Human Resources Management
Human Resource Management:
Fundamentals and Foundations
for Court Leaders
National Association For Court Management
National Association for Court Management
Human Resources Management
Why is Human Resources
Management Critical?
• Courts are labor-intensive organizations.
– Human resources and leadership enable the
court to use its fiscal, technological, and
physical resources to achieve its purpose.
– The court’s human capital (its leadership and
human resources) is the driver with which a
court becomes a high achieving court,
satisfying its own and the public’s objectives.
National Association for Court Management
Human Resources Management
Why is Human Resources
Management Critical?
• Courts need good people who are competent,
up to date, professional, ethical, and
committed. This is, among other things, what
Human Resources Management helps court
executive teams deliver.
National Association for Court Management
Human Resources Management
Why is Human Resources
Management Critical?
• Recruitment, selection, employee relations,
job analysis, job evaluation and position
classification, compensation, and
performance management, all demonstrate
what the court believes in, its values, and its
standards. Human Resources Management
can enhance the contribution of every judge
and court employee.
National Association for Court Management
Human Resources Management
What is Human Resources
Management?
• All of those activities in which the Court engages
as an employer to ensure that it has the kinds
and numbers of people it needs to effectively,
efficiently, and consistently accomplish its
mission.
National Association for Court Management
Human Resources Management
Challenges in Court Human
Resources Management
• Judicial independence should drive it, despite:
– Funding arrangements
– The small size of most courts
– Complexity of HR issues
National Association for Court Management
Human Resources Management
The Changing Human Resources
Management Environment
• Decreasing revenues, more financial pressures,
increased scrutiny
• The quality movement, customer/public service
• Teams, strategic planning, re-engineering
• The changing “psychological employment
contract”
National Association for Court Management
Human Resources Management
The Changing Human Resources
Management Environment
• The erosion of “career” employment and the
growth of the “contingent” workforce
• Employee retention
• The erosion of employment-at-will
• The increase in legal issues in human resources
management
National Association for Court Management
Human Resources Management
The Changing Labor Force
• An aging workforce, but don’t forget about
“Generation X”
• More women
• More “minorities”
• More individuals with disabilities
National Association for Court Management
Human Resources Management
Human Resources
Competencies
1.
2.
3.
4.
Vision and Purpose
Human Resources Fundamentals
Context and Fairness
Management and Supervision
National Association for Court Management
Human Resources Management
Vision and Purpose
Knowledge/Skills/Abilities re:
• Developing mission/strategic vision/values
• Aligning vision and values with HR practices
• Judicial independence
• Ethical standards and legal compliance
• Judicial HR policy development
National Association for Court Management
Human Resources Management
HR Fundamentals
Knowledge/Skills/Abilities re:
• HR planning, job analysis and job descriptions
• Staffing – recruitment, labor market analysis,
selection, orientation
• Classification and compensation
• Performance management and appraisal
• Corrective actions and discipline
• HR and the law, e.g. Title VII, ADA, etc.
National Association for Court Management
Human Resources Management
Context and Fairness
Knowledge/Skills/Abilities re:
• Organizational and governmental structure
• Workforce and community diversity
• Due process, fairness, equity and consistency
• Employee complaints and grievances
• Unionized organizations
• Conveying the court’s commitment to fair
treatment
National Association for Court Management
Human Resources Management
Management and Supervision
Knowledge/Skills/Abilities re:
• Planning, organizing, delegating, monitoring
work
• Teambuilding and management
• Oral and written communication
• Mentoring/coaching/counseling
National Association for Court Management
Human Resources Management
Management and Supervision
Knowledge/Skills/Abilities re:
• Constructive feedback
• Employee motivation
• Collaboration
• Change management
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Human Resources and the
Law
National Association for Court Management
Human Resources Management
Employment at Will
(“Serves at the Pleasure of…”)
The foundation for employment law in the
U.S. is “employment-at-will,” which says:
An employee may be dismissed at any
time for a good reason, bad reason, or no
reason, just as the employee is free to
leave with or without cause.
National Association for Court Management
Human Resources Management
Employment at Will
(“Serves at the Pleasure of…”)
Exceptions:
• Statutory protection (or for many court
employees, court rule)
• Constitution (deprivation of property without
due process)
• Implied Contract
• Public Policy Exceptions
• Just cause provisions in CBA
National Association for Court Management
Human Resources Management
Employment at Will
(“Serves at the Pleasure of…”)
• Many court employees are in positions and/or
jurisdictions in which they are “at will”
employees.
• However (except for federal court
employees), minimally employees are still
protected against dismissal for statutorily
protected reasons, e.g. race, religion, national
origin, sex, etc.
National Association for Court Management
Human Resources Management
Title VII Of The Civil Rights Act
Of 1964, amended 1972
Prohibits discrimination:
Protected Classes:
•
•
•
•
•
•
•
•
•
•
•
•
•
hiring
firing
promotion
compensation
training
assignments
on the job treatment
any other terms or
conditions of employment
National Association for Court Management
National Origin
Religion
Sex
Race
Color
Human Resources Management
Title VII Of The Civil Rights Act
Of 1964, amended 1972
Enforcement:
• EEOC
Coverage:
• Employers of 15 or more, unions,
employment agencies
Exceptions:
• BFOQ
• Merit and seniority
National Association for Court Management
Human Resources Management
Title VII Of The Civil Rights Act
Of 1964, amended 1972
Remedies
• Make whole
• Affirmative Action
• Compensatory and punitive damages
• Recordkeeping Issues:
• 1 Year Record Retention: Records concerning any
personnel decisions (hiring, firing)
National Association for Court Management
Human Resources Management
State Laws May:
• Prohibit employment discrimination based
upon:
– Race, color, religion, sex, national origin (like Title
VII)
– Age (generally), marital status
– Disability
• Allow employees access to personal records
held by the employer (e.g. personnel file)
• Provide protection to “whistleblowers”
• Provide leave in excess of FMLA
National Association for Court Management
Human Resources Management
Types of Discrimination
1. Disparate treatment – discrimination that
singles out an individual or group, “intentional”
2. Adverse impact – neutral policy that
disproportionately affects members of
protected class
National Association for Court Management
Human Resources Management
Age Discrimination in
Employment Act of 1967
Prohibits: discrimination in hiring, firing,
compensation, or other terms and conditions of
employment for those above the age of 40
National Association for Court Management
Human Resources Management
Age Discrimination in
Employment Act of 1967
Exceptions:
• Seniority
• Merit
• BFOQ
• Discharge for Cause
• Policy making
executives with pension
of $44,000/year
National Association for Court Management
Human Resources Management
FLSA: The Fair Labor
Standards Act Of 1938
• Minimum wage
• Overtime provisions
• Child labor restrictions
• Equal pay for equal work (1963)
National Association for Court Management
Human Resources Management
FLSA Compensatory or
Overtime Provisions
Employers are required to pay time and one
half an employees regular rate of pay for all
hours worked in excess of forty in any
workweek for any non-exempt employee.
