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/

2. Practical and entertaining education for
attorneys, accountants, business owners
and executives, and investors.
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3. 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

4. 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
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5. 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.
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6. 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.
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7. Dates shown are premiere dates; all episodes will be available on demand after
their premiere date.
EPISODES IN THIS SERIES
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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

8. EPISODE #2 – An Ounce of Prevention: Policies,
Procedures and Proactivity
8

9. THE EMPLOYMENT HANDBOOK

10. 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

11. 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
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12. 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

13. 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

14. 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.
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15. 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

16. WORK SCHEDULES
• Is there a set schedule for employees?
• Flexible schedule with possibility of remote work.
• Holidays
• Part-time/full-time designation
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17. 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
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18. 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
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19. 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

20. 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
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21. 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
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22. TERMINATION
• Voluntary/Involuntary
• Exit interview
• Final paycheck
• Return of company property
• References
22

23. 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

24. EMPLOYMENT POLICIES

25. 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
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26. 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

27. 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).
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28. 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

29. EMPLOYEE TRAINING

30. 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.
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31. 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
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32. 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
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33. FORMAL TRAINING
Formal training includes professional development programs, such as:
• Classroom training
• Online training
• Video training
• Conferences and seminars
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34. 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.
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35. 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.
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36. 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

37. 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

38. 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

39. 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

40. 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

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42. 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.
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