ultimate hr manual - cch · ruben benmergui, mir, chrp, is an ottawa-based hr/ir consultant and...
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CCH Canadian Limited300-90 Sheppard Avenue EastToronto Ontario M2N 6X11 800 268 4522www.cch.ca
Ultimate HR manUalStudent Edition
Human Resources Professionals Association (HRPA)2 Bloor Street West, Suite 1902Toronto, OntarioM4W 3E2
Telephone : 416 923 2324North America Toll Free: 1 800 387 1311Fax: 416 923 7264Email: [email protected]
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Published by CCH Canadian Limited
Important Disclaimer: This publication is sold with the understanding that (1) the authors and editors are notresponsible for the results of any actions taken on the basis of information in this work , nor for any errors or omissions;and (2) the publisher is not engaged in rendering legal, accounting or other professional services. The publisher, andthe authors and editors, expressly disclaim all and any liabilit y to any person, whether a purchaser of this publicationor not, in respect of anything and of the consequences of anything done or omitted to be done by any such person inreliance, whether whole or partial, upon the whole or any part of the contents of this publication. If legal advice orother expert assistance is required, the services of a competent professional person should be sought.
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ULTIMATE HR MANUAL — STUDENT EDITION
Editorial Board
HRPA EDITORIAL LIAISON
John Johnson, Information Specialist
CONTRIBUTORS
Allison Alexander, Senior Consultant, Metrix GroupRuben Benmergui, MIR, CHRPJohn H. BlakelyMichelle Chambers, BAH, HBBA, M.Ed., CHRPNeil Cohen, LL.B.Nadine Cote, LL.B.Jennifer A. Greenan, B.Sc., LL.B.Jon HarperDr. Edward B. HarveyPaul R. Hawn, CHRP, M.B.A.Darlene Hodgson, P.M.P., B.Sc.Kathline Holmes, CHRPJamie Knight, Partner, Filion Wakely Thorup Angeletti LLPRon A. LeClair, Partner, Filion Wakely Thorup Angeletti LLPAnneli LeGault, Partner, Fraser Milner Casgrain LLPRoslyn McGilvery, Associate, Filion Wakely Thorup Angeletti LLPTheo Anne Opie, LL.B.Maya Pocasangre, Consultant, Metrix GroupChristine Pylat, Partner, Metrix GroupNatasha Savoline, Associate, Filion Wakely Thorup Angeletti LLPHugh Secord, MBA, CHRPPaul Shemilt, CHRP
CCH EDITOR
Shirley Spalding, B.A.
Contributor Profiles
Content Liaison (HRPA):
John Johnson has been a Research Librarian for over 30 years and is currently an Information Specialist at theHuman Resources Professionals Association of Ontario (HRPA). John has been researching human resourcemanagement and legal issues, as well as contributing to HRPAO’s virtual newsletter, ‘‘Employment Law atWork’’, and other HRPA publications, since February of 2004.
Content Authors:
Ruben Benmergui, MIR, CHRP, is an Ottawa-based HR/IR Consultant and Practitioner with over 30 yearsof managerial experience in Business, Human Resources Management, Industrial Relations, and Dispute Resolu-tion in the private and public sectors. He has a Master’s Degree in Industrial Relations from Queen’s University,an undergraduate degree from McMaster University, and Certificates in Alternative Dispute Resolution and inMediation from York University, and has completed the Program on Negotiation at Harvard University LawSchool.
He also represents the HR Profession on the Ontario Pay Equity Commission Advisory Board, and in 2004, wasappointed Advisor/Mentor and Sessional Instructor to the Executive Certificate in Strategic Human ResourcesLeadership, Sprott School of Business, Carleton University.
Mr. Benmergui has contributed to the sections on Strategic Human Resources; Staffing; Compensation andBenefits; Performance Management; and Labour Relations for the Ultimate HR Manual.
John H. Blakely is a graduate of the University of Toronto, holding the Master of Industrial Relations degree.He is a specialist in the fields of compensation policy, pay equity, human resources policy and planning, andequal opportunity and managing diversity, and has written and consulted widely on these topics. He is co-authorof several CCH publications including Information Systems for Managing Workplace Diversity (1996), Re-Thinking HR Management: Strategies for Success in an Era of Change (1999), and Equal Pay (2000).
Mr. Blakely has contributed to the Compensation and Benefits section of the Ultimate HR Manual.
Michelle Chambers, B.A.H., H.B.B.A., M.Ed., CHRP brings over 17 years of management, consulting, andtraining expertise with leading edge organizations in various industry sectors, including financial services,education, manufacturing, health care, not for profit, and telecommunications.
Michelle is an organization development specialist with proven experience in leadership and managementdevelopment, team development, strategic planning, human resource management, change management, andprocess facilitation. She works collaboratively with her clients to create sustainable change and to inspire andultimately increase organizational effectiveness. As well, she is dedicated to building and improving communitycapacity and volunteers with the United Way’s Leadership Development Services, The ‘‘Learning Partnership’’,and Junior Achievement of Canada.
Michelle has an M.Ed. in Adult Education (Workplace Learning and Change Option) from O.I.S.E./University ofToronto, a B.A.H. in Industrial Psychology from Queen’s University, and an HBBA (Human Resources) fromBrock University. She also teaches for Brock University and Durham College.
Ultimate HR Manual — Student Edition
Michelle holds the designation of CHRP (Certified Human Resource Practitioner) and is an active member ofboth HRPAO (Human Resources Professionals Association of Ontario) and ACCORD (Association for CreativeChange in Organizational Renewal and Development). She is also a board member for the Toronto andDurham Chapters of CSTD (Canadian Society for Training and Development) and is a current member of theCentre for Creative Leadership and the Markham Board of Trade.
Ms. Chambers has contributed to the Strategic HR, Performance Management, and the Training and Develop-ment sections of the Ultimate HR Manual.
Neil Cohen obtained his Bachelor of Arts in Political Science from the University of Toronto in 1991. In 1994,he received his LL.B. from the University of Western Ontario. He was called to the Bar in Ontario in 1996 andhas extensive experience as a research lawyer and writer in the human resources field. Neil has worked as theSenior Editor of the CCH publication Canadian Employment Benefits and Pension Guide. He has also workedas a research lawyer with a major consulting firm. He is currently a freelance research lawyer and writer and thecurrent editor of the CCH publication, PENFACTS: A Guide to Pensions in Canada.
Mr. Cohen has contributed to the Compensation and Benefits section of the Ultimate HR Manual.
Nadine Cote LL.B. is an employment lawyer, author, and compensation consultant and is currently AVP andSenior Counsel at Manulife Financial. Nadine has expertise in executive arrangements, incentive compensation,employment standards, privacy, human rights, labour, pensions, and benefits. Nadine has drafted and advised onnumerous employment and severance agreements, executive contracts, change of control agreements, bonusplans, retention arrangements, and security-based compensation plans, including stock option plans, deferredshare unit plans, and restricted share unit plans. Nadine worked on the labour, employment, benefits, andexecutive compensation matters in numerous prominent corporate transactions.
Nadine is the author of the first comprehensive book in Canada on executive compensation titled ExecutiveCompensation: A Director’s Guide. She is also the General Editor of quarterly newsletters on executive compen-sation, and she co-chairs an annual conference on executive compensation. Nadine has also written on con-ducting workplace investigations and has successfully defended many clients in responding to human rightscomplaints. Nadine was a regular contributing author to CCH’s Canadian Employment and Equality Rightsnewsletter and she continues to contribute to various legal publications.
Nadine obtained her Bachelor of Commerce from Concordia University in 1992 and she received her LL.B.from the University of Western Ontario in 1997. She was called to the Ontario Bar in 1999.
Ms. Cote has contributed to the Compensation and Benefits section of the Ultimate HR Manual (ExecutiveCompensation chapter).
The lawyers at Filion Wakely Thorup Angeletti LLP represent and advise executives, managers, and humanresources professionals covering all aspects of the law governing the relationship between employers and theiremployees. They advise public and private sector employers on their rights under labour relations, employmentstandards, occupational health and safety, human rights, workers’ compensation, pension benefits and pay equitylegislation and the common law.
The Filion Wakely Thorup Angeletti LLP team includes:
● Jamie Knight, a partner with Filion Wakely Thorup Angeletti LLP. Mr. Knight has 20 years of experience as aspecialist in labour and employment law, including numerous appearances before the courts, arbitration
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boards and labour relations tribunals. Mr. Knight also has extensive experience in collective bargaining andassisting employers in dealing with trade unions. He is a well-published author and a frequent speaker andcommentator on labour and employment issues, and has taught supervisors and human resources managers inprograms at the University of Guelph for the past 15 years. Mr. Knight was a regular commentator on theNHL Lockout in the early part of 2005 and a featured analyst on ‘‘The Score’s To The Point with GregSansone’’.
● Ron LeClair, a partner working in the London office of Filion Wakely Thorup Angeletti LLP, practising in allareas of labour and employment law, including human rights and occupational health and safety matters. Ronis a member of the Labour Relations and Administrative Law sections of the Ontario Bar Association, the LawSociety of Upper Canada, and the Middlesex Law Association.
● Roslyn McGilvery is an associate with the firm practising in all areas of labour and employment law. Ms.McGilvery received a Bachelor of Journalism with a Minor in Sociology from Carleton University in 1999, anda Bachelor of Laws from the University of Western Ontario in 2003. Ms. McGilvery worked with the firm asan articling student and has now joined the firm as an associate. She is a member of the Law Society of UpperCanada, the Canadian Bar Association and the Labour Relations and Administrative Law Sections of theOntario Bar Association.
● Natasha Savoline is an associate with the firm practising in all areas of labour and employment law. MsSavoline received a Bachelor of Arts Degree in Labour Studies from McMaster University in 1998, and aBachelor of Laws from Queen’s University in 2002. Ms Savoline is a member of the Law Society of UpperCanada, the Canadian Bar Association and the Administrative, Labour Relations and Employment sections ofthe Ontario Bar Association.
Filion Wakely Thorup Angeletti LLP has contributed to the Employment Contracts section and the Health andSafety section of the Ultimate HR Manual.
Jennifer A. Greenan, B.Sc., LL.B. is currently a legal consultant/writer. She provides written commentary forCCH Canadian Limited’s Canadian Employment Benefits and Pension Guide and the Canadian Estate Admin-istration Guide. She has revised The Handbook of Canadian Pension and Benefit Plans, 12th edition and is theauthor of The Executor’s Handbook, both published by CCH Canadian Limited. Since her admission to theOntario Bar, she has worked as an estate and tax-planning consultant for an insurance company, and as a senioreditor for CCH Canadian Limited.
Ms. Greenan has contributed to the Compensation and Benefits section of the Ultimate HR Manual.
Jon Harper, President of Harper Safety Associates is a Certified Registered Safety Professional and AccreditedSafety Auditor with over 20 years of experience. Beginning his career in the mining industry with Domtar, Jonwas in charge of safety management at their mining plant near Hamilton and later as a safety auditor for theirhead office in Montreal. In the late eighties, he hung out his own shingle as a safety consultant to severalmunicipalities in south-western Ontario. In 1997 he relocated his business to Huntsville, where he conductshealth and safety training, workplace audits, program management, WSIB claims management, and strategicplanning for numerous businesses in the food, automotive, manufacturing, and construction sectors.
Mr. Harper has contributed to the Health and Safety section of the Ultimate HR Manual.
Dr. Edward B. Harvey holds BA and MA degrees from the University of British Columbia and a PhD fromPrinceton University. He is President of UDG Inc., a Toronto-based consulting firm specializing in human
Ultimate HR Manual — Student Edition
resources management. In addition, he is President of the Foundation for Higher Education & Enterprise, anorganization with a mandate to build linkages between universities and colleges and the private sector. He is theauthor of 18 books, six of which have been for CCH Canadian Limited and have dealt with leading-edge HRissues.
Dr. Harvey has contributed to the Compensation and Benefits section of the Ultimate HR Manual.
Paul R. Hawn, B.A., M.B.A., CHRP is President of Hawn & Associates Inc., a management consulting practiceestablished in 1997. Paul is a Human Resource Professional with more than 25 years’ executive experience in thefield of human resource management and organizational development. Paul has both worked in and consultedto clients in the Gaming, Health and Municipal sectors, as well as the private sector. As both a Human ResourceManagement and Organizational Development practitioner and consultant, as well as an academic and author,Paul has invaluable knowledge and experience in the areas of Human Resource Management and Organiza-tional Design enabling his clients to maximize their effectiveness through the utilization of their humanresources in the attainment of corporate objectives.
Paul has an M.B.A., B.A. (Economics), Diploma in Public Administration, and is certified by two professionalassociations — Certified Human Resources Professional (CHRP) with the Human Resources Professionals Asso-ciation of Ontario (HRPAO), and Certified Health Executive (CHE) with the Canadian College of Health ServiceExecutives.
Skill areas include: Training & Organizational Development; Career Assessment & Planning; Conflict Resolution& Negotiation; Labour Negotiations & Employer Nominee on Boards of Arbitration; Compensation & WorkPlace Design & Evaluation; Organizational & Administrative Reviews; Strategic & Organizational Planning;Policy & Procedural Review & Development.
Mr. Hawn has contributed to the Staffing section of the Ultimate HR Manual.
Darlene Hodgson is a senior systems administrator in the Human Resources department of the BritishColumbia Institute of Technology. She has over 20 years of technology and managerial experience, includingrecent roles as a Project Director for a software manufacturer and a Manager of Information Technology for aninternational food manufacturer.
Darlene has an associate degree in Computer Information Systems, an undergraduate degree in BusinessManagement, and is a certified Project Management Professional. She has also served as a volunteer boardmember for a national non-profit technology society.
Ms. Hodgson has contributed to the Strategic Human Resources section of the Ultimate HR Manual.
Kathline Holmes, CHRP, founder of Gailforce Resources, is a human resources professional with two decadesof experience in management, career counselling, and adult continued education. She has supported industriessuch as Health Care, Municipalities, Non-Profits, Industry, Hospitality, and Actuarial.
Kathline is a Certified Human Resources Professional with Human Resources Management training fromCornell University. She serves on the B.C. Human Resources Management Association Advisory Council for theSouthern Interior Region, has contributed articles for HEART Business Journal for Women and Charity Village,is the HR Expert for Business II Business, and provides mentoring to women in business for the Women’sEnterprise Centre.
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Kathline’s work has included performing HR audits, HR metrics, survey development and delivery, strategicplanning, job description development, employment branding, talent management, policies and procedures,collaborative work practices, employee engagement, recruitment and retention, workplace training, and profes-sional development.
Kathline supports employers to develop, track, and maintain blended workplace training and developmentprograms and systems specific to workplace needs.
Kathline has presented on various topics; her areas of facilitation expertise include the following:
● The Art of Delegating Effectively
● Closing the Generation Gap in the Workplace
● Diversity Training
● Effective On-Boarding
● Employee Engagement
● Customer Service Excellence
● Developing High Performance Teams
● Developing Workplace Coaching Skills
● Hiring Right
● HR for Supervisors and Managers
● Leadership Development
● Mastering the Art of Difficult Conversations
● Motivating Your Workforce
● Workplace Harassment — What It is and What To Do About It
Ms. Holmes has contributed to the Strategic Human Resources section of the Ultimate HR Manual.
Anneli LeGault is a partner in the Toronto office of Fraser Milner Casgrain LLP, a national firm with offices inVancouver, Calgary, Edmonton, Toronto, Ottawa and Montreal. Anneli served as the Co-Chair of the firm’sNational Labour Practice until 2003, and is currently the Manager of the Toronto Employment, Pension andResearch Department. Anneli also Co-Chairs the Privacy Law Practice Group. She obtained an Hons. B.A. in1977 and LL.B. from the University of Toronto in 1980 and was called to the Ontario Bar in 1982. She joinedFraser Milner Casgrain in 1983.
Anneli represents management in a wide variety of employment matters including human resources policies,corporate reorganization, mergers and acquisitions, labour standards, pay equity, privacy law, arbitrations, humanrights, and wrongful dismissal claims. She frequently gives speeches and seminars with emphasis on executivecompensation, labour standards, human rights, pay equity, privacy issues, discipline, and wrongful dismissal.Anneli was the founding editor of a monthly newsletter, Focus on Canadian Employment and Equality Rights(published by CCH Canadian Limited) from 1986 to 1999, and is the editor of Fairness in the Workplace(published by CCH Canadian Limited; 3rd edition 2002). She has been interviewed on Global TV, NewstalkRadio 570 and CFRB Radio on workplace legal issues.
Ultimate HR Manual — Student Edition
Ms. LeGault has contributed to the Employment Contracts section of the Ultimate HR Manual.
Metrix Group is an exceptional team of business professionals, each eminently qualified with diverse back-grounds and skills, who all share the same passion for customers, design excellence, and Learning Solutions thatdrive performance.
