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Practical and entertaining education for
attorneys, accountants, business owners
and executives, and investors.
2
The material in this webinar is for informational purposes only. It
should not be considered legal, financial or other pro...
MEET THE FACULTY
MODERATOR:
Aaron Gelb Conn Maciel Carey LLP
PANELISTS:
Jeralyn H. Baran Chuhak & Tecson, P.C.,
Paul Clink...
ABOUT THIS WEBINAR
You only get one chance to make a first impression, so you want to make sure you’re your company avoids...
ABOUT THIS SERIES
If you have employees or advise companies with employees, this webinar series is for you! No employer—wh...
Dates shown are premiere dates; all episodes will be available on demand after
their premiere date.
EPISODES IN THIS SERIE...
EPISODE #2 – An Ounce of Prevention: Policies,
Procedures and Proactivity
8
THE EMPLOYMENT HANDBOOK
DEVELOPING AN EMPLOYEE HANDBOOK
• Create/update existing policies
• Determine needs/goals
• Draft outline of handbook cont...
THE EMPLOYMENT HANDBOOK: LEGAL
COMPLIANCE
The employment handbook must comply with all relevant laws:
• Anti-discriminatio...
WHAT SHOULD A GOOD HANDBOOK
INCLUDE?
• Disclaimer
• Anti-Discrimination Policies
• Compensation
• Work Schedules
• Standar...
CONFIDENTIALITY/INFORMATION
SECURITY AND CONFLICT OF INTEREST
STATEMENTS
• These are not a requirement, but some companies...
ANTI-DISCRIMINATION POLICIES
• The handbook should confirm that the employer does not discriminate
against applicants/empl...
COMPENSATION
The handbook should provide information on deductions for federal and state
taxes, and the benefits plan. It ...
WORK SCHEDULES
• Is there a set schedule for employees?
• Flexible schedule with possibility of remote work.
• Holidays
• ...
STANDARDS OF CONDUCT
The handbook should document information regarding employee standards,
such as:
• Dress code
• Code o...
SAFETY AND SECURITY
In order to help foster a safe work environment, the handbook should include:
• Procedures for reporti...
COMPUTERS AND TECHNOLOGY
The handbook should outline:
• guidelines on appropriate use of employer’s computer/network/inter...
EMPLOYEE BENEFITS
This section should provide information regarding mandatory and optional
benefits, for example:
• Medica...
LEAVE POLICIES
The employer’s policies regarding leave should be outlined in this section of
the handbook.
• Vacation days...
TERMINATION
• Voluntary/Involuntary
• Exit interview
• Final paycheck
• Return of company property
• References
22
ACKNOWLEDGEMENT OF RECEIPT
• Affirms at-will employment
• Recognizes Company’s right to add, delete, or modify policies
• ...
EMPLOYMENT POLICIES
THE PURPOSE OF EMPLOYMENT POLICIES
• Communicate organizational values and expectations
• Maintain legislative compliance ...
DIFFERENCES BETWEEN POLICY AND
PROCEDURE
• A policy is a formal statement of a principle or rule that members of an
organi...
EMPLOYMENT POLICIES AND ROUTINE
AUDITS
Employment policies should be routinely audited to ensure compliance with the
law. ...
EMPLOYMENT POLICIES AND ROUTINE
AUDITS (CONT)
• Review methods for employees to voice concerns.
• Review harassment invest...
EMPLOYEE TRAINING
PURPOSES OF EMPLOYMENT TRAINING
Employment training:
• Educates workers about the effective use of technology,
• Ensures c...
TRAINING AND DEVELOPMENT OPTIONS
• Job specific training - training and development that increases employee
skills and abi...
ON THE JOB TRAINING/DEVELOPMENT
On-the-job training and development includes activities such as:
• Peer or supervisor coac...
FORMAL TRAINING
Formal training includes professional development programs, such as:
• Classroom training
• Online trainin...
MANAGER TRAINING
• Ensure they understand expectations and obligations of compliance with
EEO policies
• Explain potential...
ABOUT THE FACULTY
JERALYN H. BARAN
jbaran@chuhak.com
Jeralyn (Jeri) Baran is principal attorney at Chuhak & Tecson, P.C., ...
ABOUT THE FACULTY
PAUL CLINKSCALES
pac.cpa@sbcglobal.net
Mr. Clinkscales has held various roles as a seasoned executive le...
