5 tips for hr policies

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30610360

SPECIAL REPORT

5 TipsFor CreatingHR Policies

That Will Hold UpIn Court


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30610300

SPECIAL REPORT

5 TipsFor CreatingHR Policies

That Will Hold UpIn Court


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5 Tips for Creating HR Policies That Will Hold Up in Court


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Business & Legal Reports, Inc. 30610300

Table of Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

HR Policies: Exhibit A in Many Employment Claims . . . . . . . . . . . . . . . . . . . . . . . . . .1

Tip 1: Be Aware (and Beware) of State Laws . . . . . . . . . . . . . . . . . . . . . . . .2Antidiscrimination Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

Leaves of Absence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

Wage-Hour Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3

Follow the Checklistand Check Again . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Tip 2: Make a Policy, Not a Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

What the Courts Say . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4

Include a Disclaimer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

Beware of the Supervisors Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

How to Maintain an Employment-at-Will Relationship . . . . . . . . . . . . . . . . . . . . . . . .5How to Avoid Legalese . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Tip 3: Train Supervisors and Employees . . . . . . . . . . . . . . . . . . . . . . . . . .7

Policy Training for Legal Compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7

Additional Training Your Company Should Provide . . . . . . . . . . . . . . . . . . . . . . . . .10

Training New Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10

Training Managers and Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

Tips for Policy Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11

Tip 4: Coordinate Your Policy Manual with Other Existing Manuals . . . .12

Employee Handbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12The Purpose of the Policy Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .13

Tip 5: Keep Your Manual Up to Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

How to Keep It All Straight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .14

Policy Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

Policy Topic Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

Sample Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21


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Introduction

Most policies are a natural outgrowth of the decision-making process. A managerconfronting a situation or problem for the first time surveys the facts and makes adecision or issues an order that he or she feels is appropriate. While this decision

may not present any problems in the short run, it could lead to complicationslater on. A similar situation arises later, but under slightly or quite different circum-stances. The manager who must make the decision this time around has to revisethe original to fit these changed circumstances. After a period of time, you havemany supervisors and managers making totally different decisions in the samearea while believing that they are adhering to company policy.

Most policies arise, therefore, out of past practicesgood or bad, fair or unfair.Even in companies where a policy manual does exist, these past practices cancontinue to influence managerial decisions. In other words, they cant be ignored.

The best policies:

N Develop out of the best decisions of the past.N Incorporate the careful thought, good judgment, and valuable experience of

all the managers who have been confronted with problems or decisions in aparticular policy area.

N Weed out the irrational, illogical, and unfair decisions that have contributed tounequal treatment.

Most important of all, a good policy is a natural outgrowth of the companys man-agement philosophy and overall objectives. It helps management steer the organi-zation in the direction that has been set for it and avoid legal challenges based onpolicies, written or unwritten.

HR Policies:Exhibit A in Many Employment Claims

If you have been involved in an employment claim against your organization, youknow that very often, an employees claim is based on a company policy, written,or unwritten, and the complaint that the employer deviated from that policy, to theemployees detriment. The policy then becomes Exhibit A in the employees case,to be dissected and applied as the standard to which the employermustfollow.

So, how do you ensure that your policies will make good exhibits foryourdefense? How do you best ensure that your HR policies will hold up in court? The

answer lies in several places, discussed in this report.

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Tip 1: Be Aware (and Beware) ofState Laws

Despite all their good points, employee handbooks may create legal liabilityissues when a handbook policy runs counter to state-law mandate. Many employ-ers are caught in lawsuits where the employer policy complied with federal laws,but neglected to consider the impact of relevant state laws. In such cases, employ-ers find themselves on the losing end of a lawsuit, often facing stiff penalties. Inorder to avoid this hazard, handbook policies must be written within the contextof both federal and state laws governing employment.

There are countless ways in which state and federal law overlap and diverge.However, there are a few key areas that employers can focus on to avoid policy-related missteps. Those areas: antidiscrimination laws, family leave and other leavelaws, and wage-hour laws are discussed in more detail here.

Antidiscrimination Laws

The federal antidiscrimination laws, Title VII of the Civil Rights Act, the AgeDiscrimination in Employment Act (ADEA), the Americans with Disabilities Act(ADA), and the Uniformed Services Employment and Reemployment Rights Act(USERRA), protect employees in organizations with 15 or more employees (TitleVII and ADA), 20 or more employees (ADEA), or regardless of employer size(USERRA). In comparison, most states have established antidiscrimination lawsthat cover employers with anywhere from one employee (e.g., Alaska, Colorado,and Michigan) to 12 employees (e.g., West Virginia). As a result, employers who arenot covered by federal antidiscrimination statutes are often covered under their

state laws. Employers covered under state, but not federal antidiscrimination lawsare still well served by having an established, written antidiscrimination policy. Tosee a sample antidiscrimination policy, refer to theAppendix to this report.

Protected classes. Under federal antidiscrimination law employees are pro-tected because of sex, race, ethnicity, age, national origin, disability, and service inthe armed services. A majority of states have moved to expand the protectedclasses of employees, adding sexual orientation, and gender identity to the list(e.g., Illinois, Maine, and Washington), as well as use of lawful products (smoking)(e.g., California, Colorado, and Connecticut), genetic discrimination, HIV/AIDs andsickle cell trait testing (e.g., Arizona, Iowa, Kentucky, Maine, and New Mexico, justto name a few). States have also legislated protections for employees based on

the employees arrest, conviction, and military records (e.g., California, District ofColumbia, and Michigan), and marital status (e.g., Alaska, Illinois, Montana, andNebraska). Employers in those states must consider the expanded list of employeeprotections when crafting antidiscrimination policies.

Making federal rights broader. Some state legislators have opted to build onexisting federal law and broaden the rights granted to employees. For example, arecent trend in the states is to take the federal USERRA, a law granting protection

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to employees in the military reserve and the National Guard, and expand thoserights. For example, states have elected to expand the amount of time a returningemployee has to request reemployment, and the length of time an employeereceives protection from discharge after he or she has been reinstated.

