Establishing and reinforcing a company’s ethical culture and values always represents a challenge. But you need to understand historically how we got where we are in order to appreciate the rich fabric that makes up today’s complex workplace. From ethics theory to U.S. employment law history, from Sarbanes-Oxley to corporate governance standards, this PowerPoint presentation whisks you from the 1930s through to the first decade of the new millennium with an insightful overview of the laws that influence today’s business decisions. We’ll cover the real nature of employment-at-will, the rise of labor unions and their historical appeal to workers, the difference between progressive discipline and “summary offenses,” and “you make the call” workplace ethical scenarios that are sure to raise debate among your staffers. Finally, we’ll touch on ethical considerations in an international context, the environmental justice movement, and even pay trends in executive compensation. Turn to this guide for an on-the-mark overview of our labor history, employment laws, and our evolving workplace. (72 slides)
Presentation developed by author Paul Falcone - www.paulfalconehr.com.
Code of conduct is a part of ethical practices in any business organisation. A code of Conduct is a Management tool for setting out an organisations values, responsibilities and ethical obligations. It provides guidance for handling different business situations.
Code of conduct is a part of ethical practices in any business organisation. A code of Conduct is a Management tool for setting out an organisations values, responsibilities and ethical obligations. It provides guidance for handling different business situations.
Employee onboarding is the process to introduce new employee to the organization’s environment and culture. It helps the new employee to adopt the company culture and policies and increase work efficiency and productivity of the employee.
For more information visit https://www.hrhelpboard.com/hr-process/onboarding-process.htm
Employsure Workplace Presentation | Probationary PeriodsEmploysure AU
Employsure's Workplace Presentation on probationary periods explains what employers need to know about how to manage new employees.
With one of the most complex workplace relations systems in the world it's a challenge for owners and managers of SMEs in Australia to ensure they are compliant. Small businesses often struggle to understand their obligations to employees and that's where Employsure can help.
Employsure helps over 13,000 business owners with employment relations, protecting employers from risks by providing unlimited advice, legally compliant documents, insurance and representation. Employsure is a workplace relations specialist dedicated to helping small businesses succeed by creating fair and safe workplaces.
Call us: 1300 651 415
Visit us at: https://employsure.com.au/
LinkedIn: https://www.linkedin.com/company/empl...
Facebook: https://www.facebook.com/employsure.c...
Twitter: https://twitter.com/Employsure
Sexual Harassment of Women at Workplace Act, 2013 (POSH Act)CS Jigar Shah
Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013 also known as POSH Act is one of the important legislation and compliance is mandatory for almost every organisation in India be it Company, Sole Proprietorship or LLP. In this PPT we try to cover basic compliance of law for the easier understand. To read Act, please click on http://bit.ly/2EFkBEo
Employee Motivation and Engagement: Unique Techniques and Strategies for Mot...Paul Falcone
How do you motivate your staff when many companies continue to face tight merit pool caps, limited promotional opportunities, and daunting workloads that demand incredible levels of discretionary effort? More importantly, how do you become a manager who engenders respect and loyalty and serves as a role model for others? Becoming a leader who inspires team members by example and who creates an environment where people can motivate themselves stems from building trust, respect, and camaraderie in the workplace. This PowerPoint presentation addresses the importance of assessing your relationship with your key employees, engaging in "stay interviews" to ensure that they're engaged and in tune with your department's and company's overall goals, and helping your staffers build their skills and success profiles to prepare for their next move in career progression. (37 slides)
Verbal and Documented Disciplinary InterventionsPaul Falcone
Verbal employee interventions and, when necessary, formally documented corrective action, should be part of every leader’s professional toolkit. And while the path of least resistance may be avoidance, providing employee feedback in a constructive and healthy manner is a critical skill that’s fairly easy to teach if you’re armed with the appropriate tools and resources. The “velvet glove” approach to tough conversations makes it easier for leaders to initiate conversations that address both performance and conduct challenges, including “poor attitude” problems. Combined with written guidelines that shift responsibility for improvement away from your company and back to the employee (where it rightfully belongs), this PowerPoint deck provides you with an excellent resource to train your front-line managers and HR teams in the areas of communication, accountability, and performance improvement.
Employee onboarding is the process to introduce new employee to the organization’s environment and culture. It helps the new employee to adopt the company culture and policies and increase work efficiency and productivity of the employee.
For more information visit https://www.hrhelpboard.com/hr-process/onboarding-process.htm
Employsure Workplace Presentation | Probationary PeriodsEmploysure AU
Employsure's Workplace Presentation on probationary periods explains what employers need to know about how to manage new employees.
With one of the most complex workplace relations systems in the world it's a challenge for owners and managers of SMEs in Australia to ensure they are compliant. Small businesses often struggle to understand their obligations to employees and that's where Employsure can help.
Employsure helps over 13,000 business owners with employment relations, protecting employers from risks by providing unlimited advice, legally compliant documents, insurance and representation. Employsure is a workplace relations specialist dedicated to helping small businesses succeed by creating fair and safe workplaces.
Call us: 1300 651 415
Visit us at: https://employsure.com.au/
LinkedIn: https://www.linkedin.com/company/empl...
Facebook: https://www.facebook.com/employsure.c...