ABOUT THE FACULTY
JODI EISENSTADT
jodi@eisenalliance.com
Jodi Eisenstadt, Esq., SPHR, is passionate about making the workp...
ABOUT THE FACULTY
AARON GELB
agelb@connmaciel.com
Aaron R. Gelb is a partner in the Chicago office of Conn Maciel Carey, a...
The material in this presentation is for general educational
purposes only.
It has been prepared primarily for attorneys a...
If you have any questions about this webinar that you did
not get to ask during the live premiere, or if you are watching ...
To receive Financial Poise’s DACyak, our free weekly e-newsletter,
just send an email to:
info@financialpoise.com
Please a...
About Financial Poise™
www.financialpoise.com
DailyDAC LLC, d/b/a Financial Poise™ provides continuing education to
attorn...
An Ounce of Prevention: Policies, Procedures and Proactivity (Series: PROTECTING YOUR EMPLOYEE ASSETS: THE LIFE CYCLE OF T...
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An Ounce of Prevention: Policies, Procedures and Proactivity (Series: PROTECTING YOUR EMPLOYEE ASSETS: THE LIFE CYCLE OF THE EMPLOYMENT RELATIONSHIP 2018)

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Kicking the can down the road is rarely a good idea, particularly when it comes to spending the time (and money) to develop a set of policies and procedures that will cover your workplace. While downloading handbook from the internet for a nominal fee, may sound like a good idea, you generally get what you pay for as one-size-fits-all solutions are rarely as effective as solutions tailored to your needs. What makes the most sense for your organization? What policies are must-haves? What are the latest best practices when it comes to employee handbooks? What about training your staff and your managers? This webinar presents practical advice for employers looking to put themselves in the best position possible to not only defend against employment-related claims but—hopefully—to help avoid them in the first place.

To view the accompanying webinar, go to: https://www.financialpoise.com/financialpoisewebinars/on_demand_webinars/policies-procedures-and-proactivity/

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An Ounce of Prevention: Policies, Procedures and Proactivity (Series: PROTECTING YOUR EMPLOYEE ASSETS: THE LIFE CYCLE OF THE EMPLOYMENT RELATIONSHIP 2018)

  1. 1. Practical and entertaining education for attorneys, accountants, business owners and executives, and investors. 2
  2. 2. The material in this webinar is for informational purposes only. It should not be considered legal, financial or other professional advice. You should consult with an attorney or other appropriate professional to determine what may be best for your individual needs. While Financial Poise™ takes reasonable steps to ensure that information it publishes is accurate, Financial Poise™ makes no guaranty in this regard. DISCLAIMER 3
  3. 3. MEET THE FACULTY MODERATOR: Aaron Gelb Conn Maciel Carey LLP PANELISTS: Jeralyn H. Baran Chuhak & Tecson, P.C., Paul Clinkscales Aesir Media Group Jodi Eisenstadt Eisen Alliance 4
  4. 4. ABOUT THIS WEBINAR You only get one chance to make a first impression, so you want to make sure you’re your company avoids unnecessary missteps when recruiting and hiring employees. Understanding what you can and cannot say during interviews and how to respond when a candidate volunteers information that may be considered “off limits” is essential. At the same time, there are a host of laws being passed throughout the country that address when and what sort of information you can request from applicants regarding their criminal and financial histories. In the event you decide to protect your organization by requiring certain employees to sign some type of restrictive covenants—non-competition, non-solicitation and/or non-disclosure—there are a host of legal and practical issues to consider. This webinar explores these and other issues so that you can be confident, going forward, that you are starting off on the right foot—legally, at least—when you hire new employees. This webinar is delivered in Plain English, understandable to you even if you do not have a background in the subject. It brings you into an engaging, even sometimes humorous, conversation designed to entertain as it teaches. And, it is specifically designed to be viewed as a stand-alone webinar, meaning that you do not have to view the other webinars in the series to get a lot out of it. 5
