBA Association: www.nbmba.org
Black MBA Magazine: www.blackmbamagazine.net
National Hispanic Business Association: nhba.org
Hispanic Career World: eop.com
Careers & the DISabled: eop.com
LATPRO Hispanic Jobs: www.latpro.com
Project Hired kings.projecthired.org/public
HireDiversity.com: www.hirediversity.com
Indian Country Today: indiancountry.com
Native American Employment Opportunities: hanksville.org/NAresources/indices/NAjobs.html
Veterans Enterprise: www.veteransenterprise.com
Veterans’ Vision: www.vetsvision.org/vetsvision.html
Women’s Business Enterprise National Council: www.wbenc.org
HispanicOnline: www.hispaniconline.com
AfricanAmericanJobsite.com: www.africanamericanjobsite.com
DiversityLink.com: www.diversitylink.com
Diversity Search: www.diversitysearch.com
iHispano.com: ihispano.com
Saludos.com: saludos.com
Workforce50: Workforce50.com
Quintessential Careers: Job and Career Resources for Mature and Older Job-Seekers: quintcareers.com/mature_jobseekers.html
Legal and Illegal Interview Questions
|
Legal Questions |
Illegal Questions |
Gender/Family Issues |
If applicant has relative employed with your organization |
Gender of applicant Number of children Marital status Spouse’s occupation Childcare arrangements Healthcare coverage through spouse |
Race |
None |
Applicant’s race/skin color Photos attached to resumes/applications |
National Origin or Ancestry |
Whether applicant has legal right to be employed in the U.S. Ability to write/speak English fluently (if job-related) Other languages spoken (if job-related) |
Ethnic association of surname Birthplace of applicant or applicant’s parents Nationality, lineage, national origin Nationality of applicant’s spouse Whether applicant is a citizen of another country Applicant’s native tongue Maiden name (of married woman) Note: State clearance requirements in your position description and in all recruitment ads. |
Religion |
None |
Religious affiliation Religious holidays observed |
Age |
If applicant is over age 18 If applicant is over age 21 (if job related) |
Date of birth Date of high school graduation Age |
Disability |
Whether applicant can perform certain job related functions |
If applicant has a disability Nature or severity of disability Whether applicant has ever filed a workers’ compensation claim Recent or past surgeries and dates Past medical problems |
Other |
Convictions* |
Number and kinds of arrests Specific years of school attendance or graduation date Height or weight unless bona fide occupational qualification** Veteran status, discharge status, branch of service Contact in case of emergency (at application or interview stage) |
* Disclosure of criminal record does not automatically disqualify an applicant from employment consideration. Each case must be judged on its own merits.
** Bona Fide Occupational Qualifications (BFOQ) are legitimate reasons why an employer can exclude persons on otherwise-illegal bases of consideration (for example, gender or age).
Phone and Video Screening Template
Applicant Name: _______________________________________________
Phone Number or Video Link: _______________________________________________
Date of Interview: _______________________________________________
1. What was it about our position that caused you to apply?
2. Why are you looking for a new position?
3. What salary range are you looking for?
4. What are the top five duties you have in your current (last) job?
5. What are some examples of decisions you make on a daily basis?
6. [Insert one or two job-related questions here using the recommended questioning format in Chapter 9 (The Interview).]
7. Describe your ideal organizational culture.
8. If we were to come to an agreement and you would be offered this position, when are you available to start?
Questions Applicants May Ask Employers in Interviews1
Why do you enjoy working for this company?
What attracted you to this organization?
Can you describe the work environment here?
How soon are you likely to fill this position?
What sets this organization apart from your competition?
Who are your top three competitors?
What is the next step in the interview process?
How do my skills match up with your job requirements?
How do I compare with other candidates you’ve interviewed for this position?
How does this position relate to the bottom line?
Could you explain the management structure here?
What advice would you give someone in my position?
If I am hired for this position, what would be my first responsibility?
What challenges might I face if I am selected for this position?
What are the three main goals this year for this organization?
How do you see this position impacting the achievement of those goals?
What development opportunities will I have here to advance my skill development?
What personal or professional qualities do you admire most in people who work for you?
What types of people do really well here and why?
Is there a succession plan in place?
What happened to the person who held this job previously?
What is the organization’s customer service philosophy?
What is the organization’s employee retention strategy?
If I am selected for this position, will I manage anyone who applied for this position? If yes, why were they not considered for the job?
I understand there were layoffs in the past two years. Can you review the reasons why this decision was made and what was done to ensure those who stayed felt positively about the company?
What rewards and recognition programs have been successful here?
How does this organization deal with mistakes?
What are the greatest challenges I will face in this position?
Is there anything personally or professionally that you believe would prevent me from being successful here?
Can you give me some examples of the best and worst aspects of the organization’s culture?
What makes this a great place to work?
When top performers leave, why do they leave and where do they go?
How will my performance be evaluated?
Sample Behavioral Interviewing Questions
Communications Skills
Tell me about a time when you felt you had to overcome resistance to your ideas in your organization. How did you communicate this? Describe how you felt. How did you get buy-in for your idea? If you didn’t get buy-in, what did you learn from this experience?
How would you describe your communication style?
Tell me about a time when you had to make an unplanned presentation. How did you organize your thoughts? How did you feel about this? Describe a situation in which effective interpersonal communications skills contributed to your success?
Initiative
Give me an example of a time when you worked on a project with little supervision. How did you get started? Describe the results.
Describe a situation in which your initiative made little difference in the outcome of a project or job. What was the result? What did you learn from this experience?
Integrity and Trust
Describe a situation where someone has put trust in you. How did you feel? How did you earn that person’s trust?
How would your last employer describe your work habits and ethics?
Describe a time when you made a mistake. How did you handle the situation? What did you learn from it?
Leadership/Coaching
As a leader, what do you do when people on your team aren’t pulling their weight?
What is one of the greatest leadership challenges you have ever faced? What did you do? What was the result?
Teamwork/Collaboration
How do you promote teamwork? How effective are you in making this happen and why?
Describe a time when you worked with someone who was difficult to work with. What was the outcome?
How do you handle situations with people who don’t agree with you?
Sample Reference Checking Template
Applicant Name: _____________________________________________________
Position being considered for: ___________________________________________
Date conducted: _____________________________________________________
Reference name and title: ______________________________________________
Reference phone or email contact: _______________________________________
Process
Introduce yourself and explain that the applicant has listed them as a reference for (fill in position title) and your organization.
Ask if this is a convenient time to talk and if not, when to reschedule.
Assure the reference that the information he or she shares will be confidential.
