the do’s and don’ts of unemployment benefit claims · the do’s and don’ts of unemployment...

The Do’s and Don’ts of Unemployment Benefit Claims

April 10, 2015

Paul HolscherPhone: 919-841-3556

Email: [email protected]

NCCUPA-HRSpring Development Workshop

Henry Ross (“HR”), the HR Director for ABCUniversity, is busy at her desk trying to complete astack of yearly performance evaluations.

HR decides to take a break and check her ever-growing collection of e-mails that is piling up. Oneof HR’s emails is from Sam, a Supervisor at ABC.

Sam’s job title is Director of Admissions. He wasrecently promoted to the position. Johnny Dollar, theAssociate Director of Admissions, was the only othercandidate that applied for the position.

Despite the fact that Sam was the most qualifiedcandidate, Johnny has made it known that he is nothappy about ABC’s decision to promote Sam insteadof him.

In fact, HR had recently told Sam to issue Johnny aFinal Written Warning for insubordination. Johnny’sinsubordination included failing to respond to Sam’sattempts to communicate and making inappropriatecomments, among other things.

HR looked back at Sam’s email and noticed that itwas titled “Johnny Dollar Situation - URGENT!”

HR begin to read…

Supervisor Sam’s

Email to HR

Hi HR:

I just got out of a meeting with Johnny. I had set upthe meeting to talk about my expectations as hisnew supervisor.

While I was talking Johnny interrupted me andyelled “I am not going to work for you.”

I replied: “Johnny, Johnny Dollar- there ain’t noneed to holler!”

Supervisor Sam’s

Email to HR

I told Johnny that I was his boss and if he wasn’tgoing to work with me then I would be forced to talkto HR about it.

Johnny then said: “That is fine I was going to quitanyway… By the way Sam, have you ever heardthat song- ‘TAKE THIS JOB AND SHOVE IT, IDON’T WORK HERE ANYMORE’?!”

Supervisor Sam’s

Email to HR

I then told Johnny that I hate country musicand that I was very, very sad to hear that hewanted to quit…

This situation has gone on long enough andJohnny needs to be terminated. His recentbehavior is unacceptable and should not betolerated. I’m going to come by your office ina few minutes to talk about “next steps.”

Sam

HR’s Conference with

Supervisor Sam

HR had just finished reading Sam’s email whenSam walked into her office.

HR: “Johnny’s behavior is ridiculous, especiallygiven the fact that you recently issued him a FinalWritten Warning.”

HR’s Conference with

Supervisor Sam

Sam: “HR, I recall you telling me to issue Johnny aFinal Written Warning. I met with him last weekand talked about it, but didn’t give him anydocument... Regardless, Johnny’s behavior hasn’tchanged.

HR: “Well, sounds like even if you had documentedthe Final Written Warning it would not have doneany good. I agree, we need to terminate Johnny.Can you set up a meeting later this afternoon?”

Sam: “Sure thing, HR- I’d be HAPPY to...”

HR’s Termination Meeting with

Johnny Dollar

Later that day HR and Sam met with Johnny Dollarin ABC’s conference room.

HR: “Johnny, I’m going to get straight to the point.Your recent workplace behavior towards Samincluding, but not limited to, your behavior thismorning is unacceptable. As a result, ABC is goingto…”

HR’s Termination Meeting with

Johnny Dollar

Johnny interrupted HR -- he was clearly upset...

Johnny: “This is no way for ABC to treat anemployee and proves that Sam should not havebeen promoted over me…

Regardless, I told Sam earlier today that I wasquitting. I have a letter of resignation that I’veprepared… And by the way I’ve already talked to anattorney, who you’ll be hearing from…”

Johnny then walked out of the conference room….

Request for Separation

Information

Several days later HR receives a NCUI 500AB: Requestfor Separation Information from Employer from theDivision of Employment Security (“DES”) indicating thatJohnny had applied for unemployment benefits.