• Regular rate
• Hours worked includes any time in which the
employee is “required, suffered or permitted to
work”
National Association for Court Management
Human Resources Management
FLSA Compensatory or
Overtime Provisions
Employers are required to pay time and one
half an employees regular rate of pay for all
hours worked in excess of forty in any
workweek for any non-exempt employee.
• Hours worked does not include hours employee
was paid but for which no work was performed
(sick leave, holidays)
• Each work week stands alone
• In the public sector, employers can use
compensatory time instead of cash overtime
National Association for Court Management
Human Resources Management
FLSA Exemptions
•
•
•
•
Executive
Professional
Administrative
Outside Sales
Note: Remember the
importance of the salary test.
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
Three Main Tests
• Salary Level
• Salary Basis
• Job Duties
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Salary Level
– For most employees - $455/week as of 8/23/04
– Total Annual compensation includes
 Commissions
 Nondiscretionary bonuses
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Salary Basis
– Regularly receives a predetermined amount of
compensation each pay period
– No reduction related to performance
– Must be paid the full salary for any week in which
the employee performs any work.
– Ready, able and willing to work issues
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Job Duties
– Executive
 Primary duty is management of the enterprise or of
a customarily recognized department or
subdivision;
 Customarily and regularly directs the work of two
or more other employees; and
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Job Duties
– Executive
 Authority to hire or fire other employees or whose
suggestions and recommendations as to hiring,
firing, advancement, promotion or other change of
status of other employees are given particular
weight.
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Job Duties
– Administrative
 Whose primary duty is the performance of office or
non-manual work directly related to the
management or general business operations of the
employer or the employer’s customers; and
 Whose primary duty includes the exercise of
discretion and independent judgment with respect
to matters of significance.
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Job Duties
– Learned Professional
 The employee’s primary duty must be the
performance of work requiring advanced
knowledge
 In a field of science or learning
 Customarily acquired by a prolonged course of
specialized intellectual instruction
National Association for Court Management
Human Resources Management
FLSA – Three Main Tests for
Exemption
• Job Duties
– Creative Professional
 The employee’s primary duty must be the
performance of work requiring invention,
imagination, originality or talent in a recognized
field of artistic or creative endeavor
National Association for Court Management
Human Resources Management
Police, Fire Fighters, Paramedics
& Other First Responders
• The exemptions also do not apply to police officers, detectives,
deputy sheriffs, state troopers, highway patrol officers, investigators,
inspectors, correctional officers, parole or probation officers, park
rangers, fire fighters, paramedics, emergency medical technicians,
ambulance personnel, rescue workers, hazardous materials workers
and similar employees, regardless of rank or pay level, who perform
work such as preventing, controlling or extinguishing fires of any
type; rescuing fire, crime or accident victims; preventing or detecting
crimes; conducting investigations or inspections for violations of law;
performing surveillance; pursuing, restraining and apprehending
suspects; detaining or supervising suspected and convicted
criminals, including those on probation or parole; interviewing
witnesses; interrogating and fingerprinting suspects; preparing
investigative reports; or other similar work.
National Association for Court Management
Human Resources Management
Court Reporter Fair Labor
Amendments of 1995
• “The hours an employee … performs court
reporting transcript preparation duties shall not
be considered as hours worked … if
– Such employee is paid at a per-page rate which is
not less than the maximum established by state
law … and
– The hours spent performing such duties are
outside of the hours such employee performs
other work … pursuant to the employment
relationship with such public agency.
National Association for Court Management
Human Resources Management
Court Reporter Fair Labor
Amendments of 1995
• For purposes of this section, the amount paid …
for the performance of court reporting transcript
preparation duties, shall not be considered in the
calculation of the regular rate …
National Association for Court Management
Human Resources Management
Title I, Americans with
Disabilities Act of 1990
Coverage: Employers of 15+, unions, agencies
Requirements
• Non-discrimination because of disability
• Reasonable accommodation unless undue
hardship
• No pre-employment medical examinations
• Separate, confidential medical records
Enforcement
• EEOC
National Association for Court Management
Human Resources Management
Title I, Americans with
Disabilities Act of 1990
Definition: An individual with a disability is a
person who has a physical or mental
impairment that substantially limits one or
more major life activities, a record of such an
impairment, or who is regarded as having
such an impairment.
Storage: ADA requires separate and confidential
medical records
National Association for Court Management
Human Resources Management
Immigration Reform And
Control Act Of 1986
Requirements:
• INS Form I-9 for all employees hired after 11-686
• Employer:
 Signs form indicating documents examined
 Verifies authenticity of documents
National Association for Court Management
Human Resources Management
Immigration Reform And
Control Act Of 1986
Retention: Longer of 3 years or 1 year after
employment
Issues: Photocopying and storage in the
personnel file
National Association for Court Management
Human Resources Management
The Family and
Medical Leave Act
Provides eligible employees of covered employers
up to 12 work weeks of unpaid leave for:
• birth and care of a newborn
• placement of child for foster care or adoption
• care for immediate family member with serious
health condition
– spouse, child, parent
• employee’s own serious health condition
National Association for Court Management
Human Resources Management
FMLA – Eligible Employees
• Those who have worked for the court for at least
12 months
• And who have worked at least 1,250 hours in the
year preceding the FMLA leave
National Association for Court Management
Human Resources Management
FMLA – Serious Health
Condition
• Injury, illness, impairment, or physical or
mental condition that involves:
–
–
–
–
–
–
Inpatient care
Requires 3+ days of absence
Pregnancy/prenatal care
Chronic
Permanent or long term
Continuing treatment by health care professional
National Association for Court Management
Human Resources Management
FMLA – “Year” Defined As…
•
•
•
•
•
Calendar year
Fixed leave year
12 months from the start date of first FMLA leave
Rolling 12-month period
The court as employer can choose, but must
stick with the choice.
National Association for Court Management
Human Resources Management
FMLA – Spouses Working
Together for the Same Employer
• Combined total of 12 workweeks of leave for:
– Birth and care of a child
– Adoption or foster care
– Care for parent with serious health condition
National Association for Court Management
Human Resources Management
Sexual Harassment
Unwelcome
• Sexual advances
• Requests for sexual favors
• Verbal or physical conduct of a sexual nature
National Association for Court Management
Human Resources Management
Types of Sexual Harassment
• “QUID PRO QUO”
– Submission to such conduct is made either
explicitly or implicitly a term or condition of an
individual’s employment
– Submission to or rejection of such conduct is
used as the basis for employment decisions
affecting such individual
National Association for Court Management
Human Resources Management
Types of Sexual Harassment
• Hostile Work Environment
– Such conduct has the purpose or effect of
unreasonably interfering with an individual’s
work performance or creating an intimidating,
hostile or offensive working environment.