Twitter: https://twitter.com/Employsure
Sexual Harassment of Women at Workplace Act, 2013 (POSH Act)CS Jigar Shah
Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal) Act, 2013 also known as POSH Act is one of the important legislation and compliance is mandatory for almost every organisation in India be it Company, Sole Proprietorship or LLP. In this PPT we try to cover basic compliance of law for the easier understand. To read Act, please click on http://bit.ly/2EFkBEo
Employee Motivation and Engagement: Unique Techniques and Strategies for Mot...Paul Falcone
How do you motivate your staff when many companies continue to face tight merit pool caps, limited promotional opportunities, and daunting workloads that demand incredible levels of discretionary effort? More importantly, how do you become a manager who engenders respect and loyalty and serves as a role model for others? Becoming a leader who inspires team members by example and who creates an environment where people can motivate themselves stems from building trust, respect, and camaraderie in the workplace. This PowerPoint presentation addresses the importance of assessing your relationship with your key employees, engaging in "stay interviews" to ensure that they're engaged and in tune with your department's and company's overall goals, and helping your staffers build their skills and success profiles to prepare for their next move in career progression. (37 slides)
Verbal and Documented Disciplinary InterventionsPaul Falcone
Verbal employee interventions and, when necessary, formally documented corrective action, should be part of every leader’s professional toolkit. And while the path of least resistance may be avoidance, providing employee feedback in a constructive and healthy manner is a critical skill that’s fairly easy to teach if you’re armed with the appropriate tools and resources. The “velvet glove” approach to tough conversations makes it easier for leaders to initiate conversations that address both performance and conduct challenges, including “poor attitude” problems. Combined with written guidelines that shift responsibility for improvement away from your company and back to the employee (where it rightfully belongs), this PowerPoint deck provides you with an excellent resource to train your front-line managers and HR teams in the areas of communication, accountability, and performance improvement.
If you’re a publicly traded company, corporate ethics training is a requirement of employment thanks to the Sarbanes-Oxley Act (SOX) of 2002, and this template will help you walk your front-line managers through the law’s key tenets. The presentation addresses the origin of SOX and the corporate ethics statement (AKA “code of conduct”), the importance disclosing potential conflicts of interest, Equal Employment Opportunity and workplace discrimination/harassment, and the policy of non-retaliation. Slides are also dedicated to Health, Safety and the Environment, the Use of Company Time, Property, and Supplies, how to report violations, and how investigations and disciplinary actions are generally managed. (33 slides)
Presentation developed by author Paul Falcone - www.paulfalconehr.com.
Advanced Recruitment & Interviewing Techniques: Strategies to Attract and Hir...Paul Falcone
Attracting and developing the strongest talent pool begins with direct sourcing candidates and segues smoothly into your interview questioning strategies and techniques. But knowing how to preempt a counteroffer, set the stage appropriately for reference checks, and structure job offers and deal terms are equally critical in ensuring candidate acceptances and a smooth onboarding process. This presentation combines strategies from both sides of the hiring desk—corporate recruiter and headhunter—to generate maximum candidate interest and close the deal effectively. (33 slides)
Presentation developed by author Paul Falcone - www.paulfalconehr.com.
Internal Investigations Workshop for HR PractitionersPaul Falcone
Conducting effective internal investigations is a critical skill for both HR practitioners and line leaders alike. But how can you ensure that your employees who file formal complaints feel heard and satisfied that their needs have been accounted for? Further, what legal expectations do courts hold in terms of investigators’ roles and obligations in the fact-finding process? From EEOC credibility determinations to case evaluations and appropriate and prompt remedial action, this PowerPoint presentation will help your leadership team maximize positive employee relations, while insulating your company from employment-related liability inherent in the workplace investigation process.
Making the Offer and Closing the Deal: Tips and Techniques to Get the Candida...Paul Falcone
As an ancillary presentation to Paul’s “Advanced Recruitment and Interviewing Techniques” presentation, this PowerPoint focuses on the actual offer and the critical steps leading up to it. It addresses the importance of “candidate control” when negotiating critical job offer variables prior to extending an offer, posing “must ask” questions regarding the candidate’s current employment situation, being “over-qualified” and the nature of a healthy job match, the importance of “resignation drills,” and negotiating salary offers when a candidate’s expectations are out of alignment with your intended offer. (46 slides)
Presentation developed by author Paul Falcone - www.paulfalconehr.com.
Mastering Progressive Discipline and Structuring TerminationsPaul Falcone
Understanding the role of progressive discipline (i.e., corrective action warnings) in the employee performance improvement (and, when necessary, termination) process is critical for every manager and supervisor in corporate America. Unfortunately many unsuspecting employers fail to document performance and conduct infractions thoroughly and step perilously into the minefield of employment litigation without the proper record in place. This PowerPoint presentation complements Paul Falcone’s bestselling book 101 Sample Write-Ups for Documenting Employee Performance Problems (AMACOM Books, 2010) as well as the Corrective Action Notice (AKA Written Warning) Template available in Paul’s online Web Store at http://www.paulfalconehr.com/store/. The deck covers the critical areas of classifying infractions, the number of corrective action steps necessary, incident description writing tips, affirmative employer obligations to help rehabilitate the worker, and the importance of drafting consequences “with teeth” that will withstand legal scrutiny in the plaintiff litigation arena. (27 slides)
Presentation developed by author Paul Falcone - www.paulfalconehr.com.
