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Human Resource Best Human Resource Best Practices Practices Part I – Part I – A Solid Foundation A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana Municipal Interlocal Authority

Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

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Page 1: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Human Resource Best PracticesHuman Resource Best PracticesPart I – Part I – A Solid FoundationA Solid Foundation

Presented by John M. Cummings, PHRPersonnel Director

Employment Practices Specialist Montana Municipal Interlocal Authority

Page 2: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

DisclaimerDisclaimer

(Please Note: All materials, recommendations, and draft personnel policy language provided in this PowerPoint presentation should be reviewed and approved by a City Attorney prior to utilization or adoption.)

Page 3: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

The Human Resource The Human Resource FoundationFoundation

Personnel Policies and ProceduresEmployment Practices Liability Coverage (EPLC) through MMIAJob Description DevelopmentPerformance AppraisalsCorrective Action and Discipline (Part II)

Page 4: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Personnel Policies and Personnel Policies and ProceduresProcedures

Page 5: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Why Create or Update our Why Create or Update our Personnel Policy Manual?Personnel Policy Manual?

If PPM is more than 4 years old it should be reviewed

History of inaccurate policies and procedures circulating the State

Allows For Proactive ManagementImproves Employee RelationsHelps Guide Your Supervisors

Page 6: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Why Create or Update our Why Create or Update our Personnel Policy Manual?Personnel Policy Manual?

Functions as a recruitment toolAssists in developing “Consistent”

personnel management practicesPPM meeting MMIA’s underwriting

criteria is required in order to attain Employment Practices Liability Coverage (EPLC)

Page 7: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Proactive Management & Proactive Management & Employee RelationsEmployee Relations

Policies are established in writing and address situations in a uniform and non-discriminatory manner

Orients employees and assists them in understanding and following policies

May assist with union relationsAssists in making personnel actions

defensible

Page 8: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Guiding SupervisorsGuiding Supervisors

Provide guidelines to supervisors Reduce misunderstandingsIncrease consistencySupport disciplinary actionAvoid charges of discrimination

and favoritism

Page 9: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Recruitment & Retention ToolRecruitment & Retention Tool

Introduce your culture and environment and provide a clear understanding of policies and procedures

Include a Welcome Letter, and your Vision, Mission, History of your city/town and an Organizational Chart

Manual should be non-technical and accessible to a wide range of educational levels

Page 10: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Consistent Personnel Consistent Personnel ManagementManagement

Examine what is in writing vs. what actually happens “on the job”

Consistency is key to employees adopting the guidelines

Provide training to employees, supervisors, and Council Members

Include Employee Signature Receipt Page with Policy Manual

Page 11: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

1. Does your municipality have, and consistently follow, a PPM?

2. When was the last time you sat down and went through your town’s PPM?

Page 12: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

3. Any current weaknesses you have found in the PPM that have caused you difficulty?

4. Who has final authority for Personnel Actions in your PPM?

Page 13: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Isn’t the Municipality Safer Isn’t the Municipality Safer Without Anything in Writing?Without Anything in Writing?

The Argument(s): If we don’t have anything in writing,

we won’t be held to that particular standard.

I have no way to ensure that employees and supervisors will follow the written policies and procedures.

Page 14: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Isn’t the Municipality Safer Isn’t the Municipality Safer Without Anything in Writing?Without Anything in Writing?

The Reason(s) to put policies and procedures in writing:

Difficult to enforce unwritten policies and procedures (& lack of consistency)

Court may decide based on past practices what your policies and procedures are

Leads to unproductive disputes Charges are difficult to disprove

Page 15: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Best Practices Best Practices Personnel PoliciesPersonnel Policies