Briefly describe the job duties and then ask the following questions:
1. What was your working relationship to the candidate? Supervisor? Peer?
2. How long have you been acquainted with the candidate?
3. How long did you and the candidate work together?
4. Confirm dates of employment shown on the resume/application.
5. What were the job duties of the candidate when you worked together?
6. Is the candidate eligible for rehire and if not, why?
7. Please comment on how well you think the candidate would handle the job I described.
8. Does the candidate have any developmental needs?
9. End with, “Is there anything else you can tell me to help us make a good hiring decision?”
Thank the reference for his or her time and help!
Template for a Telecommuting Agreement
I have read, understand, and agree to the duties, obligations, responsibilities, and conditions for telecommuters described in this document. Specifically: I agree that I am responsible for:
Establishing specific telecommuting work hours,
Furnishing and maintaining my remote work space in a safe manner, and
Employing appropriate security measures and protecting company assets, information, trade secrets, and systems in my remote work location.
I understand that:
Telecommuting is voluntary and I may stop telecommuting at any time.
THE COMPANY may at any time change any or all of the conditions under which I am permitted to telecommute, or withdraw permission to telecommute.
Remote work location: Please specify either employee residence or other remote work location. Please describe the work space at the remote work location:
I understand that I am responsible for establishing an appropriate work environment within my home for work purposes. THE COMPANY will not be responsible for costs associated with initial set-up (e.g., remodeling, furniture, or lighting), nor for repairs or modifications to the home office space. I understand that THE COMPANY will offer appropriate assistance in setting up a work station designed for safe, comfortable work.
Telecommuting schedule:
I agree to the following work schedule: (Select and complete one of the three options below)
1. On a weekly basis as follows (Specify regular telecommuting work hours):
2. On a monthly basis as follows (Specify regular telecommuting work hours):
3. No regular schedule (Separate permission for each telecommuting day)
I understand that I must be accessible by phone within a reasonable time period during the agreed-upon work schedule, and if I am telecommuting on a regular basis. Further, my manager and I will discuss the frequency of regular communication and I agree to abide by that agreement.
I understand that I am responsible for maintaining time records in accordance with THE COMPANY’s policies.
The following applies to those employees who are not exempt from the overtime requirements of the Fair Labor Standards Act.
I understand that as a non-exempt employee, I will be required to record in a manner designated by the organization all hours worked. Hours worked in excess of those specified per day and per work week, in accordance with state and federal requirements, will require the advance approval of the supervisor. Failure to comply with this requirement can result in the immediate cessation of the telecommuting agreement.
Company assets to be used at remote work location: (Specify/describe the equipment with appropriate ID numbers, and any other assets that will be assigned to the employee. This should include hardware and software, as appropriate. IT and/or facilities management should be consulted.)
I understand that any and all equipment (hardware/software/other) supplied by THE COMPANY will be maintained by THE COMPANY. Equipment supplied by THE COMPANY is to be used for business purposes only. I agree to sign an inventory of all office property and agree to take appropriate action to protect the items from damage or theft. Upon termination of employment all company property will be returned to THE COMPANY, unless other arrangements have been made.
If the employer has Asset Management Guidelines, they should be included or referenced. Consider the following for developing policies, guidelines and agreements:
Does a policy or guideline exist that defines who is responsible in case of theft of hardware, software or data at remote sites? In case of damage?
Does a policy or guideline exist for “appropriate” personal use of company equipment?
Asset and information security:
I understand that consistent with THE COMPANY’s expectations of information asset security for employees working at the office, as a telecommuting employee I will be expected to ensure the protection of proprietary company and customer information accessible from my home office. Steps include, but are not limited to, securing any storage media (such as portable drives), use of locked file cabinets and desks, regular password maintenance, and any other steps appropriate for the job and the environment.
Consider the following for developing policies, guidelines and agreements: (This list is not meant to be all-inclusive. There may be other considerations after consulting with IT and security professionals.)
Are the remote sites physically secure?
Is a full physical inventory of remote site equipment and user systems maintained and periodically verified?
Are backup media available and secured on-site for remote site equipment?
Is all paper data (proprietary, confidential, etc.) physically secure at the remote site?
Is there a process for the return of equipment and proprietary data upon termination of employment or necessary company access?
Does a policy exist for repair of equipment that contains proprietary information?
Is there insurance for liability and personal injury at the remote site?
If equipment is stolen, can proprietary information be accessed by the perpetrator?
Is all media destruction (proprietary, confidential, etc.) at the remote site consistent with THE COMPANY’s security policies?
Does a policy exist to obtain access to important proprietary information at remote sites?
Is there a formal, complete, and tested disaster recovery plan in place for the remote sites?
Are there virus scanning capabilities required on remote sites? How often are they updated?
Are measures in place to ensure the proper disposal of confidential data (paper, fax, digital, etc.) at remote sites?
Are users aware of the signs of a virus or worm?
Are users familiar with the use of virus scanners?
Are users aware of the remote access security policies?
Do remote access users and their managers receive security training prior to using remote access? Do they receive annual security training?
Non-company equipment, software, and data to be used at remote work location: Specify/describe the personal or other non-company equipment that will be used by employee. This should be approved by management.
I understand that I am responsible for any equipment that I may supply, if deemed appropriate by THE COMPANY, including maintenance. THE COMPANY accepts no responsibility for damage or repairs to equipment I supply. I further understand that THE COMPANY reserves the right to make determinations as to appropriate equipment, subject to change at any time.
Other business-related expenses:
THE COMPANY agrees to supply the telecommuting employee with appropriate office supplies (pens, paper, etc.) for successful completion of job responsibilities. THE COMPANY will also reimburse the employee for all other business-related expenses such as phone calls, shipping costs, etc. that are reasonably incurred in accordance with job responsibilities.
The FLSA Duties Test Checklist
Highly Compensated Employee In addition to the salary requirement discussed in Chapter 17:
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Executive Duties Test
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Administrative Duties Test
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Professional Duties Test Learned professional
Creative professional
Both learned and creative professionals can be paid on a salary basis (meets the requirements of the salary-basis test) or on a fee basis (i.e., an agreed sum for a single job so long as it is at a rate that equals the salary threshold for the salary-basis test). |
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Employed as a computer systems analyst, computer programmer, software engineer or other similarly skilled worker in the computer field (generally not “help desk” employees). Primary duty consists of any of or a combination of the following duties, the performance of which requires the same level of skills:
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Outside Sales Exemption
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Job Analysis Interview Questions
Employee Information
Name of Employee: _________________________________
Job Title: _________________________________________
Department: _______________________________________
Date: ____________________________________________
Job Introduction
Describe the nature, purpose, and location of the job.
Job Duties
What are the main duties and responsibilities of your job?