1. How long does ABC have to respond to theNCUI 500AB: Request for SeparationInformation from Employer?

1. How long does ABC have to respond to theNCUI 500AB: Request for SeparationInformation from Employer ?

DES sends a NCUI 500AB to employers when anemployee files for unemployment insurance benefits.NC employers are required to provide a “timely”response to the NCUI 500AB. A response is “timely”if it is filed with DES within 14 days after the dateDES issues the request.*

*See, “Guidelines for Preparing An Adequate and Timely Response to theNCUI 500AB: Request for Separation Information from Employer,”available at: http://www.ncesc1.com/HB4/EMPLOYER_memo9.11.13_M.pdf.


Information

NCUI 500AB

Late responses to the NCUI 500AB willnot be considered in the InitialAdjudication phase, but will have appealrights. In addition, no amendments will beallowed to the NCUI 500AB after theexpiration of the 14-day period.


Information


Information

In addition to being “timely” NC employers arerequired to provide an “adequate” response to theNCUI 500AB: Request for Separation Informationfrom Employer.

2. What is an “adequate” response to theNCUI 500AB?


Information


DES has indicated that an “adequate” responsemust include sufficient facts to enable DES tomake a correct determination for unemploymentbenefits under the law without having to contactthe employer to obtain any additional information.*

*See, “Guidelines for Preparing An Adequate and Timely Response to theNCUI 500AB: Request for Separation Information from Employer,”available at: http://www.ncesc1.com/HB4/EMPLOYER_memo9.11.13_M.pdf.


Information


Quit: (1) a copy of any resignation letter and (2)the specific reason(s) for the resignation.

Termination: (1) reason(s) for the separation, (2)copies of policies, handbooks, etc., signed by theemployee pertaining to the termination, (3) copiesof any warnings/ termination documents, and (4)detailed information about the circumstancesleading up to the termination.


Information

3. What else does an employer have to include inthe NCUI 500AB submission?

The employer must also include:

1. The claimant’s pay rate;

2. The gross amount of vacation, severanceand/or sick pay;

3. The claimant’s customary work days andwork hours; and

4. The beginning and ending dates covered byany separation payments.


Information

Assume that ABC doesn’t respond to the NCUI 500AB:Request for Separation Information from Employer. Also,assume that ABC has a pattern of failing to respond tothe NCUI 500ABs that it receives.

4. What does DES define as a “pattern” of failingto respond and what are the consequences forABC’s failures to respond to the NCUI 500ABs?


Information

4. What does DES define as a “pattern” of failing torespond and what are the consequences for ABC’sfailures to respond to the NCUI 500ABs?

A “pattern” occurs if the employer fails to adequately/ timelyrespond to 2 or more NCUI 500ABs or equal to or greaterthan 2% of the total requests sent to the employerduring the prior year, WHICHEVER IS LESS.

Failing to respond to the NCUI 500ABs can lead to theemployer being penalized by not being able to have itsaccount relieved of charges for benefits that areerroneously paid.

See, N.C. Gen. Stat. §96-11.4.

Assume that HR timely files the NCUI 500AB with DES.A few weeks later HR is shocked when she receivesan Initial Adjudication stating that Johnny has beendeclared eligible for unemployment benefits.

5. What is the deadline for HR to appeal theInitial Adjudicator’s finding that Johnny iseligible for unemployment benefits?

Deadline to Appeal Initial Adjudication


5. Deadline for HR to appeal? 30 days

N.C. Gen. Stat. Sec. 96-15(b)(2): “The conclusion of the

adjudicator shall be deemed the final decision of the

Division unless within 30 days after the… mailing of the

conclusion… a written appeal is filed...”

Determination By Adjudicator: states- “Appeal RightsExpire: [DATE]”


5. Deadline for HR to appeal? 30 days

Timeliness DES must receive the appeal by the 30-day deadline.The “mailbox rule” no longer applies. There are only 2exceptions for “late” appeals:

(1) Excusable neglect

(2) Circumstances beyond theemployer’s control

Larry Litigator

A few days after HR receives the Initial Adjudication

indicating that Johnny is eligible for unemployment

benefits his phone rings...