Page 16: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

In General In General

1. PPM size will depend on the complexity of the municipality.

2. There is no “required” PPM – Instead PPM should be designed to meet your needs

3. Most do not need a 50 to 70 page PPM

4. Handout “Template” Table of Contents (covers the basics in roughly 24 pages with attachments)

Page 17: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

““Essential” Personnel PoliciesEssential” Personnel Policies

1. Probationary Period

2. Unlawful/Sexual Harassment

3. Corrective Action and Discipline

4. Complaint Resolution and Grievance

5. Equal Opportunity Statement

Page 18: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

““Essential” Personnel PoliciesEssential” Personnel Policies

6. Work Site Safety

7. Family Medical Leave Act: public, state, & federal employers & private-employers who employed 50 or more employees in 20 or more workweeks

8. Maternity Leave

9. Military Leave

Page 19: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

““Essential” Personnel PoliciesEssential” Personnel Policies

10. Reduction In Force (RIF) Policy11. New Employee Orientation

12. Drug Free Workplace / Drug and Alcohol Testing

13. Receipt Page (signature page for employee)

Page 20: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Reviewing Specific PoliciesReviewing Specific Policies

1. Probationary Period Policy

2. Unlawful/Sexual Harassment Policy

3. Corrective Action and Discipline Policy

4. Complaint Resolution and Grievance Procedure

Page 21: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Probationary Period PolicyProbationary Period Policy

Page 22: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Probationary Period – Defining Probationary Period – Defining Good CauseGood Cause

Montana is not an “At Will” employment State. To discharge an employee who has completed their probationary period, the employer must show “good cause”.

Under the Montana Wrongful Discharge from Employment Act, good cause is defined as “reasonable job-related grounds for dismissal”

Page 23: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Probationary PeriodProbationary Period

Employers should include a probationary period policy in their manuals

During a one-year probationary period employment can be terminated by either party, at will, on notice to the other party, for any reason or for no reason”

Page 24: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Probationary PeriodProbationary Period

Montana Law defaults to 6 months if not stated.

Fire and Police have statutory probationary periods.

Collective Bargaining Agreements may set different probationary periods.

Page 25: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Probationary PeriodProbationary Period

Employers should not include a “Special Secret Double Probation Policy”

Probationary Period Policy “Extensions” should be carefully defined and consistently applied

Question: Does a non-probationary period employee serve a new probationary period when he/she is promoted/demoted?

Existing employees must undergo a break in service before they are placed in a new Probationary Period

Page 26: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

1. How long is your probationary period & how long do you think it should be?

2. Do you allow for extensions to the probationary period? In what instances?

3. Is probation ever utilized as a substitute for corrective action?

Page 27: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Richie v. Town of Ennis, 2004 Richie v. Town of Ennis, 2004 MT 43MT 43

Richie hired as Town Marshal – Town had 6 mo probationary period

Mayor terminated Richie Richie filed suit under Wrongful Discharge

from Employment Act Court upholds termination, but under State

Statute allowing Mayor broad discretion to discharge probationary officer (12 mo probationary period)

Page 28: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Hunter v. City of Great Falls, Hunter v. City of Great Falls, 2002 MT 331 (December 20, 2002 MT 331 (December 20,

2002)2002) Firefighter probationary period governed by statute –

but statute doesn’t limit it to 6 mo. Hunter’s termination correct in that he did not meet

other criteria for permanent employment. Result is that prob periods can be extended but

employee must be notified at beginning of employment, policies must be in writing, included in orientation, and extension should be made prior to original probationary period expiring.

Page 29: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Hobbs v. City of Thompson FallsHobbs v. City of Thompson Falls In summary: Police officers in Montana serve

a probationary period of employment which cannot exceed one year. During their probationary period they may be terminated by the city's chief executive without cause.

However, following satisfactory completion of the probationary period of employment, a police officer cannot be terminated without cause.

