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Part 4: Leading People Through Disasters

unnatural disaster

In their book Leading People Through Disasters: An Action Guide Preparing for and Dealing With the Human Side of Crises, authors Kathryn D. McKee, SPHR, and Liz Guthridge lay out a step-by-step blueprint to help HR professionals deal with the effect of disasters on their workforces.

Workforce Management is pleased to provide you with four excerpts from McKee and Guthridge’s book, which is published by Berrett-Koehler Publishers.

Book Excerpt
Part 4 – Leading People Through Disasters
An Action Guide: Preparing for and Dealing With the Human Side of Crises

Turning on Managerial Radar
Everyone, especially managers and those in HR, should be extra sensitive to the needs and problems of employees. Managers should be aware of unusual behavioral trends or problems developing in your department. If you spot a problem, immediately refer the person to a trained professional who can help with the identification of the problem and then work to solve it. This can be a resource in HR or an employee assistance program resource.

If you’re a manager, you need to work with the human resources staff and the EAP counselor (if you have elected to use that service) to determine whether it would be best to put the employee on a short–e.g., one-month–leave of absence to give the individual time for counseling and recovery. Upon the employee’s return, sit down together and work out performance expectations that are reasonable and fair both to the employee and to the employer.

Specific steps if performance declines
Managers and supervisors need to take some specific steps if an employee’s performance begins to decline.

   You should:

  • Intervene quickly if performance begins to decline, referring employees to support professionals such HR staff, the EAP or other behavioral health professionals available to you.
  • Refer employees to a professional at every step in the problem-solving process, including verbal warnings, written warning and probation, and document these offers of assistance. (This is different from the normal progressive disciplinary process in that you are offering behavioral health assistance along the way.)
  • Follow up to ensure that employees have met with support professionals.
  • Ensure that you or HR staff members are advised about employee relations issues. Ensure that managers document signs of performance decline and referrals they have made and send a copy to HR.

Rationale for special documentation
Documentation is essential to support the problem-solving process and respond to litigation or workers’ compensation claims. When documenting, the information must be accurate, factual and consistent. Record specific behavior. For example: “Employee missed meeting on 6/15/06 without giving a reason”; “I detected alcohol on employee’s breath 7/23/06”; “Employee arrived 40 minutes late for work on 8/20/06 with no explanation.” Also include information about referrals, such as “I recommended getting counseling through the EAP.”

When documenting behavior, do not refer to hearsay and don’t judge and/or diagnose an employee’s actions. Contact the behavioral health resource with your performance documentation. While this approach is always important, it becomes essential if the employee denies having a problem. Refer to the “Do’s and Don’ts” at the end of this chapter before completing the documentation.

Signs of performance problems
    The behavioral problems listed below are warning signals that managers need to confront and document:

    Absenteeism, including:

  • Unauthorized leave.
  • Excessive sick leave.
  • Monday absences, Friday absences, or Monday and Friday absences (could be related to increased alcohol or drug usage).
  • Repeated absences of two to four days
  • More than one absence of one to two weeks (five to 10 days).
  • Excessive tardiness, especially on Monday mornings or when returning from lunch (again, may be substance abuse).
  • Often leaving work early.
  • Peculiar and increasingly improbable excuses for absences.
  • Higher absenteeism rate than other employees for colds, flu, gastritis and so forth (and consequently more claims on health insurance).

    “On-the-job absenteeism,” for example:

  • Is continually absent from workstation more than the job requires.
  • Makes frequent trips to water fountain or bathroom.
  • Takes long coffee breaks.
  • Is physically ill on job.
  • High accident rate, including:
    Accidents on the job.
    Frequent trips to nurse’s office.
    Accidents off the job but affecting job performance.
  • Difficulty concentrating, for example:
    Work seems to require a greater effort.
    Jobs take more time.
    Hand tremor occurs when concentrating.
  • Confusion, for example:
    Has difficulty in recalling instructions and details of work assignments.
    Has increasing difficulty in dealing with complex assignments.
    Has difficulty recalling own mistakes.
    Spasmodic work patterns; for instance, alternate periods of very high and low productivity.
  • Inflexibility—does not change easily. Your requests for change may present a threat because the employee’s control of his or her present job duties and responsibilities allows him or her to hide low job performance. The inability to make routine changes could also indicate a high tension level or another serious problem.

    Coming or returning to work in an obviously atypical condition, which may indicate a substance abuse problem.
Generally lowered job efficiency, for example:

  • Misses deadlines.
  • Makes mistakes due to inattention or poor judgment.
  • Wastes more material.
  • Makes bad decisions.
  • Receives complaints from customers.
  • Has improbable excuses for poor job performance.
  • Poor personal relationships on the job.
  • Friction in employee relationships, usually resulting in decreased job performance and efficiency.

    Possible alcoholism or drug addition, as indicated by the following behavior:

  • Overreacts to real or imagined criticism.
  • Exhibits wide swings in morale.
  • Borrows money from co-workers.
  • Compiles complaints from co-workers.
  • Has unreasonable resentments.
  • Begins to avoid associates.

Guidelines for a meeting with an employee who is having trouble
Meeting with an employee face-to-face to discuss a problem is never an easy task. You may be tempted to put off confronting someone who is troubled. Or you will meet with the person but hesitate to recommend counseling. Despite the initial reaction, an employee who is in trouble usually knows it and is often relieved to have the problem out in the open so it can be dealt with.

If you notice any of the above behaviors, or your employee’s performance is declining, intervene quickly to determine the key issue(s).

Meet with your employee in his or her workstation or office if privacy is adequate. Come prepared with a clear sense of the job criteria and the facts that you wish to address. For example, in the case of excessive absenteeism, have the dates in front of you. You might begin by saying, “I’ve been concerned about you lately. I’ve noticed you missed work on June 10, 11 and 18, and you’re missing department deadlines. You just haven’t been your usual self.”

Focus on specific job performance issues or behavior, not on vague personality or attitude problems, which can easily be denied. Indicate the effect that the worker’s problem is having on you, the workload, and the other workers in your unit.

Hold an unhurried discussion and maintain sensitivity to the employee’s feelings and needs. The manner in which you address your employee in this first meeting will be critical in reducing defensiveness and creating a comfortable environment for communication.

Listen carefully to what the employee says. Be empathetic. Avoid minimizing what he or she is feeling or saying. Your tone should be calm, supportive and positive. Continue to gently ask questions and listen until you understand fully the nature of the problem, including how it may relate to the disaster that recently occurred.

Be careful not to over-emotionalize what is said. Communicate the facts and discuss the issues. Do not diagnose the problem; ask the employee to make an appointment with employee assistance or other behavioral health providers, or offer to schedule an appointment for him or her.

Continue to be supportive but firm in the message that his or her performance must return to a satisfactory level. Remain calm and firm, always bringing the conversation back to specific on-the-job problems, despite your employee’s excuses, defensiveness or hostility.

Avoid any diagnosis or labeling of the employee’s problem. Stress that whatever the trouble is, it is the employee’s responsibility to do whatever is necessary—for instance, by using a behavioral health provider—to perform adequately.

If the problem is personal–for example, family problems, alcohol or drug abuse, stress or financial worries either directly or indirectly brought on by the disaster–be particularly sensitive and respectful of the employee’s feelings. It is difficult for anyone except a professional counselor to assist in these situations. Reassure your employee that the company wants to help through the EAP or other resource.

Keep an open door and follow up to ensure that the employee meets with a trained counselor, such as the EAP.

Emphasize exactly what you expect in order to resolve the problem. Be sure that the employee understands, then get a commitment and monitor it.

Set a definite date—a month from now, perhaps—for your next meeting, at which time you expect marked improvement.

End the interview on a positive note, with your expectation that given the resources available, the employee will start to deal with the problem and work productivity will improve.

Do’s and don’ts in the interview

Do:

  • Focus solely on declining job performance and the offer to help.
  • Have on hand written documentation for the declining job performance, so you can let the record speak for itself.
  • Maintain a firm and formal, yet considerate, attitude. If the interview becomes a casual or intimate conversation, the impact of the message will be lessened.
  • Explain that help is available through the EAP.
  • Emphasize that all aspects of the program are completely confidential.
  • State that the employee’s decision will be considered in re-evaluating his or her performance at a later date.

  Don’t:

  • Try to find out what is wrong with the employee.
  • Allow yourself to get involved in the employee’s personal life.
  • Make generalizations or insinuations about the employee’s performance.
  • Moralize. Restrict your criticism to job performance.
  • Be misled by sympathy-evoking tactics. Stay focused on your right to expect appropriate behavior and satisfactory job performance.
  • Threaten discipline unless you are willing and able to carry out the threat.

If you have asked your employee to make an appointment with the EAP or a behavioral health provider, contact the provider to advise them that you have referred this person. Confidentiality will always be maintained between them and the employee, but the provider can tell you when your employee has met with them and whether he or she is cooperating.

First corrective interview
If the employee’s performance continues to deteriorate, conduct another interview and take whatever step in disciplinary action is warranted. Inform the employee that failure to improve job performance will result in further disciplinary action up to and including termination. Conclude with a strong recommendation that the individual use the services of the EAP.

Second corrective interview
If deterioration of performance continues, conduct a second corrective interview. Conclude by offering the employee the choice between accepting the services of the EAP or being terminated because of unsatisfactory job performance.

Termination
If after the three steps described above the employee does not or will not perform to the position’s job performance standards, he or she should be terminated.

Remember, the goal is to balance business continuity with the needs of all employees. If employees in a work group can’t count on a co-worker to perform, that hurts everyone’s performance, and creates even more tension when nerves can still be raw from the disaster.

Action steps
Design your own approach to training managers in advance on:

  • Dealing with traumatized employees.
  • Recognizing the symptoms.
  • Referring for help or putting employee on leave.
  • Conducting special performance interviews.
  • Providing warnings.
  • Terminating employees.

Consider a brief manager’s guide for dealing with traumatized employees that managers can keep with their other business continuity planning materials that you will provide them.

Plan for a quick refresher course with managers if you do experience a disaster.

Please see: Part 1, Part 2, Part 3

Workforce Management Online, June 2006 — Register Now!

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After the Disaster: 10 Issues for Employers

Hurricanes Katrina and Rita devastated the Gulf Coast in 2005 and presented employers who had operations in the affected areas with unprecedented workplace challenges. And while many companies have faced and resolved some of the issues outlined below, employers everywhere may someday confront similarly daunting circumstances, whether because of hurricane, earthquake or other natural–or even manmade–disaster.

The following is a list of the top 10 issues that are likely to present themselves to employers after large-scale disasters. For employers that have not yet adapted their policies and operations to circumstances that, to this point, had not been foreseen, this list represents a place to start. Stay tuned for additional information, as both government agencies and legislatures are crafting new opinion letters and laws to address the issues facing employers after a widespread disaster.

1. Establishing Communication With Displaced Workers: After a disaster, many displaced workers find themselves in unfamiliar locations, without much more than the clothes on their back. It might take some time before displaced employees can “check in,” or otherwise establish communication with their employer. In the hurricanes of 2005, many companies created space on their Web sites for employee communications or established an avenue for employees to make contact from any location (such as toll-free number). In the future, employers with operations in cities where evacuees relocated might consider establishing a communication center where employees can check in with local company officials.

2. Payment of Wages: Government aid may not be available immediately, or in large amounts. In 2005, some employers voluntarily chose to continue paying their employees, while others made available fixed one-time payments to affected employees. Employers should clearly communicate the terms of such payments to avoid any confusion after the fact. For example, a charitable gift is different from an advance on future wages, and should be clearly communicated as such. Moreover, employers in affected areas who have been unable to make payroll should be cognizant of state laws governing deadlines for the payment of wages (as well as taxes). Although employers may not know the whereabouts of all employees, employers should make a good-faith effort to pay all wages owed.

3. Other Wage/Hour Concerns: Some employees in affected areas will no doubt be working long hours, under situations where working time and off-duty time will blur together. Some employees may be temporarily living in employer housing, for example. Employers should be cognizant of the need to accurately record employee work time, and keep in mind that any work done for the benefit of the employer (even ostensibly as charity) might be considered work time.

4. Transfer of Workers to Other Operations: In the aftermath of the 2005 hurricanes, it became evident that thousands of people would either never return to the hardest-hit areas, or would return only after an extensive rebuilding effort was completed. Employers should consider whether affected employees could be transferred to other operations in surrounding areas, so that valuable skills and experience are not lost. Once the rebuilding is complete, these employees will be an integral part of returning to the area and re-establishing operations. Employers with collective bargaining agreements governing transfers between operations should be cognizant of any restrictions contained therein, and should also consider negotiating with the representative union for a one-time exception to these limitations.

5. Flexible Leave Policies: Most company handbooks make no allowance for the type of disaster that befell the Gulf Coast in 2005. For the most part, human resources has been left with no choice but to improvise answers to critical questions such as how long to wait for employees to make contact before initiating termination. Obviously, flexibility and compassion should be the order of the day in this area. Moreover, it is important to note that many employees affected by the storm will qualify for family and medical leave (FMLA), bereavement leave or other types of leave provided under either company policy or federal and state laws. Employers should be aware that post-traumatic stress, or depression resulting from the aftermath of the storm, might qualify employees for medical leave under the FMLA, or similar company policies. Extreme care should be taken before denying leave or terminating employees for a failure to return to work.