  5. 5. ABOUT THIS SERIES If you have employees or advise companies with employees, this webinar series is for you! No employer—whether large, medium or small—is immune from the reach of federal, state and/or local employment laws and regulations. Now, more than ever, employers should consider taking a proactive approach to auditing their employment practices and policies so that they can better respond when issues arise. This webinar series approaches the employer- employee relationship from beginning to end, with programs covering the most important steps along the way, including hiring and onboarding, policy and procedure development and training, wage and hour compliance, accommodating disabled employees, conducting investigations and considerations associated with ending the relationship. As with every Financial Poise Webinar, each episode is delivered in Plain English understandable to investors, business owners, and executives without much background in these areas, yet is also valuable to attorneys, accountants, and other seasoned professionals. And, as with every Financial Poise Webinar, each episode brings you into engaging, sometimes humorous, conversations designed to entertain as it teaches. Each episode in the series is designed to be viewed independently of the other episodes, so that participants will enhance their knowledge of this area whether they attend one, some, or all episodes. 6
  6. 6. Dates shown are premiere dates; all episodes will be available on demand after their premiere date. EPISODES IN THIS SERIES 7 EPISODE #1 Welcome to the Team! Recruiting and Hiring, Including Restrictive Covenants 1/23/18 EPISODE #2 An Ounce of Prevention: Policies, Procedures and Proactivity 2/20/18 EPISODE #3 Show Them the Money: Wage & Hour Compliance 3/20/18 EPISODE #4 Time for a Break: Managing Leaves of Absence and Accommodating Disabilities 4/17/18 EPISODE #5 I Know What You Did Last Summer: Workplace Investigations 5/15/18 EPISODE #6 It’s So Hard To Say Goodbye: Minimizing Risk When Terminating Employees 6/19/18
  7. 7. EPISODE #2 – An Ounce of Prevention: Policies, Procedures and Proactivity 8
  8. 8. THE EMPLOYMENT HANDBOOK
  9. 9. DEVELOPING AN EMPLOYEE HANDBOOK • Create/update existing policies • Determine needs/goals • Draft outline of handbook content • Create summary of each policy and procedure • Insert summaries into outline and review overall handbook • Submit for legal review • Distribute to employees and perform periodic updates 10
  10. 10. THE EMPLOYMENT HANDBOOK: LEGAL COMPLIANCE The employment handbook must comply with all relevant laws: • Anti-discrimination • National Labor Relations Act • Family and Medical Leave Act • State and local laws and regulations 11
  11. 11. WHAT SHOULD A GOOD HANDBOOK INCLUDE? • Disclaimer • Anti-Discrimination Policies • Compensation • Work Schedules • Standards of Conduct • Safety and Security • Computers and Technology • Leave Policies • Acknowledgement of Receipt 12
  12. 12. CONFIDENTIALITY/INFORMATION SECURITY AND CONFLICT OF INTEREST STATEMENTS • These are not a requirement, but some companies may choose to include a statement to protect company trademarks or industry secrets. • May be used to support restrictive covenants in litigation • The handbook should outline the specific information regarding the policy so that all employees are aware of the agreement. 13
  13. 13. ANTI-DISCRIMINATION POLICIES • The handbook should confirm that the employer does not discriminate against applicants/employees on the basis of their: • Race, color, religion, sex, pregnancy, age, disability, national origin, or any other basis protected by applicable federal, state, or local law. • The handbook should include an internal complaint procedure and process for resolving complaints. 14
  14. 14. COMPENSATION The handbook should provide information on deductions for federal and state taxes, and the benefits plan. It should also include information on: • Employee classifications • Pay schedules • Employee reviews • Breaks (length, paid?) • Recording of employee time • Overtime • Expense reimbursement 15
  15. 15. WORK SCHEDULES • Is there a set schedule for employees? • Flexible schedule with possibility of remote work. • Holidays • Part-time/full-time designation 16
  16. 16. STANDARDS OF CONDUCT The handbook should document information regarding employee standards, such as: • Dress code • Code of conduct-what is permissible/what is not • Progressive discipline/zero tolerance • Attendance • Drugs/Alcohol-will the employer require testing? • Confidential information • Use of company property 17
  17. 17. SAFETY AND SECURITY In order to help foster a safe work environment, the handbook should include: • Procedures for reporting an accident • Information for dealing with weather-related emergencies • Procedures for addressing health (physical and mental) crises • Policy against workplace violence 18
  18. 18. COMPUTERS AND TECHNOLOGY The handbook should outline: • guidelines on appropriate use of employer’s computer/network/internet • confirm that there is no reasonable expectation of privacy • social media expectations 19
  19. 19. EMPLOYEE BENEFITS This section should provide information regarding mandatory and optional benefits, for example: • Medical, dental, vision • Flexible spending accounts • Workers compensation • 401(k) • EAP • Insurance • Bonuses • COBRA 20