Page 30: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Hobbs v. City of Thompson FallsHobbs v. City of Thompson Falls The good cause provisions of the wrongful

discharge from employment act are then applicable. That officer is still subject to confirmation by the city council / commission and does not become a member of the police force subject to other protections afforded to confirmed police officers without confirmation. However, confirmation cannot be denied following the satisfactory completion of the probationary period without good cause

Page 31: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful Harassment PolicyUnlawful Harassment Policy

Page 32: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful HarassmentUnlawful Harassment

Unlawful harassment exposes you to an extremely high liability risk

Most easily offended person sets the standard

Summer help: Pools/Parks/Recreation

Page 33: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful HarassmentUnlawful Harassment

“It is the policy of this city to provide a work environment for each employee, which is free from unlawful harassment”

This city also prohibits retaliation against employees who expose harassment

Page 34: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful HarassmentUnlawful Harassment

Unlawful sexual harassment means any unwelcome sexual advances, request for sexual favors, and other verbal or physical conduct of a sexual nature when:

Page 35: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful HarassmentUnlawful Harassment

A. Submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment;

B. Submission to or rejection of such conduct by an individual is used as a basis for employment decisions affecting such individual; or

C. 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.

Page 36: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful Harassment Unlawful Harassment ExamplesExamples

Unwelcome sexual advancesSexual gestures; graphic verbal

comments of a sexual nature, including such comments about a person’s body; sexually degrading words used to describe an individual

Displaying sexually suggestive objects, pictures, cartoons or posters

Page 37: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Unlawful HarassmentUnlawful Harassment

Provide a clear course of actionProvide clear procedures to followProvide a clear chain of commandRequire them to report and recordDetail the steps that will be takenFollow-up on remedy and prevent

retaliation

Page 38: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

1. Employee stops you in the grocery store and complains that the Mayor is creating a hostile work environment – they want you to advise the City Council to fire the Mayor – What advice to you provide the employee, the Mayor, the Council?

2. Supervisor discovers employee is downloading pornographic materials and distributing them throughout the office? What advice do you provide?

Page 39: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Star v. West, F.3d (9Star v. West, F.3d (9thth Cir. Cir. January 18, 2001)January 18, 2001)

Star claimed hostile work environment – VA took remedial action against accuser but Star didn’t consider it enough discipline.

Result was that the court refused to require a certain kind of remedial action when an employer is faced with a sexual harassment claim. Employer can decide how to deal with the problem.

Page 40: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Nichols, et al. v. Azteca Nichols, et al. v. Azteca Restaurant Enterprises, Inc., Restaurant Enterprises, Inc., F.3d (9F.3d (9thth Cir., July 16, 2001) Cir., July 16, 2001)

Sexual harassment and retaliation claim based on “gender-based Stereotypes”.

Result was that Azteca’s policy and training did indicate reasonable care to prevent harassment BUT it did not exercise reasonable care to promptly correct harassing behavior so liable for hostile work environment.

Need Policy and Need to Enforce / Follow-up / and Prevent Retaliation

Page 41: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Dernovich v. City of Great FallsDernovich v. City of Great Falls

The Montana Human Rights Commission found that off-color jokes and cartoons circulated around the office by both men and women created a hostile work environment. In addition, the city was ordered to prevent sexual harassment of employees and evaluate department heads’ performance each year based on "the quality and success of their efforts to implement and enforce the antidiscrimination policies."

Page 42: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Nichols, et al. v. Azteca Nichols, et al. v. Azteca Restaurant Enterprises, Inc., Restaurant Enterprises, Inc., F.3d (9F.3d (9thth Cir., July 16, 2001) Cir., July 16, 2001)

Sexual harassment and retaliation claim based on “gender-based Stereotypes”.

Result was that Azteca’s policy and training did indicate reasonable care to prevent harassment BUT it did not exercise reasonable care to promptly correct harassing behavior so liable for hostile work environment.

Need Policy and Need to Enforce / Follow-up / and Prevent Retaliation

Page 43: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Complaint Resolution and Complaint Resolution and Grievance ProcedureGrievance Procedure

Page 44: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Complaint Resolution and Complaint Resolution and Grievance ProceduresGrievance Procedures

Grievances shall consist of matters of disagreement arising out of the employer-employee relationship:

where there is no applicable policy where there is deviation from policy where the policy is considered to be

inappropriate

Page 45: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Complaint Resolution and Complaint Resolution and Grievance ProceduresGrievance Procedures

All disciplinary action may be subject to grievance, with the exception of corrective counseling and verbal warnings

  A decision not to renew a term

employment contract or to terminate a probationary employee are not grievable matters, and are not subject to the procedure. 