6. Medical Insurance Coverage: Many affected employees use medical insurance to assist with recovery after the disaster. Consider providing important benefit information on company Web sites, or through communication centers in cities providing shelter, so that employees are best able to address issues that might arise, such as using benefits in another state or outside of a HMO/PPO coverage area.

7. Employee Assistance Programs (EAP): Most employers have EAPs either separately or as a part of their health insurance benefits. Employers should communicate the availability of such programs to affected employees and contact benefit providers to explore ways to facilitate the use of such programs, including making qualified counselors available on site or in areas where a large number of employees have evacuated. These services are invaluable, and may facilitate employees returning to normalcy, including the resumption of employment.

8. Immigration Issues: Many evacuees face not only the challenge of finding new employment, but the secondary hurdle of doing so without the paperwork required to show that they can work legally in the United States. The government made it possible for local employers to hire such individuals. Specifically, on September 6, 2005, the Department of Homeland Security announced that, for the next 45 days, it would not seek civil sanctions from employers who hire hurricane victims who lack the documentation required to satisfy the Form I-9/Employment Eligibility Verification requirements. Nevertheless, employers still must have the employees complete Section 1 of the Form I-9, but they need not review the employees’ documents if they are not available. In an update on October 21, the agency announced that employers were “expected to fully complete the Form I-9 for recently hired victims of Hurricane Katrina who were previously unable to provide proper documentation.” It added: “Employers who have made reasonable, good-faith efforts to comply with existing requirements, but are still unable as of October 21, 2005, to complete the required information, should note with specificity on the Form I-9 what steps they have taken to verify employment eligibility.”

9. Donating Co-worker Leave: On September 8, 2005, the IRS issued IRS Notice 2005-68, which permits an employee to donate unused paid leave in exchange for employer cash payments to a qualified charity providing relief to Hurricane Katrina victims. Across the country, citizens and co-workers have searched for ways to help their neighbors deal with the recent tragedy. Several large companies have made available opportunities for employees to donate accrued vacation leave or paid time off to other employees within the company who may be in greater need of these benefits. Before implementing such programs, it is important for companies to establish procedures and guidelines for the implementation and take into account any potential legal and tax implications of the program.

10. Layoffs/Business Closures: Unfortunately, Hurricanes Katrina and Rita has forced many business owners to make the difficult decision to lay off employees or relocate or cease operations in affected areas. These actions will have both legal and community ramifications, which employers should carefully consider. Most notably, certain employers may have notice obligations under the federal Worker Adjustment and Retraining Notification Act (WARN Act) if employees are laid off or suffer a significant reduction in work hours for more than six months. Although a hurricane may constitute the type of unforeseeable business circumstance warranting an exception to the WARN Act, employers are strongly advised to seek legal counsel in this area if layoffs or closings become necessary.

Thousands of companies and workplaces will never be the same in the aftermath of the hurricanes of 2005. Now that the essential needs of those affected are largely met, they are turning their attention to re-establishing employment and associated issues. Although there is not yet an existing playbook for handling such catastrophes, the 10 points discussed here should provide a starting point for companies seeking to manage their companies’ response to a tragedy.

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Dear Workforce How Do I Get Managers To Embrace Performance Evaluations

Dear Eval-Conscious:

Your organization sounds like many others.

Your managers tend to see performance evaluations as a necessary evil–an administrative burden required mainly for salary administration. Although there are many best practices to make the process more effective, nothing works like increasing the level of employee accountability in the process.
Here are some suggestions about how to do that:
Make performance management a shared responsibility. In today’s organizations, individuals want to be in control of their work. They want a greater say in the jobs they perform. When they have say in what’s going on, individuals are more committed to their jobs and have a better understanding of their level of contribution. By sharing responsibilities for managing performance, individuals learn to manage their own work. They help set objectives, track their successes, identify opportunities for improvement, readily recognize problem areas, make decisions based on performance expectations and ask for help when needed.
Because they “own” their jobs, individuals are willing to take more responsibility for managing their performance. As a result, this relieves managers of a major headache–time constraints–and enables them to devote more time to coaching, facilitating and serving as a support mechanism.
Ensure that accurate, pertinent data are being collected. Establish internal and external tracking systems when setting performance objectives. Managers and individuals should identify and agree on appropriate tracking sources and confirm that these sources are readily accessible. Then, have managers and employees share the responsibility for collecting factual information on an ongoing basis, for both results and behaviors. At review time, focus the discussion on the facts, not what people thought happened. Also, it’s important to remember why we conduct performance evaluations in the first place: to motivate people to improve.
People need to talk to each other more often. Employees rely on managers to help them be successful. This means acknowledging employees’ situations, pointing out ineffective behaviors and coaching them on ways to boost efficiency. Periodic review, mutual and frequent problem-solving sessions, and ongoing coaching are opportunities to discuss performance year-round. Problems can be addressed as they arise, and accomplishments recognized when they occur. Then, the end-of-year evaluation doesn’t hold any surprises. As part of the shared accountability, make employees responsible for initiating these conversations.
Train people on the workings of performance evaluations. Help them understand the concept of shared responsibility and their role in the process. A successful evaluation process makes managers accountable for implementing and supporting the process and encourages individuals to exercise their right to manage their performance.
SOURCE: Bill Coon, Development Dimensions International, Pittsburgh, Pennsylvania, Sept. 24, 2003.
LEARN MORE: Get about 65 other items related to performance appraisals, including sample appraisals. And here is more information on performance appraisals.
The information contained in this article is intended to provide useful information on the topic covered, but should not be construed as legal advice or a legal opinion. Also remember that state laws may differ from the federal law.

Ask a Question Dear Workforce Newsletter
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An HR Audit

Here is a comprehensive audit for all human resources practices. Bulleted items indicate the sections that follow below:

Department Organization Questionnaire
    The Human Resources Department is structured, organized and equipped to provide overall strategy, direction and effective management of the organization’s human resources function to accomplish organizational objectives.

  1. Is there one department or function within the organization that is responsible and accountable for planning, establishing, overseeing andcoordinating all human resource policies, systems and services for all 11 major categories?
  2. Does the senior-level human resources manager report to the same position as all other major staff and line departments within the organization?
  3. Does the senior human resources manager participate in addressing the organization’s strategic, tactical and policy issues?
  4. Does the senior human resources manager integrate all HR activities with the organization’s strategic business plan.
  5. Does the Human Resources department demonstrate a clear understanding of organizational and customer needs?
  6. Are HR services and functions aligned and prioritized to organizational and customer needs?
  7. Has a department mission statement been developed explaining its purpose within the organization?

Has this mission statement been communicated to all management personnel?

Has this mission statement been communicated to other customers throughout the organization?

If so, to whom?

How?

  1. Does the Human Resources department take a lead in striving for a more empowered and participative work force (productivity improvement, cost reduction, quality improvement and improved quality of work life programs?)
  2. Has a Human Resources department organization chart been published and distributed?

If so, to whom?

Does the organization chart clearly define functional responsibilities and whom customers can contact for service?

  1. Are job descriptions established for all HR personnel stating major job objectives, responsibilities and accountabilities?
  2. Do all HR personnel understand their respective roles and relationships to others in the department?
  3. Are department personnel cross-trained to perform duties outside their major areas of responsibility?
  4. Do they work on team and department task force projects?
  5. Are departmental personnel professionally and technically competent?
  6. Do they serve as internal consultants to management as well as counselors to employees?
  7. Does the department staff work well as a team?
  8. Are they readily accessible to all customers?
  9. Are department personnel provided adequate training and professional development to meet organizational challenges and demands?
  10. Is involvement in professional and technical groups encouraged?

Does the department subscribe to major technical and professional journals?

  1. Is there a credible performance appraisal in place clearly stating mutually established goals and objectives for department personnel?
  2. Are human resources staff compensated according to market standards?

Are they compensated based on comparable positions within the organization?

  1. Does department staff effectively balance organizational with employee needs and act as an intermediate for both?
  2. Is the Human Resources department results-oriented (i.e., measuring cost-effectiveness and the bottom line results of human resources programs)?

If so, is it attentive to the bottom line and does it demonstrate a business orientation?

  1. What is the span of control of the top position within the departments(i.e., how many and which positions report to it)?

Are supervisors or managers reporting to other mid-level managers?

How many employees are in the Human Resources department?

What is the ratio of HR department staff to all employees served?

How does this compare to the staffing levels of other comparable organizations offering similar services?

  1. Are HR needs and programs accounted for in the organization’s budgeting process?
  2. Does the organization make plans for ensuring that HR’s future needs are met?
  3. On a scale of one to seven (seven being the highest and four being adequate), how would the Human Resources team rate the overall effectiveness and structure of your Human Resources department?
  4. On the same one-to-seven scale, how do you think other department heads would rate the overall effectiveness and structure of the HR department?

On the same one-to-seven scale, how do you think the employees would rate the overall effectiveness and structure of the HR department?

 Explanation of Department Organization Questionnaire
    For each of the 11 categories, the Self-Audit questions are designed to rate how well the HR department achieves the purpose of the category definition stated at the top of the questionnaire: Is the HR department structured,organized and equipped to provide overall strategy, direction and effective management of the organization’s human resources function to accomplish the organization’s objectives?

Questions one through nine explore how department leaders achieve organization objectives, are part of management’s strategic planning effort and assist in making decisions that affect bottom-line results. These questions both help ensure that HR’s efforts are in accord with customer needs and suggest ways HR teams can take the lead in helping customers get the most out of the organization’s human resources.

Questions 10 through 26 address communicating department functions and services to all customers, staff objectives and internal relationships, staff’s dual role as internal consultants to management and counselors to employees,staff competence and flexibility, cross-training, balancing employee needs with business needs and a bottom-line results orientation.

The components of question 24 also relate to staff size, structure and span of control. Industry-specific standards for staff size are available from a variety of professional publications, such as the Saratoga Institute’s “HREffectiveness Survey” and national and regional statistics compiled by theBureau of National Affairs (BNA). Any surveys that relate specifically to your type of organization will make that benchmark more credible.

Questions 25 and 26 address resources and planning to ensure the delivery of required services.

Human Resources Planning/Organizational Development Questionnaire
    The process of identifying and providing ways to fulfill the organization’s developmental and human resource needs.

  1. Is there one position accountable for reviewing the organization’s human resources requirements?
  2. How is this review carried out?

Formally/informally? (please describe)

  1. How often is this analysis updated (e.g., yearly, every two years, three years or more)?
  2. Do your projected needs include the following considerations?

Availability of outside workforce demographics (age, sex, minority classification, education, skills level, occupations, etc.)

Anticipated changed in your organizations technology, processes,products/services and markets.

Personnel needs these changes will require (e.g. new skills, education,knowledge and abilities).

  1. Which sources outside the organization provide these demographics?
  2. What sources within the organization provided this information?
  3. To whom are these projections communicated?

How often?

How far into the future?

  1. Is there one position accountable for reviewing and assessing the HR department’s skills, education, interests and needs?
  2. How is this assessment carried out (formally or informally)? (Please describe.)
  3. How often is this assessment updated (e.g. yearly, every two years, three or more years)?
  4. To whom are this assessment and any projections communicated?

How often?

How far into the future?

  1. Are this assessment and projections used for training and development?
  2. Are this assessment and projections (workforce requirements) used for career planning (matching organizational and individual skills, abilities and needs)?
  3. Is there a formal career planning process in place?
  4. Is there a career counseling system to identify individual skills, interests and needs, and which offers in placement and/or developmental assistance?
  5. Are high-potential employees identified for key positions?

If yes, is there a succession plan to target high potential employees?

  1. Are human resource projections (i.e., numbers, job classifications, skills, knowledge, ability and education levels) identified in the recruitment plan?

How far into the future?

  1. If the human resources plan calls for restructuring or downsizing, are there strategies set to deal with displaced employees?

Is outplacement assistance offered?

Are there strategies to support remaining employees?

  1. Are the human resources projections a part of the organization’s budgeting process?
  2. Does the organization have plans for ensuring its development and human resource needs are met?
  3. On a scale of one to seven (seven being high and four being adequate),how do you think the HR staff rates the human resources planning/organizational development process?
  4. On the same one-to seven scale, how do you think other departments would rate the human resources planning and organizational development process now in place?

Explanation of Human Resources Planning/Organizational DevelopmentQuestionnaire
    Affirmative answers to all the questions in this section means the organization’s development and human resource needs are being met. The emphasis is on connecting organizational development and workforce need projections with internal and external workforce skills.

Questions one through seven deal with influences on the planning process)changing workforce, markets and customers, products, services, technology/skills base and identification of external supply).

Questions eight through 17 deal with internal assessment and availability of these same considerations: organizational development activities in management development, training, career and succession planning to satisfy workforce demands within the organizations. If the internal labor supply is greater than the need, then the tougher issues of resource reallocation have to be addressed(questions 18 and 19).

Human resources planning is particularly important for emerging, rapid-growth and high tech businesses. Mature businesses in need of new products, services,markets, acquisitions or divestitures must also plan to identify, attract or reallocate the talent necessary for revitalization and continued competition.

Here’s a little piece of information about that technological revolution, a headline from an article reporting on a study by Worldwatch Institute back in 1980: Micro Electronics Seen Producing Sweeping Industrial Change. That’s certainly old news about the future, but there’s a reason to go back to this story to remind us they told us what was going to happen. Most of us just didn’t pay attention.