National Association for Court Management
Human Resources Management
Employer Responsibility:
Quid Pro Quo Cases
• The employer is responsible for its acts and
those of its agents and supervisors regardless of
whether the specific acts complained of were
authorized or even forbidden by the employer
and regardless of whether the employer knew or
should have known of their occurrence.
(Respondeat superior)
National Association for Court Management
Human Resources Management
Employer Responsibility:
Hostile Environment Cases
• The employer is responsible for sexual
harassment by other employees, clients,
customers, vendors, contractors, temps, etc., if
– The employer knew or should have known, and
– Failed to take immediate and appropriate
corrective action.
• Vicarious, not automatic, liability
National Association for Court Management
Human Resources Management
Possible Remedies
• Under Title VII, remedies against the
employer may include:
– Backpay
– Reinstatement
– Attorney fees
– Compensatory and punitive damages
National Association for Court Management
Human Resources Management
Possible Remedies
• Individuals who commit acts of sexual
harassment may be personally
responsible under:
– State criminal sexual conduct statutes,
(criminal penalties)
– Tort actions, e.g. “intentional infliction of
emotional distress,” (monetary damages)
National Association for Court Management
Human Resources Management
Steps to Ensure Compliance
• Written “no tolerance” policy
• Train all court stakeholders – judges,
managers, employees, interns, volunteers
• Take appropriate corrective action against
offenders
• Keep records
• Respond quickly and affirmatively to
charges
National Association for Court Management
Human Resources Management
Release of Personnel
Information
References and Defamation
• Judicial decisions have consistently permitted employers
to share reference information with other employers as
part of the hiring process.
• Legal liability arises when the information provided is:
– Untrue, I.e. defamation
– Excessively publicized, I.e. shared with people who have no
need to know
• Maintain good employee morale as well as minimizing
legal risks requires good procedures for handling the
release of personnel information.
National Association for Court Management
Human Resources Management
Release of Personnel
Information
Minimizing the Risk
• Truthful information provided by authorized
•
•
•
•
•
individuals
Not provided over the telephone
Only relevant information without intent to harm
No excessive publication, I.e. only those with a
need to know
Given at proper time and in proper place
Written release provided by employee
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
The Changing Labor Force
National Association for Court Management
Human Resources Management
The Changing Labor Force
• An aging workforce, but don’t forget about
•
•
•
•
“Generation X and Y”
More women
More “minorities”
More individuals with disabilities
The quality of education?
National Association for Court Management
Human Resources Management
The Changing Labor Force - Age
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•
•
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•
•
1987 Median age - 36
2000 Median age - 39
2008 Projected Median age - 41
Share, 35-54 year olds is rising
55-64’s has been rising since the mid 90’s
Share of 16-34 declines
Don’t forget “Generation X”
National Association for Court Management
Human Resources Management
Implications of an Aging Labor Force
• Increased pool of older workers
• Increased health care costs
• Part-time employment, sabbaticals,
retraining, retiree job banks
• Parental care
• Career plateauing
National Association for Court Management
Human Resources Management
Women & the Labor Force
• Women with children in the workforce
– 1960 -- 19%
– 1984 -- 61%
– 1989 -- 68%
– 2000 -- 73%
• Women accounted for 58% of workforce
growth in the 1990’s
National Association for Court Management
Human Resources Management
Implications of More Women in
the Labor Force
• Two wage earner and single parent families
• Childcare
• Part-time, flexible hours, job sharing
• Flexible benefits
• Telecommuting
National Association for Court Management
Human Resources Management
“Minorities” & the Labor Force
• African American Labor Force Increase
– 1980’s
– 1990’s
– 2000-08
26%
21%
15%
• Hispanic Labor Force Increase
– 1980’s
– 1990’s
– 2000-08
National Association for Court Management
75%
43%
15% (projected)
Human Resources Management
White Male
Labor Force Entrants
• Pre 1986
• 2000
National Association for Court Management
47%
32%
Human Resources Management
Education
• It is estimated that limited literacy skills cost
business and taxpayers $20 billion in lost
wages, profits and productivity annually.
• In 1993, 23% (44,000,000) adults demonstrated
low levels of literacy.
• 33% of all welfare recipients are considered
functionally illiterate.
• In 1999, 9.4% of high school students dropped
out
National Association for Court Management
Human Resources Management
Generation X’ers: Are They
Changing the Rules and Do the
Rules Need to Change?
National Association for Court Management
Human Resources Management
Generation X Stereotypes
•
•
•
•
•
•
Arrogant
Uncommitted
Unmanageable slackers
Disrespectful of authority
Scornful of paying dues
“Just don’t care”
National Association for Court Management
Human Resources Management
Typical Baby Boomer
Beliefs/Values
• If I don’t like something, I boycott it; social
action is important.
• People under 30 can’t be trusted.
• I should be put on a pedestal; that’s where
I’ve always been.
• I am tolerant of diversity and comfortable with
change.
• The world was better in the 60’s/70’s.
National Association for Court Management
Human Resources Management
Typical Generation X
Beliefs/Values
• People see me as a child and I resent it.
• I have to deal with a confusing world that I
didn’t create.
• I feel indifferent to things that seem to matter
to others.
• I like to have a variety of experiences.
• I rebel against the molds that society pushes
me into.
National Association for Court Management
Human Resources Management
Typical Generation Y Values
• If it’s not fun, it’s not worth doing.
• Only I know what’s good for me.
• Technology is what makes the world better.
• I can state my opinion at the expense of anyone.
• The world is violent, and it scares me.
National Association for Court Management
Human Resources Management
Generation X’ers Are
Independent
• Because they were “latch key” kids, many
become self-sufficient and creative problem
solvers.
• They are results oriented, whether 8-5 or
Noon to 8.
• They often rebel against micro-management,
but blossom with coaching and feedback.
National Association for Court Management
Human Resources Management
Generation X’ers Are
Technology Whizzes
• They demand state of the art capabilities
such as e-mail, teleconferencing, and
telecommuting in order to work efficiently and
effectively.
• They are much more skilled with technology
than most of their baby boomer counterparts.
National Association for Court Management
Human Resources Management
Generation X’ers and Life
• They want balance in their lives, demanding
time for work, play, family, friends and
spirituality.
• They want to know “What can you do to help
me balance work, life and family?”
• They expect organizations to understand and
respect their needs as individuals with
important personal lives.
National Association for Court Management
Human Resources Management
Generation X’ers and
Bureaucracy
• Cynical about authority, irreverent about
hierarchy, hate bureaucracy, loath hidden
agendas and disdain politicking.
• Demand honesty and clarity.
• Respect substance over style.
