COMPREHENSIVE HUMAN RESOURCES TRAINING GUIDE by qhq29331

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									       COMPREHENSIVE
HUMAN RESOURCES TRAINING GUIDE




                   Written by
       Doug Moore, VP of Human Resources

   Printing Industries of California

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                                PRINTING INDUSTRIES OF CALIFORNIA




Comprehensive Human Resource Training Guide


                      ABOUT THE AUTHOR

                   Douglas Moore is the Vice President of Human Relations for Printing
                   Industries Association, Inc. of Southern California (PIASC), and the
                   Human Relations Specialist for Printing Industries of Northern California
                   (PINC) and Printing Industries Association of San Diego (PIASD). He
                   worked as a Human Resources Manager in the Printing and Publications
    Doug Moore     Industry from 1973 to 1985 and has been in his present position with
VP Human Relations
                   Printing Industries since December 1985. Doug has taught a curriculum
covering Human Relation’s practices at Cal State Los Angeles Department of Technology.

Doug’s responsibilities as VP of Human Relations includes counseling the over 2,500 member
companies in the three associations on matters related to Human Resources. He designed and
conducts training on sexual harassment, discrimination, retaliation prevention, and wage and
hour compliance training for Managers, Supervisors and Human Resources employees. In
addition to that, Doug also teaches supervisory and management skills for the industry. His
training classes include an interactive process with students using examples from the industry to
encourage participation and problem solving. The information presented during these training
programs or as a part of the Cal State Los Angeles curriculum, is the basis of the material in this
publication.

Doug counsels member companies on a daily basis on questions such as how to respond to
sexual harassment or other discrimination complaints from employees and how to conduct
investigations of those claims.

Doug graduated with a Bachelor’s degree from Cal Poly Pomona in 1969.




                                Printing Industries of California
                                     5800 South Eastern Avenue, Suite 400
                                            Los Angeles, CA 90040
                                   Phone (323) 728-950 • Fax (323) 724-2327




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                          PRINTING INDUSTRIES OF CALIFORNIA




Comprehensive Human Resource Training Guide



   CUSTOMIZED ON-SITE TRAINING PROGRAM

   The material in the Comprehensive Human Resource Training Guide has been
   used by Douglas Moore for the last 24 years in his Supervisory Skills Classes at
   Printing Industries of Southern, Northern and San Diego California; on-site at
   association member locations; and Production Management Class at Cal State
   Los Angeles, Bachelor of Administration Printing Management Curriculum.
   The material has also been presented for other printing associations and printing
   association member companies throughout the country.

   Companies or printing associations can contact Douglas Moore to customize their
   on-site training needs from the material in the Comprehensive Human Resource
   Training Guide. He will present the customized curriculum at the company’s
   selected location to their supervisors, managers or owners for a fee. There may
   also be travel expenses based on the location of the member company. Contact
   Doug to create a curriculum, set dates for the training, and discuss the cost.




                           Printing Industries of California
                               5800 South Eastern Avenue, Suite 400
                                      Los Angeles, CA 90040
                             Phone (323) 728-950 • Fax (323) 724-2327




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                                        PRINTING INDUSTRIES OF CALIFORNIA




Comprehensive Human Resource Training Guide

Table of Contents
       I.   Business Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
      II.   Work Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
     III.   Organizing Human Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
     IV.    Creating Company Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
      V.    Recruiting New Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
     VI.    Interview Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
    VII.    Interview Questions and Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
   VIII.    The Hiring Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
     IX.    New Employee Orientation Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
     X.     Time Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
     XI.    Supervisory Basics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
	 	XII.	 Influencing	Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
   XIII.    Formal Employee Evaluation Program Process . . . . . . . . . . . . . . . . . . . . . . 40
   XIV.     Guide To Performing Employee Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . 43
    XV.     Sexual Harassment and Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
  XVI.      Company Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
  XVII.     Progressive Discipline and Terminations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
 XVIII.     Written Safety Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
  XIX.      Reaching An Understanding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
   XX.      Recognition of Extraordinary Performance . . . . . . . . . . . . . . . . . . . . . . . . . . 66
  XXI.      Handling Change in the Work Environment . . . . . . . . . . . . . . . . . . . . . . . . . 68
  XXII.     Delegating Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
 XXIII.     Meeting with Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77




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I. BUSINESS PLANNING
The company’s viability depends on its managers, supervisors and employees working together to
produce “outcomes” that consistently meet the customer’s expectations and the financial needs of the
business. For this to occur, the company must communicate to all employees the purpose for which
it is in business. It must communicate its sales, financial, human resource and other business goals to
achieve this purpose. The company’s strategy for doing business is set out in its mission statement and
goals. The supervisors and their employees must decide and perform the specific actions to achieve these
outcomes and goals in a timely manner.

Section 1: Mission Statement

    1. Purpose of the Business: The mission statement addresses the reason or purpose for the
       company to be in business. It answers the question “why does the company exist?” It states what
       the company values or feels is important in operating the business. The mission statement does
       not remain static but must change to reflect the present business environment it operates in.

    2 Basis for Human Resource (HR) Decisions: The HR decisions of managers and supervisors
      must be supported by the company’s purpose, goals or policies. Supervisors must not base HR
      decisions on their personal values or feelings.

    3. Questions to be addressed: The mission statement sets the general outlook and overall purpose
       of the company. It should address the following questions about the business.

       a. What is the company?

       b. Whom does the company serve?

       c. What does the company provide?




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Section 2: Goal Statements

    1. Business Outcomes: Goals are concise statements that are consistent with the mission
       statement. The company goals are statements that identify the desired outcomes to achieve the
       company’s mission statement. They point out and address the internal and external issues that
       affect the fulfillment of the company’s mission. Supervisors must create department goals that
       are consistent with the company mission statement and goals.

    2. Specificity: A mission statement is general. Goal statements are specific, directed and somewhat
       measurable. In support of a mission statement the company usually identifies several goal
       statements for the business.

    3. Goals to be addressed: The goal statements of an organization must answer three questions:

       a. Where does the company want to go?

       b. How does the company want to get there?

       c. How will the company know it has arrived?




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II. WORK PLANNING
 1. Scheduling Work: A daily, weekly, and monthly schedule is familiar to all parts of the printing
    industry. What the company or supervisors do to schedule and plan a customer’s job directly
    affects how efficient the work will be completed by the employees.

 2. Flexibility: Schedules and procedures are subject to rapid change in the printing industry. The
    schedule must establish a time limit or standard for completing jobs or projects. If there is an
    exception to the time standards of a job, the company must adjust to the change. Managing the
    schedule and establishing contingency plans in advance to address possible changes helps the
    workflow. Important questions to answer are the following:

    a. What are the deadlines for the scheduled work?

    b. Does one job take priority over others because of customer expectations?

    c. Is the work from a new customer where deadlines must be met?

    d. Who are the customers who will negotiate the schedule?

 3. Project Planning: A project plan is any visual control system that allows the company to assign
    HR resources to meet its work objectives. It addresses the following questions:

    a. Who does what?

    b. What is the length of time available to do the work?

    c. What is the order of events from beginning to completion?




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III. ORGANIZING HUMAN RESOURCES
The greatest obstacle supervisors encounter is their desire to perform and control the work that is the
responsibility of their employees. Because many supervisors were successful workers before they were
supervisors, there is a natural temptation to do this. Supervisors must assist their employees in reaching
their company goals or desired outcomes.

    1. Organization Chart: The organization chart is a visual of lines and boxes connected to show
       who reports to whom. The following questions must be addressed:

        a. What are the work responsibilities for each position?

        b. How does the work from each position affect the work of others?

    2. Statements of Work: The simplest way to capture the full meaning of the company’s
       organization chart and the relationships and responsibilities of the departments shown on
       the chart is to state them in short sentence form. These statements should be written and
       communicated to supervisors and employees to describe the company’s structure and support
       systems as completely and accurately as possible. The statements of work for each company
       function or department must be mutually exclusive. That is, no functional area should perform
       the same work as another.

    3 Operational Plan: The use of objectives with employees enables the company to do the
      following:

        a. Establish a plan.

        b. Communicate Company expectations.

        c. Adjust to change: Adjust to exceptions that occur because of changes in resources, support,
           machine or work processes that will affect the objective or outcome.

        d. Document the results achieved.

        e. Communicate: They identify the starting point for productive two-way communications
           between the supervisor and employees in fulfilling the outcome.


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4. Objectives: The objective statements should include the following:

   a. Outcomes: Action or performance targets.

   b. Resources: The resources to be used when the action takes place.

   c. Time and Quality: Time available and standards of acceptable performance.

5. Establishing Objectives: The supervisor must address the following questions to set objectives.
   Is the objective:

   a. Specific: Uses concrete, tangible outcomes?

   b. Measurable: Uses numbers from the job to keep score?

   c. Attainable: Uses outcomes that are achievable?

   d. Resourced: All tools, materials, etc. are available?

   e. Timed: Time limits are set for reaching the outcome?

6. Objective Setting: Supervisors must use the following steps in setting objectives as a tool for
   organizing their work and the employee’s work.

   a. Who Does What: Supervisors should use an action verb to describe what needs to happen
   (actions); which employees will perform the action; and the outcome (results). The outcome is
   based on achieving the mission and goals of the company. The outcome must be realistically
   attainable. Supervisors should meet with the employees to discuss the outcome and to mutually
   select the best approach or actions.

   b. What is Available to do the Work: Supervisors must identify the resources, machinery
   and support available to achieve the outcome. They must identify tools or data that will be
   used to measure the actions in doing the work and the outcome. Supervisors must be aware of
   circumstances surrounding the work in the workplace that may affect the outcome.

   c. How Well and When: Supervisors must communicate the quality standards that will meet or
   exceed the expectations of the customer and a time line for completion of the work. There must
   be an agreement on the action plan the employees will follow to reach the outcome. The action
   plan should have a time line with check points and a final due date. The measurement to be used
   to evaluate the progress of the work should be understood by the employees in advance of doing
   the job.

   d. Outcome and Efforts Have Value: Supervisors must strive to make the employees aware
   that the objective or outcome is worth accomplishing for the sake of the business and for self
   improvement and personal satisfaction.



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IV. CREATING COMPANY POLICY
Company policy results from a combination of ownership, management and employee input, experience
and beliefs in how to perform the customer’s work. It is specific statements or general parameters that
form the basis for acceptable employee actions or behaviors when performing their work.

Section 1: Supervisory Decisions or Actions.

    1. Starting Point: Company policy is the starting point for productive two-way communication
       between employees and the supervisors.

    2. Understanding of Importance: When action is taken by supervisors, on matters of company
       policy, these actions form the basis of employees’ understanding of what is important or
       valuable to the company. These actions should be in line with company goals and be a reflection
       of the company mission statement or purpose to be in business.

    3. Guide to Actions: The policies are the basis for supervisory and employee actions (practices)
       within the parameters of the policy.

    4. Business Related: The actions resulting from company policy and practice are justified as
       necessary to achieve the company’s mission statement. Supervisors need to communicate to the
       employees the business reason for job related decisions or actions.

Section 2: Benefits of Personnel Policies

    1. Create Opportunity for Two Way Communication: When communicated in advance
       and properly supervised, personnel policies create an environment for productive two-way
       communication.

    2. Formulate Basis for Consistent Practices: Policies form the basis for consistent application
       of HR practices for almost all personnel matters from hiring to firing. They should be reviewed
       periodically to adjust to change or current HR practices.

    3. Growth and Security: Policies reduce insecurities related to job performance, eliminate
       management by surprise or ambush, and can be the basis for building self-confidence and
       esteem. They create predictability and security for employees when applied consistently by
       supervisors.

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    4. Eliminate Costly Mistakes: Policies, in the form of job or work procedures, can eliminate
       costly employee errors and remakes.

    5. Create Common Goals: Policies can create common goals and are the catalyst for employees
       and supervisors to work together towards outcomes that mutually benefit the company and the
       employees.

Section 3: Components of Company Policies

The following are some of the components of company personnel policies or expectations.

    1. Rules: The actions of employees that can be measured or observed in performing their job
       within acceptable company parameters.

    2. Standards of Conduct: The acceptable behaviors required to do the job within company
       parameters.

    3. Numerical Standard: The number of acceptable pieces to be produced in a specific time frame.

    4. Work Procedures: A combination of the actions required to perform the work to the desired
       outcome.

    5. No Defect: The actions or behaviors that must be followed by employees with little or no
       tolerance for errors or misconduct.

    6. Quality Standards: A final outcome that meets or exceeds customer expectations. This should
       normally be demonstrated in a visual form.

Section 4: Legal and Regulatory Consideration

The company can establish any requirements or expectations (policies) when the following legal criteria
are met:

    1. Job Related: The requirement or action must be job related and supported by a valid business
       necessity reason. The action should be justified by the goals and purpose (mission statement) of
       the company.

    2. Public Policy: The policy cannot violate a law or public policy.

    3. Disparate Affect: When administered, the policy should not adversely affect a group of
       employees with the same personal characteristics, such as ethnicity.




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Section 5: Methods, Suggestions on Establishing Company Policies

The following are suggested methods that can be used to establish and communicate company
expectations:

    1. Rules and Standards of Conduct:

       a. Written Policies: Rules and standards of conduct are covered in a written policy
          memorandum, employee handbook, and during a formal employee orientation program.

       b. Safety programs: A written safety policy must be established according to the regulatory
          and legal requirements of California Senate Bill (SB) 198 requiring every company have a
          written “Injury and Illness Prevention Program (IIPP).”

    2. Numerical Standards, No-Defect and Work Procedures: The following are suggestions in
       creating these policies:

       a. Industry or Company Data or Experience: The policy where possible should be based on
          sound historical company or industry data or practice.

       b. Numerical and No Defect: Numerical and no defect standards should be understood by
          employees to be reasonably attainable yet challenging. If possible, large numerical changes
          should be broken into readily achievable interim goals. The best source of numerical
          standards is derived from the employees performing the work.

       c. Operational Standards: Operational standards must account for differences in machinery,
          product and or job mix. If standards do not reflect these conditions, they will not achieve
          their purpose of improving operations in the business and employees may feel they are
          unfair.

       d. Flexibility: Company expectations and measurements must consider conditions realistically
          beyond the employee’s control in achieving, such as electrical failure, etc.

       e. Participation: Supervisors and employees performing the job functions should participate
          in setting standards, especially numerical standards. The information and input is valuable
          and management gains employee participation and ownership. This participation is critical
          where the company is first establishing numerical standards and/or has no historical or
          industry data or experience.

       f. Work Procedure Checklist: The standard job or work procedures should be in a written
          checklist for employees. The checklist should include the clause, “other duties
          as required by supervisor,” as well as the company’s right to amend, change, delete, add,
          etc. to current work procedures, policies, company standards or procedures.