Describe your duties in terms of daily duties, periodic duties, and duties performed at irregular intervals
How long does each of your duties take to accomplish?
How do you do each of these duties?
Are you performing any duties that are not part of your current job description? Describe.
Do you use any special tools, equipment, or other sources of assistance in performing your job? If so, please list them and the frequency with which they are used.
Describe the frequency and degree to which you are engaged in such activities as pushing, throwing, pulling, carrying, sitting, running, kneeling, crawling, reaching, climbing....
Job Criteria/Results
How would you describe success in your job?
Have work standards been established (errors allowed, time taken for a particular task, etc.)? If so, what are they?
Describe the successful completion and/or end results of your job.
Records and Reports
What records or reports do you prepare as part of your job?
Who do you send these reports/records to?
Supervisor
Who is your supervisor?
What kinds of questions or problems would you ordinarily refer to your supervisor?
Are the instructions you receive clear and consistent with your job description?
Authority
What is the level of authority you have in your job?
What is your level of accountability, and to whom are you accountable?
What kinds of independent action are you permitted to take?
Are you responsible for any confidential material? If so, please describe how you handle it.
Are you responsible for any money or things of monetary value? If so, please describe how you handle it.
Compensation
Considering your level of productivity, and the skill required to fulfill your responsibilities, do you think you are underpaid? Equitably paid? Overpaid?
Knowledge
What special knowledge or specific work aids are needed in this job?
Describe the level, degree, and breadth of knowledge required in these areas.
What are the educational requirements for this job?
What type of licensing or certification is needed for this job?
Can you indicate what training time is needed to arrive at competency in this job?
What sort of job training is needed for this job?
Skills/Experience
What activities of this job must you perform with ease and precision?
What manual skills are required to operate machines, vehicles, equipment, or tools?
What level of experience and skills are required for your job?
Abilities
What mathematical ability do you need in this job?
What reasoning or problem-solving ability must you have in this job?
What interpersonal abilities are required?
What supervisory abilities are needed?
What physical abilities such as strength, coordination, or visual acuity must you have?
Working Instruments
Please describe briefly what machines, tools, equipment, or work aids you work with on a regular basis.
Health and Safety
What safety equipment or procedures are needed in this job?
How frequently are these safety procedures or equipment used in this job?
Does your work present any type of hazardous or unusual working conditions? How frequent are they?
Working Conditions
Describe your working conditions.
Describe the frequency and degree to which you are exposed to such conditions as cramped quarters, moving objects, inadequate ventilation, temperature extremes, etc.
Management Scope (for management positions only)
How many staff do you supervise directly? Indirectly?
How many trainees do you supervise directly? Indirectly?
Professional Functions
Human Resources. What is your authority for:
Recruitment and selection?
Training and development?
Performance appraisal?
Compensation and benefits?
Accounting
What financial responsibilities do you have?
What budget level do you manage? $
Administration
List assets/facilities you manage.
Identify value of each.
Document Authority
What documents are you allowed to sign alone?
What documents do you sign with another level of signature?
Management Activities
Describe your involvement in the following activities:
Work assignments.
Instruction and training.
Performance appraisal.
Discipline.
Grievance handling.
Placement.
Workflow.
Program improvements.
Developing new programs.
Troubleshooting.
Reports.
Follow-through.
Other supervisory duties.
Sample Salary Structure
Nonexempt
40% Range, 12% Grade Increases
Key Definitions Under the FMLA
“Employee Eligibility” means that, though an employee must have worked at least 12 months and 1,250 hours during the prior 12 months, the 12-month period need not be consecutive. However, the employer need only look back for seven years prior to the date the leave begins. “Compliance year” can be specified using one of four methods:
The calendar year;
Any fixed 12-month period, such as a fiscal year;
A rolling 12-month period measured forward from the date an employee’s first FMLA leave begins; or
A rolling 12-month period measured backward from the date an employee uses any FMLA leave.
The first two methods allow the employee to stack leave, or take leave back to back (for example, the last 12 weeks of the current calendar year and then the first 12 weeks of the subsequent year). The 12-month service threshold is met as of the date the leave begins, not the date of the request for leave.
“Needed to care for” means providing physical and/or psychological care. The employee does not need to be the only individual or family member available to provide the care, nor is the employee required to provide actual care (in other words, someone else is providing in-patient or home care) as long as the employee is providing at least psychological comfort and reassurance.
“A serious health condition” under the FMLA means an illness, injury, impairment, or physical or mental condition that involves a period of incapacity, and treatment (either inpatient care or continuing treatment) by a healthcare provider.
“Key employees” are defined as salaried, FMLA-eligible employees who are among the highest paid 10 percent of all employees within 75 miles of a covered work site. Key employees may be excluded from the job restoration requirement of the FMLA provided that they are so notified by management.
“A family member” (for purposes of Family & Medical Leave) is:
a. A spouse—a husband or wife, as defined or recognized under state law for purposes of marriage, including common law marriages. The regulatory definition of spouse under the FMLA was amended in 2015 so that eligible employees in legal, same-sex marriages will be able to take FMLA leave to care for their spouse or family member, regardless of where they live. This will ensure that the FMLA will give spouses in same-sex marriages the same ability as all spouses to fully exercise their FMLA rights. The definition of a spouse expressly includes individuals in lawfully recognized same-sex and common law marriages and marriages that were validly entered into outside of the United States if they could have been entered into in at least one state.
b. A parent—a biological parent or individual who stands or stood “in loco parentis” to the employee when the employee was a child. (This does not include in-laws.)
c. A daughter or son—a biological, adopted, or foster care child, a stepchild, a legal ward, or a child of a person who is or was standing “in loco parentis.”
An eligible child is under the age of 18, or age 18 or older and “incapable of self-care” because of a mental or physical disability. Disability is defined to mean that the individual requires assistance or supervision in three or more activities of daily living (for example, grooming, dressing, eating, cooking, cleaning).
“A family member” (for purposes of Military Caregiver Leave) is:
a. Next of kin of a covered service member means the nearest blood relative other than the covered service member’s spouse, parent, son, or daughter (such as: brothers and sisters, grandparents, aunts and uncles, and first cousins).
b. Son or daughter on active duty or call to active duty status means the employee’s biological, adopted, or foster child, stepchild, legal ward, or a child for whom the employee stood “in loco parentis,” who is on active duty or call to active duty status, and who is of any age.
c. on or daughter of a covered service member means the service member’s biological, adopted, or foster child, stepchild, legal ward, or a child for whom the service member stood “in loco parentis,” and who is of any age.
d. Parent of a covered service member means a covered service member’s biological, adoptive, step or foster father or mother, or any other individual who stood “in loco parentis” to the covered service member. This term does not include parents-in-law.’