On the phone is Larry Litigator who states that he is

representing Johnny Dollar…

Larry informs HR that Supervisor Sam was untruthful

in his application for the Admissions Director position,

that Johnny Dollar was more qualified, and that

Johnny should have been promoted.

However, Larry Litigator says to Johnny that he won’t

file a lawsuit against ABC and that Johnny will “let

bygones be bygones” if ABC agrees not to appeal the

Initial Adjudication awarding Johnny unemployment

benefits.

Larry Litigator

6. Thoughts regarding Larry Litigator’s proposal?

Larry Litigator


6. Thoughts regarding Larry Litigator’s proposal?

Legal: ABC can enter into a Settlement Agreement

whereby it agrees to withdrawal its appeal of the

award of Johnny’s unemployment benefits in

exchange for a general release.

Not Legal: ABC cannot require Johnny to waive his

rights to file for unemployment as part of any

Settlement Agreement.

Assume that HR decides to appeal the InitialAdjudication. HR files ABC’s appeal andreceives a Notice of Hearing By Telephone…

7. Can HR request an in-person hearing?

In-Person Hearing

7. Can HR request an in-person hearing? YES.

N.C. Gen. Stat. Section 96-15(c): statutory right for anemployer to request an in-person hearing-

“The hearings may be conducted by conferencetelephone call or other similar means provided that if anyparty files with the Division prior written objection tothe telephone procedure, that party will be affordedan opportunity for an in-person hearing…”.

In-Person Hearing

8. Why should ABC request an in-personhearing?

In-Person Hearing

8. Why should ABC request an in-personhearing?

• An unemployment benefits hearing is generallyeasier to conduct in-person, as opposed to overthe phone.

• Credibility is better judged in-person.• Exhibits do not have to be disclosed in advance

when an in-person hearing is held (cuts bothways).

In-Person Hearing

9. Can HR obtain more than an hour for thehearing for the in-person hearing for theappeal of Johnny’s claim forunemployment benefits?

Length of Appeals Hearing

9. Can HR obtain more than an hour for thehearing for the appeal of Johnny’sunemployment benefit claim? YES.

• Generally speaking, DES Appeals Referees assignone (1) hour for each hearing. BUT, if advancenotice is given, additional time can be allotted for thehearing.

Length of Appeals Hearing

HR files an appeal of the Initial Adjudication awardingJohnny unemployment benefits and also requests thatan in-person take place.

10. Where will the in-person hearing take place?

ABC’s Appeals Hearing

10. Where will the in-person hearing take place?

The in-person hearing will most likely take place atthe DES office that is closest to the residence ofthe non-appealing party (i.e. Johnny).


Assume HR timely appeals the Initial Adjudication andrequests an in-person hearing. Tom is a formeremployee of ABC that witnessed some of Johnny’sinappropriate behavior. As a result, HR thinks that Tomwill be a very favorable witness for ABC.

HR has contacted Tom about attending theunemployment benefits hearing, but Tom’s response was“I have better things to do with my time…”

11. Any thoughts on how HR could obtaintestimony from Tom?


11. Any thoughts on how HR could obtaintestimony from Tom?

ABC can contact the Appeals Referee that isassigned to the appeal and request that asubpoena be issued for Tom to appear at thehearing.


Assume HR timely appeals the Initial Adjudication andrequests an in-person hearing. However, HR does nothave a copy of Johnny’s resignation letter.

12. Any thoughts on how HR could obtain a copyof Johnny’s resignation letter for the hearing?


12. Any thoughts on how HR could obtain a copyof Johnny’s resignation letter for the hearing?

ABC can contact the Appeals Referee assigned tothe case and request that a subpoena be issuedto obtain any documents that Johnny has relatedto his separation of employment.

Note: Conduct subsequent to separation generallyis not admissible.