Page 46: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Complaint Resolution and Complaint Resolution and Grievance ProceduresGrievance Procedures

• Grievance procedures steps should clearly outline the chain of command and required deadlines for all participants - Examples:

Verbally present grievance to supervisor   Submit grievance in writing to supervisor Supervisor provides written response Employee may appeal by submitting written

grievance to the Mayor – Mayor review and respond

Timeline / Deadlines are Key Provide copy of Policy to terminating employees

Page 47: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Offerdahl v. State of Montana Offerdahl v. State of Montana Dept. of NRC, 2002 MT 5 Dept. of NRC, 2002 MT 5

(January 15, 2001)(January 15, 2001) Under the Montana Wrongful Discharge from

Employment Act, employers have complete defense if they have a written grievance procedures, they provide a copy to the employee at time of termination, and the employee fails to follow the policy – this case upholds this aspect of the WDA.

Court indicated that Oferdahl did not follow the guidelines under the grievance procedures.

Page 48: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

1. Does your City or Town take grievances to mediation or arbitration? Pro’s and Con’s.

2. Employee wants to grieve the disciplinary actions of their Supervisor who is the Mayor – How do you advice the employee, the Mayor, and the Council?

Page 49: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Drug and Alcohol Free Drug and Alcohol Free Workplace Policy – Policies Workplace Policy – Policies

and Proceduresand Procedures

Page 50: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Drug and Alcohol TestingDrug and Alcohol Testing

Drug and Alcohol Free Workplace Policy

Your city or town should review your need for a Drug and Alcohol Testing Policy.

Template available from MMIA

Page 51: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Drug-Free Workplace ActDrug-Free Workplace Act

In compliance with the Drug-Free Workplace Act of 1988, (Title 41-10-701 through 707, U.S.C. as amended), the city is committed to providing an alcohol-free and drug-free workplace.

The city prohibits the unlawful manufacture, distribution, sale, possession or use of a controlled substance or alcohol in the workplace or while conducting business.

Page 52: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Drug-Free Workplace ActDrug-Free Workplace Act In compliance with the Drug-Free Workplace Act of 1988, (Title

All employees must comply with this policy and notify the MAYOR/CITY MANAGER]and/or their designee in writing of any drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction.

The MAYOR/CITY MANAGER and/or their designee is

responsible for notifying the appropriate federal granting agency of the conviction when the employee involved is working on a federal grant or contract, within ten (10) days of learning of the conviction. Employees who violate this policy may be subject to disciplinary action.

Page 53: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

D&A Testing BackgroundD&A Testing Background

Montana legislature adopted the Workforce Drug and Alcohol Testing Act in 1997, no part of the act has been challenged up to the Montana Supreme Court level.

Therefore, employers have no guidance as to whether the Montana Supreme Court will find the Act (in whole or in part) or the implementation of the Act, constitutional.

Page 54: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

D&A Testing BackgroundD&A Testing Background

Right to privacy issues are of concern If the policy is challenged, it will be a

case of first impression and thus it is impossible to tell whether the Montana Supreme Court will uphold the constitutionality of the Act or its implementation.

Page 55: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Drug and Alcohol TestingDrug and Alcohol Testing

Drug and Alcohol Free Workplace Policy

Review your need for a Drug and Alcohol Testing Policy

Review positions that require CDL and the testing requirements

Template available from MMIA

Page 56: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

APPLICABILITY OF POLICYAPPLICABILITY OF POLICY

The City prohibits employees from using or being under the influence of alcohol or drugs during working hours, while conducting any City business, while on City property or while driving City vehicles.