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g. Room for Creativity: The company should strive to establish standards or work procedures
   that are not so specific or rigid that they hamper reasonable and positive participation
   by employees in suggesting better work processes, etc. There must be room for supervised
   employee initiative and input.

h. Reporting: Individual or group performance to standards should be reported to employees,
   always encouraging feedback on such reporting. The reporting period should be short
   to allow employees to make small and not large adjustments to work processes, equipment,
   materials or personnel.

i. Non-Performance: The company must establish managerial procedures on how to handle
   non-performance.

j. Interim Goals: Where major change is going to occur, the company should establish interim
   transitional standards related to work processes, machinery or procedures. Such transitional
   standards should include the approximate period of time such standards will be in effect.




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V. RECRUITING NEW EMPLOYEES
Section 1: Job Descriptions

Written job descriptions are the basis of action for recruiting, screening, hiring and other human resource
(HR) decisions. The descriptions should identify the essential requirements of a position that comply
with the Americans with Disabilities and the California Disability Acts. It can be the basis of the
company decision to make a position hourly or salary exempt (exempt from overtime pay).

    1. Job Description Information: Descriptions are most accurately formulated when supervisors
       and employees, with working knowledge of the mechanics of the job, provide their combined
       input. The description must reflect accurately the duties and responsibilities the employee
       actually performs.

        a. Precautions: Elements in a job description must represent bona-fide occupational
           requirements, must not have a disparate effect on a protected group (such as race, ethnicity,
           sex, age and other legally protected characteristics); and should be in a written form. The
           description should be updated and maintained reflecting current duties and requirements of
           the position.

        b. Contents of a Standard Job Description: The following areas can be included in a
           standardized job description form:

           i. Job Summary: One or two lines summarizing the essential responsibilities and duties of
              the job.

           ii. Job Duties/Activities: One or two lines describing the major activities of the job starting
               with a verb such as directs, coordinates, manages, performs or operates. The description
               of these activities should be precise such as “Moves finished material weighing up to
               35 pounds five to ten times per workday from press delivery to pallets,” and not general
               such as “lifts finished material weighing 35 pounds.”

        c. Identify Essentials: The description must indicate the activities or duties that are essential
           to performing the job to assure compliance with the medical and mental disability laws.
           Essentials can be identified by asking the following questions:

           i. Most Critical Skills: What are the most critical skills necessary to perform the job

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               functions?

           ii. Amount of Time: What job functions does the employee perform during the majority of
               the workday?

           iii. Others Available: Are there other employees available to perform certain functions of
                the job? If there are other employees, this is an indication that particular job function is
                not essential.

Section 2: Recruiting Potential Applicants

Forms of Recruiting

    1. Posting position with local high-school, college or trade school.

    2. Contacting companies going through closure or layoff.

    3. Newspaper or Internet Advertising.

    4. Printing Industries of Southern California Employment Service.

    5. Fee Based Professional Recruiters.

    6. Manufacturers’ Representatives.

    7. Employer and Employee Personnel Agencies.

    8. Temporary Agencies: Can contract a temporary employee who can later be converted to a
       company employee if desired.

    9. Posting the position within company.

    10. Employment Development Department.

    11. Rehabilitation centers.

Section 3: Developing Newspaper or Internet Advertising or Postings

The following are basic elements to consider when placing a newspaper advertisement or creating a
posting on the internet:

    1. Place advertisement normally under “PRINTING” in newspapers.

    2. Job title should eliminate sexual references such as Foreman and make it Lead-person.

    3. Geographic location of the business.

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    4. Brief description of the essential job related skills, duties or background required.

    5. Wage or salary range (optional).

    6. Mention highlights of benefit package offered.

    7. Indicate the shift.

    8. Invite “resumes to be sent” or “applications to be completed” at the company address.

    9. Company telephone number and a contact person’s first name in an advertisement or posting
       is a way to prescreen potential candidates before they complete application forms. The person
       prescreening should be trained in interviewing skills, techniques and legalities related to the
       recruiting and employment process.

    10. Best days in newspapers for advertising are the Wednesday and Sunday classified sections,
        which normally receive the greatest attention.

    11. Use abbreviations in advertising to reduce line costs.

    12. Consider cost savings in multiple day rates.

    13. Company may prefer resumes to be sent to a newspaper P.O. Box (blind ad) and not to the
        company.

Section 4: Application Forms and Resumes

Application forms and resumes provide basic information about a person’s background, job-related skills
and potential abilities, in a consistent format.

    1. Job Application Flow Data Record: The California Fair Employment and Housing
       Commission (FEHC) regulations require employers to collect applicant flow data for record-
       keeping and statistical purposes.

    2. Cautions Regarding Resumes

       a. Lack Job Progression: Resumes sometimes do not include salary or job progression
          histories.

       b. Job Titles Confuse: The job title indicated might have been a position the person held for
          only a minor portion of the total employment time with a company.

       c. Reveals only Accomplishments: Normally, the resume presents the individual’s strengths,
          and may not describe specific equipment operated and may reveal only accomplishments and
          not individual skills.



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   d. Aid in Prescreening: The resume should be an aid in the company’s prescreening efforts
      but all individuals must complete a formal company application form before being
      interviewed.

3. Company Application Form

   a. Consistency: The company application form provides information from all applicants in a
      uniform, consistent format.

   b. Prescreen: It helps to prescreen individual background and skill against requirements of the
      job.

   c. Basis for Interview: It becomes the basis for further decision, such as calling a person for a
      formal interview.

   d. Gaps in Employment History: The application form reveals areas, such as gaps in the
      employment history, requiring further information during screening or the interview process.

   e. Important Agreements: It secures appropriate releases for reference checks from
      applicants, indicates termination may result at later date on discovery of any omissions or
      misrepresentations by applicants and indicates the company’s at-will employment status and
      other agreements. <See http://www.piasc.org/pdf/human/EmploymentApplication.pdf >

   f. Contingencies for Employment: The application form states other contingencies for
      employment such as passing a company paid pre-employment drug and alcohol test.

4. Cautions Regarding Application Forms

   a. Must Interview: the application form should not be the basis for hiring an employee. It is
      not a substitute for an interview.

   b. Legal Questions: The questions in the application blank must not violate state laws covering
      permissible/impermissible questions and must be job related.
      <See http://www.piasc.org/pdf/human/InterviewQuestions.pdf >




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VI. INTERVIEW PREPARATION
The objective of the interview is to gain information regarding the person’s ability to perform the
minimum or essential requirements of the job.

Section 1: Preparing for the Interview

    1. Types of information desired

        a. Job Related: The information sought during the interview must be job-related behaviors or
           experiences.

        b. Skills and Experience: Interviewers must discover the specific skills and knowledge the
           applicant has to perform the functions of the job.

    2. Interviewer’s task

        a. Comfort: Interviewers must make applicants as comfortable as possible to help create
           an environment conducive to a productive dialogue.

        b. Information: The task is to gain information about job related behaviors, skills, training or
           education that will help later in choosing the most qualified person for the job.

        c. Multiple Experiences: It is important for Interviewers to gather multiple experiences/
           information during the interview on important functions of the job.

        d. Gaps in Employment: Interviewers must screen resume or application for employment
           gaps and determine activity of applicant during non-working periods.

Section 2: Recording information

    1. Advise Applicant: Interviewers should advise applicants, at the beginning of the interview
       session, if notes are going to be taken by Interviewers.

    2. Record Job Requirements: Interviewers may want to list in advance of the interview on a note
       pad the specific job related experiences or skills being sought.


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    3. Most to Least Important: Interviewers should prioritize from most important to least the job
       requirements on a note pad. This will prompt Interviewers to gain the most information from
       applicants on the essential aspects of the job. It will help Interviewers to make a more effective
       hiring decision at a later date.

    4. Questions to be answered: The job experiences and skills Interviewers is trying to discover
       from applicants should be listed as a question on a note pad. An example for a customer service
       applicant would be: “Describe a situation in your work experience where you had to handle an
       irate customer. When this occurred, what did you say and do?”

    5. Application Blank: Interviewers must not to record any information on the application blank.
       Interviewers should use a separate sheet of paper. An applicant, as well as an employee, has the
       legal right to a copy of any application blank he or she has signed in the State of California.

    6. Record Job Related Information: The notes should contain comments from applicants that
       are job related. Information given by applicants voluntarily to interviewers that is not related
       to performing the job, or are considered “impermissible under the State Law,” should not be
       recorded. <See http://www.piasc.org/pdf/human/InterviewQuestions.pdf >

Section 3: Interviewer Mistakes

    1. Personal Bias: Interviewers must be aware of their biases and how they may influence the
       interpretation of information received or evaluated during or after the interview. If interviewers
       personal feelings interfere with their objectivity, someone else (a qualified second party) should
       perform an interview with applicants. If a personal bias is anticipated, a neutral party could sit in
       with Interviewers to evaluate the information given during the interview.

    2. Halo Effect: Interviewers must avoid being overly influenced by one area of strength or
       achievement in applicants’s background as not to explore adequately all areas of job relevant
       background.

    3. Rationalization: When receiving or evaluating information from applicants, interviewers must
       avoid rationalizing their answers. The information should be recorded as stated by applicants.
       If interviewers do not have a clear meaning of an answer, they should ask further open-ended
       questions to understand. Interviewers must not rationalize or surmise what applicants might
       have meant in their response.

    4. Rushing the Interview: Interviewers who rush to complete, or do not allow adequate time to
       evaluate applicants’s background, make many poor and costly business decisions in hiring new
       employees. The cost of a bad hiring decision is loss of production, training and employment
       costs, greater pressure for skilled employees covering the employee’s failings, higher
       unemployment costs, and wrongful terminations.




                                                    19
Section 4: Interview Basics

    1. Promptness: Start the interview on time.

    2. Time: Allocate sufficient time in schedule for the interview.

    3. Interruptions: Interview in an office or area where there will not be disturbances either from
       people or telephones.

    4. Neutral Setting: Choose a neutral setting. A conference or customer room is normally the most
       neutral place to interview.

    5. Multiple Interviews: If more than one interview is going to take place, inform applicants at the
       first interview that there may be other interviews.

    6. Decision Maker: Let applicants know in multiple interviews who will make the hiring decision.

    7. Greeting: Greet applicants in a courteous and professional manner. Interviewers should
       introduce themselves; their position in the company and role in the selection process.

    8. Impediments: Interviewers should remove impediments, get out from behind the desk, lean
       back in the chair, and establish a relaxed profile maintained throughout the interview.

    9. Sincerity and Interest: Be sincere and maintain interest in what applicants is saying.

    10. Interview Agenda: Communicate the interview agenda to applicants. Consistently follow the
        same agenda for all subsequent interviews.

    11. Non-Verbal Communications: Be aware of non-verbal communications. Interviewers must
        keep their hands free and attempt to control changes in facial expressions, eye contact, body
        movements or posture. These changes may affect the comfort level of applicants and the flow of
        information from them.




                                                   20
Section 5: Interview Agenda

This agenda should be discussed with all applicants at the beginning of the interview. It is important
to interview in the order of the items presented below. This will lend consistency to the interview and
develop the best information from applicants.

    1. Time: Indicate the time set aside for the interview.

    2. Basic Description of Job: Give a description of the basic requirements of the position.

    3. Earliest Experiences: Inform applicants they will be asked to start with their earlier
       experiences, proceeding to the current ones, in the order they have listed in their application
       form.

    4. Fuller Explanation: Indicate to applicants when information from previous experiences and
       jobs is concluded, more information will be given about job requirements and the company.

    5. Applicant Questions: At this time, let applicants know that answers to their questions will be
       addressed about the company or the position.

    6. Final Hiring Decision: Let applicants know, at the end of the interview, approximately when
       the final decision will be made about the job opening and the method that will be used to inform
       applicants of the company’s employment decision.




                                                    21
VII. INTERVIEW QUESTIONS AND
                   TECHNIQUES

Section 1: Interview Processes

    1. Open End: Questions should be open-end, requiring the individual to respond with conversation
       about their job-related experiences, rather than with a yes or no answer. Example: Avoid “Are
       you a skilled estimator,” and instead ask, “What are the basic components of an estimate?”

    2. Active Listener: Interviewers must listen for key words applicants say following with questions
       related to the word of how, what and why (actions and motivations). An example would be:
       “You mentioned dependability being important in performing the job? Give me an example in
       your past work experience where dependability was important?”

    3. Eye Contact: It is important try to maintain eye contact during the interview.

    4. Non Verbal Communications: Interviewers should not communicate their feelings about
       information from applicants through their verbal and non-verbal reactions.

    5. Receiving Negative Information: Interviewers must remain neutral when receiving information
       that is seemingly negative or unfavorable from applicants. This includes changes in their
       voice tone or pitch, and non-verbal communication such as raising the eyebrows or frowning.
       With unfavorable information, interviewers ask applicants to describe in greater detail the
       circumstances surrounding the unfavorable information. Interviewers’s desire must be to learn
       more about the circumstances surrounding the negative information. An example is: “You stated
       you were terminated for damaging the equipment. Please give me more detail of what occurred
       that was considered by the company as damaging the equipment.”

    6. Stay with Agenda: When applicants stray from interviewers’s questions or interview agenda,
       interviewers should interrupt tactfully, guiding applicants back to the agenda or question. An
       example of this would be: “That is interesting but I want to get back to our discussion about
       quality.” The agenda will help interviewers control the conversation during the interview
       process.

    7. Gaps in the Application Form: Interviewers must satisfy the original questions raised from the
       individual’s application or resume by filling in the gaps in the application blank with information
       from applicants.


                                                   22
    8. Other Job Related Information: Interviewers should terminate the “information gathering”
       portion of an interview, by asking applicants if there are any other job related skills or
       experiences that have not been covered.

Section 2: Interview Questions

    1. Extenders: A technique interviewers can use to continue the flow of information is to simply ask
       “why,” “tell me more,” or “is there anything else.” These terms should be used throughout the
       interview to discover applicants’ experience, how they went about doing their job functions, and
       to discover the reasons (the motivation) for their job related choices.

    2. Likes or Dislikes: Ask applicants what they liked or disliked about a particular job experience,
       their boss or a company policy. Always follow with the extenders “why” or “tell me more” to
       gain insight into the reasons for applicants’ feelings or choice of actions.