It's an effort towards making financial terms easy for non finance background people , the ppt explains about the ehtical issues in finance and also about various scams . please share your thoughts with me on the same .
Running Head: ETHICS IN LAW 1
ETHICS IN LAW 2
Ethics in Law
Student´s Name:
Institutional Affiliation:
Ethics in Law
Ethics is one of the key values that every organization must uphold. As such, the employees and the employers must have a defined set of rules that regulate their conducts and practices. Therefore, ethical decision making process center on various principles that pertains to right and wrong in conduct. Into the bargain, the main principles of ethical decision making include, autonomy, privacy, justice and beneficence and non-maleficence among others (Mattison, 2000).
1: Principles of Ethical Decisionmaking
The principle of autonomy requires that the interest of others is respected and upheld. Further, this principle need that the decisions made by the responsible bodies do not affect the well-being of others. As such, the principle of autonomy is crucial in the decision making process since it helps to avert violation of individual rights. In addition, the principle of privacy and confidentiality of information must be upheld in any decision making procedure. The ethical principle of Privacy and confidentiality of information is crucial in curbing devastating effects to individuals and organizations at large. For instance, there is vital information that workers must be kept private (Seitz, & Neile, 2006).
Consequently, the principle of privacy and confidentiality demands that when making decisions that affect these groups of people, their information should be handled with a lot of caution. Moreover, the ethical principle of beneficence and non-maleficence requires that the decision makers do no harm by creating decisions that uphold the well -being of all the persons who may be affected by the decision. Further, this principle most applies for the decisions that may reveal secret information of the people. Nonetheless, the principle of justice demands that all people receive equal and fair treatment. As such, when making decisions, the key decision makers should consider the interests of all the parties involved.
2: Steps to Encourage Employees Ethical Decision Making
Employees’ training on ethical decision making process is necessary in ensuring that an organization achieves its goals without violating other people´s interests. Consequently, the first step in encouraging employees’ ethical decision making is by building an ethical action. An ethical action entails developing an environment that enhances ethics in business. The second step involves dealing with unacceptable behaviors among the employees. In this regard, unethical employee´s behaviors such as theft, workplace harassment and fraud among other illegal conducts should be highly punished (Korsgaard, & Roberson, 1995).
Moreover, the next step.
Business Ethic Chap 3: Philosophical Ethics and BusinessShandy Aditya
Berdasarkan buku Hartman, L. P., DesJardins, J., & Macdonald, C. (2014). Business Ethic Decision Making for Personal Integrity & Social Responsibility. United State of America: McGraw Hill Education.
kali ini kita akan membahas chapter 3: Philosophical Ethics and Busines.
Video Presentation Link:
https://youtu.be/TUPgpULYFqI
- Government InvolvementBioethics Environmental Ethics.docxhoney725342
- Government Involvement
Bioethics: Environmental Ethics
Go here: http://www.youtube.com/watch?v=4GviNafYdS4 to view a video covering information about environmental ethics and how it relates to morality.
Reference
Leopold Foundation. (2012, June, 3). Bioethics and environmental value- How we reason about things that morally matter [Video]. Retrieved from the YouTube Web site: http://www.youtube.com/watch?v=4GviNafYdS4
Social Contract Theory
Go here: http://www.youtube.com/watch?v=dHyn8MWssWc to view a video showing social contract theory from the conservative and liberal points of view. This video is approximately 7 minutes in length.
Reference
Storm Clouds Gathering. (2013, May, 30). The truth about the social contract [Video]. Retrieved from the YouTube Web site: http://www.youtube.com/watch?v=dHyn8MWssWc
Rousseau and Social Contract
Go here: http://www.youtube.com/watch?v=M40waSvXwBU to view a video that covers Rousseau's view on social contract theory. This video is approximately 12 minutes in length.
Reference
Alfred, J. (2010, October, 22). The classics: Rousseau -- Social contract [Video]. Retrieved from the YouTube Web site: http://www.youtube.com/watch?v=M40waSvXwBU
Laws and Ethics
Law is a system of principles and rules of human conduct prescribed by society and enforced by public authority. This definition applies to both criminal law and civil law. Ethics is the study of standards of conduct and moral judgment. When referring to a profession, ethics is the group's principles or code. Some may view the link between law and ethics as one to one—what is lawful is ethical and what is unlawful is unethical. This is not necessarily true. The law is the minimum performance that is expected in society. Professions demand that members comply with the law but simultaneously hold members to a higher standard. Thus, a profession's code of ethics may require its group's members to act in ways that are different from members of society. In this presentation, we examine ethics in the health professions by focusing first on human development and the foundation of law, and second, on reasoning in the world of values.
Human Value Development and the Foundation of Law
Moral philosophies and derivative principles provide a framework to hone and use a personal ethic to analyze and solve ethical problems. Like philosophers, clinicians and administrators are unlikely to agree fully with only one moral philosophy. Most will be eclectic in developing or reconsidering a personal ethic. In general, however, the principles of respect for persons, beneficence, nonmaleficence, and justice are useful in defining relationships among patients, managers, and organizations. These principles may carry different weights and take precedence over one another, depending on the issue being evaluated. Justice requires, however, that they be consistently ordered and weighted when similar problems are considered ...