Recruitment and Selection Questionnaire
    The process providing timely recruitment, selection and placement of high-quality employees to satisfy the organization’s staffing requirements.

  1. Is there a policy in place stating the organization’s philosophy on recruitment and selection?

Does the policy contain procedures to guide managers through the recruitment and selection process and describe how to get help?

  1. Is there one position within the organization accountable for overseeing and coordinating recruitment and placement?

RECRUITMENT

  1. Is there a formal process in place for identifying job vacancies?
  2. Briefly describe the process from needs identification through final approval authorization.
  3. Is recruitment done proactively from a planning mode (i.e., projected workforce plan) as well as reactively to immediate replacement and new job openings?

Is recruitment linked to human resources planning (projected workforce requirements)?

  1. Is a job analysis conducted for each position?

Does the job analysis accompany the hiring authorization?

Does the job analysis accurately identify the key objectives and responsibilities of the position?

Does the job analysis accurately identify the essential ‘can do’ skills needed (i.e., skills, abilities, knowledge, education and experience)?

Does the job analysis accurately identify the essential ‘will do’ skills needed (e.g., leadership, interpersonal, entrepreneurial, communication and good attitude)?

  1. Is consideration given to internal candidates for all or some job openings before outside recruitment begins?

If some positions are determined to be filled from within, how is this determination made?

  1. Is there a formal job posting procedure in place?

If so, does the job posting contain the job objectives, needs and requirements cited in the job analysis (#6 above)?

  1. Are recruitment strategies (methods to obtain qualified candidates) set before active recruitment begins?

Who participates in the strategy development?

Does this strategy include affirmative action and diversity needs?

10. What kind of recruiting sources does your organization use and for what positions:

Newspaper sources?

Professional journals/periodicals?

College recruiting?

Special events recruitment (e.g., job fairs and expos)?

Community referral agencies (e.g., state employment and training offices)?

“Quasi-search” methods (e.g., hourly rate paid to recruiting professionals for targeting candidate sourcing or use of professional candidate researchers)?

Employee referral?

Internal computerized applicant database?

Professional networking (e.g., associations)?

Direct mail recruitment?

Personal networks (e.g., local competitors, customers, suppliers,outplacement firms or industry research)?

If so, please give examples:

  1. Does your organization measure the effectiveness as well as the costs of these recruiting sources?
  2. To whom are these performance measures and recruiting costs communicated?

SELECTION

  1. Does the HR department perform all initial screening of candidates?
  2. Are candidate telephone interviews, teleconferencing or video screening conducted before personal interviews?
  3. How many candidates are typically interviewed before filling a position and at what levels?
  4. Who participates in the interview and at what intervals?

How many people are typically involved in the interviewing process?

Are panel interviews used?

Who makes the final hiring decision?

  1. Are hiring managers trained in objective selection (e.g., interviewing techniques, position-related questions and legal implications)?
  2. Are reference checks conducted on all candidates?

Who performs the reference checks?

  1. Are tests or personality profiles used in the selection process?

Are they professionally validated?

  1. Are drug tests administered to all new employees as a condition for hire?
  2. Does the organization compare the number of job openings and workforce projections with the HR department’s recruitment and selection capacity?

Are peak and low hiring cycles identified?

  1. Has the organization examined or evaluated any of the following alternatives to satisfying workforce requirements:

Project or contract outsourcing?

Temporary placement?

Internal temporary placement pool?

Part-time employment and job sharing?

  1. Are all employment costs accounted for in the organization’s budget?
  2. On a scale of one to seven (seven being the highest and four beingadequate), how do you think the HR team would rate the effectiveness of therecruitment and selection process?
  3. On the same one-to-seven scale, how do you think departments would ratethe effectiveness of the recruitment and selection process?

Explanation of Recruitment and Selection Questionnaire
    The purpose of the Recruitment and Selection questions is to improve critical staffing needs in a timely manner and with quality candidates.

Questions three through 12 examine how the company attracts job candidates.Question 10 deals with finding candidates. Cost-benefit analyses of all hiring sources (questions 11 and 12) will tell you where to place your recruiting energies and financial resources.

Questions on the selection process (13 to 20) may be more important togovernment agencies and contractors because of highly regulated selection criteria, affirmative action and diversity implications. Fiscal constraints andregional preferences may also restrict government staffing professionals to themost inexpensive sources, regardless of their results.

What makes a successful manager is the ability to influence positive behaviorand to hire the best talent. HR professional counseling, guidance and training on effective interviewing and selection are essential to help managers make theright hiring decisions. It is also essential that the selection criteria beequally and consistently applied to all applicants.

Companies’ efforts to reduce both their workforce and their fixed labor costs have resulted in less costly ways to satisfy workforce requirements. These include outsourcing and temporary workers, which transfer costs on a variable basis. This is why Manpower, Inc. has become the largest employer in the U.S.today. If your organization uses these methods, be aware of possible long-term quality problems resulting from reduced commitment and lack of company pride.

Compensation Questionnaire
    A system of evaluating jobs and compensating employees to ensure that the organization attracts, retains and motivates employees to accomplish organizational objectives.

  1. Does the organization have a policy clearly stating its position onemployee compensation?

Is this policy linked to the organization’s management philosophy oncompensating employees, and does it reinforce the values of the organization?

Is the organization’s compensation philosophy clearly communicated to allemployees?

Is it clearly supported and monitored by management?

  1. Does the compensation policy contain procedures to guide managers on how to implement the compensation system?
  2. Is there one position within the organization accountable for overseeing and coordinating all compensation-related activities (job evaluation, job classifications, job descriptions, salary administration, performance appraisal and compliance with all governmental pay regulations, including FSLA, ADA, compensable time and EEO regulations)?
  3. Is there a process for keeping the organization aware of compensation paidfor comparable job functions in the region?

Compensation paid to comparable exempt job functions nationwide?

Compensation paid to comparable exempt job functions industry-wide?

How frequently are there market studies performed?

  1. Is your pay plan in agreement with the compensation philosophy of theorganization?

Are pay ranges wide enough so as not to force vertical pay growth?

Are pay ranges wide enough and procedures available to reward additionalknowledge, skills, abilities and responsibilities and encourage lateral careergrowth?

Do the intervals between ranges clearly define the differences in positionsassigned to those pay ranges?

Are pay differences great enough to ensure that a subordinate is not paidmore than his or her supervisor, including overtime payments?

  1. Are all jobs classified using a consistent job analysis?
  2. Are all job classifications reviewed for gender and minority equity?

Are all comparable jobs reviewed for possible evidence of uneven treatment for females or minorities?

  1. Does your organization have an employee performance appraisal system?

Does the performance appraisal establish clear objectives, expectations and performance measurement criteria linked to that specific job?

Does the performance appraisal provide objective, interactive and meaningfulfeedback on performance?

Do performance objectives clearly support departmental and organizational objectives?

Are these objectives and measurement criteria discussed with the individual being appraised?

Do the employees have clear and direct control over the outcome of their appraisals?

Do performance appraisals reflect an employee’s positive behavior, as well as results?

Do performance appraisals include a written plan to improve employees’ knowledge and skills?

Are pay plans linked to rewards for measured performance?

Is the performance rating/pay adjustment reviewed by someone in a positionhigher than that of the rater before discussion with the employee and implementation?

  1. Does your organization have a pay-for-performance (merit-based) system?

Does it work as intended, or is it a tool for compensation adjustment?

Does an outstanding performance merit an outstanding reward?

  1. Are compensation increases budgeted throughout the organization and areguidelines for distribution clearly communicated?

Are ranges and limits clearly defined (e.g., pay increments linked to performance measures)?

Is distribution of compensation among departments reviewed by management forconsistency and equity before awarding increases?

  1. Are other performance compensation awards (results sharing) appropriateand in place?

Profit-sharing awards based on organization-wide profitability.

Special recognition awards, e.g., bonuses for meeting a combination of results criteria, including department contribution performance, major productivity increases, sales and profit increases, and cost savings.

Group or team productivity based on team performance and distributed by teammembers.

Gain-sharing awards based on local performance.

A special pay-for-knowledge system, e.g., payment for increased development of employee knowledge, skills, abilities and/or responsibility (allowing a broader job design without changing assignments).

  1. Does your organization have the capacity for a compensation strategy to attract, retain and motivate employees?
  2. Are compensation administration costs included in the budget?
  3. On a scale of one to seven (seven being highest and four being adequate),how do you think the Human Resources department would rate the effectiveness ofthe compensation system?
  4. On the same one-to-seven scale, how do you think your internal clients(other departments and employees) would rate the effectiveness of thecompensation system?

Explanation of Compensation Questionnaire
It is important for the organization to distribute a clear policy statement on its compensation philosophy to its employees. Guidelines are important to ensure consistency and equity in the reward systems. Compensation is probably the most objective aspect of HR management. You should be aware of this when scoring questions one through seven.

Compensation methods can help motivate the fulfillment of organizational objectives. For this reason, compensation experts receive higher pay than other HR professionals. Major consulting firms specialize in this area because compensation affects the organization’s bottom line.

If compensation alone drove performance, companies with big payrolls would always be the most profitable, but that isn’t the case. In fact, eliminating higher paid positions is the trend. Compensation programs should motivate and reward people for accomplishing organizational objectives.

Companies need to find new ways to reward individual, team and other group performance. Reward systems should take into consideration self-directed work teams, cross-functional problem-solving teams, matrix management, taking on added work responsibilities and more risk taking. If the organization wants a closer correlation between compensation and quality work, then the recognition of team performance is critical. Questions eight through 11 deal with these incentive issues.

Employee Benefits Questionnaire
    Programs by which employees receive non cash compensation to ensure that the organization attracts, retains and motivates employees to accomplish organization objectives.

  1. Does the organization have a clear policy regarding employee benefits?
  2. Is there one position within the organization accountable for fairly andconsistently implementing employee benefit programs and ensuring compliance withgovernmental regulations, such as ERISA, COBRA, EEO and the Family and MedicalLeave Act?
  3. Is the organization current on competitive employee benefit practices,such as childcare, flextime, job sharing, vacation/sick time, time-off provisions and health plan alternatives?

HEALTH CARE COST CONTAINMENT

  1. Is there a process in place to contain medical costs while offering quality health care to employees?
  2. Do you periodically gauge employee satisfaction with the benefit plan interms of customer service, timeliness, claim management and accuracy?
  3. If employee dissatisfaction is high or costs are out of control ornoncompetitive, do you put your benefit plans out to bid?

How often does this occur?

  1. Does your medical cost containment review cover the following:

A. Have you analyzed both of the following alternative health care programsfor their cost containment processes, including services offered, accessibility,quality of care and cost?

HEALTH MAINTENANCE ORGANIZATONS (HMOs):

What are enrollment numbers for the past three years. (Rapid enrollment ratesma result in poorer service.)

Is the HMO accredited by the National Committee for Quality Assurance (NCQA)?

Were any conditions attached to the accreditation?

What is the public perception of the HMO (has it received bad press)?

Have organizations similar to yours fared well under this HMO? (Ask for alist of clients and call some of them.)

What are the exclusions or limitations on procedures, such as transplants, rehabilitative procedures and mental and nervous disorders?

PREFERRED PROVIDED ORGANIZATIONS (PPOs):

In addition to all the questions for HMOs above, what is the ratio of network vs. non-network charges?

Do employees accept the network doctors?

B. Has HR reviewed the following administrative controls:

In-house company data on premiums paid and claims processed?

Retention provisions of carriers, such as rebates or favorable rateconsideration for retention of company funds?

More favorable stop-loss arrangements with a carrier?

Encouraging employees to report errors in medical bills?

Health-care spending accounts and changing rules?

Nonduplication of benefits instead of traditional coordination of benefits?

Initiating a probationary period before health coverage begins?

C. Has HR reviewed basic cost management programs, including the following:

Increasing deductibles, coinsurance responsibility or copayment amounts?

Requiring second opinions for surgery?

Instituting pre-admission testing and certification?

Concurrent hospital stay reviews?

Closely managing chronic or costly illnesses?

Patient auditing of hospital bills?

Requiring employee plan usage data from health care carriers/administrators?

D. Has HR reviewed employee health promotion and education programs?

E. Has HR communicated with health care providers to review customized planoptions and cost containment measures?

  1. Are the costs of employee benefits regularly calculated and compared tonational, industry and local data?
  2. Are vacation and sick leave accruals analyzed for purpose as well as costconsideration?
  3. Are there programs to control absentee costs?
  4. Are there programs to curb sick leave abuse?
  5. Are unemployment compensation costs analyzed for cost savings?
  6. Are pension plans reviewed and employees counseled on win-win pensionoptions that will save the organization money?
  7. Does your organization offer retirement counseling to employees?
  8. Are there benefits to extending the retirement age?
  9. Should changes in long-term disability payments be considered?
  10. Does your organization regularly communicate the benefits it provides aswell as emphasize the company’s contribution to employee benefits?
  11. Does your organization have the capacity to provide necessary employeebenefits and address cost-containment issues that affect profitability?
  12. On a scale of one to seven (seven being the highest and four beingadequate), how do you think the Human Resources department would rate theeffectiveness of employee benefits programs?
  13. On the same one-to-seven scale, how do you think internal clients(department heads and employees) would rate the effectiveness of the employeebenefits programs?