“A healthcare provider” is defined in the regulations to be fairly extensive, including, but not limited to doctors, clinical psychologists, dentists, chiropractors, and all medical para-professionals who fall within the definition of “healthcare provider” (nurse practitioner, nurse-midwives, clinical social workers and physicians assistants, performing within the scope of their practice as defined under state law).
In addition to reinstating the employee at the end of the leave, and providing continued benefits, there are other obligations and provisions that are important to understand.
“Intermittent Leave” is defined as FMLA leave taken in separate blocks of time due to a single qualifying reason.
Employees must be allowed to take leave intermittently or on a reduced leave schedule when medically necessary for treatment (or recovery from treatment) related to a serious health condition, for recovery from a serious health condition or to care for a seriously ill family member.
When leave is needed for planned medical treatment or to care for a family member, the employee must try to schedule treatment so as to not unduly disrupt the employer’s operation.
“An equivalent position” is one that is virtually identical in terms of pay, benefits, and working conditions, including privileges, perquisites, and status. It must involve the same or substantially similar duties and responsibilities that must entail substantially equivalent skill, effort, responsibility, and authority.
“Alternative positions to accommodate intermittent leave.” An employee may be required to temporarily transfer to an alternative position during the period that the intermittent or reduced leave schedule is required only if the leave is foreseeable based on planned medical treatment. The alternative position must have equivalent pay and benefits, but does not have to have equivalent duties. If the employee accepts light duty assignment while still eligible for FMLA leave, the employee must be reinstated to his/her original or equivalent position.
Guidelines for Choosing a Benefits Broker
Determine your needs (for example, plan design and implementation, cost-effective benefit strategies, educating employees, management reports, etc.).
Determine the scope of coverage, such as health, wellness, dental, life, disability, long-term care, voluntary benefits, etc.
Determine the type of partner.
Agents, who represent insurance companies and typically sell only one product or for only one company.
Brokers, who are independent and can sell multiple products for multiple companies.
Research potential candidates. Look to colleagues and industry groups for referrals:
National Association of Health Underwriters
Council of Insurance Agents & Brokers
Independent Insurance Agents & Brokers of America
United Benefit Advisors
International Foundation of Employee Benefit Plans
Interview potential candidates.
Where do you think the employee benefits market is heading?
Will we have a dedicated account manager?
What is your understanding of our needs?
How will you approach this project?
What differentiates you from others?
Evaluate potential candidates.
Check an agent’s or broker’s disciplinary record. Your state’s insurance commissioner’s office consumer hotline will provide the information.
Pay attention to licenses and certifications:
CEBS (Certified Employee Benefits Specialist)
CFP (Certified Financial Planner)
CHC (Certified in Healthcare Compliance)
CLU (Certified Life Underwriter)
REBC (Registered Employee Benefits Consultant)
RHU (Registered Health Underwriter)
Check references.
How did you like working with this consultant?
What was the scope of the project?
Did you get the results you wanted on time and within budget?
Did you feel the consultant understood your business and your needs?
Did you receive an individualized solution for your organization?
What are this provider’s strengths and weaknesses?
How does this provider compare with others you’ve used?
Would you use this provider again?
Sample Training Evaluation Form
Training Evaluation Form
Course Title
Facilitator: ____________________________________________
Date: _________________________________________________
Location: ______________________________________________
We are constantly striving to improve our workshops. You can help us by completing this Workshop Evaluation.
What is one thing you will commit to trying tomorrow? |
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What worked well? |
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What would you like us to do differently in the future? |
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Is there anything else you would like to tell us about this workshop? |
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Plan for Performance Improvement
Performance Improvement Plan Period: From _____ to _____
Employee Information
Name: ____________________________________________
Job Title: __________________________________________
Department: ________________________________________
Supervisor Name: ____________________________________
Supervisor Title: _____________________________________
Identify 3–5 tasks that need to be achieved during the performance improvement period.
Task Definition: Describe what needs to be completed. |
Action Plan: Describe how the task will be completed and how the results will be measured. |
Target Date: State the expected date when the task needs to be completed. |
Task Definition: Describe what needs to be completed. |
Action Plan: Describe how the task will be completed and how the results will be measured. |
Target Date: State the expected date when the task needs to be completed. |
Task Definition: Describe what needs to be completed. |
Action Plan: Describe how the task will be completed and how the results will be measured. |
Target Date: State the expected date when the task needs to be completed. |
Task Definition: Describe what needs to be completed. |
Action Plan: Describe how the task will be completed and how the results will be measured. |
Target Date: State the expected date when the task needs to be completed. |
Signatures
Date
Employee: _________________________________________________
Reviewing Manager: __________________________________________
Next Level Manager: __________________________________________
Human Resources: ____________________________________________
Sample Performance Evaluation
Performance Period: From _____________to _____________
Employee Information
Name: _____________________________________
Job Title: ____________________________________
Department: __________________________________
Supervisor Name: ______________________________
Supervisor Title: _______________________________
Performance Evaluation Steps
a. Reviewing Manager provides employee with a copy of the appropriate Performance Evaluation Form and any written documentation of the employee’s job responsibilities. Employee completes the self-evaluation portions (Section I, Part A and Part B; and Section II, Part B) and returns it to the Reviewing Manager within a two-week period. The rating sections will be completed by the Reviewing Manager.
b. Reviewing Manager reviews employee’s self-evaluation, completes comments and examples as well as Section IV, Summary and Development Plan, and prepares comments for discussion. Reviews with next level of management and Human Resources.
c. Reviewing Manager sets a time for the evaluation feedback session to discuss and finalize the evaluation. This date should be no more than two weeks after the employee has provided the self-evaluation.
d. During the feedback session, ratings are discussed and entered on the form. Signature and comments of the employee are obtained. The employee may have further time to provide comments.
e. After all management approvals have been obtained, the Performance Evaluation Form is reviewed with Human Resources and placed in the employee’s personnel file.
Performance Ratings and Definitions
a. Outstanding: Performance consistently far exceeds expectations and job requirements. Accomplishments were made in unexpected areas as well. Results obtained all exceeded those expected. Always understood the overall objectives of the department. Showed initiative, and thought beyond the details.
b. Exceeds Standard: Performance consistently exceeds expectations and job requirements. Quality and quantity of work standards were met and objectives were achieved above the standards established. Took on extra projects and tasks, while principal responsibilities were done well.
c. Fully Satisfactory: Performance consistently meets expectations and job requirements. May exceed expectations from time to time. There were no critical areas where accomplishments were less than planned.
d. Below Standard: Performance does not consistently meet expectations, rarely exceeds expectations, but may usually meet minimum requirements for the job. Not all planned objectives were accomplished within the established standards, and some position responsibilities were not completely met. Development activities will be implemented to assure that performance improves to “fully satisfactory” within stated time frame in PIP.
e. Unsatisfactory: Performance is below the minimum acceptable level. Position responsibilities not being met, and important objectives have not been accomplished, even with close supervision and guidance. PIP must be implemented.