Business Law class Chapter 2 is titled: Ethics in our Law
This presentation was used in my Business Law class at Littlestown High School. Most of the notes are based on the textbook from South-Western: Law for Business and Personal Use 15th Ed. by Adamson-Mietus
Accelerating AI Integration with Collaborative Learning - Kinga Petrovai - So...SocialHRCamp
Speaker: Kinga Petrovai
You have the new AI tools, but how can you help your team use them to their full potential? As technology is changing daily, it’s hard to learn and keep up with the latest developments. Help your team amplify their learning with a new collaborative learning approach called the Learning Hive.
This session outlines the Learning Hive approach that sets up collaborations that foster great learning without the need for L&D to produce content. The Learning Hive enables effective knowledge sharing where employees learn from each other and apply this learning to their work, all while building stronger community bonds. This approach amplifies the impact of other learning resources and fosters a culture of continuous learning within the organization.
Aashman Foundation Summer Internship .docxAmanHamza4
The internship opportunity I had with “Aasmaan Foundation” was a great chance for learning and professional development. Therefore, I consider myself a very lucky individual as I was provided with an opportunity to be a part of it. I am also grateful for having a chance to meet so many wonderful people and professionals who led me though this internship period.
I am using this opportunity to express my deepest gratitude and special thanks to “Munish Pundir” “Director “who despite being extraordinarily busy with “her/his” duties, took time out to hear, guide, and keep me on the correct path and allowing me to carry out my internship at their esteemed organization.
I further want to thank Prof. Shikha Gera, who helped me to better understand concepts of professionalism and become a better person and employee in my life.
I would also like to thank my parents and friends who helped me a lot during my life and this internship period. I perceive this opportunity as a big milestone in my career development. I will strive to use gained skills and knowledge in the best possible way, and I will continue to work on their improvement, to attain desired career objectives. Hope to continue cooperation with all of you in the future.
Watch this expert-led webinar to learn effective tactics that high-volume hiring teams can use right now to attract top talent into their pipeline faster.
1. Ethics for Human Resources
Professionals
www.PaulFalconeHR.com
Paul@PaulFalconeHR.com
1www.PaulFalconeHR.com
2. Contents
Introduction to business ethics in the workplace:
employment history and ethics theory, the Sarbanes
Oxley Act, and corporate governance standards
Employment laws, company policies, codes of conduct,
and past practices: guidelines for ethical business
decision-making
2www.PaulFalconeHR.com
3. Contents (cont.)
Workplace audits and self-regulation; egregious misconduct
and summary offenses
Effective internal investigations
Ethical considerations in international companies, cultural
differences, and outsourcing and off-shoring
considerations
3www.PaulFalconeHR.com
4. Part I
Our History, our Laws, and our
Evolving Workplace
4www.PaulFalconeHR.com
5. Ethics: A Definition
Ethics can be defined as a code of moral standards by
which people judge the actions and behaviors of
themselves and others.
Business Ethics is the “application of a moral code of
conduct to the strategic and operational management
of a business” – www.applied-corporate-
governance.com.
5www.PaulFalconeHR.com
6. Legal vs. Ethical
Legal standard = compliance / avoidance of
wrongdoing that could run afoul of the law
Ethical standard = building a moral
corporate culture that has integrity
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7. Ethics Programs
Workplace ethics programs generally fall into one of three
categories:
1. Codes and compliance programs (e.g., SOX, ISO) focus
on preventing unwanted behavior
2. Corporate identity and values programs focus on what
a company stands for and the good qualities the company
wants its employees to exhibit
3. Social outreach programs = +corporate social
responsibility”
7www.PaulFalconeHR.com
8. Legal Standards & Guidelines
“Legal requirement” vs. “moral imperative”
Can you demonstrate that your company had a legitimate,
non-discriminatory, non-retaliatory reason for the actions
that it took?
Can you demonstrate business necessity (AKA a compelling
business reason) and job-relatedness?
Standard: Did the employer have a good faith belief?
8www.PaulFalconeHR.com
9. Legal Guidelines (cont.)
State laws have “concurrent authority” with federal laws –
whichever law is broader in terms of worker protections
prevails
“Fair treatment” vs. “preferential treatment”
“Acting outside the course and scope of your employment”
“Affirmative obligation to disclose”
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10. Legal Guidelines (cont.)
Disparate Treatment: intentional discrimination
Disparate (Adverse) Impact: a policy, neutral on its
face and even-handedly applied, nevertheless has a
disproportionate adverse effect on a protected group
10www.PaulFalconeHR.com
11. A Brief History of Ethics
The study of ethics involves two basic questions:
1. What is the right thing to do?
2. Why should you do the right thing?
11www.PaulFalconeHR.com
12. Ethics History (cont.)
Ethicists have come up with three main approaches to how
people should conduct their lives:
1. Develop character traits that allow you to live a good and
ethical life
2. Focus on your duties to yourself, others, and society in
general
3. Look to the consequences of your actions and how those
consequences affect you and others
12www.PaulFalconeHR.com
13. Ethics History (cont.)
Meta-ethics attempt to describe the nature of good and bad and
right and wrong
Descriptive ethics (AKA comparative ethics) study what
different people believe is right and good
Normative ethics focus on what people should do to live a
moral life
Virtue ethics focus on character education, which is the act of
training people to develop virtuous habits like truthfulness,
fairness, and integrity
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14. Ethics History (cont.)