Explanation of Employee Benefits Questionnaire
Employee benefits are necessary to attract and retain quality employees. Few organizations, however are able to find new ways to contain costs and use benefits as an incentive to improve employee productivity.

Health care cost containment is covered in questions four to seven. Aggressive negotiations with carriers, a closer look at administrative controls and cost-benefit analyses must be routinely carried out if an organization wants to convert high costs into increased profits. An annual review of benefit plan vendors should be conducted, especially for health care services which consume a large portion of expenses. The remarketing of a benefit program, however, should take place no more frequently than every three to five years, unless there are serious concerns about rates, service or accessibility. More frequent remarketing of a benefit plan damages the credibility of the employer, in terms of seeming disinterested in a long-term relationship. In an insured arrangement,the vendor will be left ‘holding the bag’ on runout claims.

Pay particular attention to cost-management programs under question seven.Spending more time on these details will result in better claims management.Question 7C should answer the following questions:

  1. How were charges distributed between employees, the employer and otherpayers?
  2. What types of services were used: hospital (inpatient, outpatient, emergency room), physician’s services (inpatient, outpatient), lab, x-ray,durable medical equipment, supplies, surgical center, etc. Any category labeled ‘other’ on a report should account for no more than 5% of the total or require a detailed explanation.
  3. What types of illnesses did employees experience? There should be at least15 major diagnosis categories used on the report.
  4. What are employees’ demographics?

You are entitled to this information. By monitoring how the healthcare planis used, it is possible to decrease claim costs. Some negotiation with thecarrier/administrator may be necessary to obtain reports in a meaningful format.

Because health care accounts for the largest portion of most benefit packages you should strive to raise your performance standards as an employer by applying your business strategies to health care management. According to David W.Kempken, Executive Director of Benefits for Chrysler Corp., you should re-examine your standards for plan design, administration, communication and provider relationships with the goal of “best practices.” Nonhealth-related employee benefits, such as vacation time, sick leave, pension formulas,retirement incentives, holidays and unemployment compensation tend to remain untouched. There is literature which addresses these issues. They could save your organization quite a bit of money.

Benefits can increase productivity by meeting lifestyle and family demands in a diverse and changing work force. Daycare centers, flextime, work-at-home options, alternate leave provisions, cash options and other benefit bartering arrangements may improve worker productivity. The principle that a happy worker is a more productive worker still holds. Likewise, funding benefits that do not meet the needs of the workforce are both counterproductive and unprofitable. A U.S. Chamber of Commerce survey (March 31, 1995) cites useful benefit cost benchmarks: total benefit costs as a percentage of payroll average 41.3% nationwide. Medical benefits account for 11.1% of the total.

Employee Relations and Communications Questionnaire
This section audits programs that govern employee treatment, communications,support systems and services that encourage greater employee satisfaction,motivation and productivity.

  1. Is there one position within the organization accountable for overseeingand coordinating all employee relations and communications activities?

COMMUNICATIONS

  1. Are there policies that state the organization’s employee relationsphilosophy governing all conditions affective employees?
  2. Do these policies state expected behaviors of employees?
  3. Are these policies condensed into an employee handbook?
  4. How and to whom is the employee handbook distributed?
  5. Is the employee handbook information reviewed by legal counsel to satisfyall laws affecting employment, personnel relations, working conditions,employment at will, implied employment contracts and disclaimer issues?
  6. How frequently is it updated?
  7. Is there a formal orientation for new employees?

Are follow-up employee orientations scheduled?

  1. Are employees given the opportunity to exchange information with superiorsas well as assimilate information being transmitted from the top down?
  2. Are there forums that allow for regular interaction and informationexchanges between employees and management?

If so, briefly describe:

  1. Are there forums in which racial and ethnic minority concerns are conveyed to management with the intent of affecting positive changes?
  2. Does your organization engage in employee opinion surveys?

If yes, how frequently?

Do you communicate survey results to employees?

Is there a demonstrated commitment to introducing changes based on survey data?

EMPLOYEE TREATMENT

  1. Are employees afforded a process where both sides of a complaint areheard and a decision is rendered fairly?
  2. Are disciplinary procedures and rules of conduct explained in an employee handbook or other form of notice? (Remember, the purpose of discipline is tohave people behave in an acceptable way.)
  3. Are progressive forms of discipline expressly cited?

Are they consistently applied?

  1. Are fairly competitive employee benefit programs in place?
  2. Is there a program that provides for management and employeeparticipation in the discipline process?
  3. Are there opportunities for employee professional growth?
  4. Does the organization demonstrate, emphasize and reward leadership toensure success and satisfaction in the organization?
  5. Using a one-to-seven scale how do immediate manager practices rate interms of daily supervision and management of employees?
  6. Has the organization demonstrated reasonable employment security?
  7. Is direct compensation/pay reasonable, equitable and competitive?
  8. Are employee and team accomplishments, special efforts and contributionsrecognized in addition to direct pay?
  9. Does the organization encourage teamwork and employee involvement?

STATISTICS

  1. What is the organization’s monthly absentee rate?

Do you consider this high or low?

In what departments/areas are absences particularly high and why?

  1. What is the annual turnover rate (average position replacements peryear)?

Do you consider this high or low?

  1. Are exit interviews conducted?

By whom?

Who is given feedback from the exit interview and how is it used?

  1. Are demographics of turnover data analyzed?

How is this analysis used?

What has management done in the past two years to reduce turnover?

  1. Has the organization attempted to project future needs in terms of anincrease in working mothers, child care, single parents, elder workers, a morediverse work force, etc.?
  2. Has the organization made plans to meet its future employee relationsneeds?
  3. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department would rate theeffectiveness of the organization’s employee relations and communicationsprograms?
  4. On the same one-to-seven scale, how do you think your internal clients(other departments and employees) would rate the effectiveness of the employeerelations and communications programs?

Explanation of Employee Relations and Communications Questionnaire
    This section covers employee satisfaction. This critical aspect of humanresources management is broad in scope, complicated and difficult to measure.Since almost half of our waking hours are spent at work, an interesting andpleasant work environment is essential to retain quality employees.

The questions in this section are designed to help you understand and dealwith intangible employee relation issues. These include communication, howemployees are treated, support systems and those conditions of employmentconducive to employee satisfaction, motivation and productivity. Three majorissues are covered here: (1) communication, (2) employee treatment and (3)statistics as a gauge of employee satisfaction.

Policy statements, newsletters, bulletins, messages and information handbookshelp the employer communicate with the employee. The employer’s willingness tocommit to its philosophy in writing sets the stage for a candid dialogue. Astandard of openness displays a sense of trust. While employees may not readevery word, these communications help the employee identify with the company andits success.

Most important in this section are the responses to questions nine and ten. It is important for your organization to have scheduled an interaction with employee groups and representatives for discussion of issues of mutual concern.

How the company treats employees is certainly important to them. It is also crucial to the organization’s well-being. Bad or inconsistent treatment is the number one cause of voluntary turnover. Money can’t compensate if basic human needs, such as dignity, respect, justice and social interaction, are lacking. An increase in work hours, coupled with a decrease in the quality of work life,loyalty and security issues, is responsible for a resurgence in union membership. The unionization of white-collar employees and frontline workers is increasing, particularly in services, such as government, hospitals, insurance and financial firms. How the employees are treated should be of utmost concern to you.

Policy guidelines help managers make decisions concerning specific workplace issues. From the employer’s point of view, personnel policies and procedures which guide managers to do their jobs better are extremely valuable and help the organization achieve its objectives.

Personnel Policies/Workplace Rules Questionnaire
    Statements of guiding principles intended to translate organizational objectives and means into operational terms and help managers make decisions.

  1. Are there written procedures governing all conditions of employment andpolicies clearly stating the organization’s human resources philosophy?
  2. Are there procedures for monitoring the organization’s compliance withpersonnel laws and regulations?
  3. Are there policies and procedures published and adequately communicated?

How? (please describe)

  1. Is there one position within the organization accountable for overseeingthe development, coordination and distribution of these policies and procedures?
  2. Do these policies reflect the organization’s desire to be an “employerof choice”?
  3. Do these policies and procedures contribute toward the organization’smission and objectives?
  4. Do they balance empowerment of staff with sufficient controls to ensureachievement of the organization’s mission and objectives?
  5. Are managers guided by policy as they make decisions from hire throughseparation of employment?
  6. Are managers given the opportunity to provide input to policy draftsbefore they are formalized?
  7. If there are other rules outside the organization’s stated policies,such as Civil Service rules, are they communicated to and understood by themanagers?

If yes, does management periodically review such outside rules to see if theyreflect the organization’s current needs?

  1. Is policy consistent in purpose, background and procedures forimplementation?
  2. Are effective dates of policies cited, and do they specify any previouspolicy statements they supersede?
  3. Are all policies approved at the highest appropriate level of theorganization before being adopted?
  4. Are personnel policies condensed into an employee handbook?
  5. Is the current personnel policy manual periodically reviewed by legalcounsel to reflect new laws affecting employment, personnel relations, workingconditions, employment at will, implied contract and disclaimer issues?
  6. Are new policies that may have legal implications also reviewed by legalcounsel?
  7. Does the organization regularly assess existing policies for necessaryreplacement or amendment?
  8. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department team would rate theeffectiveness of the organization’s policies and procedures?
  9. On the same one-to-seven scale, how do you think your internal customers(other departments) would rate the effectiveness of the organization’spolicies and procedures?

Explanation of Personnel Policies/Workplace Rules Questionnaire
Personnel policies and workplace rules are intended to make organizational objectives reality. They should guide managers to do their jobs better and help them make decisions concerning workplace issues. Policies and procedures should cite their bases and resources to help managers make informed decisions.Personnel policies should also be flexible enough for managers to exercise discretion.

In a flattening organizational structure, policies and procedures can supportdelegating decisions. They should serve as a basis for managerial direction,accountability, consistent and effective behavior and compliance monitoring.

The policy manual should serve as a guide for the department to maintainaccountability for managing and delivering human resource services effectively.A balance between staff and managerial controls will ensure the most likelyachievement of the organization’s mission and objectives. Principles ofteamwork and recognition of employees’ input should be emphasized as the mostimportant components of an effective human resource philosophy.

Here is a sample human resource philosophy.

The XYZ Company recognizes that employees are its most valuable resource. Thesuccessful evolution of the organization depends on the support and performanceof all employees in achieving its stated mission. Accordingly, the XYZ Companywill strive to become an employer of choice by providing those programs andservices which support employees in the performance of their jobs, enhance thespirit of teamwork and quality of life, and provide for employee well-being fromhire through separation from XYZ Company.

Equal Employment Opportunity and Regulatory Compliance Questionnaire
    Policies and practices to ensure compliance with equal employment opportunity laws and other governmental regulations as they relate to recruitment, selection, placement, compensation and treatment of employees while enhancing the validity and effectiveness of related personnel systems.

  1. Does your organization have a stated policy covering equal employmentopportunity as well as its compliance with all applicable discrimination laws?
  2. Does your organization explicitly state its position againstdiscrimination because of:

Race?

Color?

Sex?

Religion?

Sexual orientation?

Physical/mental handicap or disability?

Age?

National origin?

Ancestry?

Marital status?

How is this policy communicated inside and outside the organization?

  1. Is there one position within the organization accountable for overseeingand coordinating EEO policies and procedures?
  2. Is there a review process to keep the organization up-to-date regardingregulatory issues and compliance?
  3. Are job openings analyzed for job-related skills, education, knowledge andability requirements?
  4. Are selection criteria based on these job-related requirements?

Can all hiring decisions be defended against these criteria?

  1. Are all tests used in the hiring process valid?
  2. Are all hiring managers trained in nondiscriminatory hiring practices?
  3. Has the employment application been reviewed to ensure that it meets allequal employment opportunity requirements?
  4. Is there an internal process for employees to register complaintsconcerning discrimination and harassment?
  5. Does your organization have an explicit policy against sexual harassment?

Has a procedure to resolve sexual harassment claims been implemented?

  1. Do you offer training to management on sexual harassment awareness andlegal requirements?
  2. Does your organization conform to all provisions of the Americans with Disabilities Act (ADA)?

Does your organization have a policy statement that prohibits discriminationagainst qualified handicapped or disabled individuals?

Do your organization’s job descriptions distinguish between thosequalifications, physical requirements, duties and responsibilities which areessential and those which are nonessential?

Are policy manuals, handbooks, recruitment notices, job postings andadvertisements consistent regarding qualified individuals with a physical ormental impairment of a major life activity?

Can disabled individuals apply for job openings and gain access to thepremises?

Is there a review process for employee restrictions and reasonable accommodation requests?

  1. If you are a Federal or State government agency, does your organizationconform to the requirement of the Veterans’ Preference Act?
  2. Does your organization have a government supplies/service contract orsubcontract of $50,000 or more in any 12-month period?

If yes, does it have an Affirmative Action Plan (AAP) in place for each ofthe organization’s establishments?

  1. Are all AAPs developed according to the Office of Federal ContractsCompliance Programs (OFCCP) guidelines, including:

Affirmative Action Plan Narrative?

Workforce Analysis?

Job Group Analysis?

Availability Analysis?

Utilization Analysis?

Goals and Timetables?