Leaves of Absence

To date, 10 states and the District of Columbia have adopted state-specific FMLA-type laws. Those states, California, Connecticut, District of Columbia, Hawaii, Maine,New Jersey, Oregon, Rhode Island, Vermont, Washington, and Wisconsin, have lawsthat generally follow the federal FMLA, with a few exceptions critical to employersin those states. For example, Connecticut allows for 16 weeks of protected familyleave in a 24-month period (versus 12 weeks in a 12-month period under FMLA).

In addition, many states have adopted medical leave provisions for organ andbone marrow donation and blood donation (e.g., Arkansas, Connecticut, Illinois,Minnesota, and New York), leave for crime victims (e.g., California, Colorado, andOregon), and leave for school visitation or other family obligations (e.g., Illinois,California, North Carolina, and Vermont). Familiarity with your states family andmedical leave provisions is critical to properly forming leave policies and grantingand denying leave requests. To see a sample family leave policy, refer to the

Appendix to this report.

Wage-Hour Provisions

The federal Fair Labor Standards Act (FLSA), which regulates hours of work,established minimum wage requirements and overtime requirements, is oftensupplemented by state laws regarding minimum wage, overtime, and meal orbreak periods. For example, 17 states and the District of Columbia currently haveminimum wage rates that exceed the federal rate of $5.15 per hour.These states

minimum wage rates range from $5.70/hour in Wisconsin (until June 1, 2006,when the state rate increases to $6.50/hour) to $7.63 in Washington state.

Overtime. Many states have also chosen to diverge from the federal minimumovertime requirements for all hours worked in excess of 40 hours per week. Forexample, Alaska state law requires overtime for hours worked in excess of 8 hoursper day, and Colorado requires that overtime be paid for any hours worked inexcess of 12 hours in one day. Some states have legislated overtime requirements forspecific industries in which overtime is frequent. For example, in New York, all hoursworked by resort employees on the seventh consecutive workday are paid at anovertime rate. To see a sample overtime policy, refer to theAppendix to this report.

Meal or Break Periods. The federal FLSA does not regulate meal or break peri-ods. As a result, many states have stepped in and created their own rules governingpay during meals and other breaks. State provisions usually specify the number ofhours that an employee must work to qualify for a break. Some states vary the typeand length of break, depending on the type of employee or the work being done.For example, in Illinois, adult employees are granted 20 minute breaks, minors get30 minutes, and hotel attendants get 30 minutes, regardless of age.

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Follow the Checklistand Check Again

As you review your policy manual, remember that not only are you responsible forthe various types of policies that apply to your workplace (see theAppendix tothis report for a checklist of policy topics), but you are also responsible for com-pliance with applicable state and federal law. If both state and federal laws applyto the policy, remember that the rule most beneficial to the employee should befollowed.

Tip 2: Make a Policy, Not a Contract

In addition to discrimination, compensation, and other employment-related statutes,employers must be concerned about whether their manual creates a contractualobligation that will be enforced by the courts. Depending on the specific facts of acase, state courts throughout the country have ruled that wording in employee

handbooks may in some circumstances create a contract between employer andemployee. In this climate, you must treat your handbook as a quasilegal document,and for this reason, it is best to seek an attorneys advice in drafting the language.

What the Courts Say

Established case law illustrates that guarantees, implied promises, and imperativestatements found in employee handbooks may get an employer in trouble. Somecourts have found that an employee handbook creates a contract if:

N Its terms are definite enough to create an offer of employment.

N The handbooks terms are communicated to and accepted by the employee.

N The employee has continued working for the employer.

In light of these and many similar decisions, employers writing any provision inan employee handbook should always assume that the provision is legally bind-ing on the employer (in other words, that it is a contract). This is not always thecase, but there is a growing trend toward this view. Before you say it, review it care-fully and make sure you mean it. If you dont, write in a way that will allow you todeviate from the policy. These considerations are particularly important whendealing with any employment-at-will issues (discussed later in this section).

Include a Disclaimer

A disclaimer is a statement that, in this case, makes it clear that you do not intendto have the handbook construed as a contract. A clear and conspicuous dis-claimer statement may provide a strong defense to many breach of contractcharges. The disclaimer should be prominently featured in the handbook andwritten in large or boldface type.



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To be effective, a disclaimer should include the following:

N Nothing in the handbook is to be construed as a contract.

N Employment is at the will of the employer, and either the employer or theemployee may at any time terminate the employment relationship with orwithout cause.

N Written or oral statements made to the employee are not to be interpretedin any way that alters the at-will relationship.

N Disciplinary procedures in the handbook are advisory and not binding onthe employer.

N Disciplinary procedures may be adjusted or modified at the discretion ofthe employer.

N The employer may change any terms or conditions of employment, whether theseare stated in the handbook or are established through employment practices.

N These terms and conditions may be altered in writing only and signed byspecified officers of the organization, e.g., the president.

Get signatures. All workers should be asked to sign an acknowledgment thatthey have received and understand the new handbook and notice, and theacknowledgment should be placed in each employees personnel file.

Beware of the Supervisors Manual

As discussed earlier, employers may find that they have a contract without intend-ing one. This is usually the result of a court interpreting statements that are madein an employee handbook as promises.

However, more often courts have found that a manual meant only for supervisors,which is not intended to be seen by nonsupervisory employees, cannot be thebasis for a contract action. See

Orback et al. v. Hewlett-Packard,97 F.3rd 429 (10th

Cir. 1996). Of course, if the policies contained in the manual are followed consis-tently, courts may construe them as binding. Also, a few states have passed lawsthat make employment promises or consistently followed practices and proce-dures de facto contracts, binding on the employer.

Tip:

A supervisors policy manual should stateclearly that it is meant for supervisors andnot for others.

How to Maintain an Employment-at-WillRelationship

If you want to maintain an employment-at-will relationship, consider the following:

N Discipline. Eliminate statements that you will follow disciplinary proceduresin all cases.