    3. Laundry List: Ask applicants for three to five important responsibilities or requirements,
       or interviewers can list three to five responsibilities, of the position. It is a good practice for
       interviewers to write down these requirements on a note pad so they do forget them. From this
       list interviewers can request applicants to do some of the following:

       a. Their Experience: Have applicants describe their specific experience (what or how
          they would perform a task) related to each requirement that was specified in the laundry
          list. An example: “You stated the makeready on a press is the most important responsibility
          of a press person. In the order of performing a makeready, please describe what actions
          you will take from beginning to end in performing it. When you perform the first step
          you described, what actions do you take to set up the rollers?” An example of a final question
          interviewers can ask is: “Why do you consider the makeready on a press to be the most
          important responsibility of a press person?”

       b. Strengths: Have them list in descending order which of the items applicants consider their
          greatest strengths.

       c. Most to Least: Ask applicants to rank the list, stating which requirement of the job is the
          most to the least critical in performing the job. Follow with “why” or “tell me more” for
          insight into reasons for applicant’s choices.

       d. Enjoyed Doing: Ask applicants which job requirements or responsibilities they enjoyed the
          most or the least and the reason for their choice.

       e. Prior Supervisor’s Response: Applicants can be asked to respond to how their prior
          supervisor might answer a question asked them by interviewers. If a formal evaluation
          in the prior job has occurred, applicants could be asked in a reference what their
          supervisor would say about their performance. Interviewers could then ask applicants
          if they agree with this assessment of their performance. Differences between applicants’
          responses and the prior supervisor’s assumed response may be followed with a question
          “Why the differing viewpoints?” or “How did you deal with this difference?”

                                                     23
       f. Contrast or Compare: Request applicants to contrast or compare the duties or
          responsibilities of two different positions held in the past. Then ask which position, and types
          of duties and responsibilities, they enjoyed the most or the least, or which they performed the
          best and why.

       g. Personal Meaning of Words: Listen carefully for key words applicants may use, such
          as quality, attitude, and work ethic. Interviewers should ask applicants to describe their
          personal meaning of these words. Interviewers may want applicants to demonstrate the
          meaning of the word(s) by describing job-related actions or events.

Section 3: Discrepancies/Contradictions and Misunderstandings

    1. Clarify: Interviewers in the initial, follow-up interviews or further telephone discussions should
       clarify discrepancies or contradictions in information introduced by applicants during the
       interview.

    2. Approach: Interviewers, seeking clarification regarding a discrepancy, contradiction or
       misunderstanding should ask the following questions:

       a. Clarification: “I would like for you to clarify for me what were the specific actions that
          resulted in your termination from ABC Company?”

       b. Discrepancy or Contradictions: “You said the following about quality in the work you did
          for Company A and this for Company B. Why the difference?”

       c. Misunderstood: “My understanding is you were terminated from ABC Company for these
          reasons. If I have misunderstood, please reiterate the reason for the termination.”

Section 4: Closing the Interview

    1. Favorable View of Company: It is important to close the interview session with applicants
       leaving with a favorable feeling about the company. Applicants will talk to others about their
       interview experience potentially creating a negative or positive feeling towards the company’s
       employment process. Once information about experience is complete do the following as
       required stated in your agenda:

       a. Further Company Information: Give applicants further information about the company
          and greater detail about the current opening. If multiple interviews are taking place, the final
          interviewer should give this detail.

       b. Honest Answers to Questions: Answer applicant’s questions to the best of your ability and
          knowledge. It is important to be honest and not misrepresent the position, benefits or
          working conditions.




                                                    24
2. Closing the Interview: Close all interviews by telling applicants the following.

   a. You sincerely appreciate their time in interviewing.

   b. If factual, that other interviews with other candidates will or have taken place.

   c. The Company will notify all applicants interviewed by mail of the company’s decision,
      preferably stating an approximate date that this will occur.




                                               25
VIII. The Hiring Decision
The purpose of the hiring decision is to select applicants, based on information received during all the
interviews and background checks, that best fits the requirements of the position.

Section 1: Selection Process

    1. Complete Interviewing Process First: Complete all interviews and perform background or
       reference checks before initiating the hiring decision. All applicants interviewed must be given a
       full and complete interview.

    2. Strengths and Weakness: Identify the strengths and weaknesses of each candidate related to the
       job requirements. It is important, if Interviewers has not already done so in the note taking for
       each interview, to list the most critical “essential” duties of the position first, descending to the
       duties of less importance that may be non-essential duties of the job.

    3. Prioritize the Importance of Functions: Interviewers/reviewers may want to assign a percent
       of importance of 100% for each duty or job function. This makes the “hiring decision” more
       effective, since interviewers can first note which of applicants is most qualified by each duty, in
       descending order of their importance.

    4. Critical Missing Information: If critical information is not clear or is absent, follow-up
       questions with applicants should be done. This could be completed by telephone or e-mail.
       If other interviews with the person are going to occur, have the critical missing information
       explored during these interviews.

    5. Bias: It is important for interviewers and the person(s) making the hiring decision to recognize
       potential personal bias. If interviewers were uncomfortable about an applicant, for other than
       job related information received in the interview, it may be this is due to a personal bias.
       Interviewers may not choose the most qualified candidate and the bias may later be unlawful.
       Having a neutral person, or multiple interviewers, involved in the hiring decision will help to
       avoid bias.

    6. References and Background Checks: The company must attempt to gain references from prior
       employers. Not only is this an important source of job related information, it may protect you in
       a “negligent hiring or retention” claim at a later date.


                                                    26
    7. Noting Deficiencies: If interviewers have done a thorough job of exploring the new employee’s
       background during the interview, they will be knowledgeable of work-related deficiencies in the
       new employee’s experience or skills. This awareness will help the supervisor address the new
       hire’s work related deficiencies through training or education.

Section 2: Notification Procedure

    1. For Those Chosen: For those who are chosen, a personal telephone call should be sufficient.
       In the case of certain positions, this call might be followed up with a “carefully” worded offer
       letter.

    2. Offer Letters: Offer letters must indicate the employment is “at will” and must avoid language
       that creates or implies the existence of an employment contract. The letter should indicate
       any pre-employment contingencies such as a requirement to pass a drug and alcohol test or
       requirement for a background check. The offer letter should state the amount of salary, in
       salaried positions, as a weekly amount and not monthly or annual.

    3. Those not Selected- For those not selected, the company on its letterhead should send a
       courtesy letter of decline. Suggested contents of such a letter follow.

       a. Thank person for taking the time to respond to the advertisement or in coming in for an
          interview.

       b. Explain to applicants “Though qualifications were sound, a person with background,
          experience and skills more suited to the requirements of the position was selected.”




                                                   27
IX. NEW EMPLOYEE ORIENTATION
               PROGRAM

The purpose of a new employee orientation program is to welcome them, to provide awareness of
company history, purpose, and practices and to complete legally required, or internal company, forms
and/or training.

Section 1: Administration of Program

    1. Who should do the Orientation: An employee who knows company policies and practices
       should administer the company orientation programs. Department training or orientation
       programs should be administered by an employee (preferably a supervisor or lead-person)
       who is aware of machinery, processes, functions, and individual job responsibilities within the
       department.

    2. Written Orientation Checklist: A written orientation checklist, outlining topics or areas
       discussed, should be created to assure consistency in the administration and documentation
       of the orientation or training program. The checklist should have an area where the employee
       acknowledges receiving the training or orientation. The orientation should be signed by the
       person giving the orientation. The orientation checklist must include an employment-at-will
       statement. Whenever necessary, bilingual assistance should be provided to ensure clarification
       and understanding of the items covered in the employee orientation.

Section 2: Suggested Areas to be Included in an Orientation Program

    1. Insurance and Retirement: During the orientation session, medical or health related booklets,
       401K or other deferred income programs should be given to the new employee.

    2. Waiting Periods: New employees should be advised of waiting periods for health coverage or
       other fringe benefits such as vacation, holiday, sick leave and participation in retirement plans,
       etc.

    3. Compensation: Rate of pay, the company’s defined workday and workweek related to overtime,
       overtime policies, pay-day, use of time-clocks or electronic time-keeping, time sheets or records.

    4. Review and Promotional Opportunities: Performance appraisal policy, if applicable,
       promotional opportunities, pay review practices.


                                                    28
    5. Company Standards of Conduct: General company safety rules, standards of conduct, work
       procedures or operational standards.

    6. Parking, Security: Parking arrangements or stickers, security procedures, I.D. cards.

    7. Company: Company history, purpose (mission statement) and company goals.

    8. Electronic Communications and Privacy: Company policy on the use of company email,
       computer, and voicemail systems, and the company’s inspection policy covering employee use
       of this equipment.

    9. Employee Handbook: The company’s written employee handbook should be given to new
       employees. They should sign they have received and will read it.

    10. Job Description: The employees’ job descriptions should be given to them at the company or
        department’s orientation.

    11. Security and Harassment Policies: During the company orientation, special emphasis should
        be placed on the company’s non-harassment and employee security policies.

Section 3: Legally Required Training, Orientation or Literature

    1. Written Payroll Deduction Authorizations: The employees must sign a payroll authorization
       for deductions to occur legally when uniforms or company safety equipment or tools are not
       returned on termination. They must sign for health insurance, credit union or other personal
       deductions. Payroll deductions for company property must be for the reasonable replacement
       cost of such property if not returned; must be in writing; and only deducted from the final
       paycheck. The employer has no legal right, with the exception of court orders such as child-
       support, to deduct any money from an employee’s paycheck unless the employee has given the
       employer a written authorization.

    2. “Agreement of Confidentiality or Non-Disclosure:” Informing the employees of the
       company’s written policy in the employee handbook is important for those handling information
       or material considered confidential or proprietary, such as price sheets, special formulas, unique
       computer programming, etc.

    3. Complete W4 form (tax withholding) and Independent Contractor Status: There are few
       work relationships in the printing industry that would meet the legal standards for independent
       contractors or 1099 pay status. A company could incur heavy income tax or social security
       liabilities from the Internal Revenue Service or the Employment Development Department for
       non-payment of taxes if a person has been erroneously considered an independent contractor and
       not an employee. The employee must complete a W-4 income tax withholding form.




                                                   29
4. Legally Required Safety Requirements: The company must provide legally required training
   for all new employees covering their operation of machinery or performance of work processes.
   This training should identify potential hazards; the handling of hazardous materials/chemicals;
   other safety and health concerns including dealing with potential violence in the workplace. All
   employers by law must develop a “written” injury and illness prevention program.

5. Legally Required Information and Actions

   a. State Disability Insurance (SDI) Benefits

   b. California Paid Family Leave Benefits

   c. Sexual Harassment Brochure

   d. Homeland Security I-9 Form

   e. Worker’s Compensation Coverage Information

   f. Cobra Extension Rights

   g. New Hire Reporting Form to Employment Development Department

   h. Receipt for Receiving Employee Handbook




                                              30
X. TIME MANAGEMENT
Section 1: Time Tips for Supervisors

Listed below are some basic principles of time planning.

    1. Have a plan or work objectives to follow.

    2. Schedule time to do the work (in between putting out fires).

    3. Organize the resources that will be needed for easy access.

    4. Set the time and place for socializing during the work day.

    5. Homework should help the supervisor to plan and organize, not catch up.

    6. Use a calendar (pocket, desk, or electronic) to get organized.

    7. Sort mail and messages by order of importance to the work.

    8. When pressured for time, check to see if there is enough time allowed in the plan. When there
       isn’t enough time to do it right the first time, there is usually time enough to do it again after a
       customer refuses to accept the job.

    9. Learn to say “no” by saying “yes.” Ask visitors to come back when visit or call could be at a
       better later time.

    10. Get help if the supervisors or their employees need more materials, tools, etc. rushing or putting
        on the pressure cannot correct what they need.

    11. Get rid of items that are not in your plan or get in the way of the objectives.

Section 2: Saving Time

    1. Use form letters, voice messages, electronic mail.

    2. Schedule time to do what needs to be done that day.

                                                     31
    3. Get help for very important work or projects.

    4. Estimate how much time will be needed to carry out required duties.

    5. Maintain personal control to reduce frustrations.


Section 3: Controlling Time

    1. Use realistic time schedules.

    2. Be sure to meet deadlines.

    3. Spend available time where it counts the most.

    4. Assign people to help on jobs falling behind.

    5. Be kind, but firm, when dealing with “time robbers.”


Section 4: Time Robbers

The following will help a supervisor to avoid the time robbers.

    1. Use clear instructions the first time.

    2. Train others to do their work.

    3. Assign or delegate work to others.

    4. Don’t try to do everything.

    5. Use long range planning.




                                                   32
XI. SUPERVISORY BASICS
The following skills must be cultivated in supervisors in an organization to achieve the optimum results
from the Company’s human resource.

Section 1: Communications
The supervisor must be aware of the forms of human expression (visual, actions and words); have the
ability to dialogue or communicate openly; and to reach mutual understandings and consensus with
employees.


Section 2: Concern

Supervisors must show legitimate respect and concern for the work efforts of their employees.


Section 3: Coaching or Teaching

A supervisor must offer employees the opportunity to learn new skills; recognize and reinforce positive
work efforts by employees; correct inappropriate actions in a positive and constructive manner; and
enhance when possible an their self esteem and worth in doing their work.


Section 4: Predictability and Consistency

The supervisor must strive to make employees aware of what they can expect from the company and
them. They must be consistent in the application of company expectations from them, such as policies,
rules, standards and minimize “management by surprise or ambush.”


Section 5: Trust

When a supervisor applies the basic skills listed above, it will reduce the possibilities of mistrust by the
employees towards the company or supervisor. The lack of employee trust, especially for legitimate
reasons, will seriously affect future employment relations. The employees must believe the supervisor
provides timely, accurate, and comprehensive information on matters that may or do affect their jobs.


                                                      33
Section 6: Personal Factors affecting how People Work

    1. Values: What turns on or off employees “emotionally” related to their work environment?

    2. Needs: The basic needs that move an employee forward (motivates) or backwards (de-
       motivates) in achieving company goals.

    3. Personality Tendencies: Human behaviors and feelings that influence how a person will tend to
       react or act in a situation or to a communication in the workplace.




                                                 34
XII. INFLUENCING OTHERS
Section 1: Origins of Personal Feelings

    1. Prior Experience: Employees react to events in their world and are influenced by their prior
       experiences, some that include strong personal feelings.

    2. Opinions and Ideas: They share opinions and ideas about their individual experiences and
       feelings with others, which may influence their actions, either individually or as a group.

    3. Feelings: They have strong negative or positive feelings about personal significant events in
       their lives.

    4. Right and Wrong: Their reactions are influenced by their own personal sense of right or wrong
       or by events of personal significance or value to them.


Section 2: Acting on Areas of Personal Significance

Influencing others can occur when a supervisor is aware of an employee’s personal needs and the areas
in the workplace that have personal significance to them. Employees dance to the music (feelings and
beliefs) about actions of the company or about their work and not to the words used by the company or
supervisor.