Section I. Employee completes Part A from position description. Employee completes Part B stating factual, quantifiable accomplishments. Reviewing Manager may add or modify Part B. Part C will be completed by Reviewing Manager during Feedback Session.
Section II. How results were accomplished—skill/ability levels: Employee completes Part B, providing specific examples that will be used to support the Performance Rating. Reviewing Manager may add or modify Part B. Part C will be completed by Reviewing Manager during Feedback Session.
Section III. Summary. Reviewing Manager completes this Section.
1. Overall performance rating of Sections I & II
Outstanding
Exceeds Standard
Fully Satisfactory
Below Standard
Unsatisfactory
2. Identify major areas of strength:
3. Identify development needs for improvement in present job and/or to prepare for future responsibilities:
4. Identify action steps for specific areas that will be taken, such as commitments to enable employee to perform at a higher level. Specify development activities and timetables.
Section IV. Employee Review & Comments
I have had an opportunity to review and discuss this performance evaluation. My signature does not necessarily indicate that I am in agreement with its contents. Comments:
Date
Employee Signature ____________________________________________________
Section V. Approval Signatures:
Date
Reviewing Manager ______________________________________________________
Next Level Manager _____________________________________________________
Human Resources _______________________________________________________
Sample Performance Factors
Adaptability: Adjusts in a changing environment; adapts to new people, ideas, policies, and procedures; is flexible; is resourceful; is open-minded; responds to changing requirements on a timely basis.
Client Service: Understands and is responsive to customers’ goals, mission, and needs; builds enduring customer relationships and maintains good will; gains trust and respect of customers; always does what’s best for the client.
Communication: Actively listens; accepts feedback; has effective written and oral skills and clearly expresses ideas and thoughts; communicates all information necessary for effective action on a timely basis; establishes communication links with internal and external stakeholders based on trust and respect; is effective and persuasive and is able to define position/problem areas.
Company Spirit: Contributes to an environment that supports the delivery of quality, value, and outstanding service to our clients.
Consequences of Outcomes: Meets prescribed schedules while adhering to cost constraints and quality standards.
Dealing With Ambiguity: Effectively copes with change and isn’t upset with vague situations; comfortably shifts focus and handles risk and uncertainty.
Delivers Results: Focuses on key issues, tasks, and priorities; makes timely decisions; takes action and follows through on decisions.
Drive and Commitment: Undertakes tough assignments; strives for personal improvement and success; is reliable and conscientious; supports company goals.
Effectiveness of Coworker Relations: Coordinates activities with others to meet business objectives; is able to work effectively on a team.
Effectiveness of Customer Relations: Communicates, understands, and responds to internal and external customers consistent with sound business practices.
Independent Judgment: Analyzes problems and makes sound decisions; works independently on a continuing basis.
Initiative: Works with limited direction and a sense of urgency; searches for new ideas.
Integrity and Ethics: Exercises high standards of business conduct; is trustworthy, is intellectually honest; lives the values of the organization.
Interpersonal Savvy: Relates well to all people at all levels, inside and outside the organization; builds appropriate rapport and constructive relationships; uses diplomacy and tact; diffuses high-tension situations comfortably.
Knowledge: Possesses a high degree of technical knowledge and competence and applies it; stays abreast of new developments.
Planning and Organization: Budgets time and schedules resources effectively; completes work on a timely and cost effective basis; delivers quality work products within budget.
Problem-Solving and Creativity: Defines and solves complex problems with innovation; responds to changing requirements on a timely basis; plans objectives; develops effective work schedules.
Project Management: Adheres to budget, resource planning, scheduling, and tracking projects; delivers quality work product on time and within budget.
Quality: Meets expectations of management and clients while adhering to standards of quality; is committed to continuous improvement.
Strategic Agility: Anticipates future consequences and trends accurately; has broad knowledge and perspective; articulates visions of possibilities and likelihoods; creates competitive and breakthrough strategies and plans.
Supervisor Responsibility: Inspires confidence; directs activities; utilizes expertise; and organizes activities to meet stated goals.
Teamwork: Works effectively as a team member; contributes to overall organizational goals; is co-operative; builds trusting relationships with peers and client staff; fosters collaboration by applying tact and courtesy in dealing with others; has a positive impact and encouraging influence on others.
Technical Competence and Knowledge: Understands and applies state-of-the-art knowledge and methods in his/her relevant field; is respected and sought as a resource; enables, promotes and practices continuous learning; actively promotes, dissemination of knowledge to potential users and beneficiaries.
Sample Performance Ratings and Definitions
1. Outstanding: Performance consistently far exceeds expectations and job requirements. Accomplishments were made in unexpected areas as well. All results obtained exceeded those expected. Always understood the overall objectives of the department. Showed initiative, and thought beyond the details.
2. Exceeds Expectations: Performance consistently exceeds expectations and job requirements. Quality and quantity of work standards were met, and objectives were achieved above the standards established. Took on extra projects and tasks, while principal responsibilities were done well.
3. Meets Expectations: Performance consistently meets expectations and job requirements. May exceed expectations from time to time. There were no critical areas where accomplishments were less than planned.
4. Below Expectations: Performance does not consistently meet expectations, rarely exceeds expectations, but may usually meet minimum requirements for the job. Not all planned objectives were accomplished within the established standards, and some position responsibilities were not completely met. Development activities will be implemented to assure that performance improves to “fully satisfactory” within stated time frame in a performance improvement plan.
5. Unacceptable: Performance is below the minimum acceptable level. Position responsibilities are not being met and important objectives have not been accomplished, even with close supervision and guidance.