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N Discharge. Eliminate statements that you will only fire employees for certainwrongdoing.

N Specific references to time. Eliminate references to specific times such as:employees will have an annual review, there will be an annual raise, there willbe an annual bonus, and your annual salary will be $_____, and the like.Substitute words such as periodic, as warranted, and as needed.

N Policy changes. Prominently and clearly state that you have the right tochange any of the provisions in the manual at any time.

N Consistency. Make sure that your application forms, handbooks, and every-thing else comply with your policy of employment at will. However, do not gooverboard and intimidate employees.

Revising a handbook to add an employment-at-will disclaimer. Employerswith handbook provisions that could restrict their right to fire employees at will(and who wish to ensure this right) should consider issuing a new edition with adisclaimer, along with a notice that draws attention to it. The notice should saythat employees who choose to continue working for the employer are thereby sig-naling their acceptance of the new book. It may also be useful to include a state-

ment that says that the revised manual cancels and supersedes any previous poli-cies that may have existed. If the handbook does not already say that anemployee has the right to quit without notice, you might provide that in writing inthe new handbook.

How to Avoid Legalese

While you may consult an attorney when writing policies, do not use legalesewhen writing your policies because:

N If you do have a lawsuit over your policies, you want a policy that is easilyunderstood by a jury.

N You want an easily understood policy so your supervisors can follow it.

N You want an easily understood policy so your employees can follow it.

Many manuals have failed in their missioneven though they are accurate, care-fully researched, and well-organizedbecause they are not easily readable.Supervisors and managers read manuals when they need information, and theyusually need it quickly. For example, at 4:30 p.m., a rush order comes through inproduction and a new supervisor wonders whether he or she can immediatelymandate overtime for the whole crew. If the supervisor finds the language hard toread, or excessively technical or legal, the supervisor is apt to throw the bookaside, rather than try to decipher the policy.

Some tips on how to avoid the legalese trap:N Avoid technical jargon.

N Use short, simple sentences.

N Be clear, not fuzzy (unless you intend to be fuzzy).

N Say what you mean. (For example, dont include an employee relations statementthat says the employer is committed to the growth of all employees if you rarelypromote from within and never send your employees to training programs.)



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The following list outlines critical information that should be conveyed in yoursexual harassment training program. Note that there may be important state lawissues that you should also address. In your training program, you should:

N Define sexual harassment

N Consider the laws that prohibit sexual harassment in the workplace

N Give examples of what conduct constitutes sexual harassment

N Give examples of what is not sexual harassment

N Explain the specific forms of harassment and the terms tangible employmentaction and hostile environment

N Outline who can commit sexual harassment

N Explain who can experience sexual harassment

N Explain under what conditions sexual harassment can occur

N Tell employees who to report to if sexual harassment should occur

N Discuss when an employer is liable

N Outline the objectives of a workplace sexual harassment policy

N Explain everyones role in achieving the policy objectives of the organization

N Show how to prevent sexual harassment from occurring

N Outline the employees responsibilities

N Train employees to use reasonable care to make a good-faith effort to avoidthe harm of harassment and promptly utilize internal complaint procedures

N Outline the responsibilities managers and employers have to address theharassment

N Explain what steps should be taken to ensure a thorough investigation

N Explain what to do if an employee does not cooperate with the investigation

Discrimination

Because the affirmative defense for sexual harassment has been extended toother forms of discrimination, it is important to provide training on the variousforms of discrimination and the employers policies that prohibit such discrimina-tion. The regulations that apply include:

N Age Discrimination in Employment Act

N Americans with Disabilities Act (ADA)

N Civil Rights Act of 1991

N Civil Rights Act Title VII

N Executive Order 11246N Immigration Reform and Control Act

N Jury System Improvement Act of 1978

N National Labor Relations Act (NLRA)

N Occupational Safety and Health Act (OSHA)

N Older Workers Benefits Protection Act



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N Pregnancy Discrimination Act

N Rehabilitation Act of 1973

N Uniformed Services Employment and Reemployment Rights Act (USERRA)

N Vietnam Era Veterans Readjustment Act of 1974

Discrimination is covered by federal law, state law, and company policy. Key activi-

ties most vulnerable to charges of discrimination are hiring, promotion and per-formance review, dismissal, time off, compensation and benefits, and workplaceatmosphere.

Ethics

It takes only one employee, or even an agent of your company, to commit a crime,and your entire company may be held liable. Under the Federal SentencingGuidelines, with liability your company may face very large fines, a 5-year proba-tionary period, recompense for the victim of the crime, and more.

There is good news, though. You can reduce your organizations fines in suchinstances by showing that you have established an effective compliance andethics program in your company. To do this, you must train your employees at alllevels, and your agents, on ethics. According to the Federal Sentencing Commission,an organization that has an effective compliance and ethics program can reduceits fines for a criminal conviction by as much as 90 percent.

The Guidelines distinguish between what training is required of large vs. smallorganizations, because the resources available to create compliance and ethics pro-grams will vary by the size of the company. Small organizations are required to traintheir employees with less formality and fewer resources than large companies. Forinstance, in small companies employees may be trained in informal staff meetings.

Monitoring can be accomplished during regular walk-throughs or by continual

observation during the general management of the company. In addition, personnelon staff may conduct the training, rather than hiring trainers outside the company.

Specific issues that should be covered in ethics training include, but are certainlynot limited to, the following:

N Holding a second job

N Authority of employees to grant discounts to customers

N Gifts (there may be a limitation on receiving all gifts or gifts over a certainvalue)

N Whether employees may have personal financial dealings with or invest incompanies that supply materials to or buy materials from your company

N Office romances

N Confidential information

N How to use company funds

N Privacy policies

N Whether employees families may take advantage of employee discounts

N Whether employees may use fictitious names while conducting business

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N Employees performing acts of hospitality toward public officials

N Bribery

N Prohibitions on all illegal activity

N Kickbacks

N Performing outside work that competes with the company

N Insider informationN Borrowing or lending money

N Recruiting employees to work for another organization not related tothe company

N Conflicts of interest

N Campaign contributions

N Investigations of ethics violations

N Disciplinary action for ethics violations

Additional Training Your Company Should ProvideIn addition to the topics listed earlier, you should also consider the followingtypes of training: orientation, training for new supervisors, refresher training forexperienced supervisors, literacy, diversity, sales, customer relations, various workskills, management skills, computer skills, new technology, production methods,communication skills, workplace law, and cross-cultural training.