Aristotelian values include: generosity, temperance,
modesty, and greatness of soul. Virtues are states of
character, but they only become true character
through constant exercise.
Immanuel Kant’s “categorical imperative” follows
one overarching commandment from which all duties
and obligations are derived. Kant’s “moral
universalism” posits that some actions are always
right or wrong.
14www.PaulFalconeHR.com
15. Ethics History (cont.)
Thomas Hobbes’ 17th century “social contract
theory” states the individuals and groups willingly
trade some of their freedoms in exchange for a
government or society that can protect their individual
and collective interests
Natural rights theorists accept John Locke’s
contention that all citizens have a natural right to life,
liberty, and the acquisition of property
15www.PaulFalconeHR.com
16. Ethics History (cont.)
Consequential ethics state that people should act in
ways that result in the best consequences. Acts
themselves aren’t good or bad; they’re only deemed
good or bad by what happens because of them. Does
the end justify the means?
Hedonism states the pleasure is the only thing that’s
inherently good.
Utilitarianism is commonly defined as the greatest
good for the greatest number.
16www.PaulFalconeHR.com
17. Ethics History (cont.)
Situational ethics, developed by Episcopal priest
Joseph Fletcher in the the 1960s, emphasizes the
overriding importance of agape, or absolute,
unchanging, and unconditional love for all people . . .
Situational ethics come into play only when the
circumstances are so extreme that following
conventional moral principles would lead to a bad
outcome (i.e., the morality of any action is always
determined by the circumstances).
17www.PaulFalconeHR.com
18. A Short Overview of U.S.
Employment Law
The “Job as Property Doctrine” – the right to work is
fundamental to American citizens that it shouldn’t be
taken away without workplace due process as accorded
under the 14th Amendment to the Constitution
Standard: “Termination for Just Cause Only”
“Workplace due process” typically comes in the form of
progressive discipline (i.e., documented corrective
action)
18www.PaulFalconeHR.com
19. Progressive Discipline
Before any worker loses her job, she has the right to:
1. Know the nature of the problem
2. Know what she needs to do in order to fix the
problem (i.e., company expectations)
3. Be given a reasonable amount of time in which to fix
the problem
4. Understand the consequences of inaction
19www.PaulFalconeHR.com
20. 1930’s Employment-at-Will
The Great Depression threatened the very existence of
capitalism, and Congress passed a series of laws that were
intended to keep companies in business at all costs
The worker’s right to due process was replaced by the
employer’s right to terminate at whim
From the 1930s to the 1970s, the United States witnessed its
greatest growth in unionization as a result because union
workers are not “at will” and are typically held to a “for
cause” standard under the collective bargaining agreement
20www.PaulFalconeHR.com
21. Benefits of Joining a Union
#2 Reason: The right to collectively bargain for
wages and benefits and enjoy greater job security
#1 Reason: “If you join our union and pay your
union dues, we won’t let companies terminate you at
whim. Our collective bargaining agreement will
guarantee that you’re accorded workplace due process
in the form of progressive discipline, and you’ll gain
control of your future back.”
21www.PaulFalconeHR.com
22. A California Court in 1980
Tameny vs. Arco Oil (June 2, 1980)
15-year employee was fired for refusing to engage in
unlawful activities (“price fixing”) on employer’s behalf
CA Supreme Court Justice Rose Byrd ruled, “We won’t
countenance firing a long-term employee, even if at
will, for reasons that violate public policy.”
The public policy exception was born.
Tort law became part of legal landscape in CA.
22www.PaulFalconeHR.com
23. Limitations on Employment at Will
Exceptions to employment-at-will include . . .
1. Employment contracts (including collective
bargaining agreements)
2. Statutory considerations (protected classes)
3. Public policy exceptions (WC, whistle blowing, and
engaging in concerted activities)
4. Implied contract exceptions / implied covenants of
good faith & fair dealing (handbooks, vesting)
23www.PaulFalconeHR.com
24. EAW vs. Discharge for Just Cause Only
Defense Attorney’s strategy = “Employment-at-Will
Affirmative Defense” used at the hearing stage with
the goal of immediate dismissal of the case (“Summary
Judgment”)
Plaintiff Attorney’s strategy = “Discharge for Just Cause
Only” standard used at the trial stage (if the case
“survives Summary Judgment”)
24www.PaulFalconeHR.com
25. Hearings vs. Trials
Lesson: It’s not one or the other, it’s both – Without a
crystal ball, you can’t know now what kind of spin a
plaintiff attorney will place on a case six – 12 months
from now and how a judge will lean.
Therefore, since you can’t know in advance if you’ll win a
summary judgment at the hearing stage (using the
EAW affirmative defense), you must always be
prepared to show that you have just cause at the trial
stage (via progressive discipline)!