13. At the appeals hearing should ABC arguethat Johnny quit or that he was terminated?


Quit – Claimant’s Burden of ProofA claimant that “quits” is presumed ineligible forunemployment benefits and the claimant has the burden toprove that he/she “left work with good cause attributableto the employer.” See, N.C. Gen. Stat. § 96-14(1).

Termination – Employer’s Burden of ProofIf a claimant is terminated, he/she is presumed eligible forunemployment benefits and the employer has the burden toprove that the claimant’s term. was due to “misconductconnected with the work.” See, N.C. Gen. Stat. 96-14(6).

*Appeals Referee’s 1st Question: “Is this a term. or a quit?”

Quit v. Termination: Burden of Proof

14. What does “left work with good causeattributable to the employer” mean?

“Good Cause Attributable to the Employer”

14. What does “left work with good causeattributable to the employer” mean?

“Good cause” has been interpreted to mean areason which would be deemed by reasonable menand women valid and not indicative of anunwillingness to work. Sellers v. National SpinningCo. Inc., 64 N.C. App. 567, 307 S.E.2d 774 (1983),disc rev. denied, 310 N.C. 153, 311 S.E.2d 293(1984).

“Good Cause Attributable to the Employer”

14. What does “left work with good cause attributable to theemployer” mean?

Presumed “good cause” for quitting*1. Reduction of hours: by more than 50% as part of

a unilateral and permanent reduction in hours;2. Reduction in rate of pay: more than 15%,

employer can rebut by showing reduction istemporary or due to employee’s malfeasance;

3. Domestic violence: continued employment wouldjeopardize safety; &

4. Relocation of military spouse

*See, N.C. Gen. Stat. §§ 96-14.5(a)-(b); 96-14.8

Quit – Burden of Proof

Assume that Johnny’s separation is considered atermination.

At the beginning of the hearing the AppealsReferee states: “HR, you are representing theemployer- please call your first witness…”

15. What must HR do to win its appeal and haveJohnny declared ineligible forunemployment benefits?”

Termination - Misconduct

15. HR must show “competent evidence” that Johnnywas termed for “misconduct.” See, N.C. Gen. Stat. 96-14(6)

Misconduct1. Conduct evincing a willful or wanton disregard of the

employer’s interest as is found in deliberate violation or disregard of standards of behavior that the employer [1] has the right to expect of an employee or[2] has explained orally or in writing to an employee

2. Conduct evincing carelessness or negligence of suchdegree or recurrence as to manifest an intentionaland substantial disregard of the employer's interestsor of the employee's duties and obligations to theemployer.


Prima Facie Evidence of Misconduct N.C. Gen. Stat. § 96-14.6(c)

(1) Violation of written alcohol/ illegal drug policy(2) Reporting to work significantly impaired by alcohol or

illegal drugs (3) Consumption of alcohol or illegal drugs on employer’s

premises (4) Conviction for manufacturing/ selling/ distributing a

controlled substance if offense is related/ connected to work or is in violation of a reasonable work rule/ policy

(5) Termination after arrest or conviction for an offense involving violence, sex crimes, or illegal drugs if related/ connected to work or is in violation of a reasonable work rule/ policy

(6) Any physical violence related to employee’s work


Prima Facie Evidence of Misconduct N.C. Gen. Stat. § 96-14.6(c)

(7) Inappropriate comments or behavior relating to any federally-protected characteristic which creates a hostile work environment

(8) Theft in connection with employment (9) Forging or falsifying any document or data related to

employment, including a previously submitted application for employment

(10) Violation of an employer’s written absenteeism policy (11) Refusal to perform reasonably assigned work tasks or

failure to adequately perform employment duties as evidenced by no fewer than 3 written reprimands in the 12 months immediately preceding the employee’s termination


Assume that HR calls herself as ABC’s first witnessat the in-person hearing… HR hands the AppealsReferee and Johnny a copy of Employer’s ExhibitNo. 1, which is ABC’s Workplace Conduct Policy.