Effective training enables your organization to comply with all legal requirements,thereby avoiding costly lawsuits, audits, and fines. Training also enables youremployees to make the most of their investments by developing knowledge andskills that make them more productive and efficient, learning to use equipmentand technology properly and effectively, learning to work in ways that avoid acci-

dents, lawsuits, and government fines, and developing communication, teamwork,and other skills that enhance their contributions to the organization.

Training New Employees

The first day of employment is a critical time for employees to receive orientation,work assignments, and get their bearings within an organization. It is also the per-fect time to acquaint the new employee with key policies that affect them directlyand immediately. When conducting new employee orientation, dont forget togive the employee a copy of the policy manual and specifically point out criticalpolicy provisions.

The policy provisions that should be highlighted during new employeeorientation include:

N Payroll documentation, pay rate, pay dates, distribution of paychecks, checkcashing, and direct deposit programs

N How time worked is recorded and how to record time accurately

N Employee identification materials and their proper use



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N Emergency procedures, emergency numbers, fire extinguishers and alarms,evacuation routes, and any other emergency information

N Starting and ending times for work

N Times and lengths of work breaks and meal breaks

N Overtime procedures and documentation

NProcedures for sick days, personal days, and leaves of absence

N Vacation policy, holiday schedules, and procedure for requesting time off

Training Managers and Supervisors

A policy manual is an excellent training resource for managers and supervisors.The manual can be used both in training newly hired or promoted supervisors andin conducting refresher courses for experienced supervisors. Some companies, infact, actually structure their supervisory training programs to correspond with themanuals table of contents. Case studies and role-playing exercises can illustrateproblems in various policy areas, and the manual can serve as a guide on handlingthese hypothetical situations. In fact, keep supervisory training needs in mind whendesigning a policy manual; it can help decide what to teach supervisors.

Tips for Policy Training

In order to effectively train employees and keep them on track, consider thefollowing tips:

1. Get Support from the Top

Either right before or immediately after a new or revised policy manual is distrib-uted, ask a high-ranking company executive to do a pilot presentation for all per-sonnel who will be using it. While this large group meeting may only serve as anintroduction and an opportunity for a few brave souls to ask questions, it conveysthe message that the manual has top managements full support, thereby encour-aging policy implementation.

2. Train in the Middle

Small group meetings within each department or division can follow, giving indi-vidual supervisors a chance to raise questions and clarify misunderstandings inmore comfortable surroundings. It might be a good idea to have a member of theHR Department present at each of these meetings handle specific questions.

Once the policy manual has been distributed and the small group meetings are

over, instruction in how to use the manual should continue through the com-panys supervisor orientation and training programs. When new supervisors seetheir instructors, peers, and superiors refer to the manual frequently, they willcome to regard it as a valuable source of information for most aspects of their jobactivities.

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3. Avoid Surprises

If supervisors have been consulted throughout the process of developing the policymanual, the final product should not contain any surprises. It should be rememberedthat these individuals, more than anyone else in the company, are responsible foradministering company policies and practices, and that without their help andcooperation at every stage of the manuals development, it cannot be expected to

achieve the desired goals.

Tip 4: Coordinate Your Policy ManualWith Other Existing Manuals

Most companies have at least two types of policy manuals: one aimed at supervisorsand managers, and the other aimed at employees, usually called the employee

handbook. Some firms have a third type of manual containing only corporate (asopposed to operating) policies and aimed at the highest level of management.

In addition, there may be a number of supplementary publications in the formof booklets or brochures describing the companys programs in such areas asemployee benefits, tuition aid, health and medical services, etc. The task of coordi-nating all of these separate publications for consistency can be overwhelming.

Supplementary booklets outlining the companys policies and provisions in spe-cific areas do offer one advantagea shorter policy manual that wont be out-dated each time a change is made in one of these programs. However, such book-lets have a tendency to get lost or forgotten, while a policy manual is usually too

substantial to misplace. You must also consider the cost and time involved in writ-ing, producing, distributing, and updating these supplementary publications.

Employee Handbooks

An employee handbook is fairly easy to prepare once a comprehensive policymanual has been developed. It usually presents many of the same policies, prima-rily those in the areas of employment, hours and attendance, wages, leaves ofabsence, benefits, company rules and disciplinary procedures, grievance proce-dures, safety, communications, and employee services and activities, in condensedform, with an emphasis on what the company offers and what it expects in return.The finished product is usually much shorter in length, smaller in size, and simpler

in format. New employees are given a copy of the handbook when they first jointhe company and are encouraged to consult it when the need arises.

It is usually unwise to go to the trouble and expense of revamping or preparing apolicy manual while ignoring your existing employee handbook. The two publica-tions should be closely coordinated so that conflicts between supervisors andemployees do not arise over inconsistencies. The important thing is to keep allpolicy-related publications up to date and in conformance with each other.



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There must be a single, up-to-date, authoritative source of guidance and informa-tion to which managers and supervisors can turn not only in situations where theright course of action is unclear, but also in cases where they are tempted to acton memory or instinct. With a policy manual to point the way, or to back up whatthey feel is a justifiable action or decision, company managers and supervisorswill be able to act swiftly, decisively, fairly, legally, and consistently. Employees willknow then that they are being protected from personal bias and poor judgment.

The Purpose of the Policy Manual

A well-written, up-to-date policy manual serves the purpose of guiding managersand supervisors in making decisions, exercising discipline, hiring, firing, and pro-moting. However, there are a number of other benefits:

Communication. A policy manual serves as a basic communications tool. Theprocess of compiling a policy manual includes a survey of managers and supervi-sors views on each subject or policy area, providing top management with anopportunity to learn their views, what steps they would like to see the companytake, what areas are giving them problems, and where confusion and misunder-standings lie.