For more than 15 years, Metrix Group has designed and created innovative, results-driven learning systems,specializing in custom Blended Learning Solutions that improve performance and meet the demands of theirglobal clients.
Metrix Group’s experienced Performance Consultants are experts in learning theory, with proven businessacumen and unique capabilities. They guarantee their Learning Solutions will tie directly to business strategy,produce measurable results, and enable their clients to achieve their goals to do better business. While they workin all sectors, Metrix Group specializes in Pharmaceutical & Biotech, Financial Services and GovernmentAgencies, and IT and Telecommunications.
The Metrix Group team includes:
● Christine Pylat, Partner: Has over twenty years of experience with a BSc from McGill University and CMC.
● Allison Alexander, Senior Consultant: Has over six years of experience with a BASc from the University ofGuelph, CMP and is working towards completing a M.Ed.
● Maya Pocasangre, Consultant: Has over five years of experience with a BA from Trent University and a Post-Graduate Certificate in Training and Development from Humber College.
Metrix Group has contributed to the Training and Development section of the Ultimate HR Manual.
Theo Anne Opie, LL.B. specializes in the areas of payroll, human resources, privacy, and employmentstandards law. Ms. Opie works closely with the Canadian Payroll Association (CPA) and is a member of theCPA’s Federal Government Relations Advisory Council. As well, she has written for Dialogue, the CPA members’magazine, and has presented at CPA conferences. She has written several book titles for CCH, and continues tocontribute to several subscription reporting services, including the Canadian Labour Law Reporter, PaySource,and HR Answers Now.
Ms. Opie has contributed to the Employment Standards and Human Rights section of the Ultimate HR Manual.
Hugh Secord, M.B.A., CHRP is a graduate of the University of Toronto and York University. He is currentlyenrolled in the Masters of Law program at Osgoode Hall, where he is studying alternative dispute resolution. Hehas 23 years of experience in human resource management and labour relations, the majority of which has beenat executive level, chiefly in the manufacturing and logistics industries. Mr. Secord has taught organizationalbehaviour and employment law, and has spoken widely on labour topics. He has authored various CCHpublications, including Secord’s A-Z Guide for Human Resources Practitioners.
Mr. Secord has contributed to the Strategic Human Resources; Staffing; Performance Management; and LabourRelations sections of the Ultimate HR Manual.
Paul Shemilt, CHRP graduated as a mechanical engineering technologist from Durham College, and laterobtained his Certified Human Resources Professional designation in 1990. Mr. Shemilt began his career as a
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manufacturing supervisor in a unionized environment, and progressed in two global companies to director ofcorporate human resources. During his nearly 30-year career, he has obtained extensive practical experience aschief spokesperson in labour negotiations, employee relations, and health and safety. He has established,developed, and managed a number of HR functions in several locations. In March 2005, he established acompany, HR-HUB, that provides HR solutions to small- and medium-sized businesses.
Mr. Shemilt has contributed to the Staffing and the Labour Relations sections of the Ultimate HR Manual.
Ultimate HR Manual — Student Edition
ABOUT THE ULTIMATE HR MANUAL — STUDENT EDITION
Introduction
The ULTIMATE HR MANUAL offers practical advice and solutions to help HR practitioners deal with everyday HRand employment issues. It contains a wide range of time-saving tools and templates that can be used as a startingpoint for developing policies and practices, or for auditing existing ones. It is also a good starting point for thosewishing to learn about the HR function, processes, legislative framework, and practical application.
This HR information resource is a joint effort of CCH and the Human Resources Professionals Association ofOntario (HRPA), and is positioned to be a broad-based, user-friendly ‘‘how-to’’ HR manual, available bysubscription as an online or print-based service. This Student Edition E-book (non-subscription) version of theULTIMATE HR MANUAL aims to offer a valuable resource suitable for the new professional entering the world ofHR.
What Your Student Edition E-Book Includes
This HR information resource offers practical advice and solutions to help you deal with the HR and employ-ment issues you will face every day as an HR practitioner.
Based on survey feedback from over 2,000 HRPA members, the Manual was developed to target the mostimportant functional areas of Human Resources, as follows:
● Strategic Human Resources
● Staffing
● Employment Contracts
● Compensation and Benefits
● Employment Standards and Human Rights
● Health and Safety
● Performance Management
● Labour Relations
● Training and Development
A tenth section lists helpful sources of information for each chapter such as related organizations, publications,and Web sites, to aid further research. This is followed by a Topical Index.
Chapter Structure
The nine key sections are divided into topical chapters (over 80 in total) that each follow the same basicstructure:
● Overview — this provides a summary of the subject area.
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● Practical Application — this provides in-depth commentary on the various aspects of the subject, includingflow charts and other visual aids, where appropriate.
Many chapters will also include some or all of the following practical tools:
● Checklists — where applicable, these provide step-by-step guidance to encourage best practices and to avoidcommon pitfalls.
● Sample Forms and Letters — these include forms and letters that can be adapted to suit individualorganizations.
● Model Policies and Procedures — these are policy and procedure templates that HR professionals can useas a starting point for developing their own policies and practices, or for auditing existing policies andprocedures.
Currency
The ULTIMATE HR MANUAL Student Edition E-book consists of all the material contained in the regularsubscription print and online service (excluding HR Training Tools in PowerPoint), current to the productioncut-off date of the Student Edition. The contents are not updated again until the next Student Edition ispublished.
What the Regular Subscription Service Includes
The ULTIMATE HR MANUAL print service is updated quarterly, and includes a monthly e-newsletter in pdf formatto keep subscribers up-to-date on the latest developments in the human resources field. Every quarter, subscribersto the print service receive an update release to file in their two loose leaf binders. Updates include amendmentsand additions to existing topics that reflect changes to legislation and best practices, and new topics.
The online subscription service is updated as information is processed, without the need for an updatingschedule. Subscribers to the online service receive the monthly e-newsletter, which is also posted and archivedonline.
Note about the Index
At the end of the Manual is a topical index, which references items covered in the Manual by paragraph number.The Manual’s contents are arranged under numbered subject headings, and in the print Manual, these paragraphnumbers (rather than page numbers) act as locators. The paragraph number of the subject matter on each pageappears at the foot of the page (the page number appears at the top). The topical index locations refer to theseparagraph numbers, not to pages. This is a feature of the loose leaf print product. However, the Index is stilluseful to skim as a further guide to the Manual’s contents, which can then be located as by paragraph number, asdescribed.
If you have any questions about this product, please contact 1-800-268-4522 or email [email protected].
Ultimate HR Manual — Student Edition
1
TABLE OF CONTENTS
VOLUME 1
¶1000 STRATEGIC HUMAN RESOURCES
Developing a Human Resources Strategy
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1105
Human Resources Strategy Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1107
Developing a Human Resources Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1112
Components of a Strategic Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1120
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1175
Human Resources Strategy Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1177
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1185
In Preparation for the Development of an HR Strategic Plan — DiagnosticForm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1186
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1190
Sample Human Resources Strategic Plan. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1192
HR Audits
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1205
What Constitutes an HR Audit? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1207
Why Conduct an Audit? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1210
What an HR Audit Entails . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1220
Conducting an HR Audit: Sample Audit Questions . . . . . . . . . . . . . . . . . . . . . . . . ¶1230
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1275
HR Audit Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1277
Ultimate HR Manual — Student Edition
2 Strategic Human Resources
Employee Surveys
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1305
Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1307
Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1320
Alternatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1345
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1385
Letter Introducing Employee Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1387
Employee Approval Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1388
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1395
Employee Surveys: Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1396
HR Metrics
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1405
How Metrics Are Used in the HR Context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1407
Measuring the Effectiveness of HR . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1415
Measurement and Interpretive Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1425
Application of Statistical Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1445
Sample Balanced Scorecard Framework for HR Function . . . . . . . . . . . . . . . . . ¶1450
Data, Surveys and Benchmarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1452
Other Federal Government Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1453
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1475
HR Metrics Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1477
Organization Development
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1505
Principles of Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1506
Organization Development Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1507
Organization Development Competencies and Core Knowledge . . . . . . . . . . . ¶1530
Five-Step Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1550
Potential OD Interventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1560
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Table of Contents 3
Social Network Analysis: A New OD Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1565
Organization Relationship Systems Coaching (ORSC) . . . . . . . . . . . . . . . . . . . . ¶1568
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1575
Organization Development Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1577
The Top 10 Questions To Ask Before Implementing OrganizationalChange . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1579
Sample Contract Meeting Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1581
Developing a Corporate Social Responsibility (CSR) Strategy and Plan
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1605
Steps in Developing a CSR Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1607
What Should The CSR Policy Take Into Account? . . . . . . . . . . . . . . . . . . . . . . . . ¶1615
Implementing the Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1625
Evaluating the Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1627
Corporate Social Responsibility and Human Resource Management . . . . . . . ¶1630
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1640
Corporate Responsibility Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1642
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1645
Sample CSR Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1647
Change Management
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1700
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1705
External Forces That Drive Need for Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1707
The Process of Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1710
Roles in Organizational Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1713
Change Management Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1716
Guiding Principles for Managing Change. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1719
Reasons Why Change Efforts Fail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1722
Resistance to Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1725
Change Management Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1731
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1775
Checklist for Implementation Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1777
Ultimate HR Manual — Student Edition
4 Strategic Human Resources
The Top 10 Questions to Ask Before Implementing Organizational Change ¶1779
Leadership Development
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1805
Making the Business Case for Leadership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1806
Characteristics of Effective Leaders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1810
Basic Leadership Styles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1813
Leadership Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1816
Strategic Leadership Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1822
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1875
Steps to Successful Leadership Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1876
Leadership Development — Best Practices Checklist . . . . . . . . . . . . . . . . . . . . . ¶1877
Strategic Leadership Practices Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1878
HR Management Systems
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1888
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1890
Definition of HRMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1892
Essential Components of an HRMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1894
Benefits of HRMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1896
HRMS and Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1898
Selecting an HRMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1900
Impact on the Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1902
Developing HRMS Specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1904
Implementing an HRMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1906
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1915
Functional Requirements Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1916
Implementation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1917
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1935
ABC Company Basic HRMS Cost–Benefit Analysis . . . . . . . . . . . . . . . . . . . . . . . ¶1936
© 2010, CCH Canadian Limited
Table of Contents 5
Succession Planning
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1950
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1952
Why Is Succession Planning Important? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1953
Benefits of Succession Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1954
Traditional Versus Leading Approaches to Succession Planning . . . . . . . . . . . ¶1956
Creating a Succession Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1958
Critical Success Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1960
Challenges to Effective Succession Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1962
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1968
Succession Planning Checklist: Steps and Considerations . . . . . . . . . . . . . . . . ¶1968a
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1970
Sample Template for an Employee Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1970a
Sample Template for a Key Position Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶1970b
Ultimate HR Manual — Student Edition
6 Staffing
¶2000 STAFFING
Human Resources Planning
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2105
Forecasting the Future . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2107
Design of Planning Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2110
Benefits of Human Resources Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2115
Programming Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2125
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2175
Comprehensive Measure of Turnover Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2177
Job Descriptions
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2205
Areas of Use of Job Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2207
Preparing to Write the Job Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2225
Using Job Descriptions in Staffing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2250
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2275
Checklist for Job Descriptions in the Staffing Process . . . . . . . . . . . . . . . . . . . . . ¶2276
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2285
Sample Questionnaire (Amended) (Pay Equity Commission of Ontario) . . . . ¶2286
Statement of Qualifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2287
Recruitment: Sourcing Applicants
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2305
Sourcing Internally . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2307
External Sourcing of Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2325
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2390
Internal Postings Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2391
Policy Re: Recruitment Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2392
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Table of Contents 7
Recruitment: Selection
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2405
First Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2406
Inputs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2407
Screening . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2420
Interviewing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2425
Panel Interviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2450
Assessment Centres . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2462
Reference Checking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2465
Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2470
Job Offers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2475
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2480
Successful Panel Process Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2481
Reference Checking Practice Tips . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2482
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2495
Recruitment Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2496
Recruitment and Selection Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2497
Retention Strategies
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2505
Reasons to Develop a Retention Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2507
Attributes of a High-Retention Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2510
Reasons Employees Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2525
Aspects of Successful Retention Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2530
Retention and Human Resources Management Strategies . . . . . . . . . . . . . . . . ¶2555
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2575
Checklist for Developing a Retention Strategy . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2577
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2585
Exit Interview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2586
Ultimate HR Manual — Student Edition
8 Staffing
Relocation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2605
Reasons for Relocating Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2607
Costs and Benefits of Relocation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2615
Considerations when Relocating Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2625
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2675
Relocation Policy Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2677
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2690
Relocation Policy. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2691
Short-Term Employees
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2700
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2705
Contingency Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2710
Part-Time Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2715
Casual Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2720
Seasonal Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2725
Fixed-Term Contract Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2730
Interim Executives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2735
Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2740
Agency Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2745
Professional Employer Organizations (PEOs) . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2750
Conducting a Staff Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2755
Using Temporary Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2760
Other Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2765
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2775
Employment Arrangement Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2777
Keeping ‘‘Leased’’ Workers from Developing Employee Status Checklist . . . ¶2778
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2795
Policy on Short-Term Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2796
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Table of Contents 9
Independent Contractors and Outsourcing
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2805
Employees vs. Independent Contractors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2807
Independent Contractor/ Employee Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2820
Fixed-Term Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2840
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2875
Independent Contractor and Outsourcing Checklist . . . . . . . . . . . . . . . . . . . . . . . ¶2877
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2885
Contract for the Service of an Independent Contractor . . . . . . . . . . . . . . . . . . . . ¶2887
Fixed-Term Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2888
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2895
Independent Contractor Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶2896
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¶3000 EMPLOYMENT CONTRACTS
Employment Contract Overview
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3105
Provisions of an Employment Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3107
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3175
Terms of Employment Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3176
Checklist: How to Achieve an Enforceable and Effective EmploymentAgreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3177
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3185
Sample Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3186
Sample Confidentiality Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3187
Sample Employment Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3188
Letters of Offer
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3205
Offer and Acceptance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3207
When To Use a Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3210
Benefits of a Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3215
Disadvantages of a Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3220
Enforceability Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3225
Contents of a Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3235
Conditional Offers of Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3255
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3275
Basic Letter of Offer Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3276
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3285
Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3286
Conditional Letter of Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3287
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3295
Letter of Offer Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3296
© 2010, CCH Canadian Limited
Table of Contents 11
Executive Contracts
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3305
Distinctive Features of Executive Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3307
Foundation: Employment or Contract for Services? . . . . . . . . . . . . . . . . . . . . . . . ¶3315
Term: Fixed or Indefinite? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3335
Restrictive Covenants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3345
Fiduciary: Definition and Obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3350
Confidential Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3360
Ownership of Intellectual Property . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3365
Change of Control and Golden Parachutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3370
Executive Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3380
Immigration Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3385
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3390
Contractual Considerations Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3391
Advantages and Disadvantages of Golden Parachutes . . . . . . . . . . . . . . . . . . . . ¶3392
Post-Termination Settlements and Releases
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3405
Proper Settlement Mindset for Both Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3406
Types of Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3407
Essential Elements of a Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3415
Tax Implications of a Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3435
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3440
Releases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3450
Advising Other Employees of the Dismissal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3460
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3475
Negotiation of Settlement Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3476
Checklist: Tips for the Termination Meeting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3478
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶3495
Elements To Include in a Comprehensive Release . . . . . . . . . . . . . . . . . . . . . . . ¶3496
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12 Compensation and Benefits
¶4000 COMPENSATION AND BENEFITS
Salaries and Wages
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4105
Legislative Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4107
Wage or Salary Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4125
New/Innovative Pay Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4150
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4175
Compensation — Base Salary Strategy Checklist . . . . . . . . . . . . . . . . . . . . . . . . . ¶4177
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4185
Salary Survey Sample Worksheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4186
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4190
Salary Administration Policy for Managers and Excluded Staff . . . . . . . . . . . . . ¶4191
Bonus and Incentive Programs
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4205
Total Cash Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4207
Types of Bonus/Incentive Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4210
Legislative Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4218
Considerations in Design of Bonus/Incentive Plans . . . . . . . . . . . . . . . . . . . . . . . ¶4220
New/Innovative Bonus/Incentive Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4255
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4275
Bonus/Incentive Plan Design and Implementation Checklist . . . . . . . . . . . . . . . ¶4277
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4285
A Performance Planning Form that Supports a Performance-BasedApproach to Assessing Individual Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4286
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4290
Business Unit/Group-Level Gainsharing Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4291
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Table of Contents 13
Executive Compensation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4305
Perquisites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4310
Share-Based Compensation Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4340
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4375
Executive Employment Agreement Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4377
Job Evaluation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4405
Conducting a Job Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4407
Job Evaluation Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4425
Rating Jobs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4445
Determining Compensation Based on Job Evaluation . . . . . . . . . . . . . . . . . . . . . ¶4450
Example of Factor Point Rating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4455
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4475
Job Evaluation Preparation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4477
Employment Insurance
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4505
Types of Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4507
Funding of Benefits Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4515
Employer Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4520
Administrative and Policy Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4525
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4575
Company Management and Administration of Employment InsuranceChecklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4577
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4585
Explanation of Record of Employment Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4586
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4590
Employment Insurance Coverage Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4592
Maternity, Parental, and Compassionate Care Leave Policy . . . . . . . . . . . . . . . ¶4593
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14 Compensation and Benefits
Workers’ Compensation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4605
Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4607
Employer Obligations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4620
Management Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4625
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4675
Employer Compliance Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4677
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4685
Return-to-Work (RTW) Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4686
Modified Work Offer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4687
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4690
Effective Management of WSIA Claims Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4692
Joint Health & Safety Committees and Health & Safety Representatives . . . ¶4693
CPP / QPP / OAS
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4700
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4705
CPP/QPP Payment Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4707
Employee Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4715
Employer Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4720
Excluded Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4725
Retirement Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4730
Death Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4735
Survivor Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4740
Disability Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4760
Appeals Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4770
Old Age Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4772
OAS Maximum Monthly Benefit Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4773