HR: “Mr. Appeals Referee I am handing you andJohnny a copy of ABC’s Workplace Conduct Policy.As you can clearly see, ABC’s Workplace ConductPolicy specifically prohibits insubordination.”

Hearing Testimony & Exhibits

HR then hands out a copy of the AcknowledgementSheet that Johnny signed showing that he hadreceived and reviewed ABC’s Employee Handbook…

HR continues: “More importantly, Johnny knew ofthe Workplace Conduct Policy as evidenced by thisexecuted acknowledgement sheet. As part of ABC’sonboarding process Johnny signed and gave theacknowledgement to Sam – Johnny’s Supervisor –on March 15, 2015...”

16. Thoughts regarding HR’s testimony?


16. Thoughts regarding HR’s testimony?• HR has not put forth “competent evidence” that Johnny

received a copy of ABC’s Workplace Conduct Policy.

• HR has no first-hand “personal knowledge” regardingJohnny’s execution of the Acknowledgement Sheet.

• HR should have brought Sam to the appeals hearing totestify regarding the Acknowledgement Sheet becauseSam witnessed Johnny execute it.

• The Acknowledgement sheet needs to be “authenticated.”

• Once authenticated, HR should request that theAcknowledgement be “moved into evidence.”


Questions For Witness With Personal Knowledge

• I am handing you a document that is marked as Employer’s

Exhibit No. 1. Please take a minute to review the document...

• Are you familiar with Employer’s Exhibit No. 1?

• What is it?

• Is Employer’s Exhibit No. 1 dated?

• What is the date?

• Is Employer’s Exhibit No. 1 signed?

• Who signed it?

• When did they sign it?

*Conclude Authentication of the Exhibit and Move It Into

Evidence: “Mr. Appeals Referee, I now request that Employer’s

Exhibit No. 1 be moved into evidence for its evidentiary value.”

Authenticating Exhibits

17. Assume that HR decides to bringSupervisor Sam to the in-person hearingand calls Sam as her first witness. Whatexhibits should HR introduce through Sam?

Hearing - Exhibits

17. What exhibits should HR introduce throughSam?

Exhibits 1. ABC’s Employee Handbook / Workplace

Conduct Policy 2. Johnny’s Executed Acknowledgment of his

receipt of ABC’s Employee Handbook 3. Johnny’s Written Warnings (if any) 4. Documents related to Johnny’s termination (if

any)

Hearing - Exhibits

Johnny Dollar is finally finished testifying and, as aresult, the hearing before the Appeals Referee hasalmost ended. The Appeals Referee turns to HR...

Appeals Referee: “Does the employer wish to makeany statements as part of its closing?”

18. What strategy should HR use as part of herclosing?

Hearing Strategy

18. What strategy should HR use as part of herclosing?

“Totality of the Circumstances” Test –DES Precedent Decision No. 4

“The Commission has consistently held that if it isalleged that a claimant was discharged from his job fora series of incidents, the ‘totality of the circumstances’test as opposed to the ‘last incident’ test will be utilizedin determining whether he was discharged formisconduct connected with work…”

“Totality of the Circumstances” Test

“Totality of the Circumstances” Test –DES Precedent Decision No. 4

“‘The totality of the circumstances’ test does notrequire that the last incident occurring prior to thedischarge be sufficient, in and of itself, to bring aboutthe discharge. Instead, the Commission will look at allthe incidents as a whole in determining whether theclaimant was guilty of misconduct. The employer,however, still must show that the last incidentprecipitating the decision to discharge the claimantcontained some element of misconduct…”

“Totality of the Circumstances” Test

“Last Incident” Test –DES Precedent Decision No. 4

“Conversely, the ‘last incident’ test requires a showingthat the final act or failure to act on the part of theclaimant prior to the discharge was sufficient, in and ofitself, to cause claimant’s discharge. This test isnormally used when it is alleged that the claimant wasdischarged for only one reason.”