In other words, the policy formulation process is perhaps the best opportunity acompanys top managers will have to communicate with the rest of the manage-ment team on almost every subject of mutual interest. In return, supervisors andmanagers get a chance to find out exactly where top management stands onthese issues.

Remember that communication should not stop once the manual is completed. Onthe contrary, communication should continue between supervisors and employees,as well as between supervisors and their superiors. Every time there is a policy ques-tion, the supervisor or manager has an opportunity to improve communications and

understanding with the employee(s) involved. Indeed, some employers rewrite orreview their policies periodically to reeducate their supervisors on the policies andto change the ones that are not meeting the companys goals.

Expressing company commitment. A policy manual serves as written docu-mentation of the companys commitment to fair employment practices and equalemployment opportunity. A policy on equal employment opportunity (EEO) andaffirmative action is no guarantee that you are in compliance with the law, but itwill help when the Equal Employment Opportunity Commission requests yourpolicies. If you can prove that you have a clearly stated and widely publicized pol-icy in these areas, it will also help with defense of any litigation. Also, if your policyis effectively communicated to employees and supervisors alike, the chances of a

complaint being filed in the first place will be greatly reduced.

These reasons make a company policy manual desirable, but there are other fac-tors that make a manual mandatory if the company is to survivelet alone pros-perin todays business, social, and economic climate. As previously mentioned, apolicy manual documents the companys commitment to equal employmentopportunity. But EEO is only one of the legal areas in which change occurs con-stantly, such as product liability laws, environmental protection legislation,

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Occupational Safety and Health Administration regulations, privacy issues, med-ical examinations, group health care, consumer protection legislation, the Internet,telecommuting, and information-disclosure rules. In the absence of a good corpo-rate policy guide, managers and supervisors are likely to make costly mistakes inthese and other areas. A policy provides consistency in interpretation andenforcement within an organization.

Reinforcing consistency. Another compelling reason for a policy manual ismanaging and controlling complex operations. Fast-growing organizations, thosethat have undergone decentralization, and those in which managers of relativelysmall operating units make decisions that affect the entire organization, are only afew examples of the need for clearly stated and widely understood policies. Whileit may not be possibleor even desirableto control all management decisions,it is certainly desirable to provide managers with a framework within which theycan make their own decisions on important or sensitive issues in a fair and con-sistent manner.

Tip 5: Keep Your Manual Up to Date

The work of policy management never really ends. In most companies a group ofemployees meets regularly to review changes in the law, government regulations,management philosophy, and employee benefits. While the time commitment willnot be nearly as great as it was for the preparation of the original manual, time mustbe invested to determine when and how policies should be updated or replaced.

Remember that, although an organization can change its policies at any time, thosechanges should be announced before and not after the fact, and introduced to all

employees, supervisors, and managers. In some states, a policy change that dimin-ishes an employee benefit (e.g., less vacation time) requires consideration (i.e.,something of value given to employees in exchange for the loss).

How to Keep It All Straight

One employee, usually a member of the HR department, should be responsible forkeeping a file of all information relating to policy updates. Here are some sugges-tions for making this task easier:

N Set up a record file for changes. Once a change is made in the manualscontent, place it in a special file so that someone knows what changes havealready been made, on what date, etc.

N Set up a file for other pertinent information. A file of all managementmemos and directives, notes of legal changes, bulletin board announcements,and other items pertaining to company policies and practices should bemaintained and kept current so that the material is readily available when thereview committee meets to discuss proposed changes.

N Send out tickler memos. Send out a reminder memo or e-mail to eachmanagement representative concerned with policy changes in various areas



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(for example, the benefits administrator). Ask them what, if any, changes haveoccurred over the past quarter that may affect the accuracy of the policiescontained in the manual. Set up the memo in such a way that you get aprompt and concise reply. Similar memos can be sent to key supervisors andother individuals who contributed material to the original manual. These areusually the people who know whether the policies as written actually reflectday-to-day practices.

Policy Audits

Finally, remember to audit the entire manual as often as changing conditionswithin and outside the company indicate. During the audit, the reviewer shouldask:

1. Is the organization operating in the same way that it did when the originalmanual was issued?

2. Have any of the policies interfered with managers or supervisors ability toact, to make decisions swiftly and consistently, or to keep operations movingalong smoothly?

3. Have supervisors been satisfied with the manuals organization and number-ing system? Have they found it easy and practical to use?

4. Have any of the policies had an adverse effect on employee morale or pro-ductivity?

Note: When it comes to keeping your manual up to date, supervisors are the bestavailable source of information on how present policies are (or are not) working,how they are affecting employee morale and productivity, and how they might bemodified to achieve better results in the future.

Conclusion

We hope that you have enjoyed this special report and that you found the infor-mation contained in this report useful. BLR strives to provide Human Resourcesprofessionals with practical and easy-to-use information on a wide variety of top-ics. If you would like to see the complete library of publications available throughBLR, please visit our website at www.blr.com or call our Customer ServiceDepartment at 800-727-5257.