  1. Does your organization conduct a self-EEO/AAP audit on a periodic basis?
  2. Does your organization have a hiring procedure regarding the examinationof documents to verify applicant identity and authorization to work in theUnited States as spelled out in the Immigration Reform and Control Act (IRCA)?
  3. Does your organization have a Federal contract or subcontract of $25,000 or more?
  4. If yes, does your organization fulfill the following requirements of the Drug-Free Workplace Act of 1988?:

Publish a policy statement prohibiting the unlawful manufacture,distribution, possession or use of a controlled substance in the workplace andspecifying what actions will be taken against employees who violate the policy?

Provide a copy of the policy to employees working under the contract?

Provide guidance/training on policy requirements?

Have a drug/alcohol-free awareness program?

Notify employees they must, as a condition of employment, notify the employerif they are convicted of a criminal offense occurring in the workplace withinfive days after the conviction?

  1. Does your organization comply with the requirements of the OmnibusTransportation Employee Testing Act of 1991?
  2. Does your organization provide programs for drug/alcohol rehabilitation?
  3. Does your organization conform to the Family Leave Act?
  4. Does your organization comply with requirements set forth in theOccupational Safety and Health Act (OSHA)?
  5. Does your organization conform to the provisions of Employee RetirementIncome Security Act of 1974 (ERISA)?
  6. Has the organization assessed or met current and emerging legal issuesrelating to equal employment and other governmental regulations?
  7. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department would rate theorganization’s performance in the area of equal opportunity and regulatorycompliance cited above?
  8. On the same one-to-seven scale, how do you think employees would rate theorganization’s compliance performance?

Explanation of Equal Employment Opportunity and Regulatory ComplianceQuestionnaire
    Governmental regulations affect every aspect of personnel management.Regulatory compliance is one of the foremost concerns in human resources management. Knowledge of employment law provides job security to the HR professionals who specialize in this area. Human resources management literature, seminars and government publications cover these legal issues. ManyHR professionals–no matter what their specialty–have of necessity become paralegals.

Questions in this section have been designed to highlight pressing regulatory issues. Emphasis has been placed on complex issues, such as the Americans with Disabilities Act and the Drug-Free Workplace Act.

The HR department should review internal procedures that both address due process in handling complaints of discrimination and harassment and encourage training and awareness to ensure a harassment-free nondiscriminatory workplace. A qualified senior-level individual should oversee these efforts and keep top management informed of progress. Organizations that demonstrate genuine concern for EEO, affirmative action and diversity issues also resolve most claims in-house.

Legal fees and ‘no fault’ settlement awards have reached outlandishproportions. The rapid increase in claims, particularly in the sex anddisability categories, has created a backlog in the EEO Commission and forcedclaimants to initiate civil suits. Aging baby boomers who are being rapidlytrimmed from large corporations are expected to launch a new wave of legalsuits. They are more likely to have the financial resources to encourage thelegal community to aggressively pursue age discrimination claims. Increasedattention to compliance issues necessarily must include self-audits patternedafter the Office of Federal Contracts Compliance Programs (OFCCP) as publishedin the Federal Registrar and Bureau of National Affairs.

All organizations should find ways to prevent discrimination and harassmentclaims. This section of the self-audit is critical to understanding and usingregulations to enhance both prevention and in-house resolution of claims. Properjob specifications and requirements, valid testing and screening techniques,equal opportunities for all employees, consistency in employee treatment andvaluing diversity demonstrate good business management.

Training and Development Questionnaire
Programs, processes and strategies that will enable organizations to develop and improve their internal human resources in order to optimize their contributions to organizational objectives.

  1. Is there a policy that states the organization’s philosophy on employeetraining and development?
  2. Is there a position within the organization accountable for overseeing andcoordinating training and development activities?
  3. Is there a process for assessing the organization’s immediate trainingneeds and individual development needs?

If yes, how is this assessment carried out?

How often is the assessment updated?

Who participates in the assessment?

  1. Is there a process to assess the organization’s future training needs?

If yes, how is this assessment carried out?

Who participates?

How far into the future are the needs projected?

  1. Are job skills, knowledge and ability considered in assessing training needs?
  2. Are new technologies, processes, products, services, market changes and community needs considered in assessing training needs?
  3. Are organizational issues, such as mission, objectives, cultural change considered in assessing training needs?This comprehensive HR audit is a good place to start to assure your department is meeting the needs of the workforce as well as the organization.
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What to Do in a Catastrophe

stressed out employees at conference table

It is recommended that you and your Crisis Planning Committee or Crisis Management Team review these guidelines in detail. Additions and deletions should be customized to fit your corporate culture. Manuals can be developed with tabs for quick reference. We also suggest a handheld electronic version and a web-based software version for rapid access at any time.

These guidelines assume that 911 has been contacted and the “proverbial” fire alarm has been sounded. Items are not listed in priority order.

No checklist is complete because the decisions made and actions taken are a result of the progression of emerging issues. It is your responsibility to determine the order of listed actions to take and which to omit, according to the fact pattern of the incident when you first become involved.

Accidental Deaths

Immediate Action Steps

  • Have onlookers move away from the area where the deceased persons are located.
  • Ensure that no one else has been injured.
  • Notify immediate family members.
  • Assume all blood and body fluids are infectious.
  • Do not remove/move the body unless absolutely necessary.
  • Cover the body to shield it from onlookers.
  • Keep people away from any areas that may be dangerous.
  • Get names, addresses and phone numbers of witnesses.
  • Do not remove any evidence that could affect the investigation.
  • Do not ask your own employees to clean up any gruesome areas. Hire an outside janitorial service for this distressing job.
  • Assure that every object subjected to body fluids is doused with a one-part bleach to ten-parts water solution.

Unique Considerations

  • Determine if the workplace or work area will be closed/shut down followingthe incident.
  • Arrange for employees who witnessed the incident or its aftermath toreceive professional crisis mental health assistance.
  • If the dead include outsiders, like customers, contractors, etc., a determination will need to be made whether or not to assign family representatives.
  • If the decedent is an employee, OSHA will investigate. Prepare employeesto fully cooperate with the investigation.
  • If a crime is suspected, ask employees not to talk about the incidentuntil law enforcement has interviewed each witness.
  • Be aware of anyone who is blamed or scapegoated. They can be severelydistressed or even targets of hostility.
  • Expect questions about safety and fears of recurrence.
  • Funeral attendance policy and procedures will need to be communicated.

Aircraft Crash

Immediate Action Steps

  • If a business jet, verify that it is your jet through positiveidentification of the tail of the plane.
  • Obtain the names of the passengers on the manifest.
  • Verify fatalities vs. injuries.
  • Notify immediate family members.
  • Confirm the present location of wreckage.
  • Locate hospitals where victims were sent.
  • Collect ongoing updates on injured requiring hospital treatment.
  • Establish a place where family members can congregate.

    Unique Considerations

  • Send family representatives to families of casualties.
  • Consider possible criminal activity or sabotage.
  • Anticipate the involvement of NTSB and FAA in the investigation.
  • Anticipate Environmental Protection Agency (EPA) involvement if there is aspill of jet fuel.
  • If a serious crash involves senior executives, anticipate a reaction fromthe investment community.
  • Provide travel accommodations for family members who will want to travelto remote locations to be with their hospitalized loved ones.
  • Family representatives may need to go to the remote location of the crashsite.
  • Consider whether family representatives should accompany family members enroute to the site or meet them there.
  • Ensure that an adequate community outreach program is initiated, if localson the ground were affected.

Biochemical Exposure

Immediate Action Steps

  • Isolate the suspicious materials in a certified biohazard security bag (resealableplastic bags can be used as long as the items are double-bagged).
  • Immediately shut off the ventilation system to slow its spread.
  • Close and secure all doors in the area.
  • Contact local law enforcement and/or the FBI.
  • Exposed individuals should wash their hands quickly and thoroughly with abiochemical-certified antibacterial disinfectant.
  • Potentially exposed individuals should be advised not to touch eyes, face,mouth, or other body parts until they have washed their hands.
  • Remove contaminated clothing and place in large resealable bags.
  • Notify all employees, especially those who receive or handle incomingpackages, mail or similar substances to the contaminant.
  • Individuals who have apparently been exposed should be separated fromother employees and assigned to stay in a specific area. This area should beclearly identified to prevent non-exposed employees from entering if possible.
  • Potentially exposed individuals should be advised not to leave the area.
  • Immediately retrace the route of the package to identify additionalcontaminated items and areas, such as:

–Desktops

–Mail bins

–Other mail delivered at the same time as the package

–Personal items used by exposed individuals

–Items used by the exposed individuals (pens, paper, telephone, chair, phonebook, pager, computer keyboard, etc.)

–Individuals who may have come in contact with the suspicious substance,along with their contact information

–List all exposed items and notify law enforcement.

  Unique Considerations

  • Be sure to protect all suspicious package pieces, outside paper, stamps,tape and mailing labels, etc.
  • Provide education and information through a medical specialist inbiohazards.
  • Log the date and time of delivery along with the delivery personnel’sname and company.
  • Notify any delivery services whose personnel also have been exposed.
  • The affected area should remain roped or taped off until thoroughlyevaluated and/or decontaminated.
  • Your building may be closed off for several days or weeks. Make plans tocontinue business in an alternate location.

Chemical/Toxic Exposure

  Immediate Action steps

    Chemicals

  • Block off and guard the spill.
  • Ventilate or seal off the area, as appropriate.
  • Call in a specialist in chemical spills, as needed.

Toxic Exposure

  • Evaluate the risk of further exposure and consider evacuation.
  • If the worksite is to be evacuated, the evacuation route should be upwind.
  • Identify the source of the fumes, and safely stop them if you can.
  • Secure the exposed area. Tape windows and doors to contain fumes, ifnecessary.
  • Shut off all heating, cooling and ventilation systems.
  • If in a cafeteria, determine if any food may have been contaminated.
  • Assign an individual(s) to keep people out of the exposed area. Ifnecessary, have someone guard the driveways to prevent people from entering theproperty.
  • Account for all employees. Get affected visitor names, if appropriate.
  • Contact neighboring businesses and community representatives if exposurerisk exists.
  • Arrange expert clean up/repair, as needed.

Unique Considerations

  • Seek specialty medical advice and treatment.
  • Consider providing medical education/Q & A for staff, family membersand others regarding the effects of the specific exposure.
  • Prepare for lingering concerns over the potential long-term effects ofexposure.
  • Anticipate the involvement of the Environmental Protection Agency, OSHAand other regulators. Determine their needs and probable actions.

Civil Unrest

Immediate Action Steps

  • Coordinate corporate response with the appropriate embassies, securityadvisors, law enforcement and government agencies.
  • Account for all employees and their family members.
  • Many times it is better for employees and families to stay put behindclosed doors.
  • If evacuation is chosen:

–Premises only or leave the country?

–Employees should evacuate to what location(s)?

  • Organize and facilitate ongoing communications with employees and familymembers.
  • Establish a redundant communications source for backup, in case theprimary communications source is disabled or monitored.
  • Coordinate employee/family needs during emergency evacuation.
  • Communicators stay in close contact with embassies, law enforcement andgovernment agencies for approval of any statements to the public.
  • Implement board-up procedures and secure all facility openings if buildingis evacuated.

    Unique Considerations

  • Identify all prescription medication needs of employees and familymembers, so they are not separated from their medication for long.
  • Determine the safety hazards that may occur for communities and returningemployees if a worksite is left unmanned over time.
  • Identify expatriates’ homeland family members and provide ongoingcommunications to them.
  • Assign family representatives to homeland family-members.
  • Anticipate re-entry issues for returning ex-patriots.

Earthquakes

    Immediate Action steps

  • Assess any significant injuries or damage to the facilities.
  • Check for structural damage, gas leaks and electrical hazards. If needed,shut off the gas or electrical supply source.
  • If evacuation becomes necessary, exit the building away from windows,shelves and heavy objects.
  • Move employees to pre-designated areas well away from the building,exterior windows and vulnerable objects, e.g., parking-lot light poles.
  • Account for everyone. Check for those who may have been left behind.
  • Identify and prioritize those in need of medical attention.
  • Do not move any seriously injured individual(s) unless doing so isabsolutely necessary.
  • Clear driveways of debris, to allow emergency vehicles in and out.
  • Anticipate that emergency medical services may be overwhelmed and streetsimpassable. If appropriate, consider taking injured persons to the hospital.
  • Verify that hospitals are operational. Determine alternative locations formedical care, if hospitals and other treatment facilities are full orinoperable.
  • Employees will be extremely concerned about their loved ones in theaffected area. Assist them with communications ASAP, via telephone, cell phone,transportation, etc.
  • Enlist the contractors and suppliers to assist with repairs to the workfacility. Contract with them immediately, before they become overwhelmed withother requests.
  • Quickly secure providers to assist employees with home repairs, motelrooms, rental cars and other commodities that may be in high demand.

    Unique Considerations

  • Provide security measures to prevent looting.
  • Do not let anyone go back into the building unless you know its structureis sound.
  • Organize assistance for employee disaster victims whose houses weredestroyed, with food, shelter, cash, day care, transportation, etc. ì
  • Anticipate that some employees may need shelter if either they cannotreach their homes or their homes were destroyed.
  • Anticipate requests for leave to address home repairs and meet insuranceadjusters, as well as an increase in stress-related absences.
  • Ensure ongoing communications to and from employees, especially those whohave to protect and repair their property.
  • Organize less-affected employees to assist in humanitarian efforts.
  • Provide armed guards if cash is provided to employees or if suppliesprovided to employees are in high demand locally.
  • Retrieve and secure important records.