  20. 20. LEAVE POLICIES The employer’s policies regarding leave should be outlined in this section of the handbook. • Vacation days • Sick days • Personal days • Jury duty • Family medical leave • Military leave • Bereavement • Policies must be documented and must comply with federal and state laws 21
  21. 21. TERMINATION • Voluntary/Involuntary • Exit interview • Final paycheck • Return of company property • References 22
  22. 22. ACKNOWLEDGEMENT OF RECEIPT • Affirms at-will employment • Recognizes Company’s right to add, delete, or modify policies • Commits to adhere to policies • Employee’s must acknowledge after each revision 23
  23. 23. EMPLOYMENT POLICIES
  24. 24. THE PURPOSE OF EMPLOYMENT POLICIES • Communicate organizational values and expectations • Maintain legislative compliance and protection against employment claims • Document and implement relevant organizational best practices • Promote consistent treatment of staff, fairness and transparency • Help management to make decisions that are consistent, uniform and predictable • Provides individuals/organization with clear guidelines 25
  25. 25. DIFFERENCES BETWEEN POLICY AND PROCEDURE • A policy is a formal statement of a principle or rule that members of an organization must follow. • Each policy addresses an issue important to the organization's mission or operations. • A procedure tells members of the organization how to carry out or implement a policy. Policy is the "what" and the procedure is the "how to.” 26
  26. 26. EMPLOYMENT POLICIES AND ROUTINE AUDITS Employment policies should be routinely audited to ensure compliance with the law. Specifically: • Policies against discrimination and harassment. • Supervisory training policies • Employee evaluation forms and method of determining merit pay. • Review ADA compliance (post expiration of FMLA leave). 27
  27. 27. EMPLOYMENT POLICIES AND ROUTINE AUDITS (CONT) • Review methods for employees to voice concerns. • Review harassment investigation protocol. • Review protocol on discrimination charges or other legal proceedings and related document retention and “Electronically Stored Information” practices and procedures. 28
  28. 28. EMPLOYEE TRAINING
  29. 29. PURPOSES OF EMPLOYMENT TRAINING Employment training: • Educates workers about the effective use of technology, • Ensures competitive edge in the market, • Promotes safety and health among employees, • Creates opportunities for career development and personal growth, an important factor in retaining workers • Helps employers comply with laws and regulations, and • Improves productivity and profitability. 30
  30. 30. TRAINING AND DEVELOPMENT OPTIONS • Job specific training - training and development that increases employee skills and abilities to meet the requirements of their position • Career development - training and development that build employee competencies • Educational development - courses through a credited educational institution 31
  31. 31. ON THE JOB TRAINING/DEVELOPMENT On-the-job training and development includes activities such as: • Peer or supervisor coaching on particular job-related skills • Mentoring, with an internal or external mentor on job and career related skills and abilities • Job rotation • Job shadowing • Cross training • "Acting" responsibilities when superiors are away 32
  32. 32. FORMAL TRAINING Formal training includes professional development programs, such as: • Classroom training • Online training • Video training • Conferences and seminars 33
  33. 33. MANAGER TRAINING • Ensure they understand expectations and obligations of compliance with EEO policies • Explain potential for individual liability • Teach them to spot issues • Make sure they know what to do when they see something or receive a complaint NOTE: If an employee proves in court that a supervisor or manager did discriminate, harass, or retaliate against him, an employer can protect itself by showing that it provided that supervisor with the proper training so that he knew his actions were in direct violation of company policy. 34
  34. 34. ABOUT THE FACULTY JERALYN H. BARAN jbaran@chuhak.com Jeralyn (Jeri) Baran is principal attorney at Chuhak & Tecson, P.C., a midsized law firm with 74 attorneys and three locations in Chicago, New York and Totowa, New Jersey. Chuhak & Tecson provides clients with attorneys who have broad experience in a multitude of practice areas such as aviation, banking, condominium, corporate, employment, probate, estate planning, healthcare, litigation, not for profit, real estate, tax and employee benefits. Jeri has practiced in the areas of employment and commercial litigation for over 20 years and she currently leads the firm's Employment Law Practice Group. Her practice takes her into federal and state courts and before many administrative agencies. She is a frequent presenter and thought leader on employment issues and has been named one of the top 50 women attorneys in Illinois. In her work, Jeri represents management and employee clients and this unique, dual-faced representation gives her the opportunity to offer advice well-grounded in both sides of employee issues. 35