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Business & Legal Reports, Inc. 30610300 17

Appendix

Policy Topic Checklist

Not sure if you have all your bases covered in your policy manual? Take a look atthe following checklist of potential topics that can be included in an employerspolicy manual:

Attendance and Time Off

Absenteeism and Tardiness Death in the Family

Hours of Work Jury or Witness Duty

Holidays Inclement Weather

Vacations Flextime

Leave of Absence Return to Work

GeneralFamily

Medical/Maternity

Child Involvement

Uniformed Service

Volunteer Emergency Services

Educational

Employment

EEO/Affirmative Action

Requisition and Recruitment

Interviewing and Selection

Internet RecruitingGeneral

Internet RecruitingGovernment Contractors

Reference and Information Requests

Criminal History Records

Indemnification of Employer by Employee

Indemnification of Employee by Employer

Preemployment Physical Examinations

Orientation

Employee Status/Classification

Part-time/Temporary EmployeesIndependent Contractors

Internship

Probationary/Orientation Period

Employment of Relative


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Fraternization

Employment of Former Employees

Layoffs and Recalls

Employment At Will

Noncompete Policy

Immigration and Employment Access to Personnel Files

Job Sharing

Promotions

Employment and Reemployment of Veterans

Disability Accommodation

Employment Contracts

Moonlighting

Contingent Workers

Telecommuting

Compensation

Wage and Salary Administration Loans and Pay Advances

Direct Deposit Bonus Pay

Merit Increases On-Call Pay

Overtime Suggestion Policies

Call-in Pay Travel Pay

Garnishments Training Wage

Deductions from Pay Shift Pay

Employee Benefits

Insurance Elder Care

Pension Plans Employee Discounts

Moving Expenses/Relocation Short-Term Disability Pay

Business Travel Expenses Leave Banks

Entertainment Expenses Matching Gift Program

Drug and Alcohol Rehabilitation Automobile Usage

Child Care/Dependent Care

Discipline and Rules

Work Rules

Disciplinary Procedures

Solicitation

Smoking


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Employee Cafeteria/Lunchroom

Telephone Use

Cellular Phones

Beepers/Pagers

Visitors

Bulletin Boards Suggestion Systems-Intranet

Parking

Drugs and Alcohol

Drug-Free Workplace Act

Drugs and Alcohol (Department of Defense Regulations)

Drug Screening and Inspection Consent Form

Supervisor Training About Drug Abuse

Violation of Drug/Alcohol Policy and Disciplinary Consequences

Fitness for Duty Harassment

Sexual Harassment Training

Sexual Orientation

Grooming

Business Casual

Privacy

Cameras, PDAs, and Video Equipment

Employee Lockers

Voice Mail Electronic Mail

Gambling

Extracurricular Activities

Off-Duty Conduct

Community Involvement

Facsimile

Software

Mail/Mail Handling

Workplace Contraband Internet

Intranet

Instant Messaging

Screen Savers


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Communications

Open Door Policy

Arbitration and Grievance Procedures

Media Relations

Training and Development

Performance Appraisal Job Posting

Promotion from Within Educational Assistance Program

Safety and Health

Safety Programs Workers Compensation

Protective Equipment Life-Threatening Illnesses

Accident Reports Communicable Diseases

Emergencies Hazard Communication

Fire Prevention Video Display Terminals (VDT)

Annual Physical Exams Motor Vehicle Safety Access to Medical Records Ergonomics

Access to HIPAA-Protected Cellular Phone SafetyHealth Information

Security

Security Rules and Regulations Government Investigations

Investigations Violence in the Workplace

Termination

Voluntary vs. Involuntary Terminations Exit Interviews Severance and Separation Pay Retirement

Unemployment Compensation

Miscellaneous

Business Ethics English Only

Monitoring Telephone Calls Employee Recognition Program

Death of an Employee Athletics and Recreation

Confidentiality of Information Breastfeeding Policy

Purchasing HIPAA Health Information Privacy

Policy Developments/Corporate Opportunities Social Security Numbers

Recycling Duty of Loyalty

Transfer Reports of Wrongdoing

Resignation Policy Copyrights

Lost and Found Trademarks

Recordkeeping


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Sample Policies

The following sample policies are taken from Business & Legal Reports publica-tion,Encyclopedia of Prewritten Personnel Policies and demonstrate many of thetips discussed in this special report.

Sample Policy #1Family and Medical Leave Policy

The Leave Policy

You are eligible to take up to 12 weeks of unpaid family/medical leave within any12-month period and be restored to the same or an equivalent position upon yourreturn from leave provided you: (1) have worked for the company for at least12 months, and for at least 1,250 hours in the last 12 calendar months; and (2) areemployed at a worksite that has 50 or more employees within a 75-mile radius.

Reasons for Leave

You may take family/medical leave for any of the following reasons: (1) the birth

of a son or daughter and in order to care for such son or daughter; (2) the place-ment of a son or daughter with you for adoption or foster care and in order tocare for the newly placed son or daughter; (3) to care for a spouse, son, daughter,or parent (covered relation) with a serious health condition; or (4) because ofyour own serious health condition that renders you unable to perform an essen-tial function of your position. Leave for either of the first two reasons must becompleted within the 12-month period beginning on the date of birth or place-ment. In addition, in cases where a married couple is employed by the same com-pany, the two spouses together may take a combined totalof 12 weeks leave dur-ing any 12-month period for reasons (1) and (2), or to care for the same individ-ual pursuant to reason (3).

Notice of Leave

If your need for family/medical leave is foreseeable, you must give the company atleast 30 days prior written notice. If this is not possible, you must at least give noticeas soon as practicable (within 1 to 2 business days of learning of your need forleave except in extraordinary circumstances). Failure to provide such notice maybe grounds for delay of leave. Additionally, if you are planning a medical treatment,you must consult with the company first regarding the dates of such treatment. Thecompany has Request for Family/Medical Leave forms available from the HumanResources Department. You should use these forms when requesting leave.

Medical Certification

If you are requesting leave because of your own or a covered relations serioushealth condition, you and the relevant healthcare provider must supply appropri-ate medical certification. You may obtain Medical Certification forms from thehuman resources department. When you request leave, the company will notifyyou of the requirement for medical certification and when it is due (no more than15 days after you request leave). If you provide at least 30 days notice of medicalleave, you should also provide the medical certification before leave begins. Failureto provide requested medical certification in a timely manner may result in denial


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of leave until it is provided. The company, at its expense, may require an examina-tion by a second healthcare provider designated by the company, if it reasonablydoubts the medical certification you initially provide. If the second healthcareproviders opinion conflicts with the original medical certification, the company,at its expense, may require a third, mutually agreeable, healthcare provider to con-duct an examination and provide a final and binding opinion. The company mayrequire subsequent medical recertification. Failure to provide requested certifica-tion within 15 days, except in extraordinary circumstances, may result in delay offurther leave until it is provided.