“Last Incident” Test

19. Unemployment Hearings: Best Practices

1. In-person hearing

2. Prepare! Prepare! Prepare!

- Review claimant’s personnel file

- Review applicable policies

- Review communications related to separation

- Review Employment Security Law (Chapter 96 of

the N.C. General Statutes)

- Review DES Precedent Decisions

- Prepare witnesses for direct & cross examination

3. Be organized: exhibits (with 3 copies)


4. Persuasive Evidence & Arguments:

a. Prepare an Effective Cross-Examination of

Claimant

- who? what? when? why? how?

- challenge hearsay evidence as “not competent

evidence”

- challenge testimony via ER’s witnesses’ testimony

b. Effective Examination of Other Witnesses

- testimony is under oath

- prepare in advance

- should testify to “firsthand” knowledge

- include decision-makers/ witnesses to conduct

4. Persuasive Evidence/ Arguments Cont’d:

c. Documents

- at least 3 copies of each

- authenticate

- move into evidence

d. Temperament

- be cool, calm and collected

e. Closing

- keep it concise

- summarize employer’s “competent evidence”

(emphasize non-hearsay evidence)

- summarize what the Findings of Fact should be

- summarize what Conclusion of Law should be.


5 Final Considerations For Unemployment Hearings

1. Hearing is likely the ONLY chance to offer evidence

2. Confidentiality of hearings/ evidence

3. “Big picture”

- business “costs of defending”

- potential implications on Administrative Claim (EEOC

Charge, NCDOL Charge) or lawsuit

4. N.C. Gen. Stat. § 96-15.1: Protection of witnesses from

discharge, demotion or intimidation- “No person may

discharge, demote, or threaten any person because that

person has testified or has been summoned to testify in

any proceeding under the Employment Security Act.”

5. Drug Test Cases: competent evidence via expert


Assume ABC loses its appeal and Johnny isdeclared eligible by the Appeals Referee forunemployment benefits.

20. Can ABC appeal the Appeals Referee’sdecision?

Potential Appeal of Appeals Referee’s Decision?

20. Can ABC appeal the Appeals Referee’sdecision?

Yes- ABC can appeal the decision via a letterto DES. No special form is necessary to file awritten appeal. The employer should stateits desire to appeal and its specificdisagreement with the decision.

Appeal of Appeals Referee’s Decision

21. If ABC decides to appeal the AppealsReferee’s decision, what should itimmediately do in addition to filing theappeal?


21. If ABC decides to appeal the Appeals Referee’sdecision, what should it immediately do inaddition to filing the appeal?

ABC should request a copy of the hearingtranscript and request that its appeal deadline beextended until after it receives the transcript.

NOTE: Generally, ABC’s appeal will be limited to:(1) its appeal document and(2) the “record on appeal” (transcript of hearing &

documents presented at the hearing)


Higher Authority Review

Higher Authority Review (“HAR”) will consist of a review byDES of the “record on appeal.” ABC can request to appearin-person to make oral argument. Oral arguments are not anopportunity to present testimony or other evidence. Instead,they are an opportunity for the parties to summarize theirlegal arguments. Each party usually gets 15 minutes tomake arguments. The HAR will issue a Higher AuthorityDecision (“HAD”)

HAD – Potential Results1. Hold, modify or set aside the decision;2. Order that another evidentiary hearing take place;3. Deny a request for another evidentiary hearing; and/or4. Deny/ dismiss the appeal (untimely, etc.).

Additional Appeal?

22. Assume that ABC appeals and is not happywith the HAD. Can it appeal again?

Additional Appeal?

22. Assume that ABC appeals and is not happy with HAD.Can it appeal again? Yes.

HAD Appeal Options1. Request for Reconsideration: made to DES’

Legal Services Section, must be received on orbefore the 10th day after the HAD is mailed.

2. Petition for Judicial Review: this is a request forreview by Superior Court, must be filed with theOffice of the Clerk of Superior Court in the countywhere the employer’s place of business is, must befiled within 30 days from the mailing date on theHAD

Assume that Johnny is declared eligible forunemployment benefits.