• Focus on big picture; emphasis is on outcomes
over process or protocol
National Association for Court Management
Human Resources Management
Generation X’ers as Free
Agents
• Seek challenging projects that help them
develop a portfolio of skills.
• Thrive in learning organizations where they
can embrace creative challenges and acquire
new skills
National Association for Court Management
Human Resources Management
Are Generation X’ers
Unmanageable?
• They support a more casual workplace
because they support substance over style
– Dress codes, grooming standards
• Independence, combined with technological
expertise supports growth in telecommuting.
• What about a service-environment like the
courts?
National Association for Court Management
Human Resources Management
Managing Generation X’ers
• Teacher and facilitator rather than a boss.
• Training is critical, but should be immediately
relevant.
• The best training seems to be self-directed or
tied to self-improvement, personal development
and skill building.
• Mentoring programs that pair institutional
memory and experience of “boomers” with
technological prowess of “X’ers” can help to
foster mutual respect.
National Association for Court Management
Human Resources Management
Why Aren’t Gen. Xers
Committed?
• TV generation – has there been a good boss
since Lou Grant?
• Saw parents victimized by downsizing,
mergers
• Understand that management loyalty lasts
only as long as financial statements make it
possible.
National Association for Court Management
Human Resources Management
Keys for Retaining Gen. Xers
• Information and continuous learning
opportunities
• Devoting time and money to socially
responsible causes
• Merit awards (money, time or training) for
good service
National Association for Court Management
Human Resources Management
Gen. Xers Leave More Than
Others Because of:
•
•
•
•
•
•
Desire for more challenging job
Higher salary
Better benefits
Flexible work schedules
Lack of daily proof that work matters
Inaccurate and untimely feedback
National Association for Court Management
Human Resources Management
Non-Financial Rewards for
Gen. Xers
•
•
•
•
•
More control over their own schedules
Access to marketable skills
Exposure to decision makers
Clear areas of responsibility
The chance for creative freedom
National Association for Court Management
Human Resources Management
Communicating With
Generation X and Y
• Need to know why
• They don’t recognize hierarchical structure.
Therefore, expectations, consequences and
recognition must be communicated early,
often and straight.
• Make technology count
• Immediate supervisors are critical.
National Association for Court Management
Human Resources Management
A Workforce That Embraces
Diversity
1. “Say so.” Talk about it with the other person; you get one
2.
3.
4.
5.
6.
chance.
Talk directly about unwritten rules of the department and
unit.
If necessary refer people to others who can help (mentor).
Apply EEO policies and train managers and employees.
Do not tolerate race/sex epithets, period.
Differing behaviors and work styles are acceptable so long
as integrity and quality are preserved.
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Employee Motivation
National Association for Court Management
Human Resources Management
Basic principles of employee
motivation
1.
2.
3.
4.
Everyone is motivated, all of the time...
...By needs (internal drives) that they are attempting to
satisfy.
To be highly motivated, to extend the effort needed to
keep a job or perform well, people must be able to
meet the needs that are important to them on or
through their jobs.
Thus, the key is for management to design jobs and
manage people in such a way that: (a) employees
can meet their own needs while, (b) at the same time
achieving the goals of the organization.
National Association for Court Management
Human Resources Management
Basic principles of employee
motivation
5. Inability to meet important needs produces
frustration which, in turn, leads to:
•
•
Aggressive behavior, or
Withdrawal behavior.
6. People are complicated, i.e. They have many
different needs they are trying to satisfy on the
job.
7. Many of today's people (performance) problems
are due to the frustration of "higher-order needs".
National Association for Court Management
Human Resources Management
Expectancy theory seems to
sum things up:
1. An employee will increase his/her effort, if
he/she believes that increased effort will lead
to improved job performance, and
2. He/she believes that desirable rewards will
result from the improved job performance.
National Association for Court Management
Human Resources Management
A Two-Part Strategy for
Addressing Motivation Problems
1. Identify individual and organizational
inhibitors to motivation, and adopt
strategies for their elimination or
understanding/acceptance, and
2. Identify and implement possible motivators.
National Association for Court Management
Human Resources Management
Dealing with Motivation
Problems, Part I
If it appears that an employee performance or
behavior problem is motivation-based,
determine if there is a hindrance to motivation.
Check the following:
• Physical working conditions
• Information/orientation
• Status
• Economic
National Association for Court Management
Human Resources Management
Dealing with Motivation
Problems, Part I
If it appears that an employee performance or
behavior problem is motivation-based,
determine if there is a hindrance to motivation.
Check the following:
• Social
• Job security
• Recognition
• Responsibility
National Association for Court Management
Human Resources Management
Dealing with Motivation Problem,
Part II – Possible Motivators
•
•
•
•
•
•
Involvement
Goal setting
Praise
Assignment of or as a mentor
Rotational assignments
Cross training
National Association for Court Management
Human Resources Management
Dealing with Motivation Problem,
Part II – Possible Motivators
•
•
•
•
Projects that stretch duties
Special assignments
Creative assignments
Plum responsibility, i.e. attractive
assignments
• Training opportunities
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Communication and
Teambuilding
National Association for Court Management
Human Resources Management
THE COMMUNICATIONS
PROCESS
Sender
Message
Medium
Feedback
National Association for Court Management
Receiver
Human Resources Management
The Sender
• Decisions
– When to communicate
– Content
– Medium
• Responsibility
– The language must be understandable to
the receiver
– Check for understanding
National Association for Court Management
Human Resources Management
Ten Commandments of
Listening
1. Stop talking
2. Put the speaker at
ease
3. Show a willingness
to listen
4. Remove distraction
5. Be empathic
National Association for Court Management
6. Be patient
7. Hold your temper
8. Go easy on
arguments and
criticism
9. Ask questions
10. Stop talking
Human Resources Management
Communication Barriers
• Organizational
• Physical
• Interpersonal
National Association for Court Management
Human Resources Management
Feedback: Closing the
Loop
• Paraphrasing
• Empathy
• Active Listening
– Responding to thoughts and to the underlying
feelings or interests
– “It sounds like you ….”
– “I hear you saying ….”
– “You seem to feel ….”