Explosion/Fire

Immediate Action steps

  • Move evacuated people away from the building and areas where there couldbe a secondary explosion.
  • If a bomb is suspected, keep employees away from vehicles, Dumpsters,etc., where additional bombs could be planted.
  • Instruct everyone to shut down the following electronic equipment, whichcould inadvertently trigger a bomb that uses a remote sensor:

–Walkie-talkies

–Cellular phones

–Two-way radios

–All other wireless two-way communication devices

  • Clear a path for emergency vehicles to enter and exit the premises.
  • Make sure all building doors are closed. Do not allow anyone to enter aburning building.
  • Provide firefighters with a blueprint of the building.
  • If arson or other crime is suspected, do not move any articles, andprotect the incident site.
  • Establish a receiving area for arriving family members.
  • If the incident exposes the neighboring community, contact localofficials.

    Unique Considerations

  • Have someone locate the nearest fire hydrant prior to the arrival offirefighters.
  • Conduct a phone tree or other method to assess the status of everyemployee. Ask them to report to a designated location the next day for amanagement-led briefing meeting (off-site, if necessary).
  • Once the fire is out:

–Beware of electrical/water and structural hazards

–Elevate valuables off the floor to reduce water damage

  • Be prepared to discuss the (real or perceived) effects of burns or toxicexposures publicly, enlisting a recognized burn unit physician and a toxicexposure specialist.

Flood

    Immediate Action steps

  • If a flood is detected in vicinity:
  • Begin sandbagging operations.
  • Obtain water contamination procedures from local officials.
  • Make sure that valuables are elevated to a level higher than theforecasted flood level.
  • Cancel all shipments, as appropriate.
  • Turn off electrical power, when appropriate.
  • Inform people to stay away from dangerous areas, e.g., contaminatedfloodwaters, unstable structures, electrical hazards, etc.
  • Provide security measures to prevent looting.
  • Anticipate and make arrangements for employees who may need shelter ifthey cannot reach their homes or if homes were destroyed.
  • If there is property damage as a result of the flood:
  • Enter the building with caution. Snakes and other animals may have enteredthe building. Electrical hazards may exist. Provide protective equipment.
  • Ensure that the electrical service is safe before turning on the power.
  • Inspect the building to assess structural damage

    Unique Considerations

  • Anticipate and arrange for the supplies and equipment you’ll need toreopen the facility.
  • Employees who come in contact with floodwaters may need tetanus shots.
  • Consider organizing assistance for the employees whose homes have sufferedsevere damage.

Kidnap and Ransom

    Immediate Action steps

  • Notify your kidnap and ransom insurer and/or hostage negotiation firm.
  • Set up a kidnap response command center, with a security plan that canensure the safety of crisis-team members, communicators, etc.
  • Establish a method to record phone calls.
  • Notify kidnapped victims’ families.

–Be cautious: Remember the possibility of a false kidnapping notification.

  • Obtain current medical history on hostages, including prescription druginformation and dates of inoculations.
  • Begin a log of all events.
  • Obtain statements from witnesses (in conjunction with law enforcement):

–Location of the kidnapping

–Vehicle used by kidnappers

–Weapons used by kidnappers

–Any other identifying information available about the kidnappers

–Any ransom note or communication from the kidnappers

–Any other eyewitnesses to the kidnapping

  • Determine if there are other potential targets for kidnapping.
  • Identify hostages from other companies, if any, and coordinate your response with their management team.

    Unique Considerations

  • Locate photographs of the hostages for the authorities.
  • Provide a hair sample sealed in an airtight container for possible DNA matching (obtained from the victims’ hairbrushes, if needed).
  • Identify the specific blood types of hostages.
  • Maintain law enforcement liaisons and embassy liaisons for two-way communications and information.
  • Provide the full names, ages and physical, medical and emotional conditions of hostages to authorities/negotiators.
  • Monitor domestic and foreign media and press reports related to the kidnapping.
  • Protect families from media encroachments.
  • Assign family representatives to family members of hostages.
  • Provide crisis mental health assistance for family members who will needassistance over the long haul.
  • Research information on the terrorist groups who are active in the area.
  • Provide available information to family members. Explain reasons forconfidentialities by negotiators/law enforcement.
  • Explain to family members how negotiations work.
  • Give family members information about the nature of the kidnappers, ifknown.
  • Prepare for the psychological needs of hostages upon release.
  • Plan the actions you will need to take, in the event that the hostages arekilled.

Shooting

    Immediate Action steps

  • Assess if the incident presents a continuing danger.
  • Obtain the physical description of the attacker, including any distinguishing characteristics.
  • Have someone remain on the line with a 911 operator if the situation isongoing.
  • Immediately dispatch company representatives to provide or assist lawenforcement with serious injury/death notification(s).
  • Thoroughly search the property and surrounding areas for any employees who may still be in hiding.
  • Law enforcement officers may give early media statements. Coordinate yourmessages with theirs.

    Unique Considerations

  • Identify witnesses for law enforcement investigation.
  • Protect the crime scene and weapon(s) from any contamination that could obstruct law enforcement investigation.
  • Call for external cleanup and repair services, as needed. Do not allow anyon-site employees to clean up a bloody crime scene. Beware of blood-borne hazards.
  • Arrange for security personnel to protect victims at the hospital, especially if further violence is possible.
  • Identify the location of victims in the hospitals—they may be admitted under an alias (standard procedure for gunshot victims).
  • Determine what to do with the desk/work area of fatally injured employee(s).

Excerpted from BLINDSIDED: A Manager’s Guide to Catastrophic Incidents inthe Workplace by Bruce T. Blythe of Crisis Management International,Inc. Published by Portfolio, a member of Penguin Putnam Inc. Copyright 2002, Bruce T.Blythe. All rights reserved.

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31 Core Competencies Explained

31 core competencies

Inflation and a national labor shortage are rapidly changing how businesses manage their workforces. Sign up for a free trial or book a call today with our Workforce Success team to find out how to prepare your business for what lies ahead.

Editor’s note: Workitect, Inc. owns the copyright to this “competency dictionary.”

The following is a summarized list of the 31 competencies listed by “cluster” (similar competencies related to a common skill set). Each competency includes a definition and the observable behaviors that may indicate the existence of a competency in a person.

I. Competencies Dealing with People

The Leading Others Cluster

1. Establishing Focus: The ability to develop and communicate goals in support of the business’ mission.

  • Acts to align own unit’s goals with the strategic direction of the business.
  • Ensures that people in the unit understand how their work relates to the business’ mission.
  • Ensures that everyone understands and identifies with the unit’s mission.
  • Ensures that the unit develops goals and a plan to help fulfill the business’ mission.

 

2. Providing Motivational Support: The ability to enhance others’ commitment to their work.

  • Recognizes and rewards people for their achievements.
  • Acknowledges and thanks people for their contributions.
  • Expresses pride in the group and encourages people to feel good about their accomplishments.
  • Finds creative ways to make people’s work rewarding.
  • Signals own commitment to a process by being personally present and involved at key events.
  • Identifies and promptly tackles morale problems.
  • Gives talks or presentations that energize groups.

 

3. Fostering Teamwork: As a team member, the ability and desire to work cooperatively with others on a team; as a team leader, the ability to demonstrate interest, skill, and success in getting groups to learn to work together.

Behaviors for Team Members

  • Listens and responds constructively to other team members’ ideas.
  • Offers support for others’ ideas and proposals.
  • Is open with other team members about his/her concerns.
  • Expresses disagreement constructively (e.g., by emphasizing points of agreement, suggesting alternatives that may be acceptable to the group).
  • Reinforces team members for their contributions.
  • Gives honest and constructive feedback to other team members.
  • Provides assistance to others when they need it.
  • Works for solutions that all team members can support.
  • Shares his/her expertise with others.
  • Seeks opportunities to work on teams as a means to develop experience, and knowledge.
  • Provides assistance, information, or other support to others, to build or maintain relationships with them.

 

Behaviors for Team Leaders

  • Provides opportunities for people to learn to work together as a team.
  • Enlists the active participation of everyone.
  • Promotes cooperation with other work units.
  • Ensures that all team members are treated fairly.
  • Recognizes and encourages the behaviors that contribute to teamwork.

 

4. Empowering Others: The ability to convey confidence in employees’ ability to be successful, especially at challenging new tasks; delegating significant responsibility and authority; allowing employees freedom to decide how they will accomplish their goals and resolve issues.

  • Gives people latitude to make decisions in their own sphere of work.
  • Is able to let others make decisions and take charge.
  • Encourages individuals and groups to set their own goals, consistent with business goals.
  • Expresses confidence in the ability of others to be successful.
  • Encourages groups to resolve problems on their own; avoids prescribing a solution.

 

5. Managing Change: The ability to demonstrate support for innovation and for organizational changes needed to improve the organization’s effectiveness; initiating, sponsoring, and implementing organizational change; helping others to successfully manage organizational change.

Employee Behaviors

  • Personally develops a new method or approach.
  • Proposes new approaches, methods, or technologies.
  • Develops better, faster, or less expensive ways to do things.

 

Manager/Leader Behaviors

  • Works cooperatively with others to produce innovative solutions.
  • Takes the lead in setting new business directions, partnerships, policies or procedures.
  • Seizes opportunities to influence the future direction of an organizational unit or the overall business.
  • Helps employees to develop a clear understanding of what they will need to do differently, as a result of changes in the organization.
  • Implements or supports various change management activities (e.g., communications, education, team development, coaching).
  • Establishes structures and processes to plan and manage the orderly implementation of change.
  • Helps individuals and groups manage the anxiety associated with significant change.
  • Facilitates groups or teams through the problem-solving and creative-thinking processes leading to the development and implementation of new approaches, systems, structures, and methods.

 

6. Developing Others: The ability to delegate responsibility and to work with others and coach them to develop their capabilities.

  • Provides helpful, behaviorally specific feedback to others.
  • Shares information, advice, and suggestions to help others to be more successful; provides effective coaching.
  • Gives people assignments that will help develop their abilities.
  • Regularly meets with employees to review their development progress.
  • Recognizes and reinforces people’s developmental efforts and improvements.
  • Expresses confidence in others’ ability to be successful.

 

7. Managing Performance: The ability to take responsibility for one’s own or one’s employees’ performance, by setting clear goals and expectations, tracking progress against the goals, ensuring feedback, and addressing performance problems and issues promptly.

Behaviors for employees

  • With his/her manager, sets specific, measurable goals that are realistic but challenging, with dates for accomplishment.
  • With his/her manager, clarifies expectations about what will be done and how.
  • Enlists his/her manager’s support in obtaining the information, resources, and training needed to accomplish his/her work effectively.
  • Promptly notifies his/her manager about any problems that affect his/her ability to accomplish planned goals.
  • Seeks performance feedback from his/her manager and from others with whom he/she interacts on the job.
  • Prepares a personal development plan with specific goals and a timeline for their accomplishment.
  • Takes significant action to develop skills needed for effectiveness in current or future job.

 

Behaviors for managers

  • Ensures that employees have clear goals and responsibilities.
  • Works with employees to set and communicate performance standards that are specific and measurable.
  • Supports employees in their efforts to achieve job goals (e.g., by providing resources, removing obstacles, acting as a buffer).
  • Stays informed about employees’ progress and performance through both formal methods (e.g., status reports) and informal methods (e.g., management by walking around).
  • Provides specific performance feedback, both positive and corrective, as soon as possible after an event.
  • Deals firmly and promptly with performance problems; lets people know what is expected of them and when.

Communication and Influencing Cluster

 

8. Attention to Communication: The ability to ensure that information is passed on to others who should be kept informed.

  • Ensures that others involved in a project or effort are kept informed about developments and plans.
  • Ensures that important information from his/her management is shared with his/her employees and others as appropriate.
  • Shares ideas and information with others who might find them useful.
  • Uses multiple channels or means to communicate important messages (e.g., memos, newsletters, meetings, electronic mail).
  • Keeps his/her manager informed about progress and problems; avoids surprises.
  • Ensures that regular, consistent communication takes place.

 

9. Oral Communication: The ability to express oneself clearly in conversations and interactions with others.

  • Speaks clearly and can be easily understood.
  • Tailors the content of speech to the level and experience of the audience.
  • Uses appropriate grammar and choice of words in oral speech.
  • Organizes ideas clearly in oral speech.
  • Expresses ideas concisely in oral speech.
  • Maintains eye contact when speaking with others.
  • Summarizes or paraphrases his/her understanding of what others have said to verify understanding and prevent miscommunication.

 

10. Written Communication: The ability to express oneself clearly in business writing.

  • Expresses ideas clearly and concisely in writing.
  • Organizes written ideas clearly and signals the organization to the reader (e.g., through an introductory paragraph or through use of headings).
  • Tailors written communications to effectively reach an audience.
  • Uses graphics and other aids to clarify complex or technical information.
  • Spells correctly.
  • Writes using concrete, specific language.
  • Uses punctuation correctly.
  • Writes grammatically.
  • Uses an appropriate business writing style.