Setting Performance Objectives
Performance Period: From _______ to _______
Employee Information:
Name: ____________________________________________
Job Title: __________________________________________
Department: ________________________________________
Supervisor Name: ____________________________________
Supervisor Title: ______________________________________
Performance Planning: Identify 3–5 performance objectives to be achieved during the performance period that align with business/unit objectives. Goals should be SMART (Specific, Measurable, Attainable, Relevant, and Trackable)
1. Overall goal and objective #1 (what is the expectation?): 2. Specific performance objectives (action steps—how the overall objective will be met): 3. Outcome measures (results and how the results will be measured): 4. Time of goal (target completion date): |
1. Overall goal and objective #1 (what is the expectation?): 2. Specific performance objectives (action steps—how the overall objective will be met): 3. Outcome measures (results and how the results will be measured): 4. Time of goal (target completion date): |
1. Overall goal and objective #1 (what is the expectation?): 2. Specific performance objectives (action steps—how the overall objective will be met): 3. Outcome measures (results and how the results will be measured): 4. Time of goal (target completion date): |
Employee Signature/Date ________________________________
Manager Signature/Date _________________________________
Checklist for Effective Investigation Interviews
Start with “broad” questions. Move to “narrow” questions after the interviewee has sketched the parameters of the events.
Ask open-ended, non-leading questions (for example, who, what, when, where, how, and why type questions). Probe for specifics. Ask only one question at a time.
Ask questions that will enable the interviewee to relate events chronologically. This will help resolve credibility issues. Ask questions that are designed to give you relevant facts.
Keep the interview on track. Individuals who are nervous or emotional tend to ramble. Control the interview by asking specific questions aimed at determining the facts, not speculations or opinions.
Ask follow-up questions to be sure that the information you are given is accurate.
Ask the “tough” questions. Don’t let the interviewee’s discomfort stop you from getting to the truth. Don’t ask only preplanned questions. Continue questioning until you are satisfied with the clarity and level of detail of the responses. You may want to save particularly difficult or embarrassing questions until the end of the interview.
Avoid leading questions. Don’t put words in the person’s mouth. Don’t lead the person or suggest the answer you want the interviewee to give.
Review your understanding of the information discussed. Repeat the interviewee’s responses and ask for clarification. Don’t make assumptions.
Don’t form conclusions prematurely or test them with interviewees. Although this can be a way to get information, you want avoid suggesting the wrong conclusion.
Encourage dialogue by:
Putting the interviewee at ease.
Stressing that no conclusions have been reached.
Using listening skills.
Checklist for Gathering the Facts
Obtain all relevant facts from the employee. Be specific and avoid speculation.
What happened (e.g., ask: “Exactly what went on?”)
Who was involved?
When did the incident take place (date, time)?
Where did the incident take place (e.g., ask: “Were you in an office? Whose? Was the door open or shut?”)?
What was said? By whom (e.g., ask: “Exactly what did she say? How did you respond?”)?
Was the employee’s ability to work affected? If so, how? Ask for examples.
Were there any observers/witnesses? If so, who (e.g., ask: “Was anyone else present or did anyone else overhear anything?”)?
Was the incident isolated or was it part of a pattern (e.g., ask: “Has something similar happened before? If so, when, how frequently?”)?
Get details of any prior occurrences.
Have other employees been affected?
Has the employee talked to anyone else within the company about this issue? If so, who?
Has the employee talked to anyone else outside the company about this issue? If so, who?
Are there any written documents relevant to the issue that the employee knows about?
Has the employee kept any written records or diaries that are relevant to the issue? Any expense reports, personnel file memos, other notes?
Does the person raising the issue know if any other employees have the same or similar concern?
Are there any other issues this employee wants to discuss?
Does the employee have any additional facts or information that would be helpful in an investigation, if one is merited?]
Employee Handbook Table of Contents
Acknowledgment Form
Welcome & Introduction
Employment & Employee Relations
At-Will Employment
Open Door
Equal Employment Opportunity
Accommodations for Disabilities
Employment Classifications
Professional Conduct & Code of Ethics
Workplace Behavior
Corrective Action Policy
Harassment Policy
Investigations
Electronic Media & Personal Use of
Company Equipment Policy
Social Media Policy
Outside Employment
Termination of Your Employment
Performance Evaluations
Everyday On-the-Job Issues
Employee Referral Award Program
Employing Relatives and Domestic
Partners
Job Posting Program
Reference Inquiries
Media Inquiries
Personnel Files & Personal Information
Changes
Attendance & Timeliness Guidelines
Weather, Emergency & Unexpected
Facility Closings
Employee Appearance
Solicitation & Distribution
Use of Personal Electronic Devices
(music, phones & cameras)
Housekeeping
Smoking
Travel & Entertainment Guidelines]
Employee Programs, Benefits & Services
Health Benefits
Retirement Benefits
Termination of Medical & Dental
Insurance
Short-Term Disability
Employee Assistance Program (EAP)
Professional Memberships
Employee Activities
The Company Intranet
Compensation & Pay Practices
Regular Pay Procedures
Recording Work Hours
Working on Company-Observed
Holidays
Garnishments & Other Support Orders
Time Off & Leave Practices
Paid Time Off
Holidays
Leaves of Absence
FMLA Leave
Military Leave
Bereavement Leave
Jury Duty & Court Appearance
Leave
Safe & Secure Workplace
Substance Abuse
Workplace Violence
Safety & Health
Accidents & Injuries at Work
Guidelines for Documenting Workplace Issues
When faced with charges of discrimination, proper documentation of all employment activities may be necessary to explain the activity in question. Some guidelines to follow include:
1. Maintain written records on an ongoing basis, as incidents occur. Do not wait until a serious problem develops and then begin to make written records.
2. Document all disciplinary incidents, even informal warnings and counseling regarding minor issues and problems.
3. Document any discussion in which an employee is informed of applicable rules of conduct or standards of performance. If the employee raises objections or seems to have difficulty understanding what is expected, make a written note of it. Your documentation should include any assistance or solutions you discussed with the employee. Your discussions should include next steps that may be taken if the situation does not improve.
4. Document positive accomplishments. You may wish to rely on such instances to justify selection of one employee over another for a promotion or favorable assignment. Documentation of positive efforts is just as important as documentation of problems.
5. Keep records in a consistent manner for all employees. Any aspect of performance or behavior that you put into writing should be done for all employees under your supervision.
Maintain written records.
Keep an incident log.
Include the date, time, and place of each occurrence.
Include first and last names of individuals involved.
Create short, specific entries that focus on behavior—what the employee has done or failed to do.
Include explanations so a third party (or a jury) can understand it. (For example, explain acronyms or company-specific terminology.)
Be sure they are legible if they are handwritten.
Stick to job-related facts only. Be specific and objective. Stick to the facts and don’t draw conclusions. Indicate the sources of your information, such as your own observations or the name of the person who reported the incident to you. Leave out any speculation. In preparing to write up the incident, use the following questions as guidance:
What specifically occurred?
When and where did it happen?
Who was involved?
Is there sufficient detail to support a future decision to take management action?
Have you described the results of the behavior?
What circumstances, if any, may have influenced the behavior? For example:
• Was there an emergency situation?
• Did unusual or adverse conditions exist?