    1. Personal Significance: The supervisor must observe and communicate with employees to
       discover what is of personal work-related significance to each employee.

    2. Participation: Employees are influenced by a supervisor who understands and respects their
       needs, and the circumstances or actions in the workplace that have personal significance to them.
       Results are achieved when a supervisor involves employees in a dialogue on the appropriate
       actions in performing their jobs, especially in areas of personal significance to them.




                                                   35
Section 3: Personal Needs Satisfaction

All humans, regardless of age, culture, or beliefs are driven physically and emotionally towards the
satisfaction of certain human needs.

    1. Basic Needs

       a. Physiological: The most basic needs include adequate food and water that are necessary for
          survival.

       b. Security: Once the physiological and security needs are achieved, employees want to feel
          highly motivated to be in a work environment that is safe and secure.

       c. Social: Employee desire, once the physiological and security needs are achieved, is to
          feel they are a member of a work group or company that respects and acknowledges their
          contributions to the group’s effort.

    2. Higher Level Needs

       a. Self Esteem and Worth: When the basic needs are satisfied, employees will desire new
          skills, challenges and work that raise their level of competency and their perception of
          personal value to the company or their work group.

       b. Self-Actualization: Employees who have a strong belief in their competency and abilities
          to do their job and understand inherently the value of their efforts are self-motivated and
          need minimum direct supervision.

    3. Level of Need at the Time: Supervisors must continuously communicate and observe the
       actions and behaviors of employees to discover changes in their level of need.

       a. Feeling at the Time: What an employees may emotionally desire and feel at any given time
          is based on changes in the workplace they observe or hear and believe will affect them.

       b. The Basic Needs: When the physiological, security and social needs are being met,
          employees will act to satisfy the higher levels of needs—self-esteem and actualization. Their
          action to satisfy a higher need will lead potentially to elevated levels of achievement and
          productivity in their work.

       c. Negative Motivation: When employees feel their basic physiological, security and social
          needs are not being met, they will act to satisfy the level of need they are experiencing at the
          time. The desire to satisfy this need may negatively affect their current level of performance
          or the way they behave at work.




                                                    36
       d. Higher Needs and Improved Production: If basic needs are satisfied, the supervisor
          must offer new opportunities for additional skills or higher levels of performance to enhance
          the employee’s self-esteem and to gain higher levels of production, quality and company
          profitability. The supervisor must recognize when an employee has achieved a higher level
          of performance or skills and communicate this to the employee in a recognition session.


Section 4: Supervising the Work Environment

    1. Supervisory Awareness: Supervisors must observe and address changes in an employee’s
       performance or behavior. When a change is observed, the supervisor should discuss the change
       to discover if it is being caused by a basic personal need or a condition in the work environment
       of personal significance to the employee that is not being adequately being met.

    2. Personal Significance: The supervisor’s awareness of the aspects of the job that have personal
       significance for an employee will result in employees remaining involved in and satisfied with
       their work.

    3. Employee Concerns: Managing the areas of an employee’s concerns in the workplace
       requires the supervisor to understand the potential significance of certain elements in the work
       environment for each employee.

    4. Change: Supervisory awareness is critical when a work related change may affect the elements
       in the work environment the employee feels is of personal concern or significance. For
       example, when a change of equipment is necessary, some employees may feel this is a minor
       inconvenience; it is an exciting challenge; or it is a bit terrifying.


Section 5: Elements in the Work Environment

The following are elements in the work environment that affect employee needs or have personal
significance.

    1. Right Tools and Equipment for the Job – Properly Maintained: If equipment or tools are not
       right for the job or not properly maintained, this may affect an employee’s basic needs related to
       safety and self worth. Proficient workers, having the desire to do a good job, will be frustrated in
       their lack of performance due to improper tools and equipment.

    2. Job Security: Employee job security is a basic need that supervisors must be aware of and
       address, especially when change is occurring or may occur.




                                                    37
   a. Information from the Company: Employees will seek information from vendors,
      competitors, neighbors, or other employees especially about matters of personal significance.
      They trust the company to inform them in advance of matters significant to them related
      to their job or the business. Without effective and honest communication from the company,
      especially in areas of personal significance to an employee, job security may become a
      serious consequence. It may motivate some employees to seek more secure environments.
      Long term job security will begin to affect employee productivity.

   b. Communicating Change in Advance: Companies that do not communicate change in
      advance, such as lack of work, will be viewed by employees as not being a reliable source
      of critical job-related information. They will seek the advice or viewpoint of outsiders or
      other employees creating an environment filled with rumors and disinformation and
      insecurity.

   c. Describe Company Actions in Advance: The company must inform employees when it
      becomes aware that a significant business downturn or a change in the work environment
      may occur. It must describe the actions it will take to deal with the lack of work, and or
      change, significant changes in the business or employee job requirements.

   d. Words and Actions: The company must be consistent in applying the actions described to
      employees during a downturn or other change. This will reduce long term employee anger
      due to “management by surprise or threat” and enhance employees’ trust in the
      supervisor and company.

3. Physical Working Conditions: Unclean or unsafe working conditions can lead to injury or to
   the feeling the work environment poises a threat. Skilled employees, wanting to do a good job,
   will expect a clean and safe environment to perform to the levels of their personal expectations.
   Some employees, as a reflection of their self worth will expect certain criteria to be met in the
   working conditions.

4. Written Company Policy – Consistent Administration: Employees expect personnel policy,
   preferably in a written form, to be fairly and consistently administered by management. A
   written policy becomes especially significant to employees when an action by the company
   personally affects them.

5. Trained and Knowledgeable Supervision: Employees expect a supervisor to know the
   technical aspects of a job; to be an expert in human behavior; to possess fundamental
   supervisory skills; and to be knowledgeable of laws, legislation and the company policy.

6. Interpersonal Relations: Company work procedures and personnel policies must not create
   perceived or real barriers to employees pursuing normal interpersonal relations or communications
   with other employees. An environment that makes employees feel they belong, and their efforts
   are valued by their work group or the company, is meeting a basic need for all employees.




                                               38
7. Communications: Employees want procedures and policies to be communicated by the
   company so they know what to expect. There should be an understanding that employees can
   provide supervisors negative input about their jobs or working conditions without the threat of
   retaliation. They expect management to communicate any changes that may affect their position
   in the company or the overall health of the company. They expect management to listen and to
   and understand their viewpoint on matters of personal significance to them.

8. Work Itself: Employees want to have input on how the work they do is performed. They want
   to have the ability to express their ideas on personally significant events related to their job or
   company operations. They want their opinions to be taken seriously and addressed. They expect
   responsive management.

9. Pay and Benefits: Employees are motivated by pay and benefits levels that satisfy their basic
   physiological or security needs or are a reflection of what they believe their efforts are worth.
   They need to feel their employer is compensating their efforts based on the market value of their
   skills and contributions. Their individual perception of what the job is worth may be influenced
   by how well their other significant expectations of the workplace are being met.




                                                39
XIII. FORMAL EMPLOYEE EVALUATION
                        PROGRAM PROCESS

The purpose of a written evaluation is to objectively rate specific areas of an employee’s performance, to
the known and reasonable requirements of the position, over a predetermined time frame.
<See http://www.piasc.org/pdf/human/PerformanceEvaluation.pdf>

Section 1: Major Considerations and Components

    1. Management Commitment: Supervisors must be trained to perform the evaluations and top
       management and supervisors must be committed to a successful and consistent evaluation
       program.

    2. Performance Factors: Must be developed from an analysis of the actual duties being
       performed, especially the essential requirements or duties of the position.

    3. Written Evaluation Form: The evaluation form outlines the basic performance factors of the
       position, and documents the individual’s performance against these factors using an objective
       rating system.

    4. Honest and Direct Communication: The supervisor must be honest and direct in completing
       the evaluation form and communicating the results to the employee. The supervisor must be
       trained to communicate effectively below standard performance to the employee.

    5. Prior to the Evaluation: Employee should receive advanced communication of the evaluation
       program and the factors to be evaluated. The evaluation should reflect the job duties as outlined
       in the employee’s job description.

    6. Timely Administration: The performance evaluations must be timely especially if the company
       has committed to a specific time or time frame.

    7. Open Door: A process must be communicated to the employee outlining their right to go to a
       manager of higher authority than the evaluating supervisor for the purpose of discussing the
       employee’s evaluation.

    8. Neutral Review: A person in the company must be designated to review all performance
       evaluations. This will reduce discrimination charges and keep the process consistent. This
       person should have the authority to challenge and request documentation to support the
       supervisor’s evaluation of an employee.
                                                    40
Section 2: Developing a Written Evaluation Program

    1. Suggested Performance Factors

       a. Quality: How well the work is done, related to what is acceptable quality according to the
          customer or company, measured against a known standard, goal, stated guideline, or visual
          example.

       b. Quantity: The amount of acceptable work to be produced in a time frame measured against
          a standard of time for that product.

       c. Dependability: Attendance and punctuality that meet the essential requirements of the
          company’s business operations; and the timely completion of work scheduled for the
          employee by the supervisor or company.

       d. Cooperation: Willingness and ability to work with a supervisor’s reasonable job requests,
          with other employees when performing work, or with customer requests and needs.

       e. Safety: The use of safe operational practices and procedures related to known safety
          standards of conduct or written work procedures.

       f. Job Knowledge: Knowledge and understanding of job requirements and the ability to use
          and apply skills or knowledge in performing the duties of the job.

       g. Description of Key Factors: Each performance factor should have a space for comments by
       the supervisor describing how it is directly related to the duties of the position being evaluated,


Section 3: Suggested Rating Factors

    1. Above Standard: Performance frequently exceeds the standards established for the job over the
       period of time being evaluated.

    2. Standard: Performance meets the standards established for the job over the period of time being
       evaluated.

    3. Below Standard: Performance does not consistently meet the standards established for the job
       over the period of time being evaluated.

    4. New Hires or Trainees: The supervisor must use the criteria above to judge the new hire or
       trainee’s performance based on performance standards for their time in training.




                                                   41
Section 4: Corrective Action or Improvement Required

An action plan to correct any deficiency noted in a performance factor as “below standard,” if
appropriate, should be presented to the employee by the supervisor.


Section 5: Employee’s Comment

Provide area on evaluation form or a separate form for employee’s written feedback or comments.

Section 6: Overall Job Performance

Provide area for overall evaluation of the employee’s job performance, with special emphasis on the
essentials of the position.

Section 7: Signature Blocks

Provide signature block with date for supervisor giving evaluation, and employee, for “Receipt of Copy
of the Evaluation” and “Comments.”




                                                   42
XIV. GUIDE TO PERFORMING
                      EMPLOYEE EVALUATIONS
Supervisors performing employee evaluations must be trained to communicate the results of the
evaluations to the employees and be aware of the traps in performing evaluations.

Section 1: Traps in Performing Evaluations

    1. Halo Effect: The tendency of allowing an area of outstanding performance to influence the
       supervisor’s evaluation of other performance factors.

    2. Lazy Evaluator: Rating an employee without doing a thorough investigation of the individual’s
       performance against performance factors of the position during the time frame covered by the
       evaluation. Not doing appropriate homework and/or documentation.

    3. Conflict Avoidance: Rating all factors standard or above standard in order to avoid conflict;
       not indicating a “Corrective Action Plan” where needed; or job jeopardy, due to performance
       problems, where relevant.

    4. Short Term Factor: Allowing one positive or negative event or short period of performance to
       unduly influence rating of performance factor over the entire time frame of the evaluation.

    5. Bias: A negative or positive prejudice that affects the supervisor’s judgment resulting in an
       evaluation that is not an objective rating of the performance factors.

Section 2: Prior to Evaluation

    1. Review the Job Criteria: Carefully review the job description, duties, responsibilities and
       standards of performance for the position being appraised. It is especially critical to review the
       “essential” duties, as defined by the Americans with Disabilities Act, for the position.

    2. Facts: Gather factual information or firsthand observations to help to describe the employee’s
       actual performance to the performance standards of the position.

    3. Other Supervisors: Consult with other supervisors, who work directly with the employees or
       who evaluate their work, for their input.




                                                    43
    4. Personnel Files or Records: Review the employee’s personnel file for prior evaluations,
       corrective actions or pending corrective action. Corrective action taken during the time frame
       of the evaluation of a performance factor that remains relevant should be referenced in that
       performance factor.

    5. Good and Poor Performance: Identify specific areas of good or poor performance.

Section 3: The Evaluation Interview

    1. Self Evaluation: Begin the session by asking employees their opinion of overall performance
       since the last evaluation.

    2. Communicate Content First: Before giving the completed written evaluation form to the
       employees for review, the results should be discussed in their entirety with the employees.

    3. Job Jeopardy: If their position is in jeopardy, or if a specific corrective action is required to
       correct areas of deficiency, this must be communicated to the employees.

    4. Action Plan: If an action plan is appropriate to address a performance deficiency, describe the
       plan. Employees should be asked to commit to the actions required in the plan to correct the
       deficiency.

    5. Present Review Form: Give the completed evaluation form to the employee for their review.

    6. Comments and Questions: Allow employees to ask questions and make verbal comments
       regarding the evaluation. An area for employee comments should be provided, or the employees
       should be permitted to make written comments about their evaluation on a separate sheet of
       paper.

    7. Open Door: Employees should be informed of their right to go to a higher level manager or the
       personnel manager to discuss their evaluation without fear of retaliation.

    8. Next Meeting: The supervisor, if an action plan has been committed by the employee, should
       indicate the date they will meet to review the employee’s progress. If no action plan is indicated,
       then the supervisor should inform the employee when the next performance evaluation will take
       place.

    9. Copy of the Evaluation Form: A copy of their completed written evaluation form should be
       given to employees, requesting their signature for receipt of the copy.

    10. Positive Note: End on positive note by expressing your appreciation for a job well done and/or
        your confidence that the employee can make improvements where necessary.




                                                     44
XV. SEXUAL HARASSMENT AND
                 DISCRIMINATION

Section 1: Laws and Regulations

    1. California Assembly Bill (AB) 1825-Mandatory Supervisor Training: Companies with 50
       or more employees must train supervisors every two years on sexual harassment prevention.
       Supervisors are employees with the authority to hire or fire, promote and/or perform other
       managerial functions. They are employees whose recommendation on matters of hiring and
       firing, promotion and other management decisions are taken seriously by the company; and lead
       employees with actual or perceived authority over the work of others or who direct the work of
       others. California law makes the company strictly liable if a supervisor fails to act or stop any
       violation of the harassment law.