25www.PaulFalconeHR.com
26. 1930’s
1935 – The Wagner Act (known as the National
Labor Relations Act - NLRA) – guarantees basic
rights of private sector employees to unionize, bargain,
and strike
1938 – Fair Labor Standards Act (FLSA) – banned
oppressive child labor (under age 14), set minimum
wage (25 cents), required employers to pay overtime
and set maximum workweek to 44 hours
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27. 1940’s and 1950’s
1947 – Taft Hartley Act – protects employers from
unfair labor practices (i.e., unions refusing to bargain
with employers in good faith)
1959 - Labor Management Reporting and
Disclosure Act (Landrum-Griffin Act) – provides
employers the right to sue unions
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28. 1960’s
1965 - Executive Order 11246 – prohibits federal contractors
from discriminating in employment decisions based on race,
color, religion, sex, or national origin; federal contractors must
develop an Affirmative Action Plan (AAP)
1967 - Age Discrimination in Employment Act (ADEA) –
prohibits discrimination based on age (40 years or older) and
protects employees from a hostile work environment based on
age
1968 - Fair Credit Reporting Act (FCRA) - protects individuals
by regulating the way businesses gather and use credit
information about them
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29. 1960’s (cont.)
1963 - Equal Pay Act (EPA) - protects men and
women who perform substantially equal work in the
same establishment from sex-based wage
discrimination
1964 - Civil Rights Act-Title VII - prohibits
employment discrimination on the basis of sex, race,
color, religion, or national origin (includes
recruitment, hiring, wages, assignment, promotions,
benefits, discipline, discharge, and layoffs)
29www.PaulFalconeHR.com
30. 1970’s
1970 – Occupational Safety & Health Act (OSHA) - governs
occupational health and safety; ensures that employers provide
employees with an environment free from recognized hazards
1972 - Vietnam Era Veteran’s Readjustment Assistance Act
(VEVRA) - provides equal opportunity and affirmative action for
Vietnam era veterans, special disabled veterans, and veterans
who served on active duty during a war (applies to employers
with Federal contracts or subcontracts of $25,000 or more).
1973 - Rehabilitation Act - prohibits discrimination on the
basis of disability in programs conducted by Federal agencies,
contractors and/or programs
30www.PaulFalconeHR.com
31. 1970’s (cont.)
1974 - Employee Retirement Income Security Act (ERISA) -
protects the interests of employee benefit plan participants by setting
minimum standards for pension plans in private industry and rules on
the tax effects associated with employee benefit plans
1978 - Uniformed Guidelines on Employment Selection
Procedures - provides standards for use of employment testing;
employers must demonstrate a selection process is valid in predicting
performance, and selection process cannot create adverse impact
1978 -Pregnancy Discrimination Act (PDA) – prohibits
discrimination based on pregnancy; treat pregnancy as any other
temporary disability
31www.PaulFalconeHR.com
32. 1980’s
1985 - Consolidated Omnibus Budget Reconciliation Act (COBRA) -
provides workers who lose health benefits to continue group health benefits
(temporarily) in certain circumstances
1986 – Immigration and Reform Act (IRCA) – prohibits discrimination
based on national origin or citizenship of applicants; companies may be
penalized for hiring illegal aliens
1986 - Health Insurance Portability and Accountability Act (HIPAA) –
protects an individual’s personal health information (amended in 1996 -
improves portability and continuity of health insurance coverage)
1989 – Whistleblower Act – protects federal whistleblowers who work for the
government and report agency misconduct; agency cannot retaliate against an
individual who reports misconduct
32www.PaulFalconeHR.com
33. 1990’s
1990 - Americans with Disabilities Act (ADA) – prohibits discrimination
based on disability in employment decisions
1991 – Civil Rights Act – provides the right to trial by jury on discrimination
claims and introduced the possibility of emotional distress damages (i.e.,
punitive damages), while limiting the amount that a jury could award
1993 – Family Medical Leave Act (FMLA) – provides job protection and
unpaid leave for certain circumstances
1994 – Uniformed Services Employment and Reemployment Act
(USERRA) – provides job rights of individuals who leave employment to serve
in the uniformed services and prohibits employers from discriminating against
past and present members of the uniformed service (and applicants to the
uniformed services)
33www.PaulFalconeHR.com
34. 2000’s
2002 – Sarbanes Oxley (SOX) - ensures the reliability
of publicly reported financial information, company
noncompliance may result in negative consequences
and contains protection for corporate whistleblowers
2008 - Genetic Information Nondiscrimination
Act (GINA) - prohibits the use of genetic information
in health insurance and employment decisions
34www.PaulFalconeHR.com
35. Protected Characteristics
Federal Law (Title VII) = 5 protections
Race, color, religion, sex, and national origin
California State Law = 17 protections
Five from Title VII + ancestry, physical disability, mental
disability, medical condition, marital status,
pregnancy, age, sexual orientation, gender identify,
gender expression, genetic information, and military &
veteran status
35www.PaulFalconeHR.com
36. Part II
The Sarbanes-Oxley Act of 2002 (SOX)
The Code of Business Conduct / Code of Ethics /
Code of Conduct
Conflicts of Interest
SOX Controls and Compliance
36www.PaulFalconeHR.com
37. Corporate Governance
Arthur Anderson’s conflict of interest prior to its fall:
Accounting and Auditing services offered to the same
clients (Enron)
Should the offices of Chairman of the Board (COB)
and CEO be held jointly by the same person?