Sign and date your notes, or otherwise identify who prepared them.
Keep documentation in a secure place, where it will be accessible if needed by someone else in management in your absence, but not in a place where it will be open to review by employees.
Document the results of any meeting with employees.
Indicate that the documentation you prepared was shared with the employee, if applicable.
Indicate any prior applicable discipline or counseling.
Discuss the employee’s response.
Document that you discussed with the employee the consequences of further occurrences.
Remember: Defensible documentation will include:
Facts. The conduct or behavior will be described in accurate, factual terms.
Objectives. Those performance and behavior expectations that the employee failed to meet should be explained in a constructive way.
Solutions. Forms of assistance, coaching, or guidance provided to the employee must be described. Explain what specific suggestions you provided to help the employee reach established objectives.
Actions. The steps you are taking now, and those that you will take if objectives are not met or behavior does not improve, need to be clearly articulated.
Guidelines to Address Union Activity
General Guidelines: Do’s
The following is what supervisors should do if union organizing occurs:
Do answer questions asked by an employee or employees.
Do give straightforward information concerning the company’s policies. (Do not guess.) If you do not know an answer, it is appropriate to tell the employee that you will find the answer for him or her.
Do state the company’s position on unionization.
Do be a good listener and observer. You can and should listen to employees as long as the information is volunteered.
Do tell employees that signing a union card is the first step to joining a union.
Do respond immediately to any potentially violent situation. Violence or the threat of violence by employees is a serious rules violation and should be dealt with through the disciplinary process.
Do inform senior management of any union activities or rumors of such activity.
General Guidelines: Do Not’s
The following is what supervisors should not do if union organizing occurs:
Do not question employees about their union membership preferences or activities or those of other employees. (It is acceptable to listen if the information is volunteered.)
Do not spy on union activities or create the impression of doing so.
Do not use threats of reprisal, retaliation, or force (actual or implied).
Do not promise any incentives to any employee, including those who refrain from joining the union or who may oppose organizing activities.
Do not make statements alleging that unionization will take away current vacation benefits or other benefits and privileges.
Do not look at or accept union cards. If approached by a union representative, inform the union representative that you are not authorized to handle such matters.
Do not discuss complaints or petitions with groups of employees. Ask the group to return to work immediately.
Do not start or sign an anti-union petition.
Do not treat union sympathizers unequally (overtime, desirable assignments, favoritism, etc.).
Do not ask employees how they intend to vote.
Do not encourage employees to withdraw their authorization cards from the union.
Do not prohibit employees from wearing union insignia at work.
Sample Categories of Unacceptable Conduct
The following categories include, but are not limited to, those types of conduct considered unacceptable and may be the basis of a disciplinary action, including termination.
a. Failure to Work Harmoniously With Others, including coworkers, customers, subordinates, or superiors. Examples of unacceptable conduct in this category include, but are not necessarily limited to, malicious gossip and/or spreading rumors or otherwise creating discord; interfering with another employee on the job; harassment or any type of discriminatory behavior.
b. Insubordination. Failing or refusing to follow directions of a supervisor or any other individual authorized to direct the employee.
c. Violation of Safety and/or Security Regulations. Willfully or negligently disregarding or violating any published safety, security, or risk management policy or procedure.
d. Unauthorized Removal or Use of Property. Removing any property (the employer’s or client’s, or property of another) from the workplace without prior written approval. This includes unauthorized removal/use of the employer’s equipment or property for personal use or profit.
e. Gambling. Gambling of any kind during work hours on the employer’s or client’s property, including online gambling.
f. Drugs. Engaging in prohibited conduct, possessing, using, distributing, manufacturing, purchasing, dispensing, or selling illegal drugs, as described in the Substance Abuse Policy.
g. Intoxicants. Being under the influence of alcohol or other intoxicants, unless authorized by an appropriate official, while working or on the employer’s premises. A supervisor may refer an employee exhibiting signs and symptoms of alcohol abuse to the employee assistance program.
h. Possession of Firearms. Unauthorized possession of dangerous or illegal firearms, weapons or explosives on the employer’s property.
i. Harm or Threat of Harm. Examples of unacceptable conduct in this category include, but are not necessarily limited to, physically harming or threatening to harm any persons or property, including intimidation, physical altercations, threats of harm (whether verbal or written), and vandalism. A supervisor may refer an employee exhibiting signs and symptoms of violent tendencies to the employee assistance program for the purpose of verifying fitness for duty.
j. Unexcused Absences or Tardiness. Failure to report to work, report to work on time, report back to work from a scheduled break or appointment; or leaving the work assignment or premises during the employee’s scheduled working time for that day unless prior authorization has been received from the supervisor; sleeping on working time, wasting time, or loitering.
k. Failure to Protect the Organization’s Business Interests. Examples of unacceptable conduct in this category include failing to protect or otherwise acting in willful or wanton disregard of the employer’s interests, failing to protect (disclosing or misusing information about) the confidentiality of projects, documents, or other information pertaining to company business. This can also include falsifying or misrepresenting data and material information relevant to the employer’s business, such as making or causing to be made false entries in the organization’s books or records, verbally or in writing misrepresenting data in reports, an employment application, time records, benefits, accounting of time records, travel records, and other work records and receipts.
l. Violating the Nondisclosure Agreement. Giving confidential or proprietary information to competitors or other organizations or to unauthorized employees; working for a competing business while working for the employer; breach of confidentiality of personnel information.
m. Soliciting and Distributing Literature. Examples of unacceptable conduct in this category include soliciting, collecting, or selling for any purpose during working time and in the workplace, except as specifically authorized by management. Individuals not employed by the organization are not permitted to solicit, collect, sell, or distribute literature, pamphlets, or any other documents for any purpose on the employer’s premises, unless specifically invited to do so.
n. Outrageous Behavior. Any conduct, whether verbal, physical, or both, that is immoral, indecent, or so disruptive of the work environment that it has no place in a professional setting.
o. Criminal Conduct. Any act, or failure to act, that would be considered criminal in nature.
Sample Disciplinary Notice
DATE: June 1, 2011
EMPLOYEE NAME: Employee Smith
DISCIPLINARY ACTION: Letter of Caution
ISSUE: Absenteeism and Tardiness
EXPLANATION (specific behaviors observed and the dates they occurred):
Over the past three months, you have been absent on the following days: March 2, March 18, April 4, April 21, May 9, and May 27. In addition, you arrived late on the following days: March 7, March 23, March 30, April 8, April 18, April 28, May 2, May 13, and May 23.
IMPACT:
It is important in your position of customer service representative that you be at work and arrive on time in order to be available to meet with customers both on the phone and in person. Your absenteeism and tardiness have caused an increased workload for your coworkers and have impacted the level of service that the department provides.