This Policy requiring certain drug and alcohol testing of certain employees will apply to all employees engaged in the performance of work, supervision, or management in a hazardous work environment, all employees holding positions involving matters of public safety, security, or fiduciary relationships, and all employees operating City vehicles.

Page 57: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

APPLICABILITY OF POLICYAPPLICABILITY OF POLICY

Employees subject to testing are as follows: Individuals engaged in the performance, supervision,

or management of work in a hazardous work environment, security position, position affecting public safety or fiduciary position for the City, and

Individuals involved in the operation of commercial motor vehicles or revenue service vehicles

These positions include the following categories of employees, job titles and job descriptions:

Policy does not apply to independent contractors.

Page 58: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

COMPLIANCECOMPLIANCE All eligible employees will be subject to urine drug testing and/or

breath alcohol testing. Employees who refuse to comply with a request for testing, who provide false information, or who adulterate or substitute samples shall be removed immediately from duty, and will be subject to disciplinary action, up to and including termination.

Examples of an employee’s refusal to submit to the required test includes, but is not limited to, (1) a failure to provide an adequate urine specimen or breath sample without a valid medical explanation for the failure, (2) verbal declaration of refusal, (3) obstructive behavior resulting in an inability to conduct the test, or (4) physical absence at the scheduled testing time.

Page 59: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

TYPES OF TESTINGTYPES OF TESTING

Reasonable Suspicion TestingPost‑Accident Testing Random Testing: Testing of All

Employees on a Date Certain & Periodic Random Testing Within a Calendar Year.

Pre-employment Testing

Page 60: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Questions For The Group Questions For The Group

1. New Mayor wants to perform drug and alcohol testing on everyone, feels it is his right and duty. What advice do you provide?

2. The Mayor doesn’t tell you he/she has initiated testing and ends up firing the Administrative Assistant due to a positive drug test. What advice do you provide?

Page 61: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Key Personnel Policy Manual Key Personnel Policy Manual DisclaimersDisclaimers

Page 62: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Key DisclaimersKey Disclaimers

The Personnel Policy Manual supersedes any previous written, or unwritten, personnel policies and/or manuals.

The Personnel Policy Manual does not create a contract, express or implied, between the organization and the employee.

The Personnel Policy Manual does not guarantee employment for any specific time period.

Page 63: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Key DisclaimersKey Disclaimers

The PPM can only be changed in writing, by the Mayor/Council

This PPM can be changed by the organization unilaterally, at any time.

The PPM is not all-inclusive, and is only a set of employment guidelines.

Page 64: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

I’ve put my manual together, I’ve put my manual together, now what? now what?

Be comfortable with each policyOnce adopted your policies must be

followed Remember - you can change your

mind! Make it simple to update and keep it

updatedTrack updates clearly and

consistently

Page 65: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

I’ve put my manual together, I’ve put my manual together, now what?now what?

Train employees and supervisorsDon’t just throw it on the shelfEmployees must acknowledge

reading and understanding manual content

Remember it is a “living” document subject to legislative rulings, industry norms, technological advancements, and changes in your city or town

Page 66: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

JOB DESCRIPTION DEVELOPMENT

Page 67: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Job Description DevelopmentJob Description Development

Accurate Job Descriptions are critical to the success of a Municipality.

Oftentimes Job Descriptions are left undone, or become quickly outdated.

Becomes hard to identify truly what a person does – or is supposed to do.

How to start – Templates available from MMIA and then do a Job Analysis.

Page 68: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

What is a Job Analysis?What is a Job Analysis?

Process to identify and determine in detail the particular job duties and requirements and the relative importance of these duties

Analysis is conducted of the job, not the person

End product is a job description not a description of the person

Page 69: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

What Aspects of a Job Are What Aspects of a Job Are Analyzed?Analyzed?

Relationships/Supervision given and received Exempt vs. Non-exempt Duties and tasks Environment Tools and Equipment Knowledge Skills Abilities (KSA’s) Essential functions and/or duties

Page 70: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

How are these aspects How are these aspects analyzed?analyzed?