COB = board of directors activities
CEO = operational activities
37www.PaulFalconeHR.com
38. Corp Governance (cont.)
Pros: A combined Chairman/CEO acts as a bridge
between the board and the operating company and can
provide critical leadership for strategic initiatives.
A principal role of the Chairman is to propose the general
agenda for board meetings from among the many issues
facing a company on a day-to-day basis. As a result, a CEO
may be in the best position to develop this agenda in the
most efficient and effective manner.
Cons: The board must maintain independent
oversight of management. Joining the roles of COB and
CEO could consequently impact board independence.
38www.PaulFalconeHR.com
39. Corp Governance (cont.)
Key Board Committees
Audit Committee
Social Responsibility Committee
Nominating and Personnel Committee
Shareholder Advisory Committee
Note: “Trustees” must be independent of the company’s
management
39www.PaulFalconeHR.com
40. “Defective Certification”
Criminal prosecution for CEO and CFO of publicly
traded companies
Penalties include:
$1 MM, up to 5 years in prison
$5 MM, up to 20 years in prison (if willful)
Lesson: SOX, AKA SARBOX, has teeth!!!
40www.PaulFalconeHR.com
41. Part III: Internal Investigation
Strategies
Rule 1: It’s all about the record
Rule 2: Practice trumps policy
Rule 3: Always the Get the Accused Worker’s Side of
the Story Before Making a Final Decision
41www.PaulFalconeHR.com
42. Investigations (cont.)
Rule 4: When the issue drives the outcome
Rule 5: The importance of timeliness
Rule 6: Removing employees from the workplace: a
necessary consideration in the investigation process
42www.PaulFalconeHR.com
43. Investigations (cont.)
Rule 7: Sameness vs. Consistency
Rule 8: Performance vs. Conduct
Rule 9: Beware the Dreaded “Preemptive Strike”
43www.PaulFalconeHR.com
44. Investigations (cont.)
Rule 10: Vet the record before recommending
termination
For a list of key record review items, visit
www.PaulFalconeHR.com and look at the Blog page
under: “Ten Practical and Street-Smart Rules for
Conducting Internal Workplace Investigations”
44www.PaulFalconeHR.com
45. Part IV: Real Life Scenarios
You Make the Call . . .
Scenario 1: “Hey boss, can I talk to you for a few
minutes off the record?”
45www.PaulFalconeHR.com
46. Scenarios (cont.)
Scenario 2: Two employees (peers) begin dating in
the workplace. Do they have an obligation to disclose
their new relationship?
Scenario 3: Two employees (manager - subordinate)
begin dating in the workplace. Do they have an
obligation to disclose their new relationship?
46www.PaulFalconeHR.com
47. Scenarios (cont.)
Scenario 4: Loner employee carries a little red book where
she takes notes about her coworkers. She tells that they if
they do anything to hurt her, she will turn over her
notebook to her attorney and sue them personally. Does
the company have any recourse toward this employee?
Scenario 5: Loner employee from New Orleans creates
voodoo dolls of her coworkers and sets them prominently
on her desk. Can management intervene?
47www.PaulFalconeHR.com
48. Scenarios (cont.)
Scenario 6: Assistant store manager reports to store
manager (husband and wife). Husband (AM) arrested
for drug possession. Does wife (store manager) have
an obligation to disclose her husband’s / assistant
manager’s arrest?
48www.PaulFalconeHR.com
49. Scenarios (cont.)
Scenario 7: Retail store announces to its workers that
it’s expanding hours to include Sundays from 9:00 –
4:00. Employees suddenly “see religion.” Does the
company have any recourse to a team that refuses to
work Sunday hours for religious reasons?
49www.PaulFalconeHR.com
50. Scenarios (cont.)
Scenario 8: Bank employee reports to work with a
new nose ring, ear gauge, and eyebrow pin. Does a
company have the right to insist that those
paraphernalia be removed when dealing with
customers? Can a company reassign someone with
body piercings and new tattoos to a back-office role
that avoids customer interaction? What if the
individual opts to sport a beard or wear a Burka for
religious reasons?
50www.PaulFalconeHR.com
51. Scenarios (cont.)
Scenario 9: Two clerks insist on speaking Spanish
with one another throughout the day while filing
records; a third, English-only speaking records clerk
feels left out and is suspicious that they’re talking
about her and laughing about her right in front of her
face. Does the company have the right to insist on
English-only speaking rules?
51www.PaulFalconeHR.com
52. Scenarios (cont.)
Scenario 10: An administrative assistant complaints
to HR that she’s been having an affair with her VP boss
for the past nine months. She claims that the
relationship was unwelcome but she felt threatened
and feared retaliation if she didn’t comply.
The VP confirms that the affair has been ongoing but
insists the relationship was consensual. What options
do you have as an employer?
52www.PaulFalconeHR.com
53. Other Scenarios
What are some common ways that employees engage in unethical
behavior?
How do you effectively deal with people who constantly “fly just
below the radar” in terms of not violating a particular company
policy?
What types of performance or conduct infractions can typically
justify a “summary dismissal”?
How would you differentiate handling suicidal vs. homicidal
concerns?
53www.PaulFalconeHR.com
54. Part V: Executive Compensation
“CEO pay rose from about $5MM a year in 1998 to $12MM a year
in 2010. The stocks of their companies have, on average, fallen by
a third.” (Money Magazine, February 2012, page 100).