    2. Major Statutes and Events

       a. 1964 Civil Rights Act

       b. 1967 Age Discrimination Act

       c. 1978 Federal Sexual Harassment Guidelines

       d. 1991 Americans’ With Disability Act

       e. 1992-Anita Hill and Clarence Thomas Confirmation Hearings

    3. Who Must Comply: California Fair Employment and Housing Act’s (FEHA), sexual
       harassment regulations cover any company with one or more employees. The discrimination
       provisions of the FEHA normally cover companies with five or more employees.

    4. FEHA Compliance for Harassment Regulation: Companies with one or more employees must
       have a company harassment policy covering sexual harassment; distribute California’s sexual
       harassment brochure; orient employees on the importance of the company’s harassment policy;
       post the FEHA poster covering discrimination and harassment; and train supervisors.




                                                   45
5. Basis for Discrimination

   a. Disparate Treatment: A person who is in a protected class of employees (such as
      age, ethnicity, race, color, etc.) can bring a charge against the company for harassment or
      discrimination. Employees would have to prove or demonstrate that the company’s
      negative employment action towards them was based on their protected characteristic(s).

   b. Disparate Affect: Discrimination can occur if the company makes a decision that has a
      greater impact on a protected class of employees than all employees. The company must
      demonstrate an over-riding business necessity reason for the decision, and that the action
      was due to the requirements of the job. It has to demonstrate there was no other action that
      could have been taken that would have reduced the discriminatory impact on the protected
      group.

6. Harassment is a Form of Discrimination: The Federal and State laws and regulations consider
   a multitude of personal characteristics to be protected under the law (such as race, color, gender,
   religion, ethnicity, etc.). Since harassment is considered a form of discrimination, claims for
   racial, ethnic and any protected characteristic harassment can be unlawful.

7. Definition of Unlawful Sexual Harassment: The definition of unlawful sexual harassment
   under the Fair Employment and Housing Act and Title VII of Federal Civil Rights Act of 1964
   is as follows: Sexual harassment can be harassment based on sex or of a sexual nature, gender
   harassment, and harassment based on pregnancy, childbirth, or related medical condition.
   The definition of sexual harassment includes many forms of offensive behavior, including
   harassment of a person of the same gender as the harasser. Words, actions, or visuals of a sexual
   nature or content that are unwelcome, or unwanted, that are frequent, pervasive or severe
   enough to create a hostile work environment can be unlawful.

8. Discrimination in Employment: The California Fair Employment and Housing Act
   (FEHA) prohibits harassment and discrimination in employment based on specific personal
   characteristics. These characteristics are listed in the following policy statement.

   “Therefore, the company does not discriminate, and does not permit its employees to
   discriminate against other employees or applicants because of race, color, religion, sex, sexual
   orientation, gender identity or expression, pregnancy, marital status, national origin, citizenship,
   veteran status, ancestry, age, physical or mental disability (an impairment that limits a major life
   activity), medical condition (cancer-related), genetic characteristic, including the perception that
   a person has any of those characteristics or that the person is associated with a person who has,
   or is perceived to have, any of those characteristics or any other consideration made unlawful
   by applicable laws. Equal employment opportunity will be extended to all persons in all aspects
   of the employer-employee relationship, including recruitment, hiring, upgrading, training,
   promotion, transfer, discipline, layoff, recall and termination.”




                                                46
    9. Categories of Sexual Harassment

       a. Quid Pro Quo: This occurs when a person with the power to influence or change an
          employee’s working or employment situation conditions a positive or negative outcome on a
          sexual favor from the employee.

       b. Hostile Environment: This occurs when sexual jokes, suggestive remarks, cartoons,
          physical interference with movement, and sexually derogatory comments are made that
          make employees uncomfortable in performing their work or create a hostile work
          environment.

    10. Remedies Available for Sexual Harassment: The remedies available to victims of harassment
        or discrimination are as follows:

       a. Fines or damages for emotional distress from each employer or person found to have
          violated the law.

       b. Hiring or reinstatement.

       c. Back Pay or Promotion.

       d. Changes in the policies or practices of the involved employer.

       e. Private Lawsuit: Employees can also pursue the matter through a private lawsuit in civil
          court whose remedies may also include punitive damages.

       f. Other Liabilities: Employers are generally liable for harassment by supervisors and agents.
          Harassers, including both supervisory and non-supervisory personnel, may be held personally
          liable for harassing an employee or coworker or for aiding and abetting harassment.


Section 2: Supervisor’s Guide

    1. All Forms of Workplace Harassment should be stopped: Any actions, words or visuals that
       are inappropriate and not work-related and that interfere (make uncomfortable) or create a
       hostile work environment for another employee in doing his or her work should be stopped.

    2. Responding in the Right Way

       a. Responding to a Potential Complaint: When someone brings a harassment complaint to
          a supervisor, the following questions will quickly determine if it is harassment and
          potentially illegal. “What specific words were stated that made you feel uncomfortable?” or
          “What specific actions or behaviors occurred that made you feel uncomfortable?” or “What
          specifically did you see that made you uncomfortable?”




                                                  47
   b. When Observing Employee Discomfort: Supervisors should investigate why an employee
      looks uncomfortable when interacting with another person in the work environment. They
      should describe to the employee specifically what behaviors or actions they observed, or
      words that were heard, that appeared to make the employee uncomfortable. After stating
      their observations, the supervisor should ask if the employee was uncomfortable and, if so,
      was there a job-related reason for this. The supervisor should avoid generalities and
      personal judgments of the event observed or in discussing the matter with the employee.

3. Company Practices to Defend Discrimination Claims: To avoid liability for discrimination
   when taking a negative employment action toward an employee, company management must
   evaluate the reasons for the decisions in the following ways:

   a. Business Necessity: Can the company demonstrate a strong over-riding business necessity
      reason for the decision? If it affects members of a protected group disproportionately, the
      Company should take any other available actions that would lessen the potential negative
      impact on that protected group.

   b. Job Related: Can the company demonstrate a job-related basis for the decision?

   c. Documentation and a Neutral Party: The company should document the reasons for the
      decision. It should determine if the decision will affect any protected group more than the
      general employee population. The company should include a neutral party in the decision
      process such as a human resource employee.

4. Leased Employees: The temporary agencies providing the employees and the company
   leasing the employees are co-employers and are both liable for violation of harassment and
   discrimination laws.

5. Supervisors Actions on Learning about a Complaint: The supervisor must act immediately
   to any allegation of harassment or discrimination. This requires the supervisor to communicate
   appropriately and discover the basis for the allegation. It requires the supervisor to protect
   the potential victim until other employees that are responsible for the in depth company
   investigation and determination can be involved.

6. Limited Confidentiality: Supervisors should not promise total confidentiality of the information
   received during an investigation of sexual harassment. The participants in an investigation
   should be told the information will be kept “as confidential as possible.”

7. Supervisor Personally Accused: Supervisors personally accused of harassment must report this
   immediately to upper management. The supervisor should be removed from contact with the
   employee until the company has completed its investigation and determination.




                                              48
Section 3: Company Policy

   1. Types of Conduct that Constitutes Sexual Harassment: California and federal statutes
      identify the types of conduct that constitute harassment. These behaviors should be stated in the
      company’s Non Harassment Policy.

      a. Unwanted sexual advances;

      b. Using employment benefits in exchange for sexual favors;

      c. Making or threatening reprisals after a negative response to sexual advances;

      d. Visual conduct, including leering, making sexual gestures, displaying of sexually suggestive
         objects or pictures, cartoons, or posters;

      e. Verbal conduct, including making or using derogatory comments, epithets, slurs, and jokes;

      f. Verbal sexual advances or propositions;

      g. Verbal abuse of a sexual nature, graphic verbal commentaries about an individual’s body,
         sexually degrading words used to describe an individual, suggestive or obscene letters, notes,
         or invitations;

      h. Physical conduct, including touching, assault, impeding or blocking movements.

      i. Terms of Endearment, using nicknames or terms of endearment with a racial or sexual
         orientation

   2. Reporting Requirement for all employees: The company policy should state the reporting
      requirement for all employees.

      “Regardless of whether the action occurred on or off company premises, if you believe that you
      have been harassed by a co-worker, supervisor, agent, vendor or customer, or if you believe
      that another employee has been harassed, you have a duty to promptly report the facts of the
      incident or incidents, and names of the individuals involved, to your supervisor, (Option: Human
      Resources.) or (Option;_____________________.) Any supervisory or managerial employee
      who receives such a complaint must promptly report it to (______________________.)”

   3. Company Statement on Investigations: The company policy must give employees information
      about the investigation.

      “The matter will be immediately and thoroughly investigated, and confidentiality will be
      maintained to the extent possible. After reviewing the evidence, a determination will be made
      concerning whether reasonable grounds exist to believe that harassment has occurred. It is the
      obligation of all employees to cooperate fully in the investigation process.”



                                                   49
4. Determination, Future Harassment and Discouraging Complaints: The company policy
   must state:

   “The company will take action to deter any future harassment. In addition, disciplinary action
   will be taken against any employee who attempts to discourage or prevent another employee
   from bringing harassment to the attention of management. The persons involved will be advised
   of the determination if appropriate.”

5. Retaliation Forbidden: The company policy must clearly state retaliation against another
   party for reporting a harassment complaint or for being a party in the investigation is strictly
   prohibited.

   “The company wants to assure all of its employees that measures will be undertaken to
   protect those who complain about harassment from any further acts of harassment, coercion
   or intimidation, and from retaliation due to their reporting an incident or participating in an
   investigation or proceeding concerning the alleged harassment.”




                                                50
XVI. COMPANY INVESTIGATIONS
Investigations are necessary when allegations of discrimination or harassment occur.

Section 1: Timing of the Investigation

    1. Start immediately: The investigation must be started as soon as possible, if not immediately.

    2. How Long Should it Take: The investigation must take the least amount of time as possible and
       be complete and thorough.

Section 2: Confidentiality

    1. Confidential as Possible: Inform all the participants in the investigation that information
       gathered during the investigation will be kept as confidential as possible. The investigator should
       state that the company will reveal only the information necessary to do a fair and thorough
       investigation.

    2. Interview Strictly Confidential: Emphasize to all those involved in the investigation that the
       information they discuss with the company related to it is strictly confidential.

Section 3: The Process

    1. The complainant: Begin the investigation by interviewing the complainant.

    2. The accused: Interview the accused. The accused should be aware of the specific allegations of
       the complainant.

    3. Witnesses: The investigator must ask the complainant and accused of possible witnesses to the
       allegation(s). The witnesses must be interviewed separately to develop their viewpoint of the
       incidence(s).

    4. Other Victims: The complainant should be asked if the accused has acted in an inappropriate
       manner towards other employees, customers or persons working with the company. If so, these
       individuals need to be interviewed.

    5. Other Documentation or Records: Consider other documentation that may be relevant to the
       investigation. This may include e-mails, correspondence or other records.
                                                   51
Section 4: Questions

    1. Information: The intent of the questions is to discover detailed information about the actions,
       words or visuals that have caused the complaint(s).

    2. Extender Questions: Use extender questions such as “Is there anything else?” or “Is there other
       information about this incident you would like to discuss?”


Section 5: Personal Judgment and Promises

The investigator must not make personal judgments or reach conclusions about anyone during the fact
gathering discussions. They must not promise to take an action until the investigation is completed and
all the facts are available for a determination. They should not make any personal statements about the
character, job performance or family life of anyone during this investigation.

Section 6: Facts and Details

    1. Actions and Behaviors: The complainant must describe in detail the actions and behaviors
       (conduct) that made them uncomfortable.

    2. Specific Words: The specific words that made the complainant uncomfortable must be explicitly
       expressed. The investigator should ask questions to determine the demeanor of the person
       speaking the words to the complainant. They must determine the non-verbal behaviors of the
       accused at the time that the words were spoken, such as anger or intimidation.

    3. Frequency: The investigator must establish the frequency of the conduct or the words. Did more
       than one event occur? For each incident, the investigator must establish the facts and details.

    4. Where: The investigator must determine the actual location of the events.

    5. When: The time of the event must be determined. If the time is not known, find out what was
       happening around the incident. The time of an incident can be determined by other activities
       occurring during the incident where the time for them can be determined.

    6. Who: It must be determined if the person being interviewed is aware of similar behavior towards
       other employees or if others observed the incident(s).

    7. Context: The investigator should get the general description of work area or unusual
       circumstances that may have been occurring when the conduct or words were being expressed.

    8. Effect on Potential Victim: The investigator should determine the effect of the conduct or
       words on the complainant such as economic, non-economic or psychological. Was the conduct
       received as a joke, did it embarrass, frighten or humiliate the complainant?

    9. Discussion of Unwelcome: Ask the complainant if they indicated to the accused that the conduct
       or words were unwelcome or made them uncomfortable.
                                                   52
    10. Prior Relationships: Discuss any prior relationship between the parties, how long they have
        known one another and if there is a history of socializing.


Section 7: Documentation and Note Taking

    1. Outline the Event(s): To begin the discussion, the investigator should have the person outline
       the event by discussing its major components.

    2. In-depth Questions: Once the person has outlined the major components of the incident,
       Interviewers then asks further in-depth questions to fully understand the each component.

    3. Take Notes: Interviewers should take notes of the observations (facts) of each complaint. The
       notes should be written in a first person or statement format.

    4. Read Notes Back: Once people have revealed in detail the facts surrounding the incident,
       interviewers should read their notes back to them and ask if the statement is an accurate
       reflection of the event(s).

    5. Signed Statements: The notes should be formalized and the witnesses, complainant or accused,
       should be requested to sign to the best of their knowledge their statement is true. If the person
       refuses to sign their statement, document their refusal on their statement. See witness section
       below.


Section 8: Witness to Investigation

Have another manager or the personnel administrator present for all interviews, the determination
meetings and the signing, or request to sign the statement of fact. This person should not, if possible, be
involved in the day-to-day operational decisions in the work of the accused or complainant.

Section 9: The Determination

The investigator should have one set of interview notes, one statement of fact for each party and one
determination. When multiple notes, statement of facts or determinations are discovered they bring
suspicion of the veracity of the company’s facts and final determination.




                                                     53
XVII. PROGRESSIVE DISCIPLINE
                          AND TERMINATIONS

Section 1: Investigate Non-Performance or Misconduct

The company must perform an investigation to discover all the available information about the potential
misconduct or sub-standard performance of an employee. If a violation has occurred, the company must
determine what action it will take towards the employee to stop or correct the violation.

    1. Company Records: Gather available work records that reflect on the performance issue.

    2. Record Statements: Record specific observations by supervisors or employees, obtaining their
       view of the incident of misconduct or lack of performance, communicated during a private
       interview.

    3. Confidentiality of Information: The information from all parties or witnesses during an
       investigation must be kept as confidential as possible. The parties the company interviews must
       be instructed not to share the information from the interview with any other person not involved
       directly with the investigation.