Methods of Job Analysis Observation Desk Audits Individual or group interviews Questionnaire Employee logs Revising/reviewing existing job descriptions

Page 71: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Job Descriptions Are Useful Job Descriptions Are Useful Because….Because….

Identifying training needs Recruitment & Selection Compensation Performance Evaluation Corrective Action / Discipline Organizational redesign/staffing issues Strategic Planning Describe physical needs of various positions

to avoid discrimination complaints

Page 72: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

PERFORMANCE EVALUATIONS

Page 73: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

What to Call it?What to Call it?

Performance Evaluation

Performance Appraisal

Performance Review

Annual Review

Job Performance Review

Job Performance Evaluation

Annual Performance Discussion

Personnel Evaluations

Page 74: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Sound Familiar?Sound Familiar?

“Why do you keep nagging me to document performance problems - I do an annual review!”

“I don’t have the time to do these personnel evaluations - they are just a waste of time anyway.”

“I don’t like talking to people about their performance.”

Page 75: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Why Supervisors Should CareWhy Supervisors Should Care

Faster resolution of employee problemsChance to identify misunderstandingsCommunicate expectations to

employees and update job descriptionsOpportunity for employee to ask

questions/for manager to ask employee questions

Easier corrective action

Page 76: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Performance Evaluation Performance Evaluation Documents Should….Documents Should….

Use plain non-technical languageBe performed consistentlyRecord important facts clearly and

objectively Memorialize the basis for the

employment decision Avoid extreme or conclusory language

Page 77: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Performance Evaluation Performance Evaluation Documents Should….Documents Should….

Be specific and based on verifiable facts or measurable goals

Be dated and clearly identify the authorBe signed and dated by the employeeBe based on an accurate Job

description

Page 78: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Evaluate without FearEvaluate without Fear

Only evaluate those areas that are necessary for effective job performance

Communicate clear job standards so employee know how to get top ratings

Document problems when they occur so that you can references these records

Be honest What points can you praise employee for? What areas do you want the employee to improve in? Can you support the evaluation with hard facts?

Page 79: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Performance Evaluations Make Performance Evaluations Make Corrective Actions EasierCorrective Actions Easier

Improves managers recollection of the events

Enhances managers credibility for accuracy

Provides confidence that the manager is organized, responsible and fair

Objective evidence of performance problems

Page 80: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Performance Evaluations Make Performance Evaluations Make Corrective Action EasierCorrective Action Easier

Non-discriminatory, business-related concern

Employee may self-select and resignDocumentation deters litigationEmployee know you have evidence to

help win a caseLess attractive for plaintiff’s counsel to

accept a contingent fee case

Page 81: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

In Summary: Evaluations are In Summary: Evaluations are Your Greatest Defense When:Your Greatest Defense When:They offer clear documentation of

performance– written proof of logic, business necessity

and equityThey are consistent

– use both mitigating or enhancing criteria They are candid and truthful

– Jensen v. Hewlett-Packard (1993)

Page 82: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Potential Consequences of an Potential Consequences of an Improper EvaluationImproper Evaluation

DefamationRetaliation under Title VII or ADAInterference with prospective economic

advantagePoor moraleDisrespect for management

Page 83: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Employment Practices Employment Practices Liability Coverage (EPLC)Liability Coverage (EPLC)

Page 84: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Employment Practices Liability Employment Practices Liability Coverage From MMIACoverage From MMIA

As a member of MMIA’s Liability program you are eligible to join the EPLC coverage at no charge.

Currently, the Memorandum of Liability Coverage excludes certain employment practices. The EPLC coverage will expand your liability coverage to include defense costs for wrongful employment practices claims.

Page 85: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Wrongful EmploymentWrongful Employment

Means the actual or alleged: wrongful employment termination, unlawful discrimination, sexual harassment, Civil Rights violation, and/or workplace torts. The employment practices liability coverage does not extend to indemnification or penalties under State or Federal provisions and does not include collective bargaining or Union grievance procedure issues, including union negotiations.

