Tuesday
09-Dec-2014
10:00 – 11:30
VASWCD
Annual
Meeting
2014
Reviewing the Personnel
Management Resource Guide
Presenter: Terri Higgins, PHR
Associate Director, Henricopolis SWCD
Recruiting…
Recruiting – What’s Covered and Tips
Branding
Evaluating vacancies – needs/options
Determining OBJECTIVE hiring criteria
(essential TDR/minimum required KSA)
 Hiring range – options/cautions
 Recruitment options – pros/cons for each
 Application package
 Application screening – objective criteria
 Applicant screening options
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VASWCD
Annual
Meeting
2014
Samples: Job Descriptions, ads, applicant package,
screening tools, applicant scoring tool
Recruiting – Reminders
Impact of recommended practices
Maximizes the District’s ability to meet its
operational needs and goals with the best
qualified employees
 Objective recruitment and selection practices
minimize the District’s exposure to claims of
bad hiring practices
 Broad use of all available adverting resources
increases the vacancy’s exposure to all possible
qualified applicants and creates larger more
diverse applicant pools
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VASWCD
Annual
Meeting
2014
Hiring…
Hiring – What’s Covered and Tips
Before the face-to-face interviews
 Conducting face-to-face interviews
 After the interview
 Interview do’s and don’ts
 Selection and making a conditional offer
 Checking References
 Verifying education and credentials
 Letters
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VASWCD
Annual
Meeting
2014
Samples: Questions, Tips, Do’s/Don’ts, Preparation,
Checklists, Scoring Tools, DR NO SCAR VP
Hiring – Reminders
Protect the District and your candidates:
Ask only job related questions – TDR/KSA
 Prepare job related questions in advance – use open ended questions – rotate
who asks the questions
 Ask every candidate interviewed the same questions – ask additional
questions only to clarify a candidate’s answer
 Don’t venture into any protected areas
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D - Disability
N - National
S - Sex
V – Veteran Status
R - Race
O - Origin
C – Color/Creed
P - Pregnancy
A - Age
(status or plans)
R – Religion
Other topics to avoid – marital status, political affiliations, where they live
or vacation, hobbies, children (or child care), disability/injury history, genetic
history, spouse’s occupation, healthcare or benefits needs
 Avoid anything that can identify a protected characteristic or the candidate’s
socio-economic history/status
 You only need to know if the candidate is qualified to and can perform the
essential TDR of the position – with or without reasonable accommodation
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VASWCD
Annual
Meeting
2014
New
Employees…
New Employee – What’s Covered and Tips
On-boarding – first 2 weeks are critical
 Before the first day
 Legal and other documentation
 Emergency contact information
 The first week
 Follow-up
 FLSA
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VASWCD
Annual
Meeting
2014
Samples: Checklists, Links to current new hire
forms, VA new hire reporting, contact forms
New Employee – On-boarding
Simple outline of
best practice tips
for successfully onboarding your new
employees …
VASWCD
Annual
Meeting
2014
New Employee On-boarding Key Takeaways
Give your new employees the support they need
to succeed – if they succeed you succeed!
On the job training (OJT) and feedback is crucial
◦ Half of the hourly (non-exempts) new hires leave their jobs in the first
year citing lack of OJT and feedback and not feeling valued or connected
with the job/people
◦ Without a structured on-boarding process more than half of salaried
workers fail or opt to leave within the first 18 – 24 months
Benefits of
Effective
On-Boarding
Practices
VASWCD
Annual
Meeting
2014
New Employee – Pre-Arrival
Document a process
– checklists are handy
for consistency and
help other staff and
stakeholders engage
in the process – key
best practices include
these items…
VASWCD
Annual
Meeting
2014
Take care of any
required
background
checks as soon as
the conditional
offer is accepted
New Employee – First Day
Prepare for
the first day’s
activities in
advance
Prepare a
survival guide
with policies,
procedures,
forms, etc, in
one handy
binder
Collect the
necessary
new hire
paperwork
VASWCD
Annual
Meeting
2014
New Employee – Paperwork
I9
within 3 days of first
day of employment
(specific list of
acceptable documents)
VA New Hire
Reporting
within 20 days of
first day of
employment
(new/rehire)
Direct
Deposit
VASWCD
Annual
Meeting
2014
IT and Other
Policy Forms
Benefit
Forms
within 31days of first
day of employment
(Section 125 IRS
pre-tax code)
W-4
VA-4
(tax withholding forms)
Emergency
Contact
Form
Timesheet
Other
District
Specific
Forms
New Employee – On-boarding Follow-up
Have a plan to
follow-up
regularly, provide
feedback, and get
the new hire’s
feedback
VASWCD
Annual
Meeting
2014
Effective On-boarding…
• Only one chance at a first impression
• Reduces turnover costs – improves retention
• Improves employee job satisfaction, engagement, commitment
• Keeps employees informed and aligned with the organization’s
needs/goals
• Fosters positive and productive interpersonal relationships
Employees and
the FLSA…
Fair Labor Standards Act