National Association for Court Management
Human Resources Management
Giving High Quality Feedback
• Specific, rather than general
• Focused on behavior
• Attends to needs of receiver
• Behavior that the receiver can do something
about
• Solicited, not imposed
National Association for Court Management
Human Resources Management
Giving High Quality Feedback
• Sharing information, not giving advice
• Well-timed
• The amount of information that the receiver can
use
• Checked to ensure clear communication
National Association for Court Management
Human Resources Management
Effectively Receiving Feedback
• Try not to be defensive-- suspend judgement
• Summarize and reflect what you heard
• Ask for clarification and examples
• Check with group for validity
• It is your right to decide what to do with it
National Association for Court Management
Human Resources Management
Accusatory Confrontation:
“You” message
• Judgmental, evaluative, critical, blameful
• Little direct information on sender’s feelings
National Association for Court Management
Human Resources Management
Constructive Confrontation:
“I” message
• Non-blaming specific description of the other’s
behavior
• Concrete and tangible effects on you
• Congruent expression of your feelings/interests
• Shifts the focus of the interaction to underlying
issues, rather than positional blaming
National Association for Court Management
Human Resources Management
Perceptions
• Selective perception
• Stereotyping
• Projection
• Halo effect
National Association for Court Management
Human Resources Management
Building Trust
• Solicit and provide
honest feedback
• Open
communications and
trust are reciprocal
• Be genuine
• Accept others and try
to be accepted
National Association for Court Management
• Be empathic
• Possess integrity
• Have a sense of
justice/fairness
• Be able to do the job
• Have good intentions
• Be reliable
Human Resources Management
Team Definition
• An energetic group of people who are
committed to achieving common
objectives, who work well together and
enjoy doing so, and who produce high
quality results.
National Association for Court Management
Human Resources Management
Commonsense Findings About
Teams
1. A demanding performance challenge tends to
create teams.
2. The disciplined application of “team basics” is
often overlooked.
3. Team performance opportunities are
widespread.
4. Top management teams are the most difficult.
5. Most organizations prefer individual over group
accountability.
National Association for Court Management
Human Resources Management
“Uncommonsense” Findings
About Teams
1. Organizations with strong performance
standards seem to spawn real teams.
2. High performance teams are rare.
3. Hierarchy and teams go together.
4. Teams naturally integrate performance and
learning.
5. Teams are the primary performance unit for an
increasing number of organizations.
National Association for Court Management
Human Resources Management
Building a Winning Team:
The Steps
• Get commitment from
the power structure
• Establish/clarify
mission/vision/
values/goals
• Get involvement
• Take the pulse
regularly
National Association for Court Management
• Acknowledge you
have heard input
• Make visible changes
• Recognize the
importance of trust
• Make the process fun
where possible
Human Resources Management
Eight Components of
Successful Teams
1.
2.
3.
4.
5.
6.
7.
8.
Goals
Talent
Roles
Procedures
Team-oriented Training
Interpersonal Relations
Reinforcement
External Relations
National Association for Court Management
Human Resources Management
Deciding How to Decide
• Considerations
– Time available
– Level of commitment required for successful
implementation
– Quality of thinking necessary
• Decision Options
– Command
– Consultative
– Consensus
National Association for Court Management
Human Resources Management
High Performance Teams
1. Balance of people and technical skills.
2. Members must have shared values.
3. Limited number of members with common
vision.
4. Members have training especially w.r.t. to
problem solving and communications.
5. Leadership is the key factor.
National Association for Court Management
Human Resources Management
Team Leadership Skills
• Open, trusting
• Affirmative, expressing optimism
• Skilled at dealing with feelings and practical
methods for problem-solving
• Willing to share leadership
National Association for Court Management
Human Resources Management
Prerequisites for Participation
•
•
•
•
•
•
•
Time
Costs must not exceed the value
Subject must be relevant or interesting
Participants must have qualifications
Must be able to speak each other’s language
Can’t feel threatened
Only within area of job freedom
National Association for Court Management
Human Resources Management
When Working as a Team
Member
•
•
•
•
•
•
•
•
Keep goals clear
Keep an open mind
View differences of opinion as a help
Work things through on the basis of logic and
reason
Avoid changing your mind just to avoid conflict
Make sure everyone has opportunity to participate
Encourage and protect the shy
Be aware of your own “power”
National Association for Court Management
Human Resources Management
Task-Oriented Functions
• Initiating
• Seeking information or opinions
• Giving information or opinions
• Clarifying and elaborating
• Summarizing
• Consensus-testing
National Association for Court Management
Human Resources Management
Group Maintenance Functions
• Harmonizing
• Gate keeping
• Encouraging
• Compromising
• Standard setting and testing
National Association for Court Management
Human Resources Management
Counterproductive Activities
Within Teams
• Prejudging ideas
• Competing with others
• Monopolizing
• Withdrawing
• Defensive communications
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Staffing, Mentoring, and
Compensation
National Association for Court Management
Human Resources Management
Ten Key Strategies
1. Good recruiting and
selection
2. Managers must view
development and
retention as their #1 job
3. Flexibility in HR policies
4. Strong orientation
program
5. Development-oriented
performance mgmt
National Association for Court Management
6. Equity in compensation
7. Supervisors/mgrs
selected based upon
managerial skills
8. Over communicate
9. Job preview for new
hires
10. Employee recognition
and incentive program
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
1. Review the critical court values that apply to all court
positions, e.g. customer service, integrity, initiative,
teamwork, etc.
• These are essential to ensure that the employee is
not just technically competent, but also will fit the
cultural of the court
2. Identify and define necessary competencies for the job
• An up-to-date job description may provide this
information.
• If not, the knowledge, skills and abilities necessary
to perform each required duty must be identified.
National Association for Court Management
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
3. Identify and choose selection devices
•
•
Once the required competencies have been
identified, e.g. interviewing skills, knowledge of court
procedures, etc., a determination can be made
about how to ascertain the extent to which a
candidate possesses them.
For example, if the competency is the ability to write
probation reports, perhaps a test is created in which
a candidate has to write one given a packet of
information.
National Association for Court Management
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
4. Develop a structured interview guide
•
•
Some interpersonal competencies are best
assessed through the interview.
Asking the same set of job related questions to
each candidate is critical.
5. Remember perceived fairness, consistency, and
legal compliance
National Association for Court Management
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
6. Eliminate implied promises
•
It is possible that the status of court employees who
serve at the pleasure of the court can be changed if
court leaders make oral or written promises of a “for
cause” employment relationship.
National Association for Court Management
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
7. Orientation, training, and development are critical
•
•
•
•
•
•
•
The most critical aspect of orientation is not what the HR
department does, it is what line managers do.
Consider assigning a mentor.
Pay attention to the little things – lunch, parking, breaks.
Don’t overwhelm; spread things out over the first weeks
and months.
Take all court employees into the court room so that they
see “the end product.”
Be clear about expectations.
Allow for regular, two-way communication.
National Association for Court Management
Human Resources Management
Key Issues in Staffing
8 Critical Roles for Managers
8. A successful “probationary period”
•
•
•
•
•
This is the final step in the hiring process and is extremely
important.
It is usually easier to dismiss a poor performing employee
during the probationary period than at any other time.
It is an opportunity to guide, direct, and nurture the employee.
A regular schedule for review and feedback throughout the
period is critical, as is regular documentation.
If there is doubt about the employee’s performance at the
conclusion of the probationary period, dismiss the employee,
barring unusual circumstances.