“Say on Pay” shareholder initiatives (non-binding vote)
Balancing governance standards, investor concerns, and sound
business strategy
Four core elements: (1) salary, (2) benefits, (3) bonus, and (4)
long-term incentives (LTI)
54www.PaulFalconeHR.com
55. Executive Comp Design
1. Appropriate Pay Mix
2. Performance Metrics
3. Adequate Controls (governance standards)
4. Investor Concerns
5. Sound Business Strategy
= Support Sustainable for Shareholder Value*
* “Shareholder Value” is measured by (1) stock price appreciation and (2) dividends.
55www.PaulFalconeHR.com
56. Organizational Slope
The relationship of salaries paid to subordinates of a
key executive manager. Slope is a percentage
relationship showing a reasonable salary differential
between the key positions and its subordinates.
For example, in a $1 billion organization, the slope
might look like this:
56www.PaulFalconeHR.com
58. CEO-to-Average-Employee
In 1965, the ratio of CEO total compensation to that of all
employees in the company was approximately 25 to 1.
In 1990, that average CEO’s total compensation was about
100 times larger than the average compensation of all
employees in their company.
Today that number is 273!
Source: Washington Post, June 26, 2013: “Congrats, CEOs! You’re Making 273 Times the Pay of the Average Worker” by Lydia
DePillis
58www.PaulFalconeHR.com
59. CEO Pay Trends
Increase in average worker annual compensation from
1978 to 2011: 5.7%
Increase in S&P 500 from 1978 to 2011: 349%
Increase in CEO annual compensation from 1978 to
2011: 727%
Source: Washington Post, May 11, 2012: “Crazy Data Point of the Day: How Much CE O Pay vs. Worker Pay has Grown” by
Jena McGregor
59www.PaulFalconeHR.com
60. Are They Worth It?
2004 Executive Comp – Viacom Top Officers
60
Executive Base Bonus Options
Redstone $5 MM $16.5 MM $34 MM
Freston $4.2 MM $16 MM $32 MM
Moonves $5.7 MM $14 MM $32 MM
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61. Part VI: Ethical Considerations for
Global Companies
Foreign Corrupt Practices Act of 1977 ($1 MM fine for
engaging in bribery)
Outsourcing / “Off-Shoring”
Human Rights
Respecting Cultural Differences
The “Global Citizen” Role & Responsibility
61www.PaulFalconeHR.com
62. Fair Trade
Creates new opportunities for small producers
Provides fair payments for products
Protects workers’ rights and safety
Promotes environment stewardship
Respects cultural differences
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63. Sweat Shops
Complaints about U.S. companies utilizing overseas
sweatshops hit a crescendo in the 1990s, when activists
publicized horrendous working conditions at factories
used by Nike, Mattel, and other companies.
The Fair Labor Association (www.fairlabor.org) was
established to monitor and improve labor conditions in
developing countries.
Low wages and obstacles to unionization remain.
63www.PaulFalconeHR.com
64. Part VII: Protecting the Environment
The “environmental justice movement” aims to point out
how disadvantaged populations tend to bear the most
negative side effects of development and infrastructure
projects.
The “Global Compact” (www.unglobalcompact.org) was
launched by the United Nations in 1998 to, among other
things, to promote responsible and sustainable
development in key areas including pollution, depletion on
non-renewable resources, and waste disposal.
64www.PaulFalconeHR.com
65. Part VIII: Other Areas of Ethical
Impact
Corporate charity and philanthropy (PACs)
Employee safety and health
Treating competitors fairly
Consumer marketing (sales) and public relations
65www.PaulFalconeHR.com
66. Part IX: Establishing a Company’s
Ethical Culture
Identifying a Company’s Core Values
A holistic approach: workforce, customers, stockholders,
competitors, and community
Affirmative action plans and diversity & inclusion
initiatives
The Golden Rule: What you want for yourself, give to
another
66www.PaulFalconeHR.com
67. Advantages of Ethical Workplaces
Greater customer retention and loyalty
Greater employee retention and satisfaction
Higher internal morale, camaraderie, and teamwork
Lower turnover, workers’ comp claims, intermittent
FMLA leaves, and lawsuits
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69. Reinforcing a Company’s Values
Communicate the company’s values to employees in
regular communications (e.g., newsletters)
Reward employees for outstanding ethical behavior
Protect and reward employees who speak up against
unethical behavior
Apply punishments fairly and consistently, without regard
to the offender’s performance or relationships
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70. Reinforcing Values (cont.)
Be as transparent as possible
Put others’ needs ahead of your own and expect them to
respond in kind
Remember that the evolution of a society is measured by
how it treats the least among its members – how does your
company measure up?
“Employer of Choice” initiatives
70www.PaulFalconeHR.com
71. New Trends in Corporate Recognition
Forbes: “The World’s Most Ethical Companies”
Inc.com: “The Green 50”
Working Mother: “100 Best Companies for Working
Mothers”
AARP: “Best Employers for Workers Over 50”
Fortune: “World’s Most Admired Companies”
71www.PaulFalconeHR.com
72. Q & A: Questions and Actions
Paul Falcone
www.PaulFalconeHR.com
Paul@PaulFalconeHR.com
72www.PaulFalconeHR.com