Exempt – only if meets all the test criteria for
WHD/DOL exemption test
 Non-exempt – overtime at one-and-one-half
times the employee's regular hourly rate
 Comp time for Exempts
 Comp time for Non-exempts
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◦ Equivalent of earnings (1½ hours comp time per hour worked)
◦ Prior notification and approvals
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Test forms – use the WHD/DOL forms to
make a determination of exempt status
Combination - Employees who perform a
combination of exempt duties can still be exempt
(29 CFR §541.708)
VASWCD
Annual
Meeting
2014
FLSA Exemption Tests
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Salary basis –
◦ At least $455/week; $23,660/annually
◦ Not subject to reductions based on quality/quantity of work performed
◦ Allowable deductions for exempt employees
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Do NOT go by job titles
Relevant Exemption Tests:
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VASWCD
Annual
Meeting
2014
Executive
Administrative
Professional – Learned/Creative
Computer Related (special salary and duties test)
Highly Compensated (over $100k/year and performs office non-manual work
consistent with one or more exemption classes)
Performance
Evaluations…
Performance Evaluations – What’s Covered & Tips
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Setting performance expectations
Setting goals – cascading goals
 SMART
 Line of sight
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Documenting performance – ongoing process
Providing feedback – ongoing process
Recognition and rewards by generation
Types/purposes of appraisals
◦ Annual, mid-year, performance improvement,
setting/changing goals and expectations
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VASWCD
Annual
Meeting
2014
Samples: Evaluation steps and forms, tips, tools for tracking performance,
rater errors, providing feedback, documenting performance
Performance Evaluations – Common Rater Errors
VASWCD
Annual
Meeting
2014

Halo Effect – The tendency to make inappropriate generalizations from
one aspect of a person’s job performance. This is due to being influenced
by one or more outstanding characteristics, either positive or negative.
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Leniency – The tendency to evaluate all people as outstanding and to
give inflated ratings rather than true assessments of performance.
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Central Tendency – The tendency to evaluate every person as average
regardless of differences in performance.
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Strictness – The tendency to rate all people at the low end of the scale
and are overly critical of performance.
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Contrast Effect – The tendency to evaluate a person relative to other
individuals rather than on-the-job requirements.
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First Impression Error – The tendency to make an initial favorable or
unfavorable judgment about someone, and then ignore subsequent
information/performance that does not support this impression.
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Similar-to-Me Effect – The tendency to more favorably judge those
people perceived as similar to the rater/leader.
Performance Evaluations – Avoid Rater Errors
VASWCD
Annual
Meeting
2014
Questions to Ask Yourself to Avoid Rater Errors
 Am I basing my rating on documentation of my observations
of the Employee’s behavior, or am I making judgments based
on my perceptions?
 Am I looking at each of this Employee’s competencies
separately, or have I generalized about his or her
performance?
 Have I looked at this Employee’s competencies over time, or
have I generalized according to initial perceptions or a specific
situation?
 Have I recognized any biases I may have so I do not let them
influence my judgments?
 Have I rated this Employee on his or her actual behavior or
have I rated her or him compared to other individuals?
Performance Evaluation – Reminders
Protect the District and your employees:
 Prepare and maintain documentation on the
good, the bad and the ugly – facts only
◦ Document Specific Objective Job Related Behaviors
◦ Record like a video camera – don’t make assumptions
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Provide feedback FAST
◦ (Frequent Accurate Specific Timely)
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Write the narrative
◦ Include actual specific examples – avoid generalities
◦ Compare performance to goals set/added/revised
and the job description (including other duties as assigned)
◦ Give more information for higher or lower ratings
VASWCD
Annual
Meeting
2014
Terminations…
Termination/Separation – What’s Covered & Tips
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At-will doctrine – Virginia is an at-will state
Exercise your progressive discipline options
(verbal, written, IDP and/or PIP, suspension, demotion/transfer,
termination)
◦ Documentation
◦ Notification
 Phone, email, face-to-face, verbal, written to employee – recommend
always confirming understanding of all verbal exchanges in writing
 Letter of resignation from employee –accept or pay out?