    4. Designated Witness to Interviews: A person considered neutral in the everyday supervision
       of the workforce, such as a human resource person, should be in each meeting to observe the
       interviews and take notes of what is being said.

    5. Interview Communication Hints: Observations by supervisors or other employees must be
       developed through open-ended questions, requiring the person to respond to what they actually
       observed or heard. Caution should be taken by the investigator not to lead or bias the person’s
       response. The information received should be the person’s independent view of what happened.
       The response should be reduced to a written form signed and dated by the person and the
       investigator. The following are examples of the types of basic information or questions that
       could be asked:

       a. “Who” else was present at the time of the forklift incident?

       b. “What” was happening around the incident (actions or behaviors)?

       c. “Where” was John at the time of the incident (get specifics)?

       d. “When” did the incident happen?
                                                   54
       e. “How” did the forklift get so near the press (actions)?

       f. “Why” do you think the forklift was so close to the press (justification for action)?

    6. Summarize and ask for Agreement: Once the basic information is developed from individuals
       being interviewed, it should be read back to them. The individuals should be asked by the
       investigator if the reading is an accurate written recording of the event. Their statement should
       be reduced to a written form and they should sign that the statement is correct to the best of their
       knowledge.

    7. Personnel Records: The personnel records should be checked for prior performance appraisals,
       or previous corrective actions. These documents must support, or at least not distract, from the
       basic job related reasons for the final decision.

    8. Work Environment Contributions: The work environment surrounding the event should be
       reviewed by the investigator seeking circumstances that may have contributed to the misconduct
       or lack of performance. This may require looking at circumstances occurring before, during, or
       after the incident of non-performance or misconduct.

    9. The Allegations: Employees facing discipline must be given an opportunity to express their side
       of the story. Interviewers should follow steps 2 to 6 above in this interview. This is an essential
       step for the investigator in performing a complete and impartial investigation.

    10. Make a Determination: The investigator must organize and evaluate the facts discovered
        during the investigation. The information must support the company’s final determination and
        action it will take to address the issue.

    11. Discipline not Required: If the investigation determines that a disciplinary action is not
        required, no action should be taken. If the investigation concludes a performance issue exists but
        discipline is not justified at this time, the company should enter into a mutual problem solving
        session with the employee, attempting to correct the problem before it becomes a discipline
        issue. <See http://www.piasc.org/pdf/human/CouselingCorrective.pdf>


Section 2: Deciding on Corrective Action to Be Taken

Investigate the companies past practice concerning discipline taken for the same or similar misconduct
or lack of performance.

    1. Determine Past Practice: The company must determine if it has taken a disciplinary action on a
       similar or the same violation as the current one. This may require the supervisor or investigator
       to present the facts to their department manager, plant manager, personnel manager or the owner
       to discuss and learn of any past practice.




                                                    55
2. No Past Practice: If no past practices exist, top management and the supervisor must determine
   what corrective action is appropriate based on actual or potential damage to the company. The
   following is the information that must be reviewed to determine what action, if any, should be
   taken.

   a. Written Policies: The investigator must check the company employee handbook or other
      memorandums to discover if any policy covering the performance incident or guidelines
      on discipline or termination procedures exist. This will determine if the action the company
      is contemplating contradicts the employee handbook or other written documentation.

2. Overall Job Performance: Even though not legally required, many companies consider the
   employee’s overall job performance, length of service and past employment record. If these
   items are considered in disciplinary actions as a matter of company practice, then it should be
   consistently applied.

3. Impact to Business Operations: The company must measure the impact of the misconduct or
   lack of performance on the employer’s interest, other employees in doing their jobs, customers
   or other business related factors.

4. Severity: The company must determine the severity to its business interest of the employee’s
   misconduct or lack of performance. Is the incident a major offense of a serious nature, possibly
   justifying severe corrective action initially, or is the problem a repeated minor violation
   (frequency) requiring a sequence of corrective actions?

5. Corrective Actions: The company can take many forms of corrective actions as along as they
   are followed consistently and are not illegal. Some corrective actions that are commonly used
   are as follows:

   a. Problem Solving Session- The performance may be addressed through a problem solving
      session and an action plan to correct the deficiencies.
      <See http://www.piasc.org/pdf/human/CouselingCorrective.pdf>

   b. Verbal counseling and warning.

   c. Written counseling and warning.

   d. Written counseling and warnings and disciplinary suspensions without pay.

   e. Final written warnings.




                                               56
Section 3: Documentation of Action Taken

    1. Verbal Warnings or Counseling Sessions: The date and time of the session, the job-related
       facts that were revealed during the discussions, and mutual action plan to correct the employee’s
       performance issue should be documented by the supervisor. A verbal session can be documented
       in a writing using the guidelines for a “written” warning and labeling it as a “verbal warning” or
       “counseling session” on the written form.

    2. Written Warnings and Suspension without Pay: These warning should contain, at minimum,
       the following information in a written form.
       <See http://www.piasc.org/pdf/human/ DisciplinaryAction.pdf>

       a. Specific Facts: The warning should provide the specific facts (actions, behaviors and
          outcomes) of the current job related misconduct or performance issue(s). These facts may
          originate from company records, or from direct observations of others, including dates and
          times of event(s), etc.

       b. Previous Actions: Previous discussions, verbal warnings or written warnings related to the
          current performance issue should be noted on the written warning form. This notation should
          include the performance reasons for the prior warning.

       c. Describe the Action: A statement describing the type of disciplinary action, such as a
          “verbal warning,” “written warning,” or “written warning with a suspension without pay,”
          should be on the form.

       d. Future Incidences: A statement “Future incidences of misconduct or continued lack of
          performance may result in further disciplinary action, up to and including the termination of
          employment.”

       e. Suspension without Pay: The written form that involves a disciplinary suspension must
          indicate the number of workdays without pay and the date and time the employee must
          return to work.

       f. Interpretations or Personal Judgment: The description of the facts in a warning must
          not include the supervisor’s personal judgment of the employee’s motivation in not
          performing their work. It must not contain the interpretations of the meaning of the actions
          or words that constituted the misconduct. The form should be reviewed for personal
          judgments, interpretations of events or words that may reflect a personal characteristic of the
          employee. It must contain the observed or recorded facts related to the employee’s
          misconduct or lack of performance and not generalities.


Section 4: Counseling the Employee

    1. State the Facts: Identify in specific and factual terms the performance issue or misconduct.
       Supervisors should express their personal concern and the need for positive change. Employees
       must be reminded of previous counseling sessions and/or related incidence(s).
                                                   57
    2. Input on How to Correct: Supervisors may want to ask employees their ideas on how to correct
       their performance issue, and what support may be helpful from the supervisor or company in
       making the correction. If appropriate, the supervisor might agree to accommodate a reasonable
       request of support from the employee, while obtaining the employee’s commitment to correct
       the problem.

    3. Describe the Corrective Action: Supervisors must describe the corrective action that is required
       from employees and future consequences if positive change does not occur. They also should
       describe to the employee what is the correct future behavior or actions under the same or similar
       circumstances.

    4. Follow-up Date: Establish a follow-up date, if appropriate, to review progress.

    5. Supervisor’s Support and Confidence: Supervisors should inform employees that they have
       confidence in their ability to correct the problem.

    6. Employee Signature: Supervisors must request a written acknowledgement on the form
       that employees have received a copy of the document. The signature should not indicate the
       employee’s agreement with the company’s facts or corrective action but only they have received
       a copy of form.

    7. Refuse to Sign: If employees refuse to sign their acknowledgement they have received a copy
       of the written warning, supervisor should give the employee a copy of it. Another manager who
       is separated from the day-to-day supervision of the employee should be present as an observer
       during the counseling session. This person can witness on the warning form that the employee,
       although refusing to sign did receive a copy of the form. When an employee refuses to accept a
       copy, the supervisor should read the warning to the employee. The witness would then document
       in writing on the warning that a copy was refused but that it was read to the employee.


Section 5: Following the Interview

    1. Personnel File: Written warnings should be placed in the employee’s personnel file.

    2. Document Verbal Counseling: Date and contents of a verbal counseling session should be
       documented.

    3. Performance Issue Is Corrected: If employees correct behavior or performance issues,
       supervisors should void the disciplinary action and remove it from their personnel file. The date
       of the void should be indicated on the form.

    4. Keep the Original Void Form: The original warning form with “void” should be kept in
       a separate confidential file with other such actions. It should be kept as evidence for any
       subsequent lawsuit that may occur that includes the original time frame covered by the
       disciplinary action. The supervisor should give a copy of the original warning with void
       indicated on the surface to the employee.

                                                   58
Section 6: Termination of Employment

Termination of employment occurs after appropriate corrective action has failed to correct the performance
problem. It can occur with a single incident that is considered a serious violation.

    1. Suspension of Employment: The supervisor should not terminate an employee on the spot due to an
       incident of non-performance. The individual should be told, “You are suspended with pay pending
       the further investigation of the incident and that the investigation may result in disciplinary action,
       up to and including termination of employment.” It is suggested the suspension time be with pay.
       This will indicate neutrality in conducting the investigation.

    2. Communicating a Termination of Employment:

        a. Get to the Point: Supervisors must be direct and tell employees their employment is terminated.
           Supervisors should present the reasons and the facts surrounding the performance issue and the
           job-related reasons for the termination They should review any previous corrective actions
           employees have incurred including previous counseling sessions.

        b. Effective Immediate: Tell employees the termination is effective immediately.

        c. Listen to their Comments: It is important for supervisors to listen to employees’ comments
           about the termination decision. Supervisors must not be drawn into a discussion about the
           validity of their decision. They should listen respectfully to the comments and reiterate their
           decision to terminate is final.

        d. Termination Benefits, Pay and Unemployment Benefits: Supervisor should describe
           employees’ final paychecks including pro-rata vacation and any other transitional benefits such
           as COBRA, etc. Any termination of employment, reduction in workforce, or layoff requires the
           employer pay the final pay and earned vacation to the employee at the time of termination.
           Supervisors must give employees the Change In Relationship Form <See http://www.piasc.org/
           pdf/human/ChangeInRelationship.pdf> and the EDD For Your Benefit Brochure <See http://
           www.piasc.org/pdf/human/09ForYourBenefit.pdf> as required by the Employment
           Development Department regulations.

        e. Checkout Procedures: The supervisor should specify the checkout procedure the ex-employee
           will follow, including actions such as retrieving personal tools or property, returning uniforms,
           etc. A good policy is to have the supervisor escort the individual through checkout procedure.

        f. Threat of Violence: If there is a potential or actual threat of violence or retaliation, the necessary
           steps must be taken to protect other employees and supervisors.

        g. Professionalism: It is important that the checkout is performed in a safe but professional and
           respectful manner. It should not intentionally embarrass or otherwise belittle the terminated
           employee. Where appropriate, a termination should occur at the end of the shift or when
           potential for embarrassment is minimal.

        h. End on positive note: Tell the employee you wish them luck in the future in finding a position
           suitable to their skills and background.
                                                       59
XVIII. WRITTEN SAFETY PROGRAM
Section 1: Introduction

In California every employer has a legal obligation to provide and maintain a safe and healthful
workplace for employees, according to the California Occupational Safety and Health Act of 1973. As
of 1991, a written, effective Injury and Illness Prevention (IIP) Program is required for every California
employer.

Section 2: What is Included

    1. Written: An Injury and Illness Prevention Program must be in writing, be effective, and should
       include the following:

    2. Employee Training: An employer must give safety training as follows:

        a. Program’s Beginning: When the Injury and Illness Prevention Program (IIPP) is established.

        b. New Employee or Job Function: When an employee performs a new job or function.

        c. New Hazard: When any new process, procedure, chemical, substance, or equipment
           creating a new hazard to an employee is introduced.

    3. Other Requirements

        a. Understanding- Communicate so employees understand what is being communicated.

        b. Unsafe Conditions: Encourage employees to report unsafe conditions without reprisal.

        c. Correct Hazards: Correct unsafe/unhealthy conditions or practices.

        d. Compliance: See that employees comply with safety practices.

        e. Reporting an Injury or Illness: How to report a work-related injury or illness.

        f. Responsibilities: The person(s) responsible for training and when the training will be
           provided.

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       g. Reporting a Safety Problem: How to report a safety and health problem the employees see
          at work.


Section 3: Printing Industry of California Interactive IIPP Compliance Tool

The IIPP interactive program is located at www.piasc.org/pdf/business/SB198/SB198.pdf. This
publication was created in 1994 as a template for the IIPP program for the printing industry in
California. It has all the forms and documents employers will need to complete their IIPP program.




                                                   61
XIX. REACHING AN UNDERSTANDING
An understanding occurs when the parties communicate and agree on the specific facts of an event.
This process requires the supervisor to understand human experience, individual perception and basic
communication techniques.

Section 1: Human Experience and Feelings

Words, actions, all forms of human expression have a basis of understanding that originates in the
person’s past experience or their “frame of reference.”

    1. Misunderstandings: In communication, supervisors or employees’ past experiences are the
       basis for most misunderstandings or misinterpretations of individual words, actions or non-
       verbal expressions. When the conversation contains words that are general and not specific, and
       there is no common experience between the individuals communicating related to the event,
       there is a very good chance that a misunderstanding will occur between them.

    2. Observed Change: Noticing a change in an employee’s behavior or actions can be a personal
       sign or “cue” for the supervisor to discuss the observed change with the employee to see
       if it work related. This is important if events have occurred that may affect factors in the
       work environment of personal significance to the employee. These expressions include and
       employee’s facial, body, job-related actions, eyes, etc.

    3. Respected Mentors: Dialogues or actions with friends, teachers, and people who are respected
       by the employees become a part of their experience and beliefs. The action or dialogues with
       mentors creates significant emotional feelings in an employee that are the basis of strong
       feelings and personal values about work. The understanding (perception) and the feeling about
       words influence present work behaviors and actions.

    4. Common Experience: When supervisors experience an event at work with employees, such
       as an idiosyncrasy of a piece of equipment or a customer’s job, then they have a “common
       experience” and a shared understanding of the event without having a detailed conversation.

    5. Mutual Understanding: An understanding between supervisors and employees results when
       the actions to accomplish a desired outcome on a timely basis by are mutually understood and
       executed.


                                                   62
    6. Expression without words: There are forms of human expression that communicate without
       words. These expressions include facial, body, job-related actions, eyes, etc.