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4775
Factors to Consider with the Canada Pension Plan Program . . . . . . . . . . . . . . ¶4777
Checklist: Developing CPP Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4778
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4785
© 2010, CCH Canadian Limited
Table of Contents 15
Pensions: Employer Sponsored Plans
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4805
Types of Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4807
Plan Text . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4820
Other Retirement Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4870
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4880
Checklist of Factors To Consider When Starting a Retirement Program . . . . ¶4881
Developing of Pension Policies Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4882
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4885
Letter Introducing Pension Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4886
Letter on Termination of Employment with a Registered Pension Plan . . . . . ¶4887
Provincial Health Care
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4900
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4905
Canada Health Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4907
Provincial Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4910
Eligibility under Provincial Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4915
Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4925
Prescription Drug Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4930
Dental Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4938
Vision Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4940
Medical Coverage — Out of Province . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4942
Medical Coverage — Out of Country . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4944
Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4955
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4975
Taxation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4977
Medical Care and Hospital Care Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶4978
Group Life Insurance
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5000
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5005
Ultimate HR Manual — Student Edition
16 Compensation and Benefits
Employee Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5006
Benefit Amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5010
Premium Payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5015
Employer and Employee Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5020
Selection of Coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5025
Selection of Insurance Carrier and Broker . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5028
General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5030
Types of Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5050
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5080
Advantages of Group Life Insurance Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5081
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5090
Group Life Insurance Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5091
Flexible Benefit Programs
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5105
Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5107
Benefit Options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5120
Plan Designs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5140
Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5165
Communication of Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5167
Post-Retirement Coverage and Flexible Benefits . . . . . . . . . . . . . . . . . . . . . . . . . ¶5169
Income Tax Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5172
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5175
Implementing a Flexible Benefit Plan — EmployerAdvantages/Disadvantages Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5177
Implementing a Flexible Benefit Plan — EmployeeAdvantages/Disadvantages Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5178
Implementing a Flexible Benefit Plan — Third Party Administrator Checklist ¶5179
Implementing a Flexible Benefit Plan — How to Select a Third PartyAdministrator/Vendor Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5180
Sample Forms And Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5185
Enrolment Form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5186
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Table of Contents 17
Employee Assistance Programs
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5210
EAP Services Provided . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5212
EAP Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5215
EAP Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5225
EAP Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5230
EAP Referrals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5235
EAP Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5240
Evaluation of an EAP Provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5245
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5260
Factors to Consider When Starting an EAP — Checklist . . . . . . . . . . . . . . . . . . ¶5261
Corrective Referrals Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5262
Safeguarding Confidentiality Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5263
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5265
Letter Introducing a New EAP. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5266
Letter Introducing an Employee Satisfaction Survey . . . . . . . . . . . . . . . . . . . . . . ¶5267
Employee Satisfaction Survey Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5268
Telework
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5305
Implications of Adopting Telework as a Work Method . . . . . . . . . . . . . . . . . . . . . ¶5310
Advantages and Disadvantages of Telecommuting . . . . . . . . . . . . . . . . . . . . . . . ¶5320
Telework and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5335
Privacy and Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5345
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5375
Suitability of Telework for the Workplace Checklist . . . . . . . . . . . . . . . . . . . . . . . ¶5377
Telecommuting Agreement Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5378
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5385
Telework Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5388
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5395
Telework Guidebook — Suggested Sections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶5396
Ultimate HR Manual — Student Edition
18 Employment Standards and Human Rights
¶6000 EMPLOYMENT STANDARDS AND HUMAN RIGHTS
Defining and Regulating the Employment Relationship
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6105
Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6107
Employee or Independent Contractor Relationship . . . . . . . . . . . . . . . . . . . . . . . . ¶6120
Minimum Age for Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6130
Documents Required by the Employer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6140
Mergers and Acquisitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6175
Do Employment Standards Apply to All Employees? . . . . . . . . . . . . . . . . . . . . . . ¶6180
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6185
Employee or Independent Contractor Relationship Checklist . . . . . . . . . . . . . . ¶6186
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6190
Independent Contractor Contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6191
Minimum Wage
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6205
History and Purpose of Minimum Wage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6206
Application of Minimum Wage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6207
Calculation and Payment of Minimum Wage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6220
Current Minimum Wage Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6225
Charges and Deductions from Minimum Wage . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6230
Priority of Claims to Wages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6240
Recovery of Unpaid Wages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6250
Call-In Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6260
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6275
Minimum Wage Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6276
Hours of Work and Overtime
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6300
© 2010, CCH Canadian Limited
Table of Contents 19
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6305
Hours of Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6307
Breaks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6320
Days of Rest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6330
Scheduling Work Hours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6340
Rest Periods and Shift Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6345
Overtime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6350
Application of Hours of Work and Overtime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6360
Calculation and Payment of Overtime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6365
Hours of Work Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6385
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6390
Hours of Work and Overtime Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . ¶6391
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6395
Hours of Work Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6396
Overtime Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6397
Statutory/General Holidays
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6405
History and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6406
Length of Employment Necessary for Entitlement to Statutory Holiday . . . . . ¶6407
Public Holiday Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6408
Pay for Holidays Worked . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6410
Pay for Holidays Not Worked . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6420
Continuous Operations and Special Industries . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6430
Holidays Occurring on Non-Working Days . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6440
Exemptions from Statutory Holiday Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6450
Qualifying for and Disentitlement to Statutory Holiday Provisions . . . . . . . . . . ¶6460
Collective Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6465
Greater Right or Benefit: Ontario . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6466
Civic Holidays . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6470
Statutory Holidays Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6475
Statutory Holidays Requirements Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6478
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6480
Ultimate HR Manual — Student Edition
20 Employment Standards and Human Rights
Statutory Holiday Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6481
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6490
Statutory Holidays Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6491
Vacations With Pay
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6505
Vacation Entitlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6506
Effect of Statutory Holiday . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6530
Vacation Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6535
Vacationable Earnings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6540
Payment of Vacation Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6545
Exemptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6555
Payment on Termination of Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6565
Minimum Vacation Entitlement Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6570
Vacations with Pay Requirements Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6571
Vacationable Earnings Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6572
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6580
Vacations with Pay Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6581
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6590
Vacation Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6591
Maternity and Parental Leave
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6605
Qualifying Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6607
Notice of Intent To Take Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6618
Length of Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6628
Entitlement to Benefits and Seniority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6640
Reinstatement Following Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6650
Employee Protections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6660
Special Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6667
Maternity/Parental Leave Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6675
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Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6680
Maternity/Parental Leave Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6681
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6690
Maternity and Parental Leave Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6691
Miscellaneous Leaves of Absence
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6700
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6705
Sick Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6710
Emergency Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6715
Compassionate Care Leave/ Family Medical Leave . . . . . . . . . . . . . . . . . . . . . . . ¶6725
Bereavement Leave . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6745
Reservists Leave. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6750
Time Off for Voting at Elections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6760
Time Off for Jury Duty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6770
Personal/Family Responsibility/Democratic Leave Chart . . . . . . . . . . . . . . . . . . . ¶6778
Compassionate Care Leave Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6779
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6780
Personal/Family Responsibility/Democratic Leaves Practices Checklist . . . . . ¶6782
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6785
Absence Request Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6787
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6790
Bereavement Leave Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6792
Compassionate Care Leave Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6793
Personal Days Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6795
Jury Duty Leave Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6797
Short-Term Illness Leave Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6798
Individual Termination of Employment
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6805
Notice by Employer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6807
When Notice of Termination Not Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6820
Ultimate HR Manual — Student Edition
22 Employment Standards and Human Rights
Payment of Wages in Lieu of Notice of Termination . . . . . . . . . . . . . . . . . . . . . . ¶6830
Temporary Lay-off as Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6840
Notice by Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6855
Special Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6860
Individual Termination Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6870
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6875
Individual Termination of Employment Practices Checklist . . . . . . . . . . . . . . . . . ¶6876
Group Termination of Employment
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6900
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6905
What is Group Termination? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6907
Notice by Employer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6915
Employer/Employee Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6925
Group Notice Requirements Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6945
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6975
Group Termination Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶6977
Administration: Employee Records, Postings/Required EmployeeInformation, and Penalties
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7000
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7005
Employee Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7007
Statement of Wages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7030
Posting and Required Employee Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7040
Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7050
Employee Records Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7055
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7080
Record Keeping and Posting Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . ¶7081
Privacy
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7105
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Current Privacy Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7107
Federal — PIPEDA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7125
Current Provincial Private Sector Privacy Legislation . . . . . . . . . . . . . . . . . . . . . . ¶7145
Implications for the HR/Payroll Departments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7165
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7175
Collection and Use of Data Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7177
Disclosure of Information to Third Parties Checklist . . . . . . . . . . . . . . . . . . . . . . . ¶7178
Privacy Policy Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7179
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7190
Privacy Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7191
On-the-Job Accommodation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7205
Legislative Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7207
Legal Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7215
Duties and Responsibilities in the Accommodation Process . . . . . . . . . . . . . . . ¶7225
Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7230
Creed/Religion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7245
Sex (Pregnancy) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7250
Family Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7255
Age . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7260
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7275
Duties and Responsibilities in the Accommodation Process Checklist . . . . . . ¶7276
On-the-Job Accommodation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7277
Severance Pay
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7305
Entitlement to Severance Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7308
Calculation of Severance Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7325
Exceptions to Entitlement to Severance Pay . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7340
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7380
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Severance Pay Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7381
Discrimination and Harassment
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7405
Evolution of Human Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7407
What is Discrimination? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7410
Types of Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7420
Who Can Be Held Accountable For Discrimination? . . . . . . . . . . . . . . . . . . . . . . ¶7422
Prohibited Grounds of Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7425
Harassment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7475
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7485
Checklist — Creating a Harassment-Free Workplace . . . . . . . . . . . . . . . . . . . . . . ¶7486
Checklist — Developing an Effective Harassment Policy . . . . . . . . . . . . . . . . . . ¶7487
Checklist — Dealing With Harassment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7488
Checklist — Discrimination/Harassment-Free Workplaces . . . . . . . . . . . . . . . . . ¶7489
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7495
Sample Discrimination and Harassment Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7496
Policy: Freedom of Religion and Accommodation . . . . . . . . . . . . . . . . . . . . . . . . . ¶7498
Wrongful Dismissal
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7505
Nature of the Employment Relationship and the Contract of Service . . . . . . . ¶7507
Termination of the Employment Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7520
Just Cause for Dismissal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7525
Burden of Proof . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7535
Reasonable Notice of Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7540
Damages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7545
Wrongful Dismissal and Specific Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7560
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7575
Avoiding a Wrongful Dismissal Suit Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7577
Avoiding a Constructive Dismissal Suit Checklist . . . . . . . . . . . . . . . . . . . . . . . . . ¶7578
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Hiring: Advertisements, Application Forms, and Interviews
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7605
Prohibited Grounds of Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7607
Advertisements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7620
Employment Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7625
Customer Preference . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7630
Application Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7635
Job Interviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7640
Exceptions to Prohibition of Discrimination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7650
Pre-Employment Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7665
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7675
Permissible Questions Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7677
Hiring Practices Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7678
Employment Tests Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7679
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7685
Application for Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶7686
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VOLUME 2
¶9000 HEALTH AND SAFETY
Employer and Worker Duties, Rights, and Responsibilities
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9105
Internal Responsibility System (IRS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9107
Employer Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9110
Supervisor Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9125
Worker Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9130
Duties of Other Workplace Participants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9135
Refusals to Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9145
The Right to Refuse Unsafe Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9155
Corrective Action Plan (CAP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9160
Progressive Discipline as Part of CAP . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9162
Progressive Discipline System — Stages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9163
Progessive Discipline Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9164
Standards for Discipline and Value of Progressive Discipline . . . . . . . . . . . . . . ¶9165
The Canada Labour Code, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9170
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9175
Due Diligence Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9177
Health and Safety Policy Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9178
Document Posting Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9179
Health and Safety Program — General Elements Checklist . . . . . . . . . . . . . . . . ¶9180
Training Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9182
Determining Appropriate Disciplinary Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9183
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9185
Hazardous Conditions Report Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9187
Refusal to Work Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9188
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9195
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Table of Contents 27
Health & Safety Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9196
General Health & Safety Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9197
Hazardous Conditions Reporting Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9198
Refusal to Work Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9199
Workplace Inspections
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9205
History of Workplace Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9207
Conducting Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9210
Legislated Duties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9215
Pre-Start Health and Safety Reviews . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9245
Workplace InspectionPlanning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9260
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9275
Physical Conditions Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9276
Physical Inspection Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9277
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9285
Workplace Inspection Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9286
Equipment Check-Off Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9287
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9295
Workplace Inspection Procedure — JHSC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9296
Workplace Inspection Procedure — Management . . . . . . . . . . . . . . . . . . . . . . . . . ¶9297
Joint Health and Safety Committees
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9305
Employer Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9307
Where Committees/Representatives Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9315
Selection of Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9320
Committee Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9325
Duties and Functions of the Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9330
Certified Members of Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9335
Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9345
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Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9375
Joint Health and Safety Committee Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9377
Checklist: Making your Committee Effective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9378
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9385
Letter Inviting Employees to Fill a JHSC Vacancy . . . . . . . . . . . . . . . . . . . . . . . . ¶9386
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9390
Employee Reporting Responsibilites Policy: Hazards . . . . . . . . . . . . . . . . . . . . . ¶9391
Sample Guidelines for the Structure and Function of a JHSC . . . . . . . . . . . . . ¶9392
Accident and Incident Investigations
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9405
Notification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9407
Proactive Steps for Employers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9435
Investigating Techniques . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9445
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9475
Accident/Incident Investigation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9476
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9485
Accident/Incident Investigation Report Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9486
Critical Injury Form — Witness Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9487
Critical Injury Form — Injured Worker’s Statement . . . . . . . . . . . . . . . . . . . . . . . . ¶9488
Critical Injury Form — J.H.S.C. Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9489
Critical Injury Form — J.H.S.C. Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9490
Critical Injury Form — Employer’s Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9491
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9495
Accident and Incident Investigation Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9496
Personal Injury Reporting Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9497
Emergency Guidelines and Procedures
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9505
Reasons To Implement Emergency Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9507
Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9510
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Fires . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9520
Emergency Spill Kits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9535
Housekeeping and Emergency Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9540
Developing an Emergency Response Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9545
Severe Acute Respiratory Syndrome (SARS) Control Program . . . . . . . . . . . . ¶9560
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9575
Emergency Action Plan Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9576
Checklist: Auditing Your Emergency Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9577
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9585
Contractor Responsibilities Sign-Off Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9586
Monthly First Aid Supplies Check . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9587
Housekeeping Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9588
First Aid Injury Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9589
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9595
Bloodborne Pathogens Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9596
Bomb Threat Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9597
Emergency Response Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9598
Occupational Health and Safety Training
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9605
Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9610
Evaluating Training Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9625
New Employee Orientation Topics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9635
Supervisor/Manager Generic Health and Safety Training Topics . . . . . . . . . . . ¶9645
Health and Safety Training Steps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9660
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9675
Checklist: Auditing Your Training Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9676
New Employee Orientation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9677
Checklist: Tips for Trainers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9678
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9685
Course Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9686
Training Sign-Off . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9687
Employee Training Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9688
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Letter from Training Consultant/Supplier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9689
New Employee Health and Safety Orientation Practical Test . . . . . . . . . . . . . . ¶9690
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9695
Procedure: Training Program Effectiveness Assessment . . . . . . . . . . . . . . . . . . ¶9696
Procedure: New Employee Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9697
Manual Material Handling
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9700
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9705
Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9707
Health Effects of MMH . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9710
Chronic Back Pain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9715
Pushing and Pulling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9745
Relevant Questions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9755
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9775
Checklist: Factors to Consider in an MMH Workplace Audit . . . . . . . . . . . . . . . ¶9776
Reducing Material Handling Injuries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9777
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9785
Physical Demands Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9786
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9795
Safe Lifting and Carrying Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9796
Safe Pushing and Pulling Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9797