National Association for Court Management
Human Resources Management
Alternative Selection Devices:
Choose the Correct Tool for the
Competency
• Employment
application
• Resume
• Academic
performance
• Tests
National Association for Court Management
•
•
•
•
Reference checks
Licenses
Criminal records
Medical
examinations
• Psychological
examinations
Human Resources Management
The Employment Interview
Process
• Identify the competencies you want to assess using the
interview (e.g. judgment, problem-solving, etc.)
• Define, anchor and scale those competencies (e.g. what
is excellent versus acceptable versus unacceptable
judgment)
• Write interview questions
• Train interviewers
• Conduct interviews – ideally, no more than 5 or 6 in a
day
• Evaluate the interview after each candidate
• Validate interview results and the selection process
National Association for Court Management
Human Resources Management
Employment Interview Keys
• Format – Rapport, information getting,
information giving
• Structured interview guide
• Open ended questions
• Behavioral focus
National Association for Court Management
Human Resources Management
Interview Biases
•
•
•
•
•
•
•
Halo and horns effect
Leniency, severity, and central tendency
Stereotypes
Selective perception
Similarity
First impression
Contrast effect
National Association for Court Management
Human Resources Management
Panels or Oral Boards
• Keep the size manageable -- three or so
• Get panel members involved in the
development process
• Assign roles
• Plan note taking
• Rate individually, then work for clarification
and consensus, not averaging
National Association for Court Management
Human Resources Management
Mentoring
• The lifeblood of the court is the accumulated
insight of the people who choose to give their
gifts of talent and commitment.
• Mentoring may be the best way to ensure
that the intellectual legacy of court staff
continues.
National Association for Court Management
Human Resources Management
Mentoring Helps To:
•
•
•
•
•
•
•
•
•
Attract and retain high performers
Upgrade employee skills/knowledge
Promote diversity of thought and style
Develop leadership talent
Preserve institutional memory
Create inclusion
Develop a line of succession
Foster a collaborative environment
Ease the transition to new assignments
National Association for Court Management
Human Resources Management
Building and Managing
a Mentoring Programs
• Determine the purpose and set goals.
• Identify and match mentors and protégés.
• Train mentors and prepare protégés – listening,
conflict resolution, motivation, instructional
techniques, flexible leadership, providing feedback,
positive reinforcement
• Monitor the mentoring process
• Evaluate the program
National Association for Court Management
Human Resources Management
The Mentoring Program
• Selecting a mentor
• What mentors do
– Job performance
– Guide
– Business acumen
– Ally
– Interpersonal skills
– Catalyst
– Learning capacity
– Savvy insider
– Advocate
National Association for Court Management
Human Resources Management
Mentoring Guidelines for the
Court
•
•
•
•
•
•
Get top management support
Make mentoring part of career development
Start with a short program
Make the program voluntary
Be public about the program
Select mentors with credibility – expertise, rank and
power
• Orientation for both mentors and protégés
• Allow for diverse mentoring styles
• Document the progress of the program
National Association for Court Management
Human Resources Management
Guidelines for Mentors
• Expect to invest considerable time and effort
• Be prepared to initiate the relationship
• When the time is right, let the protégé go
• Have realistic expectations of the relationship
National Association for Court Management
Human Resources Management
Concepts of Total
Compensation
• Intrinsic Rewards – A part of the compensation that
employees receive from the job is not specifically
provided by the employer, it is inherent in the work,
e.g.
–
–
–
–
–
–
–
Sense of self worth
Social contact
Having fun
It’s what I do
It’s what you’re “suppose to do”
Opportunity to make a difference
The prestige of working for the judicial system and/or
judges
National Association for Court Management
Human Resources Management
Concepts of Total
Compensation
• Extrinsic rewards – usually when one thinks of
compensation one thinks of the employer
provided rewards Sense of self worth
– Non-monetary
 Office
 Office with a door and window
 Job title
 Travel
 Computer
 Flexibility
National Association for Court Management
Human Resources Management
Concepts of Total
Compensation
• Extrinsic rewards
– Financial
 Direct compensation – base pay, performance
incentives
 Indirect compensation
– Pay for time not worked, e.g. holidays, vacation,
sick days, personal days
– Benefits
» Medical, dental, life insurance, retirement
» Workers’ compensation, social security
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Collectively, these intrinsic and
extrinsic rewards form the total
compensation package for the
employee and go into the
equation as to whether or not the
employee feels that she/he is
being compensated equitably
relative to others.
National Association for Court Management
Human Resources Management
Goals of a Compensation
System
1. Perceived equity in compensation received
– Internal equity – determined through use of job
evaluation techniques. Employees look at


Employees on same job, and
Employees on different jobs
– External – determined through surveys of other
employers in the labor market. Employees consider



Geographic area
Similar positions
Public sector versus private sector
National Association for Court Management
Human Resources Management
Goals of a Compensation
System
2. Incentives for superior performance
3. Compliance with laws
–
Fair Labor Standards Act, Equal Pay Act, Title
VII, ADA, ADEA
4. Efficiency of administration
National Association for Court Management
Human Resources Management
Job Analysis
• Definition – A systematic process for gathering
and summarizing information about
– Job Content
– Job Requirements
– Job Context
• Importance – Job analysis results, as
summarized in the job description, is one of the
core components of effective human resources
management. It provides the data for good
decision making in staffing, compensation,
performance management, training, etc.
National Association for Court Management
Human Resources Management
Job Analysis
• Critical Data
– Nature of Work
 Essential Functions
 Additional Duties
 Responsibilities
– Level of Work
 Skill
 Effort
 Responsibility
 Working Conditions
National Association for Court Management
Human Resources Management
Job Analysis
• Sources of Information
–
–
–
–
–
Direct Observation
Individual Interviews
Group Interviews
Diaries/Logs
Job Analysis Questionnaires
National Association for Court Management
Human Resources Management
Job Descriptions – the
summary of the job analysis
• Key Elements
– Title
– Essential Duties
– Minimum Job Requisites
 Physical
 Mental
– Working Conditions
National Association for Court Management
Human Resources Management
Uses of Job Descriptions
• Basis for Job Evaluation
• Job Pricing - External salary surveys
• Work Assignments
• Organizational Structure
• Succession Planning
• Training
National Association for Court Management
Human Resources Management
Point Factor Job Evaluation
Systems
• Types of Factors Given Weight
– Skill
– Effort
– Responsibility
– Working Conditions
National Association for Court Management
Human Resources Management
Pay Surveys
• Pay Survey
– Collection of data on compensation rates for
workers performing similar jobs in other
organizations.
• Benchmark Jobs
– Jobs found in many organizations.
• Internet-Based Pay Surveys
– Pay survey questionnaires are distributed
electronically rather than as printed copies.