Section 2: Diversity of words

    1. Generalities: The reason for many misunderstandings between supervisors and employees is the
       use of general terms about an event or job where no common experience exists. The supervisors
       must describe the event or job in detail for a mutual understanding to occur. Likewise, they must
       ask employees questions to determine actions and outcomes related to events. The following
       investigative questions will enable a mutual understanding between the supervisors and
       employees of work related actions, behaviors and outcomes.

       a. Where: Location

       b. How: Actions and process.

       c. Why: The reasons for the employees’ actions or the justification for their actions or choice of
          actions.

       d. When: The time line for actions and outcomes to occur.

       e. What: A question to determine the current or future actions employees will perform to
          achieve an outcome.

       f. Who: People observing an event or that are required to support employees or their actions
          in achieving the outcome.

    2. Levels of Comprehension: There are levels of comprehension between parties that are based on
       the degree of generalities of the terms they use in a communication. An example of the levels of
       comprehension when used by supervisors follows:

       a. Labels: The use of one or two words (Label) to describe a situation or event. Examples
          would be “We have to produce a quality product,” or “You need to work on your reliability.”

       b. Psychological Processes: Words denoting a process working within the employee’s psychic
          or personality causing an action or event to occur. Examples would be “Your quality in your
          work is poor because you don’t care about your it.”

       c. Broad Patterns of Behavior: Several words that describe a broad range of actions such
          as the “You need to pay attention to the quality on your 6 unit work and your daily
          production reports.”

       d. Focused Patterns of Behavior: Words describing a limited range of actions or behaviors
          with similarities such as “You need to be more focused on your cooperation with clients,
          supervisors and salespersons.”

                                                   63
       e. Specific Actions or End Results: Words that describe in detail the specific actions,
          outcomes or an event. The following are examples of being specific about actions and
          outcomes.

           i. Steps: Describing the order of steps (actions) the employee must take to perform a
              specific task or job duty.

           ii. Situations and Consequences: Describing in detail several situations and asking
               employees which one would cause the greatest harm to the company’s customer
               relation’s efforts. This could be followed by questioning employees why they believe
               this situation would cause the greatest harm to customer relations.

           iii. Describe: Ask employees to describe what they would say or do to indicate to the
                customer care about their work.

           iv. In What Order: Supervisors could ask employees “In doing a make-ready on a
               press what would you do first, second, etc.”

    3. Consequence of not being Specific: Supervisors take short cuts in processing work and
       communicating with employees. When supervisors take short cuts with communication,
       misunderstanding occur and the following may happen:

       a. Seems too Big: Employees may believe the problem, change or job is too big to handle or
          achieve.

       b. Easier to Resist: An ill-defined outcome or actions an employee must take to do a job or
          make a change makes it easier for an for employees to resist and have excuses for not
          doing the job correctly or in making the change.

       c. Not Really Mean It: Poor communication of outcomes and desired actions employees
          must perform makes it easier for employees to agree and not really mean it.

       d. Remakes: The company has to perform the work again. This is called “printing for
          practice.”


Section 3: Communication Agenda

The following are basic steps a supervisor should take when communicating with employees.

    1. Facts: Supervisors must communicate to employees what actions or behaviors are appropriate
       in performing the work. They must describe to them what the outcome should look like.
       Supervisors must come to an agreement on the actions employees will take to do the work or
       task. If the request is a change, supervisors must describe the business necessity reason for the
       change.



                                                    64
2. Understanding: Supervisors should request employee feedback by describing “in their own
   words” what actions they will take to accomplish the outcome and what the outcome will look
   like.

3. Reservations or Feelings: Supervisors must ask employees if they have any reservations or
   feelings about the required actions or outcomes.

4. Address Reservations: Employee concerns or reservations should be addressed honestly by the
   supervisors. When possible, supervisors can offer employees assistance in working through their
   reservations or concerns.

5. Action Plan: If the discussion requires a change in the work process, environment, tools,
   machinery or support from others then supervisors should develop an action plan to assist
   employees in making the change. The action plan should have steps employees must perform to
   a final outcome, time lines for completion of each step, and a commitment from employees to
   make the change. Supervisors requesting the change must follow up with employees to review
   progress.

6. Support and Confidence: Supervisors must express their support and confidence in the
   employees’ ability to make the change or do the work.




                                              65
XX. RECOGNITION OF
                  EXTRAORDINARY PERFORMANCE

When employees do a task for the first time, or perform a job beyond their current level of performance,
supervisors should communicate their recognition of this achievement.

Section 1: Benefits of Recognition/Reinforcement

    1. Self Confidence: Recognition builds employee confidence in their abilities, strengthens their self
       worth, and is an important motivational and coaching tool.

    2. Sustained Performance: Recognition Identifies exceptional levels of employee performance
       that when sustained will raise the overall long term performance of the employees to a
       consistently higher level.


Section 2: Concerns

    1. Short Term Performance or a Single Task: Supervisors should identify and communicate
       exceptional positive short-term levels of performance by employees or the extraordinary
       performance of a single task. Long term changes should be addressed in the employees’
       performance evaluations.

    2. Exaggerating the Fact: Exaggerating the facts, related to the exceptional performance, may
       lead to employees doubting the supervisors’ words and questioning their motivation for the
       recognition. Supervisors should stick to the facts and the actual extraordinary accomplishments
       of the employee’s short term positive performance.

    3. Over-emphasis of the Value: It is important for supervisors not to over-emphasize the value
       of an accomplishment. Supervisors must be honest with employees about what the exceptional
       effort was worth or achieved. Over-praise by supervisors may lead to future disappointments
       for employees. When employees perform the task again and it does not meet their expectation
       of importance, they will have a strong feeling of frustration or disappointment. This may lead to
       resentment or mistrust towards the supervisor or company.

    4. The Session Must be Positive: Supervisors must not use the recognition session to mention or
       correct employees’ deficiencies. Supervisors’ words and non-verbal expressions must be sincere
       and show appreciation for the employees’ accomplishments.

                                                   66
Section 3: Basic Objectives

    1. Recognizes Higher Levels of Performance: If supervisors communicate it properly, recognition
       identifies a higher level in employee performance or the addition of a new skill.

    2. Feelings Move: When employees realize the value of their efforts, either to themselves,
       their manager, work group or the company, employees may desire to repeat the action to re-
       experience the feelings of their accomplishment.

Section 4: Communicating Recognition

A recognition session by supervisors is most effective when delivered in a private conversation with
employees in their work area. The following is the basic agenda for communicating recognition:

    1. Homework: Supervisors must do their homework to understand factually what was
       accomplished and the value of the accomplishment.

    2. Sincere, Stick to the Facts: Supervisors must be sincere; stick to the facts (what happened-
       actions) and what was accomplished (value), indicating their personal thanks for a job well
       done.

    3. Enthusiasm: Recognition or personal appreciation must be communicated to employees with
       enthusiasm utilizing positive verbal and non-verbal words or actions.

    4. Thank you: Supervisors should end the recognition session with a “Thank You.”




                                                   67
XXI. HANDLING CHANGE IN THE
                      WORK ENVIRONMENT

Businesses must adapt to the changes in the needs and demands brought by customers, government
agencies, employees, competitors, markets or other outside influences.

Section 1: Handling Change

    1. Early Communication

       a. Skills Audit: Try to identify (audit) how the change will affect each employee or group
          of employees in their process of doing their work. This written skills audit reviews what
          employees’ current actions (processes) are and how each action may change in obtaining
          the outcome. This audit will later help supervisors to develop the training program to
          make the change for each employee. This identification process should include employees
          who have pertinent experiences related to the change.

       b. Personal Significance: Supervisors should try to recognize if the change will affect a
          work element that has personal significant for employees. An example would be
          employees who place personal significance in the press they operate are more inclined to be
          affected emotionally by a change of equipment than someone else who views the operational
          change as learning new skills.

       c. Early as Possible: Communicate known details of the planned change to employees as
          early as possible to avoid surprises and notification through rumor. Supervisors should
          present employees initial skills audit to identify where new skills or actions will differ from
          what they have been doing. When these changes are later broken down into small learning
          steps the change will not seem overwhelming to the employees. Employees should
          understand their skills audit is subject to revision as the change develops.

       d. Employee Input: Encourage employees to participate by providing their input and feedback
          through the process of the change. This includes employee discussions with the supervisors
          about revisions that may be necessary as the change develops to their initial skills audit

       e. Open Door: Answer questions honestly and directly. Encourage open communication and
          personal understanding especially in matters of personal significance to another employee.



                                                    68
   f. Offer Accommodations: Assist employees in working through personal obstacles to making
      the change by offering accommodations, especially where change involves major
      undertakings.

2. Step by Step: Establish and communicate interim steps that in a short period of time can be
   learned and achieved during the change, especially if it has a major impact on the employees’
   jobs. An example would be interim quality and production standards on a new press that can be
   achieved in small steps.

   a. Creating Positive Feelings: Identifying the steps help employees cope with the negative
      anticipation that can result at the beginning of a major change through their small interim
      successes. The following will result using steps:

      i. Enhances Self-Esteem: Employees will gain confidence in their ability and self worth
         as each step is accomplished.

      ii. Company Reasonableness: It provides evidence of the company’s reasonableness in an
          employee’s potential wrongful termination allegation.

      iii. Too Big to Accomplish: Interim steps will reduce employee frustration that the change is
           too big or complicated to make.

      iv. Supervisory Support: Interim steps will make it easier and less time consuming for
          supervisors to provide support to employees that may need since it only involves
          accomplishing that step.

      v. Emotional Bridges: Employees accomplishing each step will go from the initial
         feelings of positive or negative anticipation of the change that includes anger to feelings
         of accomplishment and joy when they accomplish the change.

   b. Recognition: Supervisors must recognize the gain employees make step by step. The
      recognition session will help employees gain confidence in their ability to make the
      change, connects the current with the next step, and enhances their self esteem through the
      process of change.

   c. Written follow-up: To avoid dissemination of incorrect information or rumors, supervisors
      should provide written communication to employees to find out where they are and how well
      they are adjusting to making the change.

   d. Written Preceded by Dialogue: Written follow-up should be preceded by a verbal
      discussion or dialogue where an understanding is reached about the current accomplishments
      (positive or negative) from employees.




                                               69
  e. Discuss Obstacles: Supervisors should discuss any obstacles employees encounter in
     accomplishing a step. Supervisors should introduce, if applicable, possible accommodations
     to help the employees work through the obstacle(s). The discussion may reveal a
     misunderstanding between supervisors and employees that can be addressed by simply
     restating the original thought or question.

  f. Internal Training Programs: Establish internal training or retraining programs and offer
     outside educational opportunities at company expense to help employees adjust to the
     change.

3. Communicating the Change

  a. Facts and Why: Be very specific and factual in describing the change, including how
     the change will affect employees and why the change is necessary in accomplishing the
     company’s purpose or its goals.

  b. Supervisor’s Support: Supervisors should indicate their support for the employees while
     they are making the adjustment or transition to the change.

  c. Understanding: Supervisors should have the employees communicate, in their own
     words, their understanding of each action required by them for each step.

  d. Listen for Reaction: Listen carefully to employees’ reactions. Listen to what they say
     about making the change (what they have to do) and what they feel about the change
     (positive or negative).

  e   Get Help if Necessary: Answer questions honestly and directly. If unsure of an answer,
      agree to report back to employees once the information is obtained from another source.
      Make a specific date and time and follow up on your promise to get the information.

  f. No Guarantees: Avoid making guarantees that the company cannot perform at a later date.
     Such guarantees may affect the supervisors’ credibility and be the basis of a contractual
     dispute between the company and the employees at a later date.

  g. Gain Commitment: Ask employees to support the change (give their commitment) and
     let them know their further comments or feelings are welcomed.

  h. Follow-up: Establish a date and time for your next meeting or follow-up.




                                             70
4. Overcoming Resistance: Supervisors’ initial response in overcoming employees’ resistance to
   the change, or a step in the change, is to enter into a dialogue with them to understand why they
   are resisting. Once the reasons are fully understood, the following are actions supervisors can
   take in addressing the employees’ resistance.

   a. Acknowledge their Response: Once the reasons are understood, supervisors should
      acknowledge their understanding of the reason for the resistance. Supervisors’
      acknowledgement of the employees’ reasons may nullify the employees’ resistance.
      Supervisors should ask the employees for their commitment to move forward on the
      project or job.

   c. Accommodations or Change Contingencies: If supervisors’ acknowledgment does not
      address the employees’ hesitancy, concerns or resistance, supervisors may want to
      suggest, or ask employees, if there is something that can be done to help them work through
      the obstacle causing their resistance. If this dialogue produces a possible contingency or
      change proposition (accommodation), supervisors may wish to provide employees with this
      accommodation. When supervisors agree to accommodate employees, they should ask for
      the employees’ commitment to move forward.

   d. Postponing Extended Discussion: Resistance may be overcome by postponing extended
      discussion, unless it is urgent, with the employees until a later (but specific) time. If the
      employees agree to move forward and discuss it later, the reasons for the original resistance
      may decrease or the employees may work through the obstacle. Supervisors should
      always follow up, as agreed, at the specified time.

   e. Agree to Disagree: Once the reasons for the resistance are understood and the other options
       have been exhausted, supervisors should tell employees that reasonable people
       sometimes disagree or “we will have to agree to disagree.” Supervisors should ask for the
       employees’ commitment to move forward. Many people will make the commit to move
      forward if they believe the supervisor understands and respects their reservations or concerns.




                                               71
XXII. DELEGATING WORK
Supervisors must communicate employees’ responsibilities in the completion of a job related task or
activity; seek the employees’ input and ideas on actions in doing the task; come to a mutual plan of
action with the employees on the process and actions in doing the job; and maintain control over agreed
actions and the desired outcome.

Section 1: Makeup of A Task or Product- The following are the elements of a task or job that must be
mutually understood by the supervisor and employee to successfully delegate work:

    1. Materials: The paper, ink, chemicals, etc to be used in processing the work;

    2. Machinery: The presses, computers, folders, trucks, etc. that will be utilized;

    3. People: The other employees or departments who will provide resources or support to the
       employee performing the job or task; and

    4. Process: The actual steps or procedures that supervisors and employees agree must be performed
       to achieve the desired output.

Section 2: Control, Risk and Common Experience

    1. Control of the Job Processes: Supervisors must decide how much or little control they will
       exert over the process, machinery, materials and other employees necessary to perform the work.
       The control supervisors maintains over the employees’ performance of work (process) is related
       to the employees’ skills, background or current job performance.

    2. Control of Machinery, Materials and Support: The control of machinery, other employees
       (support) and materials is normally dictated by management or the supervisors.

    3. Discussion of Process: Deciding on the work processes starts with a dialogue between the
       employees and supervisors and ends with mutual plan on how the work will be accomplished.
       The agreement must include an understanding of the desired outcome that meets the customer’s
       expectations, such as quality or appearance.