Chemical Hazards
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9805
Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9807
Designated Substance Exposure Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9825
Health Effects of Hazardous Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9835
Variables Affecting Hazardous Substance Exposure . . . . . . . . . . . . . . . . . . . . . . ¶9845
Solvents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9850
Control Methods Used for Prevention of Hazardous Substance Exposures ¶9855
Control Locations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9870
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Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9875
Auditing Hazardous Substances and Control Checklist . . . . . . . . . . . . . . . . . . . . ¶9876
WHMIS: Workplace-Specific Training Outcomes Checklist . . . . . . . . . . . . . . . . . ¶9877
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9885
Controlled Product Approval Request Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9886
WHMIS Controlled Products Inventory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9887
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9895
Chemical Procurement Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9896
Ergonomics and Workplace Design
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9900
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9905
Role of Ergonomics in the Workplace . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9907
Musculo-Skeletal Injuries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9915
Work Station Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9935
Work Environment Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9945
Tool Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9955
Machine-Paced Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9965
Relief from Repetitive Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9970
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9975
Ergonomic Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9976
Ergonomic Chairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9977
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9985
Ergonomics Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9986
Work Station Ergonomics Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9987
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶9995
Procedure for Setting up an Ergonomics Program . . . . . . . . . . . . . . . . . . . . . . . . ¶9996
Ergonomics Procedure: Video Display Terminal Operators . . . . . . . . . . . . . . . . ¶9997
Stress Management
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10000
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10005
Sources of Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10007
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Employer/Employee Costs of Stress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10040
Dealing with Workplace Stressors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10045
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10075
Signs of Stress Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10076
Alcohol and Drug Addiction
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10105
Employer and Employee Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10107
Drug and Alcohol Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10120
The Role of Employee Assistance Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10145
Cases Involving Workplace Drug or Alcohol Use . . . . . . . . . . . . . . . . . . . . . . . . . ¶10165
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10190
Drug and Alcohol Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10191
Fragrances in the Workplace
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10205
The Issue: Reactions to Chemicals in Fragrances . . . . . . . . . . . . . . . . . . . . . . . . ¶10207
Tackling Indoor Pollution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10210
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10300
Fragrance Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10301
Pandemic Flu Preparation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10400
Current Experience with Medical Emergencies . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10402
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10405
Obligations on Employers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10406
Essential Steps To Prepare . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10412
Application of Fundamental Employment Legislation — Health and Safety . . ¶10418
Health and Safety — Bill C-45 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10435
Employment Legislation — Human Rights and Public Health . . . . . . . . . . . . . . ¶10439
Employment Legislation — Employment Standards . . . . . . . . . . . . . . . . . . . . . . . ¶10447
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Employment Legislation — Workers’ Compensation . . . . . . . . . . . . . . . . . . . . . . . ¶10449
Other Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10455
Federal Legislation To Prepare for Public Emergencies . . . . . . . . . . . . . . . . . . . ¶10463
Quasi-Criminal Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10469
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10475
Key Elements of a Pandemic Flu Preparation Checklist . . . . . . . . . . . . . . . . . . . ¶10476
Workplace Harassment and Violence
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10505
Evolution of Workplace Harassment and Violence Legislation . . . . . . . . . . . . . ¶10507
Ontario’s Legislation 2009-10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10510
Workplace Harassment Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10516
Workplace Violence Risk Assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10520
Internal Responsibility System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10530
Work Refusals, Reprisals, and Prosecutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶10538
Controlling Workplace Harassment and Violence . . . . . . . . . . . . . . . . . . . . . . . . . ¶10548
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¶12000 PERFORMANCE MANAGEMENT
Performance Management Processes
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12105
Benefits of Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12107
The Performance Management Cycle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12111
Avoiding Rater Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12119
Personal Development Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12131
Developing a Performance Assessment Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12137
Organizational Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12153
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12175
Effective Performance Management Policy Checklist . . . . . . . . . . . . . . . . . . . . . . ¶12176
Checklist for the Design of the Performance Review Form . . . . . . . . . . . . . . . . ¶12177
Checklist: Planning for a Constructive Feedback Session . . . . . . . . . . . . . . . . . ¶12178
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12185
Performance Review Form. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12186
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12195
Performance and Productivity Indicators and Cost Factors in HRManagement. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12196
Employee Development
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12305
Employee Development Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12306
Competencies, Skills, Knowledge, and Behaviours . . . . . . . . . . . . . . . . . . . . . . . ¶12307
Designing Competencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12315
Succession Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12325
Development Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12335
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12375
Sample Developmental Opportunities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12376
Management Competencies Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12377
Management Development Competencies Checklist . . . . . . . . . . . . . . . . . . . . . . ¶12378
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Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12390
Employee Development Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12391
Attendance Management
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12405
Cost of Absenteeism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12407
Identifying and Managing Attendance Problems . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12410
Types of Absenteeism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12425
Excessive Absenteeism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12435
Developing an Attendance Management Program . . . . . . . . . . . . . . . . . . . . . . . . ¶12460
Attendance Management Decision Flow Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12465
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12475
Effective Attendance Management Program Checklist . . . . . . . . . . . . . . . . . . . . ¶12476
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12485
Attendance Management Letter (First Letter) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12486
Attendance Management Letter (Second Letter) . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12487
Attendance Management: Termination Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12488
Standard Medical Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12489
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶12495
Attendance Awareness Program: Sample Table of Contents . . . . . . . . . . . . . . ¶12496
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¶13000 LABOUR RELATIONS
Grievances and Arbitration
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13105
Labour Arbitration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13107
Grievance Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13115
Referral to Arbitration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13140
Alternative Dispute Resolution (ADR) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13160
Mediation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13165
Grievance Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13170
Arbitration Awards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13175
Judicial Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13177
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13180
Preparation for Grievance Procedure Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13181
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13185
Sample Grievance Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13186
Discipline
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13205
Unacceptable Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13207
Just and Sufficient Cause. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13210
Progressive Discipline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13220
Other Penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13225
Problems Associated with Discipline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13240
Collective Agreements — Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13250
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13275
Discipline: General Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13276
Checklist: Items to Include in a Disciplinary File . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13277
Insubordination Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13278
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13285
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Disciplinary Meeting Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13286
Letter of Warning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13287
Letter of Suspension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13288
Letter of Termination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13289
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13295
Discipline Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13296
Discipline and Termination Policy — Non-Union, Hourly Rated Employees . . ¶13297
Discipline and Termination Policy — Salaried Employees . . . . . . . . . . . . . . . . . . ¶13298
Collective Bargaining
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13305
Canada’s Labour Law Jurisdictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13307
Recognizing Employees’ Right to Union Representation . . . . . . . . . . . . . . . . . . ¶13310
Collective Agreement Contents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13313
Bargaining Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13320
The Negotiation Dynamic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13345
Communications During Negotiations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13348
When Collective Bargaining Reaches an Impasse . . . . . . . . . . . . . . . . . . . . . . . . ¶13352
Ratification/Implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13360
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13375
Documentation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13377
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13385
Sample Union Demand in Single Clause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13386
Sample Memorandum of Settlement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13387
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13395
Collective Bargaining Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13396
Strikes and Lockouts
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13405
Conciliation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13407
Strikes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13410
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Lockouts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13425
Contingency Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13430
Secondary Picketing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13435
Crossing Picket Lines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13440
Violence During a Strike . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13445
Negotiating Return-to-Work Protocols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13455
Responding to a Wildcat Strike. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13460
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13475
Strike Contingency Planning Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13477
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13485
Letter to a Customer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13486
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13495
Striking Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13496
Contracting Out
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13505
Reasons Employers Contract Out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13507
Contracting Out as an Anti-Union Tactic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13525
Recognition Clauses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13535
Contracting Out vs.Contracting In . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13545
Acting in Good Faith . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13555
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13585
Restrictive Contracting Out Language . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13586
Clauses Including Contracting Out As Part of Technological Change . . . . . . . ¶13587
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶13590
Contracting Out of Work Under a Collective Agreement . . . . . . . . . . . . . . . . . . . ¶13591
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¶15000 TRAINING AND DEVELOPMENT
Training and Development Overview
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15100
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15105
Benefits of Training and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15107
Training Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15110
Successful Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15120
Training Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15130
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15175
Training Recommendations Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15176
Training Deliverables Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15177
How to Maximize Training Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15178
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15185
Letter Sent to Participants Prior to Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15186
Level 1 Evaluation Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15187
Orientation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15200
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15205
Benefits of Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15207
Management Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15226
Orientation Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15230
Orientation Milestones . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15255
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15275
New Hire Orientation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15276
Date of Hire Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15277
New Hire Orientation Start Date Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15278
Three-Month Probationary Review Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15279
Management Orientation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15280
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15285
New Employee Orientation Welcome Letter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15286
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Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15290
One-Day Classroom Orientation Session: Agenda-at-a-Glance . . . . . . . . . . . . ¶15292
Needs Assessment
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15300
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15305
When to Conduct a Needs Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15307
Benefits of NeedsAssessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15310
Conducting an Effective Needs Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15320
Assessing Learning/Training Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15323
Needs Assessment Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15330
Needs Assessment Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15340
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15375
Designing Questions for Needs Assessment Surveys and Interviews. . . . . . . ¶15376
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15390
Factors That Affect Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15392
Data Collection Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15394
Design and Development of Training
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15400
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15405
Designing the TrainingProgram . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15407
Developing the Training Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15425
Instructional Methods/Training Methodologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15450
Sequencing Training Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15452
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15475
Methodology Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15477
Tips for Instructional Designers Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15478
Checklist for Writing Learning Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15479
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15485
Sample Lesson Plan Template . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15486
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Table of Contents 41
e-Learning
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15500
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15505
Benefits of e-Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15507
Types of e-Learning Training Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15510
Future Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15520
The e-Learning Training Program Design Process . . . . . . . . . . . . . . . . . . . . . . . . ¶15535
e-Learning Model: Building an In-House e-Learning Training Program . . . . . ¶15550
Recommended Design Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15575
When to Avoid e-Learning Training Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15578
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15580
e-Learning Team Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15582
Reasons to Implement an e-Learning Training Program . . . . . . . . . . . . . . . . . . . ¶15583
Design Principles for Web-Based Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15584
Model Policies and Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15595
Technology Audit Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15596
Selection of an e-Learning Training Supplier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15597
Team Building
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15600
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15605
Effective Team Structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15607
Benefits of Team Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15615
Successful Team Building Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15620
Guidelines for Effective Team Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15625
Building High-Performance Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15630
Stages of Group Development for a High-Performing Team . . . . . . . . . . . . . . . ¶15640
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15675
Checklist for Conducting an Outstanding Team Meeting . . . . . . . . . . . . . . . . . . ¶15677
Team Building Activities Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15679
Characteristics of High-Performing Teams Checklist . . . . . . . . . . . . . . . . . . . . . . ¶15681
High-Performing Team Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15683
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15685
Post-Meeting Reaction Form — Evaluation of Group/Team Effectiveness . . . ¶15686
Ultimate HR Manual — Student Edition
42 Training and Development
Facilitation
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15800
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15805
Role of the Facilitator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15807
Competencies of a Successful Facilitator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15816
Icebreakers and Energizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15818
Presentation and Visual Facilitation Aids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15820
Developing Ground Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15822
Questioning as a Facilitation Tool . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15824
Speaking with Confidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15826
Co-Facilitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15830
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15875
Room Preparation Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶15876
Facilitator’s Checklist for a Train-the-Trainer (T3) Session . . . . . . . . . . . . . . . . . ¶15877
Evaluation of Training
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16000
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16005
Evaluation Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16007
Approaches to Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16010
Formative and Summative Evaluation Comparison Chart . . . . . . . . . . . . . . . . . . ¶16011
Alternative Approaches to Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16015
Kirkpatrick’s Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16016
Principles of Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16020
Reporting the Results of Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16024
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16075
Evaluation Methods and Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16077
Sample Forms and Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16085
Level One (Reaction) Evaluation Form — Sample . . . . . . . . . . . . . . . . . . . . . . . . ¶16087
Course Evaluation Form — Sample . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16089
Coaching and Mentoring
Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16200
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Table of Contents 43
Practical Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16205
Coaching: Building the Business Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16207
Types of Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16215
The Coach’s Role . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16219
Selected Competencies of Effective Coaches . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16223
The Five Phases of Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16227
Choosing an Internal or External Coach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16235
Mentoring: Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16240
Formal Versus Informal Mentoring Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16242
Five Essential Components of Mentoring Programs . . . . . . . . . . . . . . . . . . . . . . . ¶16244
Tips to Ensure Successful Mentoring Initiatives . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16246
Potential Traps To Avoid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16248
Managing the Mentoring Relationship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16250
Checklists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16270
Effective Coaching: Critical Success Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16272
Performance Coaching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16274
Selecting a Mentor: Ideas for Consideration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶16276
¶50000 SOURCES OF FURTHER INFORMATION
Strategic Human Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶51000
Staffing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶52000
Compensation and Benefits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶54000
Employment Standards and Human Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶56000
Health and Safety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶58000
Performance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶60000
Labour Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶61000
Training and Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ¶62000
Ultimate HR Manual — Student Edition
44 Strategic Human Resources
DEVELOPING A HUMAN RESOURCESSTRATEGY
¶1100 OVERVIEW
Strategic Planning is defined as the process by which ● developing an HR strategy, both in thean organization envisions its future and develops strat-egies, goals, objectives, and action plans to achieve that — organizational context, andfuture.
In this section, the following aspects of developing a — sectoral- or industry-specific context; andhuman resources strategy are discussed:
● human resources strategy objectives; ● the components of a strategic plan.
¶1105 PRACTICAL APPLICATION
¶1107 Human Resources Strategy ¶1112 Developing a HumanResources StrategyObjectives
The Organizational ContextA human resources strategy is a comprehensive planBeginning in the post-war era, the HR function hasof the relationship between overall corporate strategysought to define itself as a distinct profession in theand the human resources management component ofworld of specialized expertise. Increasingly, corpora-
that strategy. Typically, a human resources strategic tions and organizations have come to realize the valueplan has a number of objectives, and includes and concomitant advantage of organizational effec-
tiveness, and of having an HR presence at the ‘‘table’’.● ensuring that the human resource management
While corporate strategic plans deal with market pres-function supports the achievement of businesssures, changing service modalities, business cycles,objectives;skills shortages, and global issues, HR strategic plansare expected to catalyze drivers and deliver results for● promoting a working environment and culture thatenterprise success. In fulfilling these expectations, HRmeets the objectives of the HR and corporate plan;is redefining itself as a respected strategic partner.
● advancing personal and career development for allSectoral or Industry-Specific Contextemployees so that they can reach their potentialPublic Sectorand contribute to the achievement of strategic
objectives; and ● Government: In a public service context, thevision, mission, and shared values of the govern-
● strengthening and extending the collaborative pro- ment of the day are normally developed, dissemi-cess, and other consultative, participative, and com- nated, and monitored centrally. Constituent depart-munications processes across the organization. ments, ministries, crown corporations, agencies, and
¶1100 © 2010, CCH Canadian Limited
Developing a Human Resources Strategy 45
commissions are tasked with the formulation of ¶1120 Components of a Strategicaction plans. Human resources strategic planning is Planbased on direction and guidance from central agen-
Components of a strategic plan may includecies such as the Treasury Board, federally, and theManagement Board Secretariat, provincially. At the ● the long-term goals and priorities of the organiza-municipal level, HR departments follow council tion;leadership and decisions on strategic issues.
● an analysis of shared vision/values;● Non-Governmental Organizations: Developing
● human resources management challenges and bar-strategic plans in non-governmental organizations is riers;dependent on the principles enunciated in organi-
● demographic assessment;zational charters, articles of incorporation, or in● an assessment of organizational effectiveness;some instances, registration of charitable status or
non-profit status.● internal labour market capability skills inventory;
● Industry/Sector Associations: National, provin- ● succession planning to meet organizational strategy;cial, and geographical associations have a common-
● recruitment, retention, and diversity;ality of interests and shared values and objectives.● human capital investment (training and develop-They may formulate strategic plans that may also
ment plans);address industry-wide HR strategic planning. Forexample, a number of sectoral human resources
● human resources management systems (HRMS);councils are supported by Human Resources and
● employee performance evaluation;Skills Development Canada. These include theSoftware Human Resource Council, Canadian ● compensation strategy (aligning compensation forTourism Human Resource Council, Biotechnology performance results);Human Resource Council, Cultural Human
● employee/labour relations trends;Resources Council, Textiles Human Resources
● a communications plan to disseminate informationCouncil, Canadian Technology Human Resourceson human resources initiatives; andBoard, the Installation, Maintenance and Repair
Sector Council, and 22 other sector councils. ● an HR audit plan to maintain alignment with thecorporate plan and provide for periodic review ofthe HR strategic plan.Private Sector
These components may be included in the strategic● Corporate Plans: Strategic planning in the private plan in whole or in part. An attempt should be made,
sector is an internal corporate function. In some for the benefit of stakeholders, to rank them in termsenvironments, especially larger or more complex of priority within the context of available resourcesones, it is a dedicated, specialized function, while in once the plan is finalized.smaller enterprises, it is the role of the managerial
The development process for a strategic plan has ateam or managerial hierarchy.number of prerequisites, and requires that existing
● Industry/Association Objectives: Private-sector policies, procedures, systems, product demand, marketemployers may be members of industry associations forecasts, and service plans, be melded into the plan.or co-operatives, and may derive strategic issues In terms of the individual plan components, the listfrom their membership. For transnationals, the HR below serves as a guide for the collection and collationprofessional should be aware of, and factor in, of the plan context. The HR professional should keepwhere appropriate, global business considerations in mind that the absence of these prerequisites, sys-such as country-specific or economic-union labour tems, or tools would, on their own, trigger a separatelaws, dealing with employment standards and development process that may require internal orworker rights. external resources.