CORRECTIVE ACTION:
You are expected to be at work during your regularly scheduled shifts. If you know in advance that you need time off, you are to notify me so that arrangements can be made for coverage. You are expected to arrive at work on time and if there are unforeseen delays, you must call and advise me so coverage can be arranged. The company has an Employee Assistance Program (EAP) available to assist its employees with personal issues, including work-life balance issues. You may take advantage of this program at any time. All contact with the EAP is confidential.
EXPECTATIONS:
Unless there is a marked improvement in your attendance over the next thirty days, further disciplinary action will be taken, up to and including termination.
SIGNATURES:
Manager Manager Jones _______________________________ June 1, 2011
Employee Employee Smith _______________________________ June 1, 2011
Managing Conflict Through Open Communication
Use dialogue and listening skills to create an environment for open communication.
Separate the people from the problem.
Determine if the parties:
Are ready to talk and listen.
Can suspend judgment long enough to hear each other’s perceptions and feelings.
Can think in terms of “I” statements rather than “you” statements.
Want to resolve rather than blame.
Focus on interests not positions.
Determine what:
The perceived loss or threat of loss that has led each party to perceive a problem.
What each party thinks about the problem.
What each party thinks about the other.
Assumptions and cultural differences underlie each party’s behavior.
The nature of the differences—facts, goals, methods, values.
Create options.
Determine:
How each party is approaching the situation—collaborating, sharing, avoiding, competing, or accommodating.
What each party feels is an acceptable outcome. More than two alternatives are a must.
What both parties can agree on.
What will prevent the resolution from taking shape.
If there are follow-up issues that need to be taken care of later and if a date needs to be set for follow-up.
Insist on using objective criteria.
Depending on the issue, determine fair standards such as:
Precedent.
Professional standards.
Industry standards.
Moral/ethical standards.
Efficiency and costs.
Equal treatment.
Indicators of a Troubled Employee
Physical Signs and Changes |
|
Poor personal hygiene. Sleepiness. Walking difficulty. Coordination difficulty. Tremors. |
Red eyes, pupil changes, jerky eye movements. Less interest in appearance. Restlessness. Speech impairment. Constant runny nose. |
Performance and Behavior Changes |
|
Increased Absenteeism Unexcused absences. Excessive sick leave. Improbable reasons for absences. Higher rate of absence (cold, flu, etc.). Excessive tardiness. Monday/Friday absence pattern. |
On-The-Job Absenteeism Frequent workstation absences. Numerous restroom visits. Frequent breaks (coffee, smoking, etc.). Long lunches. Physical illness on the job. |
Difficulties in Concentration/Confusion Work requires greater time and effort. Frequent daydreaming. Easily distracted. Job/projects take longer. Missed deadlines. Inability to maintain work demands. Difficulty with complex assignments. Difficulty recalling instructions. |
Lowered Job Quality/Efficiency Decreased interest in job tasks. Increased errors. Increased carelessness. Poor decision quality. Decreased output. Wasted time and materials. |
Sporadic Work Patterns Wide swings in productivity. Variation of work quality. |
Increased Accidents On the job. Off the job. |
Diminished Interpersonal Skills Overreacts to criticism (real or imagined). Wide swings in mood. Irritability. Customer/peer complaints. Avoids coworkers/others. |
Unusual Behavior Bizarre actions on the job. Temper tantrums. Emotional outbursts Physical violence. Coming/returning to work in a “changed” condition. |
Safety Checklist
Safety is everybody’s business and should be given primary importance in every aspect of planning and performing all activities. We care about the welfare of our employees, and we want to protect you against industrial injury and illness. Therefore, it is important that all injuries (no matter how slight), as well as any potential safety hazard, be reported to your manager immediately.
The following are common sense, general safety rules.
Avoid overloading electrical outlets with too many appliances or machines.
Use flammable items, such as cleaning fluids, with caution.
Walk—don’t run.
Use stairs one at a time.
Report to your manager if you or a coworker becomes ill or is injured.
Ask for assistance when lifting heavy objects or moving heavy furniture.
Smoke only in designated smoking areas.
Keep cabinet doors and file and desk drawers closed when not in use.
Sit firmly and squarely in chairs that roll or tilt.
Avoid “horseplay” or practical jokes.
Keep your work area clean and orderly, and the aisles clear.
Stack materials only to safe heights.
Watch out for the safety of fellow employees.
Manager’s Termination Checklist
Before you take action against an employee, especially termination, ask yourself the following:
Am I comfortable with the facts?
Am I comfortable with the evidence supporting the facts?
Have I communicated performance and conduct expectations to the employee?
Have I discussed the problem with the employee?
Have I followed company policies (i.e., progressive discipline and/or performance improvement)?
Have I clearly documented the problem?
Have I considered the employee’s tenure and employment history? Would termination prevent vesting in benefits in the near future?
Am I treating the employee like others in the same situation?
Am I potentially violating public policy, state laws, or federal laws?
Have I explored alternatives (for example, transfer, training)?
Can I defend my decision?
Have I discussed the issue with HR or other appropriate resources in the organization?
Am I treating the employee with respect?
No employee should be summarily discharged.
Be sure you have gathered and reviewed all of the relevant information and facts before taking action.
Sample Exit Interview Questions
The following are sample exit interview questions that you can incorporate into your process:
What is your primary reason for leaving?
If you are leaving to join another organization:
Why did you start looking for another job?
Did anything specific trigger your decision to leave?
Did you consider another position in this organization? Why or why not?
What was most satisfying about your job?
What was least satisfying about your job?
What would you change about your job?
Did your job duties turn out to be as you expected?
Did you receive enough training to do your job effectively?
Did you receive adequate support to do your job?
Did you receive sufficient feedback about your performance?
How frequently did you receive feedback?
Ongoing feedback?
Annual feedback only?
Were you satisfied with this organization’s merit review process?
Did this organization help you to fulfill your career goals?
What would you improve to make our workplace better?
Were you happy with your pay, benefits, and other incentives?
Overall how would you describe management?
The organization-wide management?
Your immediate management?
What feedback can you provide regarding the management, both organization-wide and your immediate management?
Based on your experience with us, what do you think it takes to succeed at this organization?
Did any organization policies or procedures (or any other obstacles) make your job more difficult?
Would you consider working again for this organization in the future?
If so, under what circumstances and in what type of position?
Would you recommend working for this organization to your family and friends?
What did you like most about this organization?
What did you like least about this organization?
If you are leaving to join another organization, what does your new organization offer that this organization doesn’t?
Do you have any other comments?