 

11. Persuasive Communication: The ability to plan and deliver oral and written communications that make an impact and persuade their intended audiences.

  • Identifies and presents information or data that will have a strong effect on others.
  • Selects language and examples tailored to the level and experience of the audience.
  • Selects stories, analogies, or examples to illustrate a point.
  • Creates graphics, overheads, or slides that display information clearly and with high impact.
  • Presents several different arguments in support of a position.

 

12. Interpersonal Awareness: The ability to notice, interpret, and anticipate others’ concerns and feelings, and to communicate this awareness empathetically to others.

  • Understands the interests and important concerns of others.
  • Notices and accurately interprets what others are feeling, based on their choice of words, tone of voice, expressions, and other nonverbal behavior.
  • Anticipates how others will react to a situation.
  • Listens attentively to people’s ideas and concerns.
  • Understands both the strengths and weaknesses of others.
  • Understands the unspoken meaning in a situation.
  • Says or does things to address others’ concerns.
  • Finds non-threatening ways to approach others about sensitive issues.
  • Makes others feel comfortable by responding in ways that convey interest in what they have to say.

 

13. Influencing Others: The ability to gain others’ support for ideas, proposals, projects, and solutions.

  • Presents arguments that address others’ most important concerns and issues and looks for win-win solutions.
  • Involves others in a process or decision to ensure their support.
  • Offers trade-offs or exchanges to gain commitment.
  • Identifies and proposes solutions that benefit all parties involved in a situation.
  • Enlists experts or third parties to influence others.
  • Develops other indirect strategies to influence others.
  • Knows when to escalate critical issues to own or others’ management, if own efforts to enlist support have not succeeded.
  • Structures situations (e.g., the setting, persons present, sequence of events) to create a desired impact and to maximize the chances of a favorable outcome.
  • Works to make a particular impression on others.
  • Identifies and targets influence efforts at the real decision makers and those who can influence them.
  • Seeks out and builds relationships with others who can provide information, intelligence, career support, potential business, and other forms of help.
  • Takes a personal interest in others (e.g., by asking about their concerns, interests, family, friends, hobbies) to develop relationships.
  • Accurately anticipates the implications of events or decisions for various stakeholders in the organization and plans strategy accordingly.

 

14. Building Collaborative Relationships: The ability to develop, maintain, and strengthen partnerships with others inside or outside the organization who can provide information, assistance, and support.

  • Asks about the other person’s personal experiences, interests, and family.
  • Asks questions to identify shared interest, experiences, or other common ground.
  • Shows an interest in what others have to say; acknowledges their perspectives and ideas.
  • Recognizes the business concerns and perspectives of others.
  • Expresses gratitude and appreciation to others who have provided information, assistance, or support.
  • Takes time to get to know coworkers, to build rapport and establish a common bond.
  • Tries to build relationships with people whose assistance, cooperation, and support may be needed.
  • Provides assistance, information, and support to others to build a basis for future reciprocity.

 

15. Customer Orientation: The ability to demonstrate concern for satisfying one’s external and/or internal customers.

  • Quickly and effectively solves customer problems.
  • Talks to customers (internal or external) to find out what they want and how satisfied they are with what they are getting.
  • Lets customers know he/she is willing to work with them to meet their needs.
  • Finds ways to measure and track customer satisfaction.
  • Presents a cheerful, positive manner with customers.

 

II. Compentencies Dealing with Business

The Preventing and Solving Problems Cluster

16. Diagnostic Information Gathering: The ability to identify the information needed to clarify a situation, seek that information from appropriate sources, and use skillful questioning to draw out the information, when others are reluctant to disclose it

  • Identifies the specific information needed to clarify a situation or to make a decision.
  • Gets more complete and accurate information by checking multiple sources.
  • Probes skillfully to get at the facts, when others are reluctant to provide full, detailed information.
  • Routinely walks around to see how people are doing and to hear about any problems they are encountering.
  • Questions others to assess whether they have thought through a plan of action.
  • Questions others to assess their confidence in solving a problem or tackling a situation.
  • Asks questions to clarify a situation.
  • Seeks the perspective of everyone involved in a situation.
  • Seeks out knowledgeable people to obtain information or clarify a problem.

 

17. Analytical Thinking: The ability to tackle a problem by using a logical, systematic, sequential approach.

  • Makes a systematic comparison of two or more alternatives.
  • Notices discrepancies and inconsistencies in available information.
  • Identifies a set of features, parameters, or considerations to take into account, in analyzing a situation or making a decision.
  • Approaches a complex task or problem by breaking it down into its component parts and considering each part in detail.
  • Weighs the costs, benefits, risks, and chances for success, in making a decision.
  • Identifies many possible causes for a problem.
  • Carefully weighs the priority of things to be done.

 

18. Forward Thinking: The ability to anticipate the implications and consequences of situations and take appropriate action to be prepared for possible contingencies.

  • Anticipates possible problems and develops contingency plans in advance.
  • Notices trends in the industry or marketplace and develops plans to prepare for opportunities or problems.
  • Anticipates the consequences of situations and plans accordingly.
  • Anticipates how individuals and groups will react to situations and information and plans accordingly.

 

19. Conceptual Thinking: The ability to find effective solutions by taking a holistic, abstract, or theoretical perspective.

  • Notices similarities between different and apparently unrelated situations.
  • Quickly identifies the central or underlying issues in a complex situation.
  • Creates a graphic diagram showing a systems view of a situation.
  • Develops analogies or metaphors to explain a situation.
  • Applies a theoretical framework to understand a specific situation.

 

20. Strategic Thinking: The ability to analyze the organization’s competitive position by considering market and industry trends, existing and potential customers (internal and external), and strengths and weaknesses as compared to competitors.

  • Understands the organization’s strengths and weaknesses as compared to competitors.
  • Understands industry and market trends affecting the organization’s competitiveness.
  • Has an in-depth understanding of competitive products and services within the marketplace.
  • Develops and proposes a long-term (3-5 year) strategy for the organization based on an analysis of the industry and marketplace and the organization’s current and potential capabilities as compared to competitors.

 

21. Technical Expertise: The ability to demonstrate depth of knowledge and skill in a technical
area.

  • Effectively applies technical knowledge to solve a range of problems.
  • Possesses an in-depth knowledge and skill in a technical area.
  • Develops technical solutions to new or highly complex problems that cannot be solved using existing methods or approaches.
  • Is sought out as an expert to provide advice or solutions in his/her technical area.
  • Keeps informed about cutting-edge technology in his/her technical area.

 

The Achieving Results Cluster

22. Initiative: Identifying what needs to be done and doing it before being asked or before the situation requires it.

  • Identifying what needs to be done and takes action before being asked or the situation requires it.
  • Does more than what is normally required in a situation.
  • Seeks out others involved in a situation to learn their perspectives.
  • Takes independent action to change the direction of events.

 

23. Entrepreneurial Orientation: The ability to look for and seize profitable business opportunities; willingness to take calculated risks to achieve business goals.

  • Notices and seizes profitable business opportunities.
  • Stays abreast of business, industry, and market information that may reveal business opportunities.
  • Demonstrates willingness to take calculated risks to achieve business goals.
  • Proposes innovative business deals to potential customers, suppliers, and business partners.
  • Encourages and supports entrepreneurial behavior in others.

 

24. Fostering Innovation: The ability to develop, sponsor, or support the introduction of new and improved method, products, procedures, or technologies.

  • Personally develops a new product or service.
  • Personally develops a new method or approach.
  • Sponsors the development of new products, services, methods, or procedures.
  • Proposes new approaches, methods, or technologies.
  • Develops better, faster, or less expensive ways to do things.
  • Works cooperatively with others to produce innovative solutions.

 

25. Results Orientation: The ability to focus on the desired result of one’s own or one’s unit’s work, setting challenging goals, focusing effort on the goals, and meeting or exceeding them.

  • Develops challenging but achievable goals.
  • Develops clear goals for meetings and projects.
  • Maintains commitment to goals in the face of obstacles and frustrations.
  • Finds or creates ways to measure performance against goals.
  • Exerts unusual effort over time to achieve a goal.
  • Has a strong sense of urgency about solving problems and getting work done.

 

26. Thoroughness: Ensuring that one’s own and others’ work and information are complete and accurate; carefully preparing for meetings and presentations; following up with others to ensure that agreements and commitments have been fulfilled.

  • Sets up procedures to ensure high quality of work (e.g., review meetings).
  • Monitors the quality of work.
  • Verifies information.
  • Checks the accuracy of own and others’ work.
  • Develops and uses systems to organize and keep track of information or work progress.
  • Carefully prepares for meetings and presentations.
  • Organizes information or materials for others.
  • Carefully reviews and checks the accuracy of information in work reports (e.g., production, sales, financial performance) provided by management, management information systems, or other individuals and groups.

 

27. Decisiveness: The ability to make difficult decisions in a timely manner.

  • Is willing to make decisions in difficult or ambiguous situations, when time is critical.
  • Takes charge of a group when it is necessary to facilitate change, overcome an impasse, face issues, or ensure that decisions are made.
  • Makes tough decisions (e.g., closing a facility, reducing staff, accepting or rejecting a high-stakes deal).

 

III. Self-Management Competencies

28. Self Confidence: Faith in one’s own ideas and capability to be successful; willingness to take an independent position in the face of opposition.

  • Is confident of own ability to accomplish goals.
  • Presents self crisply and impressively.
  • Is willing to speak up to the right person or group at the right time, when he/she disagrees with a decision or strategy.
  • Approaches challenging tasks with a “can-do” attitude.

 

29. Stress Management: The ability to keep functioning effectively when under pressure and maintain self control in the face of hostility or provocation.

  • Remains calm under stress.
  • Can effectively handle several problems or tasks at once.
  • Controls his/her response when criticized, attacked or provoked.
  • Maintains a sense of humor under difficult circumstances.
  • Manages own behavior to prevent or reduce feelings of stress.

 

30. Personal Credibility: Demonstrated concern that one be perceived as responsible, reliable, and trustworthy.

  • Does what he/she commits to doing.
  • Respects the confidentiality of information or concerns shared by others.
  • Is honest and forthright with people.
  • Carries his/her fair share of the workload.
  • Takes responsibility for own mistakes; does not blame others.
  • Conveys a command of the relevant facts and information.

 

31. Flexibility: Openness to different and new ways of doing things; willingness to modify one’s preferred way of doing things.

  • Is able to see the merits of perspectives other than his/her own.
  • Demonstrates openness to new organizational structures, procedures, and technology.
  • Switches to a different strategy when an initially selected one is unsuccessful.
  • Demonstrates willingness to modify a strongly held position in the face of contrary evidence.

©2020, Workitect, Inc. All rights reserved. No part of this list of competencies may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise without prior written permission from Workitect, Inc. (Contact edward.cripe@workitect.com)

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Sample Job Description HR Manager

Human Resources Manager

Reports To:

Summary
Develops policy and directs and coordinates human resources activities, such as employment, compensation, labor relations, benefits, training, and employee services by performing the following duties.

HR manager responsibilities
An HR manager’s responsibilities are varied and wide-ranging.

Essential Duties and Responsibilities

  • Analyzes wage and salary reports and data to determine competitive compensation plan.
  • Writes directives advising department managers of Company policy regarding equal employment opportunities, compensation, and employee benefits.
  • Consults legal counsel to ensure that policies comply with federal and state law.
  • Develops and maintains a human resources system that meets top management information needs.
  • Oversees the analysis, maintenance, and communication of records required by law or local governing bodies, or other departments in the organization.
  • Oversees the administration of Workforce Management Software.
  • Identifies legal requirements and government reporting regulations affecting human resources functions and ensures policies, procedures, and reporting are in compliance. Studies legislation, arbitration decisions, and collective bargaining contracts to assess industry trends.
  • Writes and delivers presentations to corporate officers or government officials regarding human resources policies and practices.
  • Recruits, interviews, tests, and selects employees to fill vacant positions.
  • Plans and conducts new employee orientation to foster positive attitude toward Company goals.
  • Keeps records of benefits plans participation such as insurance and pension plan, personnel transactions such as hires, promotions, transfers, performance reviews, and terminations, and employee statistics for government reporting.
  • Coordinates management training in interviewing, hiring, terminations,promotions, performance review, safety, and sexual harassment.
  • Advises management in appropriate resolution of employee relations issues.
  • Responds to inquiries regarding policies, procedures, and programs.
  • Administers performance review program to ensure effectiveness, compliance,and equity within organization. Administers salary administration program to ensure compliance and equity within organization.
  • Administers benefits programs such as life, health, and dental insurance,pension plans, vacation, sick leave, leave of absence, and employee assistance.
  • Investigates accidents and prepares reports for insurance carrier.Coordinates Safety Committee meetings and acts as Safety Director.
  • Conducts wage surveys within labor market to determine competitive wage rate.
  • Prepares budget of human resources operations.
  • Prepares employee separation notices and related documentation, and conducts exit interviews to determine reasons behind separations.
  • Prepares reports and recommends procedures to reduce absenteeism and turnover.
  • Represents organization at personnel-related hearings and investigations.
  • Contracts with outside suppliers to provide employee services, such as temporary employees, search firms, or relocation services.