Ultimate HR Manual — Student Edition ¶1120
46 Strategic Human Resources
FLOWCHART FOR THE DEVELOPMENT OF AN HR STRATEGIC PLAN
ORGANIZATION MISSION AND
PLAN
HR STRATEGIC PLAN
Compensation and Benefits
Training and Development
Employee and Labour Relations
Occupational Health and Safety
Policy Analysis& Metrics
Policy Analysis
Policy Analysis & Metrics
Policy Analysis & Metrics
Policy Analysis & Metrics
Policy Analysis & Metrics
Strategic Plan Components
Input From Analysis and Measurement
Fig.1 The results of Policy analysis, and the use of metrics, on each HR sub-function, provide the input for each constituent component of the HR Strategic Plan. The Plan is
integrated with the organizational plan and validated against the Vision/Mission statement.
& Metrics
Pay andEmploymentEquity
SuccessionPlanning
¶1120 © 2010, CCH Canadian Limited
Developing a Human Resources Strategy 47
Long-Term Goals and Priorities of the been written about the age-related ‘‘booms andOrganization echoes’’ of the labour market. Workforce statistics may
reveal characteristics that may be positively or nega-This component is derived from the organizationaltively impacted by external trends. These would pro-vision statement, mission statement, corporate plan,vide a basis for projection of recruitment, training, andbusiness charter, articles of incorporation, or leader-retention needs.ship and management agendas. Long-term goals and
priorities may also be derived from internal consensusAssessment of Organizationalor surveys.Effectiveness
Analysis of Shared Vision/Values A pitfall in the development of a strategic plan is theassumption that one would need to start with a cleanGovernance models, decisions by boards of directors,slate. A considered assessment should be undertakenworkforce surveys, and internal cultures all provideof how effective current plans are. It may be thatsources for the identification and analysis of sharedmoderate tweaking in a new HR strategy is all that isvalues and a common vision of the organization.needed. Effectiveness may be gauged by internal con-
Human Resources Management sultation with senior management, employee input,Challenges and Barriers clients’ input, surveys, and in some cases, outsourcing
the process. It may require the development or acqui-Modern workforces are characterized by the mostsition of measurement tools for accurate gauging.educated, rights-aware workers in the history of civili-
zation. This ‘‘new worker’’, educated and rights-aware,Internal Labour Market Capability Skillsand supported by a constantly changing legislativeInventoryrubric of human rights, employment standards, health
and safety, employment, and pay equity, poses a great The development of a strategic HR plan gives rise tochallenge in terms of ‘‘buy-in’’ to any strategic plan. the need for a comprehensive occupational data anal-When this is layered with a cultural differentiation in ysis, and incumbent match in terms of the occupa-diversity environments, the inclusion of vision and tional data identified. This involves reliance on a jobvalues in the development of a strategic human classification system that captures the essence of eachresources approach is a daunting process. job by describing the tasks needed to perform the job
responsibilities. Each task is analyzed for its relevanceDemographic Assessment and accuracy. The collateral requirement in the crea-
tion of a capability skills inventory is the establish-This component of a strategic plan requires labourment of a database, by incumbent or employee, listingmarket research, initially on a general level, and subse-education, skills, experience, and other profiles.quently on an internal level. The contrast or ‘‘gap’’
between the two may provide a basis for the formula-tion of strategy to address issues that arise. An example Succession Planning to Meetof the labour market data that may be collected is Organizational Strategy‘‘participation rates’’. These rates are published by Sta-
Planning and forecasting the need for replacementtistics Canada and are expressed as the percentage oflabour in specific positions has a dependency on thethe population eligible to participate in the labourinternal labour market skills and abilities inventory. Amarket, versus those that actually do. The rates differ-strategy of employee succession must take intoentiate between males, females, and age strata, andaccount the results ofcapture longitudinal trends. (An example of this is the
declining male participation rates in recent years due ● corporate/organizational plans;to a variety of factors such as age, disappearance of
● occupational/job analysis of jobs required by theindustries marked by high percentages of maleprovision of services or production;workers, the rise of the service sector and high female
participation in that sector, etc.) In addition, much has ● internal capability/skills/abilities inventories;
Ultimate HR Manual — Student Edition ¶1120
48 Strategic Human Resources
● training and development plans (human capital Human Capital Investment (Training andinvestment); Development Plans)
Perhaps one of the most difficult components of a● labour market trends;strategic plan is the investment in employees through
● compensation plans; and training and development. While needs assessmentsare invaluable in shaping direction in this area, budg-
● projected timelines in other corporate plans.etary issues usually constrain attempts at skilling andre-skilling. Traditionally (and currently), most
Recruitment, Retention, and Diversity employers prefer to buy skills ‘‘off the shelf’’. As dis-cussed under the previous components, this strategyA strategic plan must address the competition forleads to an unhealthy dependence on shifting labourskilled workers, employee turnover rates, and a repre-markets and demographics. There is also a warning tosentative workforce. The plan should forecast recruit-be issued here: If training and development needs arement needs and the effectiveness of presentderived from performance evaluations, there must beapproaches, as well as comment on the need for theira reasonably prompt and feasible follow-up. The cred-modification in the future.ibility and viability of a performance evaluation pro-
The plan should differentiate between ‘‘healthy’’ turn- gram is precariously balanced on the organizationalover rates and excessive rates, which result in excessive will to carefully consider its content.costs. Normal rates may be derived from comparison
Human Resources Management Systemsestimates of the cost of hiring, orienting, and training a(HRMS)new employee. Estimates of turnover costs vary
greatly, from only a few thousand dollars for hourly Another difficult-to-articulate component of an HRemployees, to between $75,000 and $100,000 for sala- strategic plan is human resources management sys-ried employees and top executives. The annual com- tems: their introduction, efficacy, flexibility, and relia-pensation costs of an organization may suffer an bility are factors to be considered in their inclusion inimpact of from 25% to almost 200% of budget. There the plan to meet future HR needs. Some organiza-are also costs in customer service disruption; morale; tions use stand-alone HR systems independent of cor-burnout/absenteeism among remaining employees; porate systems, while others have a fully integratedand loss of skills, experience, continuity, and ‘‘corpo- HRMS. Usually, the long-term corporate strategy willrate memory’’. form the basis of the criteria for the selection of an HR
system. Typically, larger enterprise systems have anRetention is also a key issue in a strategic plan. TheHR module add-on. If the capability does not exist in-future is commonly addressed in strategic plans, buthouse, an outsourced feasibility study may have to bethe present must also be considered. Job satisfaction iscommissioned. From an HR perspective, the strategica key factor in retaining employees, especially keyplan should comment on the ability of the chosen oremployees who have contributed to growth and suc-installed system to meet the requirements of legisla-cess. The plan might give top priority to retention oftion such as the Personal Information Protection andthese employees as a strategy. Experience has shownElectronic Documents Act (PIPEDA), and other fed-that an employee’s job satisfaction is determined byeral and provincial privacy Acts.the quality of his or her relationship with his or her
manager. A strategy sometimes employed is to factor For more information, see HR Management Systemsin turnover rates in awarding managerial bonuses. at ¶1888.A good plan should also deal with the creation and Employee Performance Evaluationmaintenance of a diverse workforce. Ethnic and immi-grant markets have been typified as untapped labour A performance evaluation process must be alignedmarkets, with work-ready candidates. In addition, with the organization’s strategic plan. An HR strategicdiversity, as a strategic principle, spawns good commu- plan would address the issue of whether an installednity relations and ‘‘best’’ employer labels. system is synchronized with the organizational plan,
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Developing a Human Resources Strategy 49
and whether it can meet future challenges in the Employee/Labour Relations Trendsprovision of service, or in the production process.
The strategic plan may include a discussion and theOrganizations that have an installed and relevant per-possible impact of the following trends in HR man-formance evaluation program achieve overall businessagement:performance and productivity gains. To be relevant
and add value to the organization, the performance● employee expectations of work–life balance;evaluation process should, at a minimum● increasing numbers of retirements;
● set clear, achievable individual goals,
● labour and skills shortages;● align individual goals with corporate goals,
● assess the need for a personal employee develop- ● continuous learning requirements;ment plan, and
● focus on global issues;● reward performance or recommend corrective
behaviour. ● changing definition of family and its financialimpact on total compensation;
Compensation Strategy (Aligning● use of technology in all operational aspects of the
Compensation for Performance Results) enterprise;Another fundamental prerequisite to the development
● rise in health care costs as a result of an ageingof a strategic HR plan is the formal articulation of anpopulation;enterprise-wide compensation philosophy tied to the
mission statement and business plan. This should not● loss of industries/jobs to developing countries;merely put forth that ‘‘our wages and salaries are com-
petitive’’, but should be more in the vein of ‘‘reward ● growing complexity of the employment and labourfor performance and fairness in application’’. Some law environment and legal compliance;companies commit to paying at the surveyed market
● employee expectations of frequent and meaningfullevel, while others compensate above market level toattract the best talent. Internal consistencies are para- communication;mount to the perception of fairness and adequacy of
● increasing attempts at unionization in specific sec-salary levels. While gender-based consistency is legisla-tors; andtively dictated, non-gender-based relativities within
the organization should also be continually analyzed.● the need for risk assessment and management inThe plan should include
the organization.● a clear statement of the organization’s compensa-
tion philosophy, A Communications Plan to Disseminate● an analysis of market compensation trends, Information on the HR Strategic Plan
● an analysis of internal systems and their ability to It is imperative that, once a strategic plan has beenalign with performance results, and processed through the consultative and draft revision
process and is finalized, a measured and planned● an assessment of the appropriate compensationscheme to meet future needs. approach to promulgate its content, conclusions, and
objectives be implemented. This may take the form ofWage, salary, and total compensation surveys are avail-articles in newsletters, the Intranet, or special meetings.able at no charge or on a fee basis from StatisticsIt is also advisable in unionized environments to dis-Canada, compensation consultants, Web-based com-cuss appropriate parts of the plan with the unionpanies, and industry associations. Also, most partici-
pants in surveys receive the findings at no charge. leadership, to facilitate buy-in and consensus.
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HR Audit Plan to Maintain Alignment sure expected progress in the plan. It should certifywith Corporate Plan and Provide for that strategic objectives are being met. An audit mayPeriodic Review of the HR Strategic be conducted by an internal auditor, an internal com-Plan mittee, or by external outsourcing.
It is important that the strategic plan provide for anaudit mechanism to ensure adherence, and to mea-
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Developing a Human Resources Strategy 51
¶1175 CHECKLISTS
¶1177 Human Resources Strategy Checklist● The long-term goals and priorities of the organization
❏ Is there a vision, mission statement, or corporate plan or document that speaks about these?
● An analysis of shared vision/values
❏ Can the shared organizational vision and values be derived from the governance model? Board of directors’decisions? Surveys?
● Human resources management challenges and barriers
❏ What information can be gathered internally or externally to ascertain current issues and challenges inhuman resources management?
❏ Is there a need for this information to be on hand on a continuing basis (e.g., subscriptions to journals, legalreporting services, and HR information providers)?
❏ Is there a need for further professional development to remain current on issues (e.g., conferences, seminars,conventions)?
● Demographic assessment
❏ Is there the facility and time to conduct research on external and internal labour markets?
❏ Is outsourcing appropriate?
● An assessment of organizational effectiveness
❏ Are resources available to conduct organizational surveys of employees, customers, or clients (e.g., surveydesign, program design, administrative support, scoring, feedback)?
❏ What are stakeholders’ perceptions of operational and management practice?
❏ Is the relationship between organizational effectiveness and the culture and psychology of the workplaceevident?
● Internal labour market capability skills inventory
❏ Are there systems in place to capture capabilities and skills of employees?
❏ Do employment forms, performance appraisals, or other forms need to be modified?
❏ Is it appropriate to computerize the database?
❏ Are there confidentiality safeguards for the information collected?
● Succession planning to meet organizational strategy
❏ Is there a need to conduct job analysis?
❏ Is there a complete skills inventory?
❏ Is there a training and development plan?
❏ Have labour market trends been captured?
❏ Are compensation plans formalized and updated?
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52 Strategic Human Resources
❏ Are there projected timelines for the introduction or termination of products and services in othercorporate plans that may affect the staffing establishment?
● Recruitment, retention, and diversity
❏ Are tools in place to forecast recruitment needs and the effectiveness of current recruitment approaches?
❏ Have turnover rates been calculated and costed?
❏ Is there a regularly scheduled job satisfaction survey?
❏ Are candidates and new employees given the opportunity to voluntarily self-identify as members ofminority groups?
● Human capital investment (training and development plans)
❏ What is the organization’s philosophy in terms of investing in people?
❏ What are the budgetary caps for training and development?
❏ Are training and development needs linked to performance evaluation?
❏ Is there a need for a cost-effectiveness study of internal versus outsourced training and development?
● Human Resources Management Systems (HRMS)
❏ Should the HRMS system be stand-alone or integrated with the main or other enterprise systems?
❏ If the HRMS is an add-on module, will it meet current and longer-term needs?
❏ Will the HRMS meet confidentiality and privacy requirements in legislation?
● Employee performance evaluation
❏ Are job descriptions current and validated by supervisors and employees?
❏ Are the performance measurement items on the performance evaluation forms linked to the job descrip-tions?
❏ Do the performance evaluations set clear, achievable individual goals?
❏ Are these individual goals aligned with corporate goals?
❏ Does the process accurately assess the need for a personal employee development plan?
❏ Does the performance evaluation system reward performance or outline corrective action for improve-ment?
● Compensation strategy (aligning compensation for performance results)
❏ Is there a clear statement of the organization’s compensation philosophy?
❏ Has an analysis of market compensation trends been conducted?
❏ Is an analysis of internal systems and their ability to align with performance results warranted?
❏ Has an assessment of the appropriate compensation scheme to meet future needs been conducted?
● Employee/labour relations trends
❏ Have policies and procedures been vetted to provide for a work–life balance that meets employerrequirements and employee needs?
❏ Do statistics exist on the projected number of retirees by timeline?
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Developing a Human Resources Strategy 53
❏ Is information available from the recruitment process on the challenges of sourcing candidates to assesslabour and skills shortages?
❏ Are employees and candidates afforded the opportunity for continuous learning?
❏ Is the use of technology in all operational aspects of the enterprise monitored?
❏ Is there a calculation of a possible rise in health care costs as a result of an ageing population?
❏ Is there a need to conduct a compliance audit to deal with the growing complexity of the employment andlabour law environment?
❏ Is there an established, regular communication mechanism (e.g., newsletters, Intranet) to meet employeeexpectations of frequent and meaningful communication?
❏ In a non-union environment, is there a need to formulate an approach (with legal counsel) in the event ofan organizing drive?
❏ Is there a need or plan for risk assessment and management in the organization?
● A communications plan to disseminate information about the Human Resources strategic plan
❏ Are there existing channels of communication that may be used to introduce the strategic plan?
❏ Is a group information approach appropriate?
❏ In unionized environments, can it be placed on the labour/management consultative meeting agenda?
● An HR audit plan to maintain alignment with the corporate plan and provide for periodic reviewof the HR strategic plan
❏ Is there an audit mechanism in place to ensure adherence to the plan and measure expected progress?
❏ Should the audit be conducted by an internal auditor, an internal committee, or by external outsourcing?
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54 Strategic Human Resources
¶1185 SAMPLE FORMS AND LETTERS
¶1186 In Preparation for the Development of an HR Strategic Plan —
Diagnostic FormIntroductory comment on the organization’s direction through vision and mission statements.
Projected modifications in the governance/business model for a period of years from the present.
Review and Analyze the following:
A. Corporate/Business Plans
Anticipated mission/operational changes
Expected changes in organization/position structures
Anticipated changes in supervisory/managerial complement
Projected increase/decrease in workforce complement
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Developing a Human Resources Strategy 55
Comment on suitability of the skills and abilities inventory
B. Budget Considerations
Budget philosophy or goals
HR funding levels
Compensation/payroll issues and costs
Projected increase or decrease in staffing and ancillary costs
Turnover costs
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C. External Factors To Be Considered inPlan Development
Social changes
Employment trends/patterns
Legislative changes (current and expected) and court decisions
Technological changes
Labour Market Considerations
Supply of Labour Analysis
1. Determine the future availability of labour by conducting a workforce analysis to include turnover data,retirement rates, retirement projections, promotions, resignations etc.