Page 86: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Who Has This CoverageWho Has This Coverage 41 municipalities have received the EPLC

Endorsement

MMIA will come on-site to meet with staff, work with Council Members, and explain the EPLC Endorsement process

Underwriting Criteria do not “require” a specific manual. This allows the City or Town to develop a customized PPM.

Page 87: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

The EPLC Review ProcessThe EPLC Review Process

MMIA will start by reviewing your personnel policy/procedures manual, job descriptions, and employment application against MMIA’s underwriting criteria (provided).

MMIA will provide a formal review letter indicating what items may need to be updated and/or edited and provide samples.

Items that need to be sent include: PPM, Employment Application, Sample Job Descriptions, standardized Interview Questions (if used)

Page 88: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

EPLC AssistanceEPLC Assistance

If your city or town needs a personnel policy manual, job descriptions, or an employment application, MMIA can provide you with a template to review and make your own.

All policies and procedures should be reviewed with your City Attorney prior to adoption.

Page 89: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Human Resource Best PracticesHuman Resource Best PracticesPart II - Part II - Corrective ActionCorrective Action

Presented by John M. Cummings, PHRPersonnel Director

Employment Practices Specialist Montana Municipal Insurance Authority

Page 90: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and Corrective Action and DisciplineDiscipline

A properly designed Corrective Action and Discipline Policy will help ensure that all managers and supervisors follow the same course of action when working with employees.

Key Areas: Timeliness, Consistency, Accuracy, and Documentation

Page 91: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and Discipline-Important Disclaimer--Important Disclaimer-

Each of the following disciplinary actions is independent of the other and will not necessarily be applied in the order listed. For example, depending on the severity of the offense, an employee may be terminated or suspended without having been warned or counseled, or may be terminated without having been placed on probation or suspended.

Page 92: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and Discipline

For Non-Probationary Employees:Corrective Counseling (optional)Oral ReprimandWritten ReprimandSuspension (with or without pay)Disciplinary Demotion (optional)Termination

Page 93: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and Discipline

As you enter into Corrective Action:

1. Clearly explain to the employee that this is a specific action in the City’s Corrective Action/Disciplinary Policy

2. Clearly explain where they are at in the corrective action process

3. Do not label the Steps “Step 1…”

Page 94: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineCorrective counseling is a

straightforward discussion with an employee about matters deemed to be a problem with work related performance or behaviors

Document, file, and provide a copy for the employee

Page 95: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineAn Oral Reprimand may be given

to employee for job-related reason Fully explain and discuss the

nature of the problemProvide a plan of improvement.Document, file, and provide a copy

for the employee

Page 96: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineWritten Reprimand is similar to the

verbal warning and must contain a description of the specific conduct for which the employee is being warned, how to correct the problem, and consequences if problem is not corrected

Document, file, and provide a copy for the employee

Page 97: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineSuspension may be with or without

pay and may result in dismissal or reinstatement with or without back pay; however, exempt employees may be suspended without pay only for a period of one or more weeks.

Provide an opportunity to conduct an investigation.

Page 98: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineDisciplinary demotion for job-

related reasons. The terms of a disciplinary demotion must be in writing, and must contain a description of the specific conduct or reasons for which the employee is being demoted. If appropriate, a disciplinary demotion may include a plan of improvement.

Page 99: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and DisciplineAn employee may be terminated for

job-related reasons. Notice of a termination must be in writing and must contain a statement of the reasons for the termination. A copy of the notice must be given to the employee, and will be placed in the employee’s personnel file.

Provide employee with copy of Grievance Policy.

Page 100: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

QuestionsQuestions

Page 101: Human Resource Best Practices Part I – A Solid Foundation Presented by John M. Cummings, PHR Personnel Director Employment Practices Specialist Montana

Corrective Action and DisciplineCorrective Action and Discipline Examples from your community? Job Performance… Always late to work… Frequently absent… Verbally abusive… Physical altercation… Drug and/or alcohol use… Off the job behavior… Stealing… Others…