National Association for Court Management
Human Resources Management
Developing Pay Surveys
Select Employers with Comparable Jobs
Determine Jobs to be Surveyed
Decide What Information Is Needed
Conduct Survey
National Association for Court Management
Human Resources Management
Classification or Pay
Structures
• Pay Grades
– A grouping of individual jobs having approximately the
same job worth, based upon job evaluation and salary
survey data
• Broadbanding
– The practice of using fewer pay grades having
broader pay ranges that in traditional systems.
National Association for Court Management
Human Resources Management
Classification or Pay
Structures
• Objective
– Provides an equitable foundation for rewarding
employees given the relative worth of their position
• If Employees are Improperly Classified
– Poor morale, turnover
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Employee Performance
Feedback and Development
National Association for Court Management
Human Resources Management
Performance Feedback and
Development
Basic Assumptions
• People are our most important resource.
• People’s performance can improve and their
behavior can change, even though their basic
personalities do not change.
• While some performance management and
appraisal forms and systems are better than
others, managers determine the success or
failure of any program.
National Association for Court Management
Human Resources Management
Performance Feedback and
Development
Basic Assumptions
• Performance management is a fundamental part
of every supervisor’s job, a part of the planning,
implementation, evaluation cycle.
• A good feedback session takes some time.
• The most effective performance appraisal is a
part of a comprehensive program of
performance management that takes place dayin and day-out, not once a year.
National Association for Court Management
Human Resources Management
The Performance Management
Process
Describe the job
Set performance and behavior expectations
Monitor performance, and provide ongoing feedback
Appraise performance, use results for:
Problem identification and resolution
Pay, promotion and retention decisions
National Association for Court Management
Employee development
Human Resources Management
Strategic Planning and
Performance Management
• Strategic Planning
• Identification of strategic issues
• Action planning
• Performance management
National Association for Court Management
Human Resources Management
Performance Planning
• Define the job purpose.
• Define job duties, responsibilities, and objectives
(including measures).
• Discuss general performance factors (values,
methods).
• Define priorities and standards.
• Schedule interim review sessions.
National Association for Court Management
Human Resources Management
The Performance Feedback
and Appraisal Session
• Your attitude is critical
• Pay attention to the setting
• Start with the purposes
– Review performance relative to expectations,
including accomplishments and areas in need of
improvement, and provide an assessment
– Develop strategies for improvement were
required
– Provide input for supervisory improvement
National Association for Court Management
Human Resources Management
The Performance Feedback
and Appraisal Session
• Begin with the accomplishments
• Then move to “areas in need of improvement”
• Try to reach agreement on each item to be
appraised
• Be objective and honest
• Don’t use loaded words
• Stay realistic
• Listen more than you talk
• Remember your non-verbals
National Association for Court Management
Human Resources Management
Common Rater Biases
•
•
•
•
•
•
•
Halo, Horns
Recency
Leniency/Severity/Central tendency
Similarity
Stereotypes
Contrast Effect
Selective Perception
National Association for Court Management
Human Resources Management
Overcoming Biases
•
•
•
•
•
•
•
Recognize the ones you have.
Share expectations with the appraisee.
Keep a “log” of events during the year.
Give regular feedback (no surprises!).
Consider using an employee self-appraisal
Review your draft appraisal with someone.
Remind yourself of your biases before every
performance appraisal conference.
National Association for Court Management
Human Resources Management
Factors That Predict How Courts
Decided in Appraisal Cases
• Written instructions and training to evaluators
• Results or behavior-oriented system
• Job analysis
• Employee knows in advance what is expected
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Performance management
can be a helpful tool in
preparing a court for
succession management.
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
How many organizations,
therefore, have succession
plans?
Results of a December 2003
SHRM Survey
National Association for Court Management
Human Resources Management
At what levels of your organization
are there succession plans in place?
60.5%
18.2%
18.5%
18.5%
14.0%
12.2%
CEO/president
only
All of C-Suite
Vice Presidents
National Association for Court Management
Directors
Other (please
specify)
We do not have
any succession
plans i...
Human Resources Management
Nevertheless, because human
talent is the key ingredient for
court success, court leaders
must give thought to
succession planning.
National Association for Court Management
Human Resources Management
Succession Planning Process
National Association for Court Management
Human Resources Management
Scanning the External
Environment
• Environmental Scanning
– The process of studying the environment of the
organization to pinpoint opportunities and threats.
• Environment Changes Impacting HR
–
–
–
–
Governmental regulations
Economic conditions
Geographic and competitive concerns
Workforce composition
National Association for Court Management
Human Resources Management
Internal Assessment of the
Organizational Workforce
• Auditing Jobs and Skills
–
–
–
–
What jobs exist now?
How many individuals are performing each job?
How essential is each job?
What jobs will be needed to implement future
organizational strategies?
– What are the characteristics of anticipated jobs?
National Association for Court Management
Human Resources Management
Internal Assessment of the
Organizational Workforce
• Organizational Capabilities Inventory
– HRIS databases—sources of information about
employees’ knowledge, skills, and abilities
(KSAs), training
– Components of an organizational capabilities
inventory
 Workforce and individual demographics
 Individual employee career progression
 Individual job performance data – education,
training, etc.
National Association for Court Management
Human Resources Management
Internal Assessment of the
Organizational Workforce
• Organizational Capabilities Inventory
– What can be developed versus what can be
acquired
National Association for Court Management
Human Resources Management
Forecasting
• Know the organization.
– Is the organization growing, contracting?
Implementing new services, processes?
• Number of positions that need to be filled by
organization and by unit.
– 125 new employees needed next year
– 8 court executive officers, 20 court reporters, 12
system professionals, etc.
• Take a holistic approach. Be aware of chain
effects: as people are promoted their positions
become available.
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Dealing With Problem
Employees
National Association for Court Management
Human Resources Management
Key Concepts in Employee
Discipline
• Communications/Forewarning
• Consistency
• Perceived fairness
• Procedure/Due process
• Documentation
– Regular, Non-secretive, Specific, Observable
National Association for Court Management
Human Resources Management
Analyzing and Solving People
Problems
•
•
•
•
•
•
•
Describe the problem
Is it important?
Analyze the causes?
Decide on a corrective action.
Implement the plan.
Follow up.
Revise as needed?
National Association for Court Management
Human Resources Management
Performance Problems
• Ability
• Clear goals
• Adequate tools and support
• Motivation
National Association for Court Management
Human Resources Management
Behavior Problems
• Does the employee know what the proper
behavior is?
• Are there health, family, emotional, substance
abuse, medical, psychological, etc.
problems?
National Association for Court Management
Human Resources Management
Corrective Actions
• Support
• Interim Performance
Reviews
• Training
• Re-assignment
• Employee Assistance
Program
• Coaching
National Association for Court Management
• Corrective discipline
• Probation?