2. Identify vulnerable positions as a result of the statistics in the workforce analysis
3. Diversity profiles
4. Current and desirable supervisory/non-supervisory ratio
Labour Demand Analysis
Review workloads and operational needs for future timeline. Forecast specific staffing needs in light of themission and vision in the strategic plan.
Forecast approximate numbers by:
1. Job classification
2. Position location
3. Overall organization context (place on the organizational chart)
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Developing a Human Resources Strategy 57
Analyse the GAP
Comment on the resource load:
Compare current available resources (Supply Analysis) with needed resources (Demand Analysis) in the projec-tion period. Address deficits, surplus, and issues of critical impact.
Production of a Draft Action Plan
Specific activities, revisions, modifications, adjustments, replacements to address the significant gaps identified inthe gap analysis.
A. Contextualizing Action Plans
Alignment with strategic plan
Internal resources required
Comment on specific impact, for example:
1. Recruitment and retention
2. Job analysis and re-design
3. Training, re-skilling, management development
4. Succession planning
5. Productivity improvement
6. Organization restructuring
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B. Dealing with Labour/ManagementIssues
If applicable, develop an approach for dealing with labour/management issues that may affect the strategic planand its implementation.
To include:
Legislative requirements imposed on the employer
Collective Agreement requirements imposed on both parties
Employee involvement mechanisms/opportunities/recourse
Negotiations issues raised by the strategic plan
Comment on the union–management relations climate and its impact on strategic plan acceptance
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Developing a Human Resources Strategy 59
Comment on prerequisites for successful plan implementation, including the need for:
1. Leadership/senior management support
2. A communication plan
3. An audit mechanism
Elaborate on the need to continuously monitor, assess, and review the plan outcomes to determine progress inaddressing gaps and identify where adjustments to strategy content and implementation items are needed.
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60 Strategic Human Resources
¶1190 MODEL POLICIES AND PROCEDURES
¶1192 Sample Human Resources Strategic Plan
COMPANY ABC HUMAN RESOURCES STRATEGIC PLAN
Introduction:
To achieve our vision, the key issues facing HR in supporting the achievement of the corporate planinclude
● a modern human resources management structure and processes;
● continual monitoring of performance and services;
● development of the ‘‘Best Practices’’ employer;
● the implementation of a new job evaluation system;
● reorganization of departmental structures;
● transformation from a transaction-oriented department to a resource/service centre for employees;
● the development of a performance evaluation system.
HR Strategy:
The strategy comprises the following key elements, which link to operational service plans. Eachelement has a specific aim and details of how these will be achieved. The elements are
● the long-term goals and priorities of the organization;
● an analysis of shared vision/values;
● human resources management challenges and barriers;
● demographic assessment;
● an assessment of organizational effectiveness;
● internal labour market capability skills inventory;
● succession planning to meet organizational strategy;
● recruitment, retention, and diversity;
● human capital investment (training and development plans);
● Human Resources Management Systems (HRMS);
● employee performance evaluation;
● compensation strategy (aligning compensation for performance results);
● employee/labour relations trends;
● a communications plan to disseminate information on human resources initiatives; and
● an HR audit plan to maintain alignment with the corporate plan and provide for periodic review ofthe HR strategic plan.
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Developing a Human Resources Strategy 61
Strategic Priorities (Years Covered):
The top 10 strategic priorities currently facing the HR function flow directly from the corporatestrategy. They are
● an assessment of organizational effectiveness;
● internal labour market capability skills inventory;
● succession planning to meet organizational strategy;
● recruitment, retention and diversity;
● human capital investment (training and development plans);
● Human Resources Management Systems (HRMS);
● employee performance evaluation;
● compensation strategy (aligning compensation for performance results);
● employee/labour relations trends; and
● a communications plan to disseminate information on human resources initiatives.
Monitoring Measures:
Progress against the HR strategy and action plan will be a standing item for the human resourcesmanagement team, which will report to the corporate management team.
HR Strategy and Action Plan — Year One:
The following pages identify the comprehensive Year One action plan as well as providing an outlinelist for years two and three. These will be updated in light of priorities determined by consultationwith stakeholders and monitoring of progress against Year One. It should be noted that inevitably,there is some cross-over between the 10 elements of the Strategy. For example, the Diversity elementhas an impact on all other aspects.
HR Strategy and Action Plan — (Repeat for Year Two, Year Three, Year Four, etc.):
(SAMPLE COMPONENTS)
Component 1 — Communication
Objective
To devise and implement an effective internal communications strategy to ensure effective communi-cation across all areas of the organization.
This will be achieved by:
1. Establishing systems to identify issues about which employees should be informed.
2. Establishing effective systems to enable two-way communication within the company on keyorganizational issues and to ensure that systems comply with corporate initiatives.
3. Using the most accessible and appropriate means of communication so that all employees areable to contribute to the organization’s operations and development.
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Key Outcome Measures
● introduction of communications strategy
● per cent of employees and managers believing communications have improved
Component 2 — Diversity
Objective
To improve the organization’s management of diversity issues in order to maximise the potential ofemployees, improve access to and delivery of services, and to raise the profile of the company as anoutstanding employment equity employer.
This will be achieved by:
1. Identifying and removing barriers to recruitment, development, and promotion.
2. Ensuring that quality standards in relation to race, gender, age, and disability are met.
3. Designing and delivering packages that will enhance the work–life balance of employees.
4. Reviewing and developing HR policies and procedures that deliver improvements in diversity.
Key Outcome Measures
● per cent of the top earners that are women
● per cent of the top earners that are from minority ethnic communities
Component 3 — Employee and Labour Relations
Objective
To develop positive and productive relations with both employees and trade unions to maintain theeffectiveness of the organization.
This will be achieved by:
1. Reviewing and improving arrangements for consultation and negotiation.
2. Agreeing on arrangements for resolving disagreements and grievances between management andtrade unions.
3. Developing policies and procedures to enable employees and managers to resolve issues con-structively and to ensure a positive working environment for all employees.
Key Outcome Measures
● per cent reduction in disputes reaching dispute resolution/arbitration/courts
● arrangements for resolving disagreements between managers and trade unions are in place
● reduction of number of instances of complaints and grievances
Conclusion:
Presently, HR staff dedicate about 75% of their time to administrative and secondary functions.Outsourcing administrative HR tasks can free up internal resources and allow human resources staffto concentrate on strategic HR functions that can add value to the organization.
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HR Audits 63
HR AUDITS1
¶1200 OVERVIEW
The Human Resources (HR) audit is a systematic, organization’s ongoing commitment to quality andcompliance in its HR processes.independent, and documented process involving the
collection of evidence and the objective evaluation of An HR audit assists the organization and the HRthe information gathered to determine the extent to department to reduce costs, increase productivity andwhich the audit criteria are fulfilled. It is a part of the customer satisfaction, improve quality of work and thecontinual improvement process for ensuring the effec- work environment, staff morale, and financial out-tive and efficient use of HR resources. An HR audit comes for the organization.involves the review and assessment of the effectiveness
In the Practical Application section, the following ele-of the HR department, its policies, practices, processes,ments are discussed:compliance with regulation, and its alignment with
the strategy of the organization. It is generally con-● what constitutes an HR audit;
ducted by an impartial third party and involves input● why conduct an audit;from the executive team, management, and staff alike.● what an HR audit entails, including audit planningThe HR audit itself does not rectify problematic
and preparation; andissues; it is a diagnostic tool for identifying these issues,from which an action plan is drawn for improvement. ● conducting an audit: sample audit questions for thePerforming an audit on a regular basis supports an main functional HR areas.
¶1205 PRACTICAL APPLICATION
ison to the organizational values, strategic plan, and¶1207 What Constitutes an HRoperational goals.Audit?The HR audit supports the HR department to
An HR audit can include two parts — compliance improve overall processes, improving the use of theand strategic alignment. organization’s human capital, and supporting the
recruitment and development of a workforce that isThe compliance portion requires a careful review of prepared to assist the organization in achieving itsexisting policies, practices, and processes in compar- goals.ison to external sources such as industry sector stan-dards, regulatory bodies, legal compliance standards,
¶1210 Why Conduct an Audit?employment standards legislation, labour relations,
The HR audit is generally conducted as a part of theWorkers’ Compensation Board, etc.risk management or betterment plan or process
The strategic alignment portion includes a careful (unless the organization is being challenged by a regu-review of policies, practices, and processes in compar- latory body on compliance issues and needs to
1 ‘‘HR Audits’’ chapter © Kathline Holmes of Gailforce Human Resources Solutions (www.gailforceresources.com). Content licensed exclusively to CCH Canadian Limited.
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64 Strategic Human Resources
investigate or validate its procedures). By conducting the risks associated with those gaps. The audit itselfan audit, the HR department demonstrates the value does not necessarily include a recommendation plan,that all the staff in the operation bring to the organiza- but it will thoroughly document the status of thetion’s financial outcomes. By conducting an HR audit, organization in major functional areas such as thethe organization is committing to a level of quality following:within HR and ensuring that the activities carried out
● the organizational strategic plan;within the organization are contributing positively to● business operational plans;the bottom line.
● workforce planning;Some more specific reasons for performing an HRaudit may include the following:
● the communication plan;● to ensure the effective and efficient utilization of the
● organizational behaviour;organization’s HR department in alignment with
● recruitment sourcing and selection;the organization’s business strategy;
● orientation and on-boarding practices;● to assist the organization in achieving its businessgoals;
● performance management;● to ensure the effective and efficient utilization of the
● rewards management;organization’s people resources in alignment with
● employee and labour relations;the organization’s business plans;
● health and safety;● to ensure compliance with regulatory requirements;
● learning and development;● to ensure that the HR function is able to meetpotential challenges and is prepared to effectively
● HR systems, support, and monitoring;manage changes, mergers, cutbacks, and organiza-
● collective agreement administration;tional growth;
● job development;● to demonstrate the economic value of the organiza-tion’s human capital and HR programs;
● files and records maintenance; and● to ensure HR is allocating its budget in the most
● technology use.effective and efficient way;
The first step is to develop the audit plan.● to ensure the organization is prepared to handle a
dispute resolution process when or if required; Preparing the Audit Plan● to ensure ongoing improvement for the HR depart- Preparation of an audit plan includes the following
ment; and steps:● to monitor the effectiveness of human resources
● define audit criteria, objectives, scope, andinitiatives. benchmarks;
● define audit approaches, methodology, and tech-¶1220 What an HR Audit Entails nology;
The audit entails a thorough examination of the ● define area/s to be audited;organization’s values, strategic plan, organizational and
● define high priority concerns;operational goals, existing policies, procedures, prac-tices, documents, and systems. It identifies gaps in ● define applicable procedures, manuals, data,regulatory compliance and strategic alignment, and resources , re ference documents , working
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HR Audits 65
documents required to facilitate the audit function, ● Do the processes in place work in alignment withand where to find them; the strategic direction of the organization?
● define time duration of major audit activities; ● Are the strategic initiatives incorporated into the jobdescriptions, performance appraisals, compensation
● establish audit team and define their roles andand incentive plans, learning and development pro-responsibilities;grams, etc?
● establish schedule of meetings, dates, and places● Does the technology in use effectively and effi-where the audit is to be conducted; and
ciently track the outcomes of your people and● prepare audit checklist. processes in relation to desired organizational out-
comes?Collecting Audit Information
Business Operational PlansGathering your information can take several forms.● Are your people aware of the business and opera-Using several information gathering techniques is
tional goals and plans within their departments?helpful. Your HR audit tools may include the fol-lowing:
● Are your people aware of how their achieve-ments/activities impact the outcomes of other● conducting interviews;departments?
● observing work activities;● Do the job descriptions, performance appraisals,
● checking records (e.g., from the organization’s compensation plans, learning and developmentHuman Resources Management System); programs, etc., support the achievement of the oper-● gathering and compiling electronic data; ational plans and goals?
● reviewing documents; ● Are your managers and supervisors supported intheir efforts to engage their people in the activities
● sampling (e.g., conducting a sample audit of a singlerequired to achieve desired outcomes?process file, or of a complete function);
● Does the technology in use support the effective● administering questionnaires; and
and efficient tracking of employee activities and● setting up focus groups. outcomes in relation to achieving operational goals?
Does this technology enable managers and supervi-sors to monitor progress towards operational goals?¶1230 Conducting an HR Audit:
Sample Audit Questions Organizational BehaviourWhile there are tools and resources available to sim-
● Do your people know the organization’s mission,plify and streamline this process, here are a few ques- vision, values, and philosophy?tions to aid you in the preparation for your audit. This
● Do your people believe in your organizationalis not meant to be an exhaustive list of questions, butvision, mission, values, and philosophy?is a basic guide to get you started, covering the major
HR functional areas in an organization.● Has your organization defined observable and mea-
surable behaviours that demonstrate the vision, mis-Strategic Alignment sion, values, and philosophy of the organization?● Are employees aware of the strategic direction of
● Are the vision, mission, values, and philosophy ofthe organization? the organization reflected in job design, leadership,
● Do employees know how they contribute to the structure, training, appraisal systems, compensation,execution and achievement of the strategic plan? etc.?
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66 Strategic Human Resources
● Do your people demonstrate behaviours in accor- — a process for communicating initiatives todance to the organizational vision, mission, values, employees?and philosophy?
— tools to measure the effectiveness of communi-cation within the organization?Communication
● Do you have a communication plan, policy, and Workforce Planningprocedures in place?
● Has your organization clearly defined capabilities of● Are the communication plan, policy, and proce- positions, and is this information up-to-date anddures shared and accessible to everyone throughout included in job descriptions, postings, etc.?the organization?
● Does your organization track demographic informa-● Does the review and revision of the communica-
tion, demonstrating gaps in KSA (knowledge, skills,tion policy and procedures include members of theand abilities) of the workforce, departments, andsenior and middle management, supervisors, andpositions?staff throughout the organization?
● Has your organization developed short-, medium-● Do your people receive the information communi-
and long-term plans for ensuring that a pool ofcated to them?qualified resources is available to draw from when
● Are the managers and supervisors trained in positions become vacant?listening skills and feedback skills?
● Does your workforce plan include programs and● Do managers hold their staff accountable to the procedures to ensure effective knowledge transfer?
communication policy?● Does the HR department provide adequate levels of
● Are managers and supervisors held accountable to service and information to departments to supportthe communication policy and procedures the implementation of succession plans for key(included in performance measures)? positions and occupational categories?
● Does your communication plan include:● Has your organization developed a program and
procedures for training and monitoring manage-— descriptions of acceptable communicationment in the implementation, use, and maintenancestyles?of the succession plans?
— learning and development for effective commu-nication and how to follow the organization’s
Job Developmentcommunication plan and policies?● Do you have a job development plan and policy in— various formats of communication (e.g., use of
place?bulletin boards, suggestion box, memos,intranet, quality circles, surveys, person-to-
● Does this plan include the regular review of jobperson, meetings, newsletter, team, etc.)? descriptions, roles, responsibilities, and specifications
in alignment with operational needs?— a feedback loop?
● Does the job development plan include job enrich-— a communication flow chart?ment and job rotation policy and procedures?
— a process for keeping employees up-to-date on● Are all job descriptions up-to-date?organizational activities?
— processes for communicating change to ● Are job definitions in alignment with, and do theyemployees? support, business processes?
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HR Audits 67
● Do job descriptions accurately describe the roles, ● Are recruitment selection documents up-to-date,responsibilities, activities, and necessary outcomes of accurate, and aligned with organizational goals?the job?
● Are recruitment selection documents readily avail-able for use by all people involved in the hiring● Is there a list of required and preferred knowledge,process (e.g., job descriptions, interview questions,skills, and abilities for all job specifications?interview format, tracking documents, reference
● Do employees and managers have input into the check documents, etc.)?job design process?
● Is pre-employment testing conducted consistently?● Are employees made aware of and given access to,
● Is pre-employment testing monitored for accuracyor copies, of role descriptions, expectations, andin performance predictability?desired outcomes?
● Is the interview and reference-checking process● Are position descriptions used for workforce plan-documented and kept on file?ning, recruitment, performance management, and
development purposes?● Are there policies on external or internal sourcing
(e.g., are job vacancies offered to current employeesfirst)?Recruitment: Sourcing and Selection
● Do job postings contain as much information as● Does your organization have a documented recruit-possible (selection criteria for hiring managers andment sourcing plan and process in place?potential employees)?
● Is the recruitment sourcing plan and process fol-● Are selection processes in keeping with humanlowed?
rights legislation?● Does the recruitment sourcing plan include an
● Are applicants asked to voluntarily identify theiremployment brand that accurately reflects theemployment equity information?organizational culture?
● Are privacy statements on employment applica-● Does the employment brand accurately reflect thetions?expectation your organization has of your people?
● Is there an applicant inventory for future needs?● Does the organization ‘‘live’’ its employment brand?