Also read: How technology fits into an HR manager’s job description

Supervisory Responsibilities
Provides management direction and counseling. Supervises clerical assistant and temporary staffing as needed.
Qualifications
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations maybe made to enable individuals with disabilities to perform the essential functions.
Education and/or Experience
Bachelor’s degree (B.A.) from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.
Language Skills
Ability to read, analyze, and interpret the most complex documents. Ability to respond effectively to the most sensitive inquiries or complaints. Ability to write speeches and articles using original or innovative techniques or style.Ability to make effective and persuasive speeches and presentations on controversial or complex topics to top management, public groups, and/or boards of directors.
Mathematical Skills
Ability to work with mathematical concepts such as probability and statistical inference, and fundamentals of plane and solid geometry and trigonometry. Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations.
Reasoning Ability
Ability to apply principles of logical or scientific thinking to a wide range of intellectual and practical problems. Ability to deal with nonverbal symbolism (formulas, scientific equations, graphs, etc.,) in its most difficult phases. Ability to deal with a variety of abstract and concrete variables.
Certificates, Licenses, Registrations
PHR or SPHR certification preferred.
Physical Demands
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing the duties of this job, the employee is regularly required to sit; use hands to finger, handle, or feel; reach with hands and arms; and talk or hear. The employee is occasionally required to stand and walk. The employee must frequently lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision, distance vision, depth perception, and ability to adjust focus.
Work Environment
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The information contained here is intended to provide useful information on the topic covered, but should not be construed as legal advice or a legal opinion.

Reprinted with permission from “Exhibit Books of PositionDescriptions,” Watson Wyatt Data Services. For more information, visit www.wwdssurveys.com or call (201) 843-1177 and ask for Customer Service.

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The New Thinking in Performance Appraisals

human resource management

The performance appraisal was once the unquestioned way of doing things, the familiar ritual in which employees and managers sat down for an annual evaluation. If the employees were lucky, they walked away with raises, often tied to a ranking on some sort of rigid numerical scale. Nobody really liked it,but in the old command-and-control style of organizational leadership, this seemed like a perfectly appropriate model for measuring performance.

performance appraisals
Some 32 percent of the HR professionals surveyed indicated that they were unsatisfied orvery unsatisfied with their organizations’ performance-management systems.

But today, with the widespread emphasis on teamwork, shared leadership, and an ongoing struggle to find and retain qualified employees, it’s a model that is falling increasingly out of favor, says Fred Nickols, a senior consultant with The Distance Consulting Company in Robbinsville, New Jersey.

In a recent survey conducted jointly by the Society for Human Resource Management and Personnel Decisions International 32 percent of the HR professionals surveyed indicated that they were “unsatisfied” or”very unsatisfied” with their organizations’ performance-management systems. They cited deficiencies in leadership development, coaching, 360-degree feedback, and development planning. Twenty-two percent said that the greatest challenge they face is a lack of support from top management. Forty-two percent of the organizations that participated reported that executives do not even bother to review the performance-management systems that are currently in place.

If companies don’t do annual performance reviews, however, what will take their place? More and more, organizations are turning to systems of performance management. That is what Nickols advocated in 1997 with his provocatively titled article, “Don’t Redesign Your Company’s Performance Appraisal System, Scrap It!” (Corporate University Review, May-June, 1997). Recently, authors Tom Coens and Mary Jenkins have devoted a book to the subject: Abolishing Performance Appraisals: Why They Backfire And What to do Instead (Berrett-Koehler December 2000), which is full of examples of companies that scrapped traditional performance-appraisal systems.

And although Nickols, Coens and Jenkins advocate an end to performance appraisals, that’s just the beginning of performance management. It rests on the following basic principles, according to Nickols:

  • Goals should be set and agreed upon by both the manager and the employee.
  • Metrics for measuring the employee’s success in meeting those goals shouldbe clearly articulated.
  • The goals themselves should be flexible enough to reflect changing conditions in the economy and the workplace.
  • Employees should be able to think of their managers as coaches who are there not to pass judgment, but to help them achieve success.

The “what to do instead” in Coens and Jenkins’ book is nothing less than a “whole cultural shift” in an organization, said Coens, an organizational trainer, employment law attorney, and educator in human resources.

Instead of measuring employees’ performance and pointing out where they fall short, organizations will achieve more results by finding ways to fine-tune and improve their systems. So, rather than have hotel management ding a desk clerk in an annual review for being too slow in processing the check-outs of departing guests, it would be more productive to set up an express check-out system.

Jenkins and Coens cite several case studies in which organizations dumped traditional performance appraisals in favor of performance management processes that “decoupled” everything that is packed into the typical review:coaching, feedback, compensation and promotion decisions, and legal documentation:

  • The 500-person Madison, Wisconsin, Police Department stopped doing traditional appraisals for all but probationary officers in 1989-1990, replacing them with a system of individual goal-setting,leadership-training, and employee involvement that extends to officers choosing which sergeants they want to work with, sergeants choosing lieutenants and so on.A U.S. Department of Justice study of 12 metropolitan police departments found Madison police to be the highest in satisfaction level among citizens, for both white and non-white communities. Each year,the department receives more than 1,000 applications for the department’s two dozen openings.
  • University of Wisconsin Credit Union, also located in Madison, replaced its appraisal system with an array of elective, flexible, coaching tools and formats. The result has been improved employee satisfaction and a dramatic reduction in turnover, Coens said.

The argument against traditional performance appraisals also was persuasiveenough to get the attention of Bruce Mallory, vice president of financial services for SELCO Credit Union in Eugene, Oregon.

After contacting Nickols, SELCO scrapped the credit union’s entire performance appraisal system. Instead of using a complex set of matrices to determine raises for SELCO’s 200 employees, they opted to give individual managers a pool of money to work with every year. The managers could then award bonuses and raises as they saw fit. And instead of using a formal appraisal system to measure performance, managers were simply told that they had to sit down with the individual members of their teams and have face-to-face conversations on a regular basis. Four years after implementing this system, Mallory’s only regret is that SELCO didn’t try it sooner.

Today, managers just need to document that they have in fact had regular conversations with their employees. If there are problems, managers are expected to make note of it. This creates the paper trail that will support any eventual disciplinary action or termination. “We figure that we’ve saved at least$350,000 in time spent alone,” he says. “It doesn’t mean that we’re spending any less time with the people. But it’s time better spent. It’s managing people differently, rather than managing the paper flow.”

Part of that difference is the assessment cycle. It used to be based on date of hire, but Jane Weizmann, senior consultant for Watson Wyatt Worldwide, says it makes more sense to synchronize it with the organization’s business calendar.”From the business’s point of view, you want to be sure that you line up your needs with the employees’ needs. And you want to make sure that you define the relationship between the two.”

Workforce, May 2001, pp. 36-40— Subscribe Now!

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Employee Evaluation Checklist

lunch at work

Supervisor’s Evaluation Checklist of Employees

Name of Employee:
Title:
Date:
Supervisor Name:
Supervisor Title:

Please rate employee accordingly:

Relationswith Others: Attitude-Applicationto Work:
_Exceptionally well accepted
_ Works well with others
_ Gets along satisfactorily
_ Some difficulty working withothers
_ Works very poorly with others
_ Unable to communicate		 _Outstanding in enthusiasm
_ Very interested and industrious
_ Average in diligence
_ Somewhat indifferent
_ Unable to evaluate
Judgment: Dependability:
_Exceptionally mature
_ Above average in makingdecisions
_ Usually makes the right decision
_ Often uses poor judgment
_ Consistently uses poor judgment
_ Unable to evaluate		 _Completely dependable
_ Above average dependability
_ Usually dependable
_ Sometimes neglectful or careless
_ Unreliable
_ Unable to evaluate
Abilityto Learn: Qualityof Work:
_Learns very quickly
_ Learns readily (minimalsupervision)
_ Average in learning
_ Rather slow to learn
_ Very slow to learn
_ Unable to evaluate		 _Excellent
_ Very good
_ Average
_ Below Average
_ Very poor
_ Unable to evaluate
ServesClients/Customers: Workswith Diversity:
_Extremely attuned to needs of clients
_ Very supportive, enthusiastic
_ Satisfactory
_ Inconsistent
_ Unable to evaluate		 _Excellent awareness/respect for cultural differences
_ Recognition of standards otherthan his/her own
_ Needs improvement
_ Lack of willingness to acceptothers
Negotiating/ProblemSolving Ability:
Punctuality:
_ Regular
_ Irregular
Attendance:
_ Regular
_ Irregular
_Excellent use of resources
_ Clearly identifiesproblems/solutions
_ Listens and provides support
_ Unable to independently resolveconflict
_ Unable to evaluate

Using the scale provided, please check theperformance category which best describes the employee’s overall performance:

_ Outstanding
_ Exceeded expectations
_ Met all performance standards
_ Met some performance standards
_ Substantially below normal expectations

Indicate any particularstrengths/weaknesses you feel this employee possesses:

 

 

Describe what you feel the employee haslearned during this experience, and what personal or professional growth he/shehas demonstrated:

 

 

Make any comments regarding the workexperience you feel is appropriate:

 

 

If there were a position available,would you consider hiring this person as a full-time employee?

 

 

This report has been discussed with theemployee: _ Yes  _ No

 

Used with permission from the ManchesterCommunity-Technical College, Manchester, CT, 06045-1046, 860/647-6077.January 19, 2001

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Sample Performance Review for Non-exempt Employees

performance measurement, performance appraisal

This form must be written in ink or typewritten

 

PERFORMANCE REVIEW AND EVALUATION

Name:
Position:

Location:
Department:

 

 

This review covers the period from __________to __________

The performance review and evaluation process requires the supervisor to do the following:

    1. Clearly establish the areas of responsibility for the job.
    2. Establish expectations, standards or objectives for the work to be done during the next review period.
    3. Periodically review progress with the subordinate concerning how well expectations were met. Maintain on-going documentation of performance.
    4. Annually review and evaluate performance.

The key to this process is clear communication between the supervisor and subordinate.

The objective of the entire process is to ensure that all employees understand:

    1. What they are to do;
    2. What the standards are by which they will be measured;
    3. How they are progressing; and
    4. What their evaluation is at the end of the review period.

Document the employee’s performance and select a rating (1-4, defined at the bottom of this document) for factors listed below:

 

Quality of Work — Consider the accuracy, thoroughness, and neatness of work performed.

_____________________________

_____________________________

_____________________________

_____________________________

 

Productivity — Consider the amount and timelines of satisfactory work completed and whether the employee consistently meets established or reasonable deadlines.

_____________________________

_____________________________

_____________________________

_____________________________

 

Interpersonal Skills — Consider the employee’s ability to work cooperatively with others, resolve conflict, and help others. Also consider customer relations, telephone technique, etc.

_____________________________

_____________________________

_____________________________

_____________________________

 

Dependability — Consider the reliability and consistency of the employee’s work. Also, consider the employee’s attendance record.

_____________________________

_____________________________

_____________________________

_____________________________

 

Initiative — Consider the exercise of independent judgment and innovation within the employee’s limits of authority and the amount of supervision required.

_____________________________

_____________________________

_____________________________

_____________________________

 

Job Knowledge — Consider the extent to which the employee understands and applies his/her knowledge of the techniques, methods, and skills involved in the job.

_____________________________

_____________________________

_____________________________

_____________________________

 

PERFORMANCE RATING DEFINITIONS

  1. CLEARLY OUTSTANDING: Clearly exceeds, by a significant degree, most of the major requirements of the job, while maintaining fully satisfactory performance in the remaining duties. Performance results are clearly outstanding. Employee regularly assumes additional responsibilities beyond those which are required. This rating usually including the top 10% of the workforce.

 

  • ABOVE EXPECTATIONS:

 

    Usually exceeds, by a significant degree, some of the major requirements of the job while maintaining fully satisfactory performance in the remaining duties. Employee often assumes additional responsibilities beyond those which are required.

 

  • MEETS EXPECTATIONS:

 

    Consistently meets and occasionally exceeds the requirements of the job. Performance results are satisfactory in all aspects of the job.

 

  • NEEDS IMPROVEMENT:

 

    Usually meets most of the job requirements; but improvement is needed in one or more phases of the job. Results are less than normally expected. When this rating is a warning that the employee’s job is in jeopardy if performance continues at the current level, Human Resources will be involved in preparing an Improvement Plan.

Discuss any other factors which relate to the employee’s work performance, such as significant accomplishments, critical incidents, or necessary improvements:

_____________________________

_____________________________

_____________________________

_____________________________

 

Overall Evaluation — Select one overall rating which best describes the employee’s performance throughout the review period considering the ratings and commentary throughout the above document.

Clearly Outstanding
Above Expectations
Meets Expectations
Needs Improvement

 

INDIVIDUAL DEVELOPMENT

 

What are this employee’s strongest skills and abilities?

_____________________________

_____________________________

_____________________________

_____________________________

What development action(s) will be needed to maintain or improve current performance? Also, what action(s) will help prepare the employee for future job assignments?

 

Development Objective

 

 

 

 

Action/Anticipated

 

 

 

 

Completion Date

 

 

 

 

Appraised by
Date

Reviewed by
Date

Employee Comments:

_____________________________

_____________________________

_____________________________

_____________________________

Employee:
Date

(Employee signature does not necessarily signify agreement with the evaluation, but that the evaluation has been discussed with the supervisor.)

The information contained in this article is intended to provide useful information on the topic covered, but should not be construed as legal advice or a legal opinion.