• Demotion?
• Discharge?
Human Resources Management
Conducting an Effective
Coaching Session
1. Establish rapport – place the employee at
ease.
2. Describe the behavior or performance
problem.
3. Try to get agreement that a problem exists.
4. Determine why the employee’s performance
has been a problem.
National Association for Court Management
Human Resources Management
Conducting an Effective
Coaching Session
5. Ask for the employee’s ideas or solutions to
the problem and discuss the ideas that
she/he volunteers.
6. Agree on the specific action to be taken by
the employee.
National Association for Court Management
Human Resources Management
If you suspect that an employee
problem might benefit from the
Employee Assistance Program:
• Concentrate on performance and behavior on the
job
• Make sure that the employee is aware of the
EAP
• Document this communication
• Participation in the EAP does not excuse poor
performance or inappropriate behavior on the
job!
National Association for Court Management
Human Resources Management
Seven Tests of Just Cause:
The Questions Asked by Arbitrators in Unionized
Workplaces Which Provide A Useful Guide for NonUnion Courts
•
•
•
•
•
•
•
Forewarning?
Reasonable rule?
Investigation?
Fair investigation?
Adequate proof/evidence?
Consistency?
Appropriate punishment?
National Association for Court Management
Human Resources Management
Corrective Discipline
• Oral warning or reprimand (documented)
• Written warning or reprimand
• Suspension or disciplinary layoff
• Discharge
National Association for Court Management
Human Resources Management
When Determining Disciplinary
Action, Consider:
• Seriousness of the offense
• Employee’s past record
• Employee’s length of service
• Past practice in similar cases
• Mitigating or aggravating circumstances
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
DOCUMENTATION:
A critical responsibility for
court supervisors and
managers
National Association for Court Management
Human Resources Management
Documentary Evidence
• Business records
• Meritorious complaints
• Employer communications to employees
• Personnel file information
National Association for Court Management
Human Resources Management
Physical Evidence
• Examples of poor quality work
• Photographs
• Unauthorized/Illegal substances or weapons
• Other physical evidence
National Association for Court Management
Human Resources Management
Testimony
• Nothing substitutes for first hand testimony
• Written statements from witnesses
National Association for Court Management
Human Resources Management
The “FOSA” Method
• F – Facts
• O – Objectives
• S – Solutions
• A -- Actions
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Handling Employee
Complaints and Grievances
National Association for Court Management
Human Resources Management
Purposes of the Grievance
Procedure
•
•
•
•
Brings problems out in the open.
Opportunity for emotional release by employees.
Guards against unfair actions by managers.
Proper administration of the terms of a collective
bargaining agreement (CBA) or court personnel
policies.
• Clarification of ambiguous terms/policies.
• Identification of terms/policies in need of
modification.
National Association for Court Management
Human Resources Management
Time Limits in Unionized
Courts
• A timeliness objection must be raised at the
first written response by management.
• Raising a timeliness violation does not
preclude dealing with the merits of a
grievance.
• Be sure to be aware of the definition of the
word “days.”
National Association for Court Management
Human Resources Management
Burden of Proof in Labor
Relations
• In discipline cases, management is assigned
the burden of proof.
• In contract administration grievances the
union carries the burden of proof.
National Association for Court Management
Human Resources Management
Handling Grievances
• Settle at lowest possible level.
• Maintain a receptive attitude/atmosphere.
• Union steward usually has a right to be
present at any meetings at which grievances
are being adjusted, even if the employee
does not desire representation (check your
CBA).
National Association for Court Management
Human Resources Management
Grievance Handling Steps
1. Listen attentively as the grievance is
presented.
2. Find out from employee/steward the section of
the CBA or personnel policies alleged to have
been violated.
3. Question the employee/steward to develop a
full set of facts.
4. Investigate -- develop additional facts and
verify employee/steward assumptions.
National Association for Court Management
Human Resources Management
Grievance Handling Steps
5.
6.
7.
8.
Analyze your information.
Record all pertinent information.
Write your decision.
Report your decision to employee/steward and
management.
9. Follow-up on your decision.
National Association for Court Management
Human
Resources
Insert Course
TitleManagement
Here
Management Rights, Past
Practices and Contract
Administration
Special Issues for Unionized
Courts
National Association for Court Management
Human Resources Management
Management Rights
• Residual Rights Doctrine -- Management
does not acquire its rights through the CBA
• Exclusive rights -- rights not subject to
bargaining
• Non-exclusive rights -- areas covered by the
contract or mandatory subjects of bargaining
National Association for Court Management
Human Resources Management
Non-Exclusive Rights
• Right to initially interpret and apply contract
language
• The right to direct the workforce
National Association for Court Management
Human Resources Management
Limitations to Management
Rights
• The terms of the CBA
• Legislation
• Limitations upon unilateral action with significant
impact on terms & conditions
• Reasonableness
• Custom and past practice
National Association for Court Management
Human Resources Management
Binding Past Practice
• Definition: A consistent response to a given
set of circumstances which has been
enunciated and acted upon over a significant
period of time and has thus been mutually
accepted by the parties as an established
and correct procedure.
National Association for Court Management
Human Resources Management
Eliminating Past Practices
• Change in technology or methods
• Use of “corrective” rule
• Voiding of the practice
• Contract negotiations3
National Association for Court Management
Human Resources Management
Contact Administration
• Definition: The process through which the
parties to a CBA ensure that the terms of the
agreement are enforced in accordance with
their respective understandings of the rights
and obligations agreed to in the language of
the contract.
National Association for Court Management
Human Resources Management
The Union Administers the CBA
Through Filing Grievances
• Management inconsistency
• Management consistency
• Perceived contract violations
• Grievances for grievances sake
National Association for Court Management
Human Resources Management
How Management Should
Administer the Contract
• Identifying and articulating its interpretation
• Communicating this interpretation
• Consistently and uniformly enforcing its
interpretation
• Guarding against adverse practices
• Settling grievances on their merits
• Settling grievances of questionable merit on a
non-precedential basis
National Association for Court Management
Human Resources Management
Achieving Consistency Where
Language is Ambiguous
•
•
•
•
Use a team approach
Keep good records
Practice positive contract administration
Develop methods of communication among
management personnel
• Develop an interpretative manual
• Monitor contract enforcement
National Association for Court Management
Human Resources Management
Typical Definition of a
Grievance
Any formal complaint on the part of an employee
or the union that an action or inaction by
management violated the labor contract or one
of the court’s policies or procedures in such a
way as to adversely affect the working
conditions of employees.
National Association for Court Management
Human Resources Management
Definition of a “Complaint” in
Non-Union Setting
Any complaint on the part of an employee
that an action or inaction by management is
perceived to be unfair or to unfairly affect the
employee.
National Association for Court Management