● Are employment status and conditions clearly indi-● Is there a targeted communication plan for your
cated (full/part-time, casual/seasonal, independentemployment brand?contractors)?
● Does the employment brand attract the talent you● Does the HR manual carry a statement on ethicalneed for organizational success?
practices in recruitment?● Do you measure the success of your employment
● Are recruitment selection efforts measured (e.g.,branding efforts (quality of source/cost/)?turnover rates calculated, quality of hire/per man-
● Does your organization have a recruitment selec- ager, time to fill, etc.)?tion plan and process in place? Are they docu-mented and accessible? Orientation and On-Boarding Practices
● Are all people involved in the recruitment selection ● Does the organization have a formalized orientationprocess aware of, and trained in, the process? or on-boarding program and procedures?
● Are the recruitment plan and process followed con- ● Is the program content adequate (behaviour, proto-sistently? cols, health and safety, conflict resolution,
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68 Strategic Human Resources
communication, organizational goals, organizational — escalation process for poor performance?chart, etc.)?
— probationary performance and mid-year● Does the program include an introduction to the amendments to goals and milestones?
manager, the facilities, workplace guidelines and● Are job descriptions, performance outcomes, andnorms, various departments, work teams, and co-
organizational behaviours integrated into the per-workers?formance review/assessment process?
● Does the program include provisions for adequate● Are performance reviews conducted by more thanworkspace, tools, schedules, resources, and informa-
one body?tion to be provided on the first day of work?● Are performance review records linked to salary
● Is the employee manual included (signed off asadjustment decisions?read) as a part of the orientation/on-boarding
process? ● Are employee performance reviews linked to careerdevelopment?
● Does the program/procedure include checklists andtimelines for specific activities and feedback? ● Do corrective action plans exist for substandard per-
formance?● Is the type of information tailored to the workplace
(e.g., company-, organization-, or department-spe- ● Is workplace coaching or mentoring included in thecific)? performance improvement process?
● Are there any feedback mechanisms for employees ● Are all people involved in the performance manage-(e.g., communications, suggestion programs)? ment process trained in the organization’s perform-
ance management program and procedures?● Is a ‘‘buddy’’ or mentor program included as a part
of the on-boarding process? ● Are the performance management documentsmade readily available to all people involved in the
● Is the ‘‘buddy’’ or mentor program clearly definedperformance management process?and documented with matching processes, struc-
tured check-in points, and expectations? ● Is there a feedback process for employees on theeffectiveness of the performance management pro-
● Is the program monitored and measured for effec-gram?tiveness?
● Is an up-to-date procedure documented and in● Does the program provide adequate feedback chan-
place for an employee to appeal an unsatisfactorynels?review?
Performance Management ● Are all people involved in the performancereview/assessment process also involved in the con-
● Does your organization have a consolidated andtinuous improvement of the process?formally documented performance management
program and procedures in place? ● Are performance reviews linked to workforce plan-ning?
● If so, are the following included:
— roles and responsibilities in performance man- Reward Management (Compensation andagement? Benefits)— monthly monitoring and evidence require-
● Is a formal and documented compensation/rewardments? management program and process in place? Is there— reporting process and/or timetable? a formal salary grid?
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● Are the rewards management program and policies — dispute resolution?understood by all employees?
— rewards, wages, and benefits?● Do managers and supervisors understand the
— vacation pay?rewards management program?— health and safety?
● Are managers trained in the reward managementprocesses? — hours of work and breaks?
● Are the program and policies on reward manage- — attendance?ment included in the employee manual?
— overtime?● Is the rewards management program in compliance
— public holidays?with employment and labour standards?
— technology use?● Is the program compliant with equity legislation?
— privacy?● Is the rewards management program competitivewith salaries and wages in the industry?
— data protection?● Are the benefits packages sufficiently flexible to
— Internet security?meet the needs of employees?— bullying and harassment?
● Are the employees satisfied with the rewards man-agement program? — appealing decisions?
● Is the rewards management program linked to — leave (personal, parental, medical, etc.)?performance management?
— payroll deductions?● Is the rewards management program reviewed
— layoffs and terminations?annually for competitiveness and cost effectiveness?
● Are policies and procedures readily available to allpeople within the organization?Employee Relations
● Do the organization’s policies and procedures ● Are policies and procedures adhered to consistently?comply with federal and provincial employment
● Is there an employee relations committee?and labour standards?● Is the committee composed of a sampling of execu-
● Are managers and supervisors provided withtive, management, supervisors, and staff fromtraining and supports in applying policies consist-various departments throughout the organization?ently?
● Does the committee regularly review and revise pol-● Are there policies on and procedures for the fol-
icies and procedures in accordance with employ-lowing:ment and labour standards and organizational
— hiring, transfers, and promotions? needs?
— performance and evaluation? ● Are employee engagement surveys conducted on anongoing basis?
— diversity and equity?● Is information from employee surveys used for— learning and development?
improvement programs and revision of existing— corrective action? programs?
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Collective Agreement ● Does the labour management committee reviewAdministration/Labour Relations and revise policies and procedures (outside of the
collective) on an ongoing basis?● Does the organization have a senior management
consultation process for collective bargaining ● Does the existing labour management committeestrategy? work as a cohesive team?
● Is there a negotiations mandate approval process? ● Is a process is place for regularly refreshing thelabour management committee members?
● Is there a managerial input process for employerproposals?
Health and Safety● Is there a mechanism for proposal costing during
negotiations? ● Does your organization have a health and safetypolicy, and procedures that are up-to-date, docu-
● Is there a media/internal communications plan formented, and in compliance with regulations?negotiations?
● Does the organization demonstrate a commitment● Is the grievance handling consistent, timely, and
to maintaining a safe and healthy work environ-efficient?ment?
● Is there an internal dispute resolution or outsourced● Are the workplace policy and procedures communi-mediation system available to prevent grievances?
cated throughout the workplace (dated, signed, and● Are arbitration costs tracked? accessible)?● Are the names and contact information of all union
● Are visitor responsibilities and procedures includedexecutives and shop stewards communicated and in the policy?posted?
● Are staff and contractors at all levels formally● Is there a referral mechanism and authorization for trained in health and safety practices, including
outside counsel? understanding the consequences of procedure viola-tions?● Is payroll compliant with the collective agreement?
● Is there a link between HR and payroll for collective ● Is there a Workers’ Compensation case manage-agreement benefits and payment entitlements? ment system?
● Are legal reporting subscriptions in place to keep — is there any investigation of injuries/incidents?current on court, tribunal, and arbitration decisions?
— is there follow-up remediation where appro-● I s t h e c o l l e c t i v e a g r e e m e n t d i s s e m i - priate?
nated/distributed?— is there any evidence of regular contact or
● Are managers briefed and/or educated regarding progress reports of injured workers?administration of the collective agreement?
— is there regular contact with medical providers?● Is a labour management committee in place?
— are return-to-work programs in existence and● Is the labour management committee guided by a effective?
clearly defined purpose and clearly defined process— are the Workers’ Compensation claims experi-for meetings? Is this documented?
ence and ratings calculated and monitored?● Does the labour management committee meet on
a regular basis? Are all meeting minutes recorded ● Are health and safety materials posted in high trafficand documented? areas? (e.g., materials on OH&S, WHMIS, TDG,
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MSDS, designated substances, emergency service ● Is there a Joint Health and Safety committee (unionnumbers, etc.)? or non-union)?
● Are people designated into specific roles and● Are any facilities accessible to disabled employees?
responsibilities, with written descriptions outliningspecific activities?
Learning and Development● Are supervisors held accountable for following
● Does the organization have a learning and develop-health and safety procedures in their workplace? Isment policy and procedures in place?the process formalized, measured, and performed
regularly?● Is the learning and development plan aligned with
● Are workplace inspections conducted and docu- the strategic direction and the workforce plan of themented on a regular basis? organization?
● Are safety information sessions conducted and doc-● Does the organization demonstrate value for, and
umented regularly (e.g., tailgate meetings, safety commitment to, the learning and development pro-talks, staff meetings, etc.)? gram and plan?
● Are incident investigations carried out consistently?● Are sufficient resources allocated to ensure the suc-Are they documented, and are recommendations
cess of the learning and development programs?made and corrective action taken?
● Do learning and development plans address tech-● Do procedures include the following:nical skills, management development, and corpo-
— safe operating procedures?rate needs of the organization?
— injury, illness, and hazard reporting?● Do learning and development plans include various
— lockout procedures? learning formats (e.g., mentoring, coaching, facili-tated, online/web-based, formal, and informal, etc.)?— working in confined spaces?
— refusal to work? ● Are the quality and effectiveness of learning anddevelopment programs evaluated and measured? Is— personal protective equipment?ROI demonstrated in these measures?
— emergency equipment?● Are employee performance reviews/assessments
— disaster plan and emergency evacuation plan? used to identify training needs?● Is a reward program in place for health and safety
● Are learning and development opportunitiesperformance?applied consistently and fairly throughout the
● Are staff consistently held accountable to follow organization?health and safety procedures in the workplace?
● Are learning and development programs geared to● Is a safety and wellness program in place (e.g., pre- meet the career development needs of employees at
vention of injury, healthy lifestyles, first aid, CPR, every level within the organization?etc.)?● Are employees involved in developing, reviewing,
● Is there any workplace violence and harassment pre-and revising development programs?vention and monitoring?
● Are managers and supervisors evaluated on the● Are there any responsibility centres for health andcareer development of their staff?safety or designated individuals required by law?
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HR Systems, Support, and Monitoring Files and Record Maintenance
● Are policy and processes in place for the effective ● Is there an appropriate record management system?and efficient provision of HR support to the organi-
● Is a system in place to ensure confidentiality andzation? privacy of records? If shared with a separate payroll
● Does the organization demonstrate value for the function, is there authorized access control?contribution of HR to the financial success of the
● Is the content of employee files in keeping with laworganization? and collective agreements?
● Is HR represented at the executive level?● Has the duration of time for information to be kept
● Are appropriate staffing levels and budget available in files been adhered to?for the effective and efficient operation of the HR
Technology Usefunction?
● Are a plan, policy, and procedures in place for tech-● Are adequate technology supports available for thenology use?HR function?
● Are all people within the organization aware of, and● Are measures (quantitative and qualitative) in placedo they have have access to, the technology-useto demonstrate how well HR is performing?plan, policies, and procedures?
● Is HR measured (for speed, quality, and quantity of● Is there evidence of all management, supervisors,service) in the following areas of service delivery:
and staff being held consistently accountable to the— strategic support of organization? technology-use plan, policies, and procedures?— recruitment?
● Do policies include the following:— learning and development? — acceptable use of computer/mobile devices?— reward management? — placement of intellectual property on employer— health and safety? equipment?
— diversity? — Internet/intranet use?
— compliance with regulations? — appropriateness of communications?
— use and maintenance of information systems? — definitions of inappropriate use of technology?
— change management? — Internet and e-mail etiquette?
— communication? — security?
— employee relations climate? — telework?
— document maintenance? — equipment loss or replacement?
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HR Audits 73
¶1275 CHECKLISTS
¶1277 HR Audit Checklist
To ensure a positive audit, use the following checklist:
❏ Identify the purpose of the HR audit.
❏ Identify areas to be audited.
❏ Identify scope, objectives, and criteria for audit.
❏ Identify who will be involved in the audit process; allocate appropriate time.
❏ Define roles and responsibilities of parties involved in the audit.
❏ Plan the audit methods, timeline, and desired outcome.
❏ Gather data, information, documentation, etc., required for review.
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EMPLOYEE SURVEYS
¶1300 OVERVIEW
Employee surveys are an effective tool used by human The following discussion provides detail on certainresources managers to measure employee morale and aspects of employee surveys, includingto measure the effectiveness of various human
● items that should be considered before conductingresources management initiatives. They are an impor-a survey;tant part of a comprehensive employee communica-
tions program, but should be used cautiously. Inap-● the steps in the process of conducting a survey; and
propriate deployment of an employee survey tool canbe counterproductive. ● alternatives to conducting a survey.
¶1305 PRACTICAL APPLICATION
to complete it. If it is too short, management may¶1307 Considerationsdiscount its value.
The following items should be considered when con-ducting employee surveys: How the Survey is Administered● the issues addressed by the survey; The survey designer needs also to consider how the● how surveys are administered; survey will be administered. Some questionnaires are
sent to employees’ homes to be completed. The disad-● the long-time commitment required; and
vantage of this is that the response rates can be quite● the impact on employee expectations. low, particularly when the survey is first run. However,
on the flip side, the response rates may provide aIssues Addressed by the Survey surrogate measure of effectiveness. If the response rates
increase over time, this may be an indication that theIn any effective communications plan, the humansurvey is seen as a meaningful tool in the eyes ofresources practitioner must not only consider whatemployees. Alternatives include providing employeesvehicles to be used for top-down messages, but alsowith time at work to complete the questionnaire, andneed to find effective channels for bottom-up com-having a third-party call center service phonemunications. The survey is effectively a channel thatemployees to have the survey completed verbally.allows employees to voice their opinions on how well
they feel the organization is being run.Long-Term CommitmentSurveys are much more than simply asking employees
to complete a questionnaire. There is a definite pro- Employee surveys can sometimes suffer from poorcess, and the questions asked must be carefully design and less-than-effective implementation.selected to ensure salient issues are addressed. The Human resources managers should think carefullymere fact that a question is being asked will signal to about the use of a survey before embarking on theemployees that the organization believes the issue is exercise, as it represents a long-term commitment. Ifimportant. Survey length may also be an issue. If the the organization is going to use a survey, it cannot be aquestionnaire is too long, employees may be reluctant one-time affair (except in circumstances where a
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Employee Surveys 75
focused survey format is being used to test reactions to employees to provide input and then failing to act ona very specific initiative). that input is a recipe for deflating employee attitudes.
Hence, it is essential that management understandsImpact on Employee Expectations the amount of time and resources needed to make
the survey work effectively. This may be tricky. MostAnother issue to consider before engaging in anmanagers have a pretty good idea of what theiremployee survey is the impact on employee expecta-employees think is important and what is needed totions. When you ask employees for their opinions,help employees improve working conditions. Some-you are going to raise their expectations that you aretimes, however, senior management can lose touchprepared to do something about what they have towith what is happening on the floor. They may seesay. The survey is not simply a measuring device.the survey as a quick and easy way to find out what isRather, it represents a human resources managementgoing on. They therefore may gloss over the impor-process that can, when used appropriately, result in antance of treading cautiously.engaged and empowered workforce that truly believes
it has significant input into the way the organization isBuy-In from Senior Managementrun.Senior management also tends to have a penchant formeasurements. Hence, the survey offers an attractive¶1320 Processway to put a number to ‘‘morale’’, and to measure
The process to be followed when developing an changes from year to year. However, it is the under-employee survey includes the following steps: lying issues that are far more important, and may be
missed if the survey is not designed and implemented● designate a senior management team to sponsor thecorrectly.survey;
● get buy-in from the senior management team;Survey Design
● design the survey format, questionnaires, and feed-While forced choice questions, such asback reports;
Indicate how you feel about the following statement:● conduct the survey;
The company pays a competitive salary.● tabulate the results;
� Agree � Disagree● provide initial reports to senior management;
are preferable to develop measures, they often fail to● provide feedback to the participating employee solicit the salient points from employees. For example,
groups; in one survey, an organization found employees wereconsistently reporting that they received no training● develop action committees to act on recommenda-whatsoever. When the human resources departmenttions;checked for understanding by asking employees to
● provide regular updates to employees and manage- rate specific training, such as training on the use ofment on action plans and implementation; and forklifts, material-handling equipment, production
● repeat the process. methods, and safety-related training, they found thatover 80% of employees actually did receive regular
Senior Management Involvement training. Thus, what is being asked is very important.