23. What is Johnny’s maximum weeklybenefit amount?

Maximum Weekly Benefit Amount

71

23. Johnny’s maximum weekly benefitamount?

• Weekly Benefit Amount: 66.67% of weekly wage,capped at $350 per week (HB 4- reduced WBA 35% -from $535 to $350 per week, so WBA reduced for anyworker with more than $27,300 in yearly income)

Maximum Weekly Benefit Amount

72

24. If Johnny is declared eligible forunemployment benefits, how manyweeks of benefits will he receive?

Length of Benefits

N.C.’s February 2015 seasonally adjusted unemployment ratefor was 5.3% (same as Jan. 2015). Johnny will receivebetween 5 and 12 weeks of unemployment benefits ($1,750.00- $4,200.00).Unemployment Rate Minimum Maximum

5.5% or less 5 125.6% - 6.0% 6 136.1% - 6.5% 7 146.6% - 7.0% 8 157.1% - 7.5% 9 167.6% - 8.0% 10 178.1% - 8.5% 11 188.6% - 9.0% 12 19

Higher than 9.0% 13 20

Length of Benefits

74

25. What can ABC do to potentially reduceits unemployment liability?

Reducing Liability

75

25. What can ABC do to potentially reduceits unemployment liability?

• Decrease the number of employees declaredeligible for unemployment benefits.

Reducing Liability

76

EMPLOYER

Management

Management

HR HR

Employee Employee

Employee

Employee

Quits & leaves without notice

Quits & stays

Stays, files EEOC Charge

Stays but has

negative attitude and

contributes to

low morale

Quits & leaves, but gives notice

Stays, files lawsuit

Stays, files Wage & Hour

Complaint with NCDOL

Wins lawsuit and

is reinstated

Quite, files REDA Complaint With NCDOL

Engages in workplace

violence

Quits, files class

action lawsuit

Quits, files Lawsuit

Stays, makes OSHA complaint

Reducing Liability: Management

Quits, files claim for

unemployment benefits

77

• Take “reasonable care” to prevent harassment/ discrimination: a. Policies: up-to-date policies and Employee Handbookb. Training: management, rank-and-file employees c. Knowledgeable: aware of changes in workplace law, regs.

• Document Decisions: non-discriminatory, non-retaliatory & well-documented decisions including: (a) hires, promotions, etc.; (b) performance reviews (accurate and timely); (c) employee discipline (consistent).

• Manage risk: recognize, manage and document riska. Employee complaints/ concerns: “eyes & ears” of

employer b. Respond: investigate, take prompt remedial action

(discipline, change policies, etc.).

Reducing Liability

78

* What is HR and Management’s most important goal?

Extra Credit

79

* What is HR and Management’s most important goal?

- To lead by example by displaying a positive attitude.

- Attitude is the ONLY thing in life that we can control.

Extra Credit: Attitude

80


“Attitude, to me, is more important than facts. It is more

important than the past, than education, than money, than

circumstances, than failures, than successes, than what

other people think or say or do… It will make or break a

company… a family…

The remarkable thing is we have a choice every day

regarding the attitude we will embrace... We cannot

change our past… We cannot change the inevitable. The

only thing we can do is play on the one string we have,

and that is our attitude... I am convinced that life is 10%

what happens to me and 90% of how I react to it.”

Charles Swindoll

81


5 Traits of Positive & Mentally Tough People

1. Don’t do the same thing over & over & expect different

results: this is the definition of “insanity.” Positive people are

willing to change their behavior in order to change results.

2. Don’t expect immediate results: positive people are in it “for

the long haul,” know that success requires significant time and

energy, and are willing to work hard for it.

3. Learn from their mistakes: positive people learn from their

mistakes, take ownership, and move on.

4. Don’t waste energy on things they can’t control: positive

people realize many problems wouldn’t exist if we didn’t invent

them and don’t waste time complaining (e.g. traffic/ lost

luggage).

5. Don’t shy away from change: positive and mentally tough

people embrace change & fear complacency.