VASWCD
Annual
Meeting
2014
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Exit Checklist
Exit Interviews
Other withholdings from final pay – don’t –
employees cannot be required to forfeit wages
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Samples: Incident report forms, documentation, progressive
discipline forms, offense code form
Sample Policies…
Sample Policies
Example of a personnel manual format and sample policies
 Be aware of language used – personnel handbooks and
manuals can create implied contracts – include a disclaimer
on the first/last pages
 Include policies and procedures relevant to your operations
 Include a glossary of terminology
 The employer may not require employee to forfeit portion of
final wages – don’t include that statement
 Review policies/handbook with the employee – then allow
time for employee to review – then get an acknowledgement
receipt (signature/date)
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◦ I have read and understand the personnel manual and have had
an opportunity to have my questions answered.
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VASWCD
Annual
Meeting
2014
Have it reviewed by legal team or other professional
If it’s in there–adhere to it consistently, or revise/redistribute
Samples: Incident report forms, documentation, progressive discipline forms,
offense code form
Personnel Files…
Personnel Files – CANNOT KEEP IN THE FILE
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VASWCD
Annual
Meeting
2014
Maintain any type of health information in an individual
employee folder in a secured file drawer with restricted
access to files
Maintain all applicant files (applications, resumes, EEO self
identification forms) in a separate clearly labeled
folder/binder and/or in a secured drawer
I9 forms and copies of the required documentation must be
kept in one separate folder/binder clearly labeled I9 USCIS
stored in a separate secured drawer
Criminal and other background check results must be in a
separate secured drawer with restricted access
Investigation files – always keep in an individual employee
folder in a secured file drawer with restricted access to files
Personnel Files – WHAT TO KEEP IN THE FILE
VASWCD
Annual
Meeting
2014
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Job application, offer, acceptance materials
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Employment and other requirements verifications
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Job description
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Performance evaluations
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Payroll and withholding forms – including timekeeping records (timecard records)
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Signed acknowledgement for handbook
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Emergency contact form
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Voluntary benefits election forms
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Leave utilization records, attendance records
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Complaints and kudos from internal and external customers
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Training records
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Certification and licensure records
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Awards and citations, letters of commendation
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Disciplinary records – don’t purge them after one year
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Termination documents
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Any contract, written agreement, receipt, or acknowledgment between the
employee/employer (e.g. non-compete agreement, employment contract)
Supervisor Files – WHAT SUPERVISOR KEEPS
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VASWCD
Annual
Meeting
2014
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Job description
Emergency contact form
Notes on job performance
Awards and citations, letters of commendation
Complaints and kudos from internal and external
customers
Performance evaluations
Leave utilization records, attendance records
Training records
Certification and licensure records
Disciplinary records – don’t purge them after one
year
No surprises – send a copy
Internships…
Internships
 Unpaid internships in the public sector and
for non-profit charitable organizations, where
the intern volunteers without expectation of
compensation, are generally permissible.
 Key Considerations:
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VASWCD
Annual
Meeting
2014
Similar to training provided in learning environment
Primarily benefits the intern (add’l work for employer)
Doesn’t displace staff and works under close supervision
Employer derives no immediate advantage/benefit
Intern is not entitled to a job at conclusion of internship
No expectation of wages for time spent in the internship
http://www.dol.gov/whd/regs/compliance/whdfs71.pdf
Resources…
HR Resources/Sites…
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www.shrm.org - SHRM/Local Chapter
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www.dol.gov – A-Z Site Index
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Online resources – wealth of topics, samples, articles, webinars, etc.
May find HR Professionals interested in serving on your local Personnel Committee as
Associated Director or Chair the Committee
Wage and Hour Division
OSHA
Federal Codes related to employment practices
Ergonomics
FAQs
eLaw
http://vwc.state.va.us/ (VA Workers Comp)
www.doli.virginia.gov (VOSH with links to OSHA)
http://www.doli.virginia.gov/laborlaw/laborlaw.html
(VA Employment Laws)
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www.hrmorning.com
www.workforce.com
(wealth of topics, samples, articles, webinars, etc)
(wealth of topics, samples, articles, webinars, etc)
Questions Anyone?
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Remember to change the actual names
before sharing your question today!
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My contact information if you have any
additional questions I can help with:
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Terri Higgins
Day: 804-501-5241
Email: terri.henricopolis@outlook.com
Cards with me today if you want one