  35. 35. ABOUT THE FACULTY PAUL CLINKSCALES pac.cpa@sbcglobal.net Mr. Clinkscales has held various roles as a seasoned executive leader and business advisor. He currently serves as Director of Finance & Operations for Aesir Media Group, a specialty niche television & film content distribution concern. He previously served as CFO, Director of Sunburst Digital/Ignite Learning, a K-12 educational digital content group; and as a special situations business consultant to select start-ups and private companies. Mr. Clinkscales started his career with Price Waterhouse Coopers. Over the past 30 years, he’s advised and served in senior management positions covering finance, accounting, tax, administration, legal, insurance, general business and human resources for private companies, including high-tech, software, media, insurance, education and real estate. He spent 3 years in Europe as Finance Director for a private technology company. He has successfully led lender/vendor relationships, private debt and equity financing activities as well as acquisitions and company liquidity events. He is a graduate of the University of Texas-Austin and is a Certified Public Accountant. 36
  36. 36. ABOUT THE FACULTY JODI EISENSTADT jodi@eisenalliance.com Jodi Eisenstadt, Esq., SPHR, is passionate about making the workplace work better. Since 2000, Jodi has (1) conducted independent fact-finding investigations of workplace complaints, (2) created and delivered programs on topics such as solving the problem of bullying in the workplace, building a respectful work culture, developing a more inclusive and productive work force, conflict resolution and communications, and (3) coached managers on employee relations issues. Jodi is a member of The Boss Whispering Institute, which is dedicated to research and training in the field of coaching abrasive leaders. She is a Senior Professional in Human Resources, a certified mediator from the Center for Conflict Resolution in Chicago, and a member of the Illinois bar. Prior to Eisen Alliance, Jodi practiced employment law for the Chicago Transit Authority and several respected national law firms. She received her Juris Doctor from Stanford Law School and Bachelor of Arts, magna cum laude from Duke University. 37
  37. 37. ABOUT THE FACULTY AARON GELB agelb@connmaciel.com Aaron R. Gelb is a partner in the Chicago office of Conn Maciel Carey, a boutique law firm focused on Labor & Employment, Workplace Safety, and Litigation. Mr. Gelb specializes in labor and employment, and OSHA litigation. He has extensive experience litigating equal employment opportunity matters in federal and state courts having tried a number of cases to verdict and defending employers before the EEOC as well as fair employment agencies across the country; in the past 5 years alone, Aaron has successfully handled more than 250 discrimination charges. Aaron also has a particular emphasis on advising and representing clients in relation to inspections, investigations, and enforcement actions involving federal OSHA and state OSH programs, and managing a full range of litigation against OSHA. Mr. Gelb received his bachelor’s degree from the University of Chicago in 1992 and his JD from the University of Texas in 1995. 38
  38. 38. The material in this presentation is for general educational purposes only. It has been prepared primarily for attorneys and accountants for use in the pursuit of their continuing legal education and continuing professional education. IMPORTANT NOTES 39
  39. 39. If you have any questions about this webinar that you did not get to ask during the live premiere, or if you are watching this webinar on demand, please don’t hesitate to email us at: info@financialpoise.com Please include the name of the webinar in your email, and we will provide a response to your question. QUESTIONS OR COMMENTS? 40
  40. 40. To receive Financial Poise’s DACyak, our free weekly e-newsletter, just send an email to: info@financialpoise.com Please add the message, “Subscribe Please” to your email, or add yourself by going to: https://www.financialpoise.com/newsletter/ Subscribers are eligible to receive discounts and giveaways from time to time, and subscriber emails are never sold to or shared with third parties. 41
  41. 41. About Financial Poise™ www.financialpoise.com DailyDAC LLC, d/b/a Financial Poise™ provides continuing education to attorneys, accountants, business owners and executives, and investors. Its websites, webinars, and books provide Plain English, entertaining, explanations about legal, financial, and other subjects of interest to these audiences. 42

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