Reporting While on Leave

If you take leave because of your own serious health condition or to care for acovered relation, you must contact the company on the first and third Tuesday ofeach month regarding the status of the condition and your intention to return towork. In addition, you must give notice as soon as is practicable (within 2 businessdays if feasible) if the dates of the leave change or are extended or wereunknown initially.

Leave Is Unpaid

Family medical leave is unpaid leave (although you may be eligible for short- orlong-term disability payments and/or workers compensation benefits under thoseinsurance plans). If you request leave because of birth, adoption, or foster careplacement of a child, any accrued paid vacation [personal leave or family leave]first will be substituted for unpaid family/medical leave. If you request leavebecause of your own serious health condition, or to care for a covered relationwith a serious health condition, any accrued paid vacation [personal leave, familyor medical/sick leave] first will be substituted for any unpaid family/medicalleave. The substitution of paid leave time for unpaid leave time does not extendthe 12-week leave period. Further, in no case can the substitution of paid leavetime for unpaid leave time result in your receipt of more than 100 percent of yoursalary. [Employers may elect to make leave paid or unpaid. The bracketed materialmust be modified depending on whether the company provides paid personal,family, or medical/sick leave and under what circumstances these paid leaves maybe used.] Your family/medical leave runs concurrently with other types of leave,i.e., paid vacation.

Medical and Other Benefits

During an approved family/medical leave, the company will maintain your healthbenefits as if you continued to be actively employed. If paid leave is substitutedfor unpaid family/medical leave, the company will deduct your portion of thehealth plan premium as a regular payroll deduction. If your leave is unpaid, you

must pay your portion of the premium through [employers should specify themethod they wish to use]. Your healthcare coverage will cease if your premiumpayment is more than 30 days late. If your payment is more than 15 days late, wewill send you a letter to this effect. If we do not receive your co-payment within15 days after the date of this letter, your coverage may cease. If you elect not toreturn to work for at least 30 calendar days at the end of the leave period, you willbe required to reimburse the company for the cost of the premiums paid by thecompany for maintaining coverage during your unpaid leave, unless you cannot


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return to work because of a serious health condition or other circumstancesbeyond your control. The company must decide what, if any, other benefits will con-tinue to accrue during leave periods. There is no obligation to continue to provideor accrue any benefits other than health care under FMLA.

Exemption for Highly Compensated Employees

Highly compensated employees (i.e., highest-paid 10 percent of employees at aworksite or within a 75-mile radius of that worksite) may not be returned to theirformer or equivalent position following a leave, if restoration of employment willcause substantial economic injury to the company. (This fact-specific determina-tion will be made by the company on a case-by-case basis.) The company willnotify you if you qualify as a highly compensated employee if the companyintends to deny reinstatement, and of your rights in such instances. (This excep-tion is so difficult to satisfy, employers may wish to delete reference to it.)

Intermittent and Reduced-Schedule Leave

Leave because of a serious health condition may be taken intermittently (inseparate blocks of time due to a single health condition) or on a reduced-leave

schedule (reducing the usual number of hours you work per workweek or work-day) if medically necessary. If leave is unpaid, the company will reduce yoursalary based on the amount of time actually worked. In addition, while you are onan intermittent or reduced schedule leave, the company may temporarily transferyou to an available alternative position that better accommodates your recurringleave and which has equivalent pay and benefits.

Sample Policy #2Paid Time Off (PTO) Policy

Full-time Staff

The Paid Time Off (PTO) Policy provides regular, full-time staff members with an enti-tlement of days away from work with pay. PTO days may be used for vacation, person-al time, illness, or time off to care for dependents. PTO must be scheduled in advanceand approved by your supervisor, except in cases of sudden illness or emergency.

The PTO Policy does not cover scheduled holidays, floating holidays, time off forjury duty, or bereavement leave. Questions about PTO earned and used should bereferred to your supervisor.

PTO is earned on an employment year basis and is earned on the first day of eachmonth following your date of employment. Paid Time Off is based on the followingschedule:

Up to and including year 3 17 days (1.42 days per month)

Beginning year 4 20 days (1.67 days per month)



Completed Years of Employment: Paid Time Off:


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During your first year of employment, PTO is earned at a rate of one-twelfth of17 days. Time off may only be used as it is earned, except in the case of illness.After your first employment anniversary, you may schedule PTO at any time duringyour employment year. You may schedule PTO in whole or half days but not lessthan a half day.

Carryover of Paid Time Off

Earned, unused PTO may be carried over into the next year but the number ofdays carried over may not exceed your entitlement for the current year. Example:

1st Year 17 13 4 4

2nd Year 17+4 = 21 15 6 6

3rd Year 17+6 = 23 10 13 13

4th Year 20+13 = 33 13 20 20

5th Year 20+20 = 40 19 21 20

The number of PTO days carried over from one year to the next may not exceedyour entitlement for the current year. Days not used or carried over may be addedto your sick day bank and used as days at 100 percent pay (Reserve Sick Days) inlieu of benefits through the Short-Term Disability Plan. (A maximum of 130Reserve Sick Days may be banked.)

Paid Time Off at Termination

Terminating employees will be paid either for their earned but unused PTO ortheir annual entitlement, whichever is less. Unused PTO carried over will be usedin this calculation.

Examples:

N A terminating employee with 2 years and 6 months of service who has usedno PTO days during the current employment year and who has 2 unuseddays of PTO carried over from the previous year will be entitled to paymentof 10.5 days8.5 days earned in the current year plus 2 carried over(1.42 X 6 + 2 = 10.5).

N A terminating employee with 4 years and 10 months of service who has usedno PTO days during the current employment year and who has 6 unused

days of PTO carried over from the previous year will be paid for 20 days ofPTOthe current annual entitlement (1.67 X 10 + 6 = 22.7 = 20 days annualentitlement).