                                                   72
4. Common and Shared Experience: An important factor in the supervisors’ decisions of the
   amount or type of control to exert is recognizing what “common and shared experience” the
   supervisors and the employees have related to the performance of each task making up the work.

   a. No Common Experience: If no common experience exists between the supervisors and the
      employees in doing their work then the supervisors must discuss all aspects of the work
      including materials, support, and machinery. Supervisors and employees should agree on
      the process or what is the most effective actions to get the work done.

   b. Common Experience: The delegation process where supervisors and employees have
      mutual and shared experience in doing the job or task requires a discussion of the deviations
      from that experience such as new material, machinery or support. This requires addressing
      changes in how the employees will do the work to produce the new outcome.

3. Agreeing on the Process: Supervisors should discuss the employees’ past experience in
   reaching an agreement on the plan to perform the work.

   a. Starting Point: The most efficient starting point for establishing the work process to produce
      an outcome is to start with an understanding of the employees’ past experience in performing
      this type of work.

   b. Supervisor or Company Experience: The employees’ experience should be substituted by
      the supervisors’ or company’s experience when it would work as efficiently in achieving the
      desired and timely outcome.

   c. Reason for Adopting Supervisor’s Approach: Supervisors should explain to
      employees why their experience has to be substituted by the company or supervisor’s
      experience in performing the work. The reasons should be explained in the context of the
      company’s goals. This explanation may be a customer’s requirement, different equipment,
      need for consistency in the process and procedures of the company or others. This
      explanation will help to not diminish the value of the employees’ past experience.

   d. Doing It Their Way: The benefit of allowing employees to do the work based on their
      experience is that the supervisors do not have to “train” the employees to do the work. It
      gives the supervisor, with no common or shared experience with an employee, the
      opportunity to observe through work actions their experience in performing the work. The
      supervisors may learn from the employees’ experience.

   e. Teacher/Student: Supervisors agreeing to employees’ experience in doing the work
      should say “That sounds interesting and I look forward to learning from your experience (I
      am your student).” Supervisors substituting the employees’ with the company’s
      experience may want to say to the employees “Let me discuss or demonstrates how the
      company needs to have it done and why (I am your teacher).”




                                              73
   e. The Change Contingency: Supervisors must ask and receive the stated commitment
      from employees of their duty to immediately discuss any change from the agreed process;
      change observed in the materials; machinery; or support, with the supervisors that may affect
      the outcome or the schedule.

4. Supervisory Control: Supervisors must observe the employees’ actions and behaviors while
   they are performing the work. Supervisors must observe employees’ actions on a more frequent
   basis where there is no common or shared experience; or they are based on the employees’
   experience. Supervisors look for changes the employees make from the agreed work process.
   Supervisors look for prior agreed actions with the employees that need to be changed because
   they will not produce the desired outcome .

5. Supervisory Intervention

   a. Recognition: If the employees are working through the task as agreed and towards a
      desirable outcome, their activity should be positively reinforced with statements such as “Its
      coming along,” or “You are right on target.”

   b. Deviation from the Process or Outcome: Supervisors intervene if they see a serious
      deviation by the employees from that agreed process that may adversely affect the desired
      outcome or the production schedule. Supervisors may need to change the agreed actions
      from the employees if they believe it will not result in a desirable outcome or adversely
      affect the schedule.

6. Supervisory Intervention Communication Process: The supervisors’ approach, when they
   observe change to the mutually agreed process, differs depending on what they observe.

   a. What was Observed: Supervisors must describe the action(s) they have observed from
      the agreed one(s) and ask the employees the reason for the change. Supervisors must
      listen for the reasons for the change and describe to the employee in their own words their
      understanding.

      i. Positive Change: With a positive observed change, supervisors state the change
         seems to be positive, may help the outcome and schedule, and is permissible.

      ii. Negative Change: If supervisors observes actions that could produce a negative
          consequence to the outcome, they should describe the action they have observed to the
          employees and ask the reason they made the change. Supervisors should describe why
          the action may be consequential in producing the outcome and instruct the employees to
          proceed with the originally agreed actions. Supervisors should agree to discuss the
          change the employees desired to make after the job is complete.

      iii. Reminder of the Change Contingency: Supervisors, observing and discussing a
           positive or negative change, must remind the employees to bring any change in the
           agreed actions to the supervisors’ attention before making the change.



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Section 3: Primary Supervisory Considerations

    1. The Basics

       a. Ability: In the supervisors’ judgment, employees must possess the basic abilities to
          safely perform the task or activity assigned.

       b. Willing to give up Control: Supervisors must be willing to give direct control and
          responsibility over the job to the employees.

       c. Share the Risk: Supervisors must properly delegate the job to make employees are aware
          of their responsibility in performing the job actions and the outcome. When a job is
          effectively delegated and proper control is given to the employees by supervisors to
          perform the work, employees should understand they are responsible for the consequences
          of undesirable actions in producing the work. It should be understood that they share the
          responsibility and consequence of a poor outcome with the supervisors.

    2. Work Specifications: Supervisors must determine the specifications for the work being
       performed by employees before delegating the work. These specifications include the following.

       a. Schedule: Completion date or a time frame for the assignment.

       b. Job’s Significance: The assignments priority or importance to the department or company’s
          operation.

       c. Resources: Machinery, tools, support paper, ink, etc., available to complete the job.

       d. Spoilage: Acceptable levels of spoilage.

       f. Schedule: Priority of job with other jobs already in progress.

       g. Support: Other departments or employees who will be involved.

       h. Visual or Precise Description of Outcome: If it is a product, a visual or precise description
          of what constitutes an acceptable product or a desirable outcome, this is the most effective
          measurement.


Section 4: Communication Process in Delegating

    1. Work Specifications: Describe the specifications of the work or job. This full description is not
       necessary when the supervisors and employees share a positive “common or shared experience”
       with the work. In this case, the supervisors will want to discuss any changes between the current
       job and the previous work.




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2. Understanding: Ask the employees to express in their own words what action they will perform
   in what order to do the work. The employees must describe to the supervisors in their own
   words what the outcome is or how it will look.

3. Communication Process In Delegating

   a. Employees’ Approach: Encourage the employees to give their ideas or approach in
      performing the work.

   b. Prefer the Employee’s Experience: Supervisors should allow the employees to do
      specific tasks in the job they have experience in doing. If the supervisors cannot find a reason
      why the employees’ approach will not work as effectively as the company’s approach, they
      may be allowed to do it their way.

   c. Company or Supervisor’s Experience: If the supervisors have a reason that certain tasks
      must be performed different from the employees’ experiences, they should indicate to them
      the steps to be taken and train when necessary. Supervisors must discuss with the employees
      the reason the action will be more effective in performing the task.

   d. Follow-up: Supervisors should indicate when they will check on the progress of the work
      with the employees. Supervisors must closely observe approaches that were suggested by
      the employees and the new approaches the supervisor suggested to the employees in
      performing the job process.

   e. Unforeseen Circumstances: Supervisors must receive the employees’ commitment to
      communicate any circumstances that arise that may affect the work specifications or
      outcome.

   f. Support: Supervisors must indicate their personal confidence in the employees’ ability to
      do the job as planned and agreed.




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XXIII. MEETING WITH OTHERS
Section 1: Why hold meetings?

If there is another means of disseminating information, other than a meeting, it should be used. Meetings
for the wrong reasons waste valuable production time. The following may be reasons to hold a meeting.

    1. Problem Solving and Brainstorming: If a supervisor or the company has the answer to a
       problem or enough information to make the decision, there is no need for a meeting. The need
       to get input from employees to improve a process or address a new issue is a good reason for a
       meeting.

    2. Decision Making and Consensus Building: If a supervisor or the company needs more ideas
       or different approaches to a problem or a change in the business environment, then holding a
       meeting is a good tool.

    3. Group Training and Education: With some education or skills training, a meeting may be
       more effective than teaching one person at a time.


Section 2: Meeting Times

    1. Regular Scheduled Meetings: Having a regularly schedule meeting may indicate the meeting
       is failing to meet a need or fulfill a purpose. The company should make it an important job
       responsibility for any supervisor to be represented at a meeting where the meeting content
       will or may affect their department operations or their employees. If this is a known to be an
       important part of a supervisor’s duty, it will be in their self interest to be represented at the
       meeting.

    2. Meeting Times: The potential participants should be informed in writing of the meeting date,
       location and starting and ending times.

    3. Start on Time: Show appreciation for those who are there by starting on time.

    4. Meeting Length: How can a supervisor or the company predict how much time will be needed
       to address the items on the agenda? The following are some considerations.


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       a. Fatigue Factor: Fatigue factors and competing schedules require the company or supervisor
          to select a reasonable amount of time, and the scheduled time, for the meeting. There can be
          another meeting to continue where the prior meeting has ended to cover the full agenda.

       b. Emergency: If you have a crisis or emergency situation, don’t stop a meeting until you have
          completed the tasks necessary to address it. An efficient meeting dealing with crisis will
          address what actions and assigned responsibilities are necessary to work through the present
          crisis. A follow up meeting can be held with a prepared agenda to determine the reason for
          the crisis and corrective action so it does not happen again.

       c. Formula for Deciding Meeting Length: To decide how long a meeting should be, multiply
          each topic on the agenda by the number of participants; then, multiply the total by the
          number of minutes allowed for each person to participate on that topic. For example: Topic
          A x 5 people x 3 minutes each = 15 minutes (without an introduction and concluding
          remarks). By estimating the amount of time for debate, brainstorming, or consensus building
          needed, the supervisor or Company will have effective meetings.


Section 3: The Agenda

    1. Program of Events: Do not create a meeting agenda that reads like a program of events. A list
       of presenters and their topics is not a good agenda.

    2. Actions, Problems, Decision: Make your agenda a list of action items, problems to be solved,
       decisions to be made, or skills to be acquired (state who is to do what by when.)

    3. Distribute in Advance: Agendas published and distributed in advance of the meeting enable
       participants to prepare themselves, bring the needed materials, and focus their attention as they
       arrive at the meeting.

    4. Selective Attendance: Agendas also permit selective attendance. If participants can see the
       topics, and are required to attend a meeting when the agenda topics may affect their department,
       they will attend or send someone from their department to participate.


Section 4: Rule for meetings

    1. No Blocking: When listening to another individual expressing an opinion or idea during a
       meeting, no blocking should be allowed. In other words, there should be no interruptions,
       judgments or criticisms of the thoughts or statement of others.

    2. To Understand: It is acceptable to ask another meeting participant questions to understand an
       idea or opinion they have expressed—as long as it does not block their discussion.

    3. Add On: Other participants should be encouraged to add on or enhance on the ideas being
       expressed by another participant.

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    4. Written Rules: These rules and others should be in writing and given to all participants prior to
       the meeting. The meeting facilitator should review the rules at the beginning of the meeting.


Section 5: The Meeting Facilitator/Supervisor

The most effective meeting occurs when the person responsible for the meeting adapts to a meeting
facilitator and not a manager or supervisor. The following are suggestions for a facilitator to effectively
address the meetings purpose.

    1. Write it Down: To gain participation from everyone in the meeting, ask a question, a solution
       or idea on resolving a problem, and have the meeting participants write it down. The facilitator
       asks participants to read from their notes. This allows the introvert or quiet person in a meeting
       to feel comfortable in participating.

    2. Recognition: Thank participants for their ideas, solutions, alternatives or resolutions they
       present that further the purpose of the meeting or addresses an item on the meeting agenda.

    3. Rambling or Off Agenda Items: If participants have moved from the agenda or from the
       present discussion point, tactfully direct them back to it. An example would be “Gerry, that’s
       important. We can address that at a later meeting.” The facilitator may want to write down the
       thought on the flip chart as future business. This indicates to the participant the thought was
       important but was not addressing the purpose of the current meeting.

    4. Joking: Humor is a part of meetings and communication but it must not distract from the
       business purpose of the meeting. The meeting facilitator should minimize his or her humor and
       stick to business. When a person starts to tell a humorous story, the facilitator might say, “We
       can have a good laugh after the meeting but we need to stay with the agenda or this discussion
       point.”

    5. Off Handed Remarks: Participants may make off handed remarks during the meeting. The
       facilitator should remind participants of their duty during a meeting not to block or interrupt the
       thoughts being expressed by other participants.

    6. Defensive: The facilitator must not become personally defensive during the meeting. They must
       emotionally react to the discussion causing their discomfort by reminding themselves this is an
       opportunity to learn. They should ask participants for specific actions, outcomes, or words that
       they are criticizing. This will help the facilitator not to react emotionally to the criticism.

    7. Keep Them Comfortable: Physical needs for meetings include seating, lighting, temperature,
       breaks, etc. Psychological needs include comforts relating to openness, ease of communication,
       or clarity of purpose.

    8. Flip Charts: The use of a flip chart during the meeting is recommended. It accomplishes several
       requirements of facilitating a meeting.



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  a. Note Taking: Ideas are recorded on the flip chart. There is no need to record a complete
     thought. Write down the key words. This will help the meeting participants and the facilitator
     to recall later the thoughts or suggestions. The flipchart is the basis for the facilitator to
     report back to the participants the areas covered, resolutions accomplished, etc.

  b. Importance of Information: Participants will believe their input is valuable when it is
     recorded by the facilitator. It is important to record the new ideas or comments if they are
     relevant to the agenda even if the meeting facilitator does not believe they are important. The
     facilitator might suggest and seek agreement that the comments are an “add on” to a concept
     already on the flip chart.

  c. Tying Thoughts Together: The flip chart page can be distributed around the meeting room
     for a quick reference as the meeting progresses. This will enable the facilitator and
     participants to tie thoughts together and prioritize their importance.

9. Group Consensus

  a. Ranking: The meeting facilitator may wish to ask the participants to rank or to decide which
     ideas (number 1, 2 or 3) presented during the meeting would be the most effective in
     addressing the purpose of, or an agenda item, on the meeting agenda.

  b. Building for Consensus: Once the facilitator has determined the group’s ranking of the
     ideas expressed during the meeting, he or she can ask participants to build on these concepts
     or ideas towards a group consensus. The facilitator can seek specific actions participants
     believe will accomplish these shared ideas or concepts.

  c. Finalizing the Meeting Results: The facilitator should finalize the meeting results by
     reviewing the ideas, resolutions, etc. the participants found the most important and specific
     actions or outcomes discussed to accomplish these items.

  d. Decision Making: If the facilitator has the authority, he or she could delegate to the meeting
     participants, who initially will do what’s needed to accomplish the concepts or ideas
     presented during the meeting. If the final decision of delegating the tasks to accomplish the
     purpose of the meeting is for someone else, then the facilitator should thank the participants,
     inform them who will act on the information presented during the meeting, if they should
     expect a follow-up meeting and by whom, or a report of the meeting content, from the
     facilitator.




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