If you have used all of your PTO entitlement for the employment year and termi-nate your employment before you have earned all the PTO you have taken, pay-ment for the unearned days will be deducted in the computation of your finalpaycheck.

Entitlement ActualCarryover Used Unused Carryover


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The company does not make payment for unused PTO to employees who are ter-minated for the violation of company rules and/or regulations, to employees whoresign without appropriate notice as described under Voluntary Termination inStaff Handbook/One, or to the beneficiaries of employees who die while employedat the company. (Unused reserve sick days are not paid at termination.)

An emergency or unexpected work requirement might cause you to forego sched-

uled PTO already approved by your supervisor. When such an event means that youcannot carry over PTO to which you would have been entitled if you had takenyour scheduled PTO, special arrangements may be made by your department headand should be confirmed in writing. The agreement may provide for PTO to be car-ried forward or some other arrangement appropriate to the circumstances.

Sample Policy #3Overtime Policy

When state overtime law requires a more favorable treatment for employees forovertime, the state law will be followed. When federal overtime law requires a morefavorable treatment for employees for overtime, the federal law will be followed.

The workweek begins Monday morning and ends Sunday night. Normal first-shifthours are from 7:00 a.m. to 3:30 p.m. Normal second-shift operations start at 4:00p.m. and end at 12:30 a.m. Special third-shift or other special-hour arrangementsmay be established at the companys discretion to meet production requirements.The standard workday for hourly employees is 8 hours, which all employees areexpected to work in full. The standard workweek for hourly employees is 40 hours.

Management expects that employees will work in excess of standard hours whenrequested. Failure to do so may result in disciplinary action, including discharge.In the event of any such failure, the validity of the reason for refusal and theamount of advance notice of overtime shall be taken into consideration.

Persons who have been assigned to work overtime, whether voluntary or manda-tory, shall be expected to report to work as scheduled. Failure to report shall besubject to disciplinary procedures as specified for any other nonappearance for aregularly scheduled work time. When an employee is requested to work over hisor her regularly scheduled hours, additional wages will be paid as follows:

N Time and one-half for all hours worked over 40 hours in one week.

N Time and one-half in addition to holiday pay for hours worked on a day that isobserved by the company as a paid holiday.

N Time and one-half for hours worked on a Sunday.

N Compensatory time, in that same workweek, can be taken in lieu ofovertime pay.

N Before requiring employees to work overtime, volunteers will be requested.

Employees should be released from mandatory overtime when they provide areasonable excuse, such as:

N Personal family emergency

N Personal or family health maintenance


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N Personal long-range commitment

Legal appointment

Long-range planned project that would be breached at great expense

Where personal penalty is involved: court date, defaults of deposits, etc.

N Important family function: wedding, etc.

On-call time will be counted as hours worked for overtime purposes if theemployee is not generally free to use the time to pursue personal interests.

Sample Policy #4Equal Employment Opportunity Policy

The company complies with nondiscrimination regulations under Title VII of theCivil Rights Act of 1964, Vietnam-Era Veterans Readjustment Assistance Act of 1974,Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Actof 1990, the Age Discrimination in Employment Act of 1967, Uniformed ServicesEmployment and Reemployment Rights Act (USERRA), Executive Order 11141, theEqual Pay Act, the [state] Labor Code; and other applicable statutes, ordinances,

and regulations. The company complies with affirmative action regulations underExecutive Order 11246, as amended, the Vietnam-Era Veterans ReadjustmentAssistance Act, the Veterans Employment Opportunities Act of 1998 and the Jobsfor Veterans Act of 2002, and the Federal Rehabilitation Act.

The company will recruit, hire, train, and promote people in all job classificationswithout regard to race, color, religion, national origin, age, physical or mental dis-ability or history of disability (except where physical or mental abilities are abona fide occupational requirement and the individual is not able to perform theessential functions of the position even with reasonable accommodations), or sex(unless gender is a bona fide occupational qualification), status as a veteran, uni-formed service, or other protected characteristic.

Managers and supervisors of the company will base decisions on employment tofurther the principle of equal employment opportunity.

Managers and supervisors of the company will ensure that promotion decisionsare in accord with principles of equal employment opportunity by imposing onlyjob-related requirements for promotional opportunities.

The company will ensure that all personnel actions, including compensation, ben-efits, transfers, layoffs, return from layoff, company-sponsored training, education,tuition assistance, and social and recreation programs, will be administered with-out regard to age, race, color, religion, national origin, physical or mental disabilityor history of disability (except where physical or mental abilities are a bona fide

occupational qualification and the individual is not able to perform the essentialfunctions of the position with or without reasonable accommodation), veteranstatus, uniformed service, pregnancy, sex (unless gender is a bona fide occupa-tional qualification), or other protected characteristic.

The company disapproves of sexual, racial, disability, national origin, age, veteran,uniformed service, religious, and all other forms of harassment of any employee,whether it is by a co-worker, a manager, a customer, or a vendor. Sexual advances;


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requests for sexual favors; sexual or racial jokes; racial, ethnic, national origin, ordisability slurs; and other harassing language or conduct have no place in ourbusiness. In addition, physical conduct of a sexual nature will not be tolerated.It is expected that employees will treat one another with mutual respect for theirdignity. Harassment of any type by any employee is grounds for immediatetermination.

Any person who believes he or she may have been discriminated against in viola-tion of these principles or who observes any discrimination in violation of theseprinciples or who needs a reasonable accommodation should discuss the matterwith a human resources representative or the branch manager. If for any reasonyou do not want to discuss the matter with these individuals, you may discuss thematter with ____________, EEO coordinator, or any officer of the company.

Managers or supervisors who receive any complaint or concern involving discrimi-nation or observe any discrimination must bring the matter to the attention of theEEO coordinator or the branch manager. That individual will initiate an appropriateinvestigation. Employees have a responsibility to cooperate in any investigation ofunlawful discrimination. All employees are to cooperate fully with the investigation

and resolution of all discrimination complaints.


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5 tips for hr policies

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