It is absolutely crucial that senior management under- Moreover, every employee survey should provide anstands the level of commitment necessary to make the open forum for employees to provide comments.survey an effective tool. If there is not going to be While this data is all but completely impossible tofollow-up to the response, not only will there be an reduce to a measure, it provides vital insight into whatimpact on future surveys, but there will also be an is important to employees. Regardless of whatimpact on employee morale in general. Asking measures are used to evaluate employee response, the
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76 Strategic Human Resources
end result is always highly subjective and will require Tabulating the Resultssome interpretation. Open-ended questions, such as
Surveys should not take more than a week to com-‘‘What do you believe the company does really well?’’,plete. Many experts will advise that three to fourallow the analyst an opportunity to get a feel for theweeks is typical. However, to increase the effectivenessmood of employees.of the survey, the human resources manager will wantto move as quickly as possible. The credibility of the
Conducting the Survey tool increases substantially when it is conductedquickly. Similarly, the questionnaire should be simpleSurveys should be conducted in the most efficient enough that an analyst using very simple computerway possible. Many surveys fail to be effective because tools should be able to tabulate the results in a week.of the amount of time that elapses between when the Third-party providers may sometimes suggest that thesurvey is first distributed and when results are fed turn-around for data will take one to two months.back to employees. Perhaps obviously, the summer This is far too long, and much momentum will bemonths are not a good time to conduct a survey lost. More time should be spent on providing feed-because too many senior people may be away onback, developing action plans, and making the requi-vacation. The human resources manager should alsosite changes than is spent on the survey instrumentrealize that it is not possible to get 100% of theitself.employees to respond. A representative sample should
suffice. Surveys should normally be confidential to protectemployees from reprisals for offering negative opin-Voluntary compliance on an employee’s own timeions. However, over time, in an open environmentprovides an additional measure of survey effectiveness.where there is a high degree of trust, this becomes lessIf the response rate is low, it is an indication thatof an issue. Notwithstanding, the survey instrumentemployees have little confidence in the survey instru-should collect some demographic information toment. Over time, the response rate should grow if theallow for analysis by location, function, employeesurvey process is seen by employees as being effective.classification, gender, age, and any other criterion
The human resources manager should also be cau- deemed to be important by management.tious about how survey implementation is communi-cated to employees. If the organization chooses to
Providing Initial Reports to Managementallow employees paid time at work to complete thesurveys, a proper proctor should be employed to
The analysis of the data should result in an easy-to-oversee the completion. It is not unheard of to haveunderstand presentation of data. The raw data shouldlocal managers sit over employees as they completebe presented first to the management group to see if itthe survey and skew the results. Unfortunately forcan provide some insights to help in interpreting thethese managers, the impact is usually lower scoresdata. If managers have an idea about why a particularrather than higher.score seems high or low, then this can be fed back toemployees to test for understanding. The ultimateManagers should never be judged on the specificgoal is not to merely improve the score from one yearscores of an employee survey. Much like an audit, theto the next, but to use the survey as a means tosurvey is nothing more than a snapshot of employeeimprove two-way communications between theattitudes at a given point in time. The manageremployees and management. Providing insight intoshould, however, be held accountable for completingwhy managers believe employees responded in a par-any action items that are recommended as a result ofticular way will open up the dialogue during the feed-the survey. If these action items are appropriate, futureback sessions. Similarly, uncensored comments shouldsurvey scores should improve. Certainly, the managerbe used in the presentation. This demonstrates to theshould be careful not to communicate an expectationemployees that management is prepared to take theto employees of where he or she would like to see thegood with the bad.results come in.
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Employee Surveys 77
Feedback Sessions zation is trying to establish the survey as an importantcommunications vehicle, the process may not beThe feedback sessions are particularly important.robust enough to survive from months of being dor-Whenever possible, senior management should bemant. Moreover, having more frequent surveys willinvolved in some way. At a minimum, the senioraffirm management’s commitment to the process.executive may want to write to employees and discuss
the overall results and the plans for the future. Even Surveys are often taken too lightly and seem to be abetter, the executive will become personally involved given part of the human resources mandate. Certainly,in discussions with employees over the results. At each they are a very powerful tool and can effectively trans-level, the manager in charge of a group should be held form an organization. However, if the organizationresponsible for presenting the results. This is not a underestimates the commitment required and fails tohuman resources function. Managers need to be seen provide the necessary resources to make the survey anas owning the results. effective communications vehicle, the result is not
merely a failure, but can have a counterproductiveFeedback is a two-way channel. As the results areeffect on morale.presented, employees should be invited to provide
comments and to give insight into why certain ques- Surveys can be abused by managers, and hence,tions resulted in high or low scores. More importantly, human resources managers should be careful not tothe manager should suggest ways to improve on cer- let the process get away from them. The survey andtain scores and look for employee guidance as to the results belong to line management, but the pro-whether or not he or she is on the right track. When cess belongs to the human resources function. Abovethere is no specific recommendation from manage- all else, the human resources manager must do every-ment, employees should be asked what they would thing possible to protect the integrity of the process.like to see happen.
¶1345 AlternativesDeveloping Action Committees
In large organizations, it may be better to survey smallFollowing the feedback sessions, employees should be parts of the organization at a time rather than theasked to participate in action groups that will be entire organization. An alternative to the employeeresponsible for implementing any recommendations approval survey process is to use a focused surveythat have been brought forward. The whole idea is to format that asks employees to comment on specificuse the survey as a platform for improving employee initiatives or programs, rather than measuring generalengagement. Initially, there likely will be far too many morale. The benefit of this approach is that it does notissues for the teams to handle. The manager, in con- demand the same level of commitment. Instead, thejunction with the input received from employees, results can be used to tweak a particular process. Thisshould select the most important issues to be tackled. type of survey can be conducted as a one-off with littleGetting a few things right will have a more positive or no downside effect. Moreover, because this type ofimpact than attempting to fix many issues and failing. survey is focused, it can be replicated often with little
disruption to operations. If employees get used to theProviding Regular Updatesidea of being asked their opinions at different times
Since only a few employees will be able to participate on a wide variety of subjects, the impact is similar toon the action committees, it is important to provide the impact of the employee approval survey process,regular feedback to senior management and to without the same expenditure of time and resources.frontline employees. In some ways, it may be better to
A second alternative is to use a focus group format,initially have more frequent surveys — perhaps everywherein small groups of employees are asked for theirsix months. The rationale behind this is that overopinions on a particular set of issues. This has similartime, the organization will lose focus from the surveysadvantages to the focused survey format, in that it isand move on to other initiatives. If the survey is anrelatively easy to implement, and is small enough toingrained part of the culture, this will not harm themanage with few resources.process. However, in the intial stages when the organi-
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78 Strategic Human Resources
¶1385 SAMPLE FORMS AND LETTERS
¶1387 Letter Introducing Employee Survey
(Date)
(Address)
Re: Employee Survey
Dear Colleague,
Each year, XYZ Corp. conducts a survey of its employees to measure their opinions on certain humanresources management policies and practices. The survey will take approximately 20 minutes tocomplete. Your opinion counts, so we ask that you take the time to complete the enclosed form andreturn it to your human resources representative sealed in the envelope provided. The completedforms will be forwarded to HRM Consulting Co. for analysis.
The survey includes a section that asks you to provide your department, your position, your years ofservice, and your age. This information is needed for analysis only. Your responses will be keptconfidential. No information or data will be published that can in any way identify individuals ortheir responses.
It will take about two weeks for us to get completed surveys from all our employees. Following that, itwill take another two weeks for the consultants to analyze the response and provide us with a report.Once we have received the reports, they will be distributed to the section heads, who will share theresults with you.
The employee survey is an important process for XYZ. We use the information to develop plans forhow we can make this a better place to work. In addition to sharing the results with you, your sectionheads will be asking you for input into the action plans we establish to address any concerns raised bythe surveys. You may also be asked to participate in a Task Force to work on some of the action plans.
XYZ believes the employee survey is an important part of our human resources management strategy.Your participation is needed to make the process a continued success. If you have any questions orconcerns about the process, please do not hesitate to contact your local human resources representa-tive, who will gladly provide you with any information you may need.
Yours truly,
XYZ Corp.
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Employee Surveys 79
¶1388 Employee Approval Survey
Purpose:
The Employee Approval Survey is designed to open up communications with our employees andprovide a channel for employees to communicate upwards to senior management. It is one means tomeasure that employees are receiving our message. The survey will verify that employees understandand buy in to our vision.
The survey will provide us with a measure of employee approval that will be incorporated into ourmanagement performance objectives. The survey, however, will not be the only means of monitoringemployee approval. We will ultimately complement its findings through the use of exit interviews,turnover statistics, human resources practice audits, and focus groups.
Employee approval is important. Employees who work for Top 100 employers are more likely torecommend their company to friends, feel informed about the business they are in, be inspired to dotheir best work, and have a strong desire to stay with the company.
The survey is intended to improve management credibility and build trust with our employees. Asmanagers, we need to raise our level of understanding of how employees feel. What are theirperceptions? Do employees know what our mission is? Do they know what is expected of them inorder to achieve our objectives? These are important elements in creating the positive employeerelations environment needed to realize our goal of being a Top 100 employer.
Managers should not fear the results of the survey. It is a tool to identify areas for improvement. If,through the survey, we open a ‘‘can of worms’’, then we have created the chance to fix it. Otherwise, itwould still exist and would not be dealt with.
The survey is an ongoing process, not a ‘‘flavour of the month’’ program.
All employees will be asked to participate in the survey at the same time, and all employees will begiven a half-hour at work to complete the surveys.
Survey results will be communicated back to employees within one month of conducting the survey.Action plans will be developed and committed to within two weeks of the feedback sessions.Wherever possible, affected employees will have ownership of the action plan.
Follow-up communication sessions and focus groups will be scheduled throughout the year to ensurethe process is kept current and ‘‘alive’’.
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80 Strategic Human Resources
Questions:
Questions 1–15 will be answered on a 10-point balance scale, where ‘‘1’’ = ‘‘Strongly Disagree’’ and‘‘10’’ = ‘‘Strongly Agree’’. The average scores will be the ‘‘Employee Approval Rating’’. These questionswill not be changed from year to year.
1. My work is challenging and worthwhile.
1 2 3 4 5 6 7 8 9 10
2. The company provides employees with the chance for advancement.
1 2 3 4 5 6 7 8 9 10
3. My supervisor provides me with useful feedback on my performance.
1 2 3 4 5 6 7 8 9 10
4. My efforts have been recognized by management.
1 2 3 4 5 6 7 8 9 10
5. I am proud to work for this organization.
1 2 3 4 5 6 7 8 9 10
6. The company has a strong vision for the future.
1 2 3 4 5 6 7 8 9 10
7. The company provides me with an opportunity to build my skills.
1 2 3 4 5 6 7 8 9 10
8. I have job security with this organization.
1 2 3 4 5 6 7 8 9 10
9. I am paid fairly.
1 2 3 4 5 6 7 8 9 10
10. I understand what is expected of me in the performance of my work.
1 2 3 4 5 6 7 8 9 10
11. My fellow employees are always willing to help me out when I need them.
1 2 3 4 5 6 7 8 9 10
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Employee Surveys 81
12. I have considered finding work elsewhere.
1 2 3 4 5 6 7 8 9 10
13. The company provides a good benefits package.
1 2 3 4 5 6 7 8 9 10
14. The company considers safety to be important.
1 2 3 4 5 6 7 8 9 10
15. Managers listen to the ideas put forward by employees.
1 2 3 4 5 6 7 8 9 10
Questions 16–20 will be answered yes or no and serve as a reality check on issues. These questionsmay be changed from year to year.
16. I have received a compliment from a member of management in the past week.
� Yes � No
17. I have had a formal performance review in the past twelve months.
� Yes � No
18. I have been on a company-sponsored training course in the past year.
� Yes � No
19. I have presented ideas to improve processes to my supervisor.
� Yes � No
20. I have seen a copy of the Strategic Plan.
� Yes � No
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82 Strategic Human Resources
Question 21.
On a separate sheet of paper, or in the space provided below, write down anything you would like thecompany to consider that would help us improve.
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Employee Surveys 83
¶1395 MODEL POLICIES AND PROCEDURES
¶1396 Employee Surveys: Procedure
❏ Step One: Secure commitment from senior management.
❏ Step Two: Assemble cross-representational project team.
❏ Step Three: Develop survey questionnaires in concert with project team.
❏ Step Four (optional): Contract with a consulting form to receive and analyse survey data.
❏ Step Five: Notify employees of the process and intent of the upcoming survey.
❏ Step Six: Administer the questionnaire.
❏ Step Seven: Analyse the data.
❏ Step Eight: Provide results of analysis to senior management team and develop action plans at the executivelevel for any organization-wide issues arising from the results.
❏ Step Nine: Review results with local management teams and develop preliminary action plans to address anylocal issues arising from the results.
❏ Step Ten: Review results with employees and record feedback.
❏ Step Eleven: Assemble local action committees to modify and implement action plans.
❏ Step Twelve: Provide periodic updates to senior management and employees on action plan progress.
❏ Repeat.
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84 Strategic Human Resources
HR METRICS
¶1400 OVERVIEW
The word ‘‘metrics’’ refers to any numerical measure. ● how metrics are used in the HR context;Sometimes metrics is referred to as business intelli-
● how to proceed in measuring the effectiveness ofgence, analytics, query & analysis, enterprise query, HR;and reporting. The numbers are used as a measure-● measurement and interpretive tools;ment for standard of quality or benchmarks, when
comparing different items or time periods. Metric● the application of statistical concepts;measures are linked to audits as the quantitative versus● data, surveys and benchmarks; andqualitative content of the audit.
This section discusses the following aspects of metrics: ● other federal government resources.
¶1405 PRACTICAL APPLICATION
● link HR performance with other business metrics¶1407 How Metrics Are Used in thesuch as financial performance metrics, customerHR Contextservice and satisfaction metrics, and other business
Metrics is an evolving area of human resources man- performance measures;agement. There is an increasing need to measure and
● measure recruitment and hiring practices;to apply measurement to HR functions to provide amore solid basis for strategic analysis and strategic ● measure the effectiveness of employee training,decision-making. Traditionally, the challenge is to development, and retention strategies;devise effective metrics in an environment sometimes
● gauge employee satisfaction; andunpredictable because of the behavioural element.● evaluate salary levels.Analysis is difficult because of the attribution attached
to the findings. For example, while statistics may becollected in the area of employee turnover, the mea-
¶1415 Measuring the Effectivenesssurement may have different rationales for the result. of HRThat is, the results may be due to several reasons, suchas dissatisfaction with pay, low morale, volatile labour The Concept of a ‘‘Balanced Scorecard’’markets, etc. Similarly, in labour relations, the level of In The HR Scorecard: Linking People, Strategy, andgrievances may have several attributions. The chal- Performance, Brian E. Becker, Mark A. Huselid, andlenge for the HR professional is to overcome the diffi- David Ulrich (Harvard Business School Press) presentculties in measuring cultural and attitudinal change in the following evolution of human resources as a stra-the workplace, or the return on investment in training tegic asset:and development.
● the personnel perspective;Metrics may be used to:● the compensation perspective;
● measure the contribution of the firm’s workforce tobusiness success; ● the alignment perspective; and
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HR Metrics 85
● the high-performance perspective. By initiating the development of a balanced scorecard,HR can leverage a number of arguably incalculable orintangible workplace issues in its role as the key cata-The Personnel Perspectivelyst in unleashing the potential of the organization’s
In this perspective, the firm hires and pays people, but human capital.doesn’t focus on hiring the very best or developingexceptional employees.
¶1425 Measurement and InterpretiveThe Compensation Perspective ToolsIn this perspective, the firm uses bonuses, incentive An example of the application of metrics to a humanpay, and meaningful distinctions in pay to reward resources function is the area of compensation, wherehigh and low performers. This is a first step toward data gathered provides a statistical basis for decision-relying on people as a source of competitive advan- making. Here, the HR professional may use a numbertage, but it doesn’t fully exploit the benefits of HR as a of statistical concepts in analyzing the data, includingstrategic asset.
● frequency distribution;
● mean or average;The Alignment Perspective
● median;In the alignment perspective, senior managers seeemployees as strategic assets, but they don’t invest in
● mode;overhauling HR’s capabilities; therefore, the HR
● percentiles;system can’t leverage management’s perspective.● linear regression analysis; or
The High-Performance Perspective● correlation.
In this perspective, HR and other executives view HRas a system embedded within the larger system of the Frequency Distributionfirm’s strategy implementation. The firm manages and
Frequency distribution is the result obtained whenmeasures the relationship between these two systemsdata has been grouped into a class and the number ofand firm performance.responses has been counted. When graphed, it mayshow an inordinate number of data points in one areaThe Most Current Perspective(skewering) or a concentration of values at a specific
The last perspective, the high-performance perspective, point (a bell curve).is the generally accepted one. This approach dictatesthat merely measuring activity without context is of Mean or Averagevery limited value to the enterprise. For example,
The mean or average is the statistical calculation‘‘number of training days per employee’’ is meaning-obtained from adding the total number of items in aless unless linked to another metric indicating someset, and then dividing by the number of items in thesort of performance improvement or increase in inno-set. The mean or average is designed to give the ‘‘typ-vations on the part of individual employees.ical’’ value of a set of numbers.
The HR scorecard concept emulates, in its basicdesign, the established measurement framework Medianapplied in businesses. It is essentially a framework that,borrowing a financial term (‘‘balanced’’), measures a The median is the mid-point of the distribution ofbroad spectrum of activity across the enterprise and numbers in the set. The median is calculated bytheir inter-relationship. It should be marked by sim- ranking all the numbers in either increasing orplicity and clarity. Trying to measure too many items decreasing value to find the middle value, which hasmay undermine the purpose of the exercise. the same number of scores above and below it.
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86 Strategic Human Resources
Mode A number of indicators in each function may be mea-sured relative to the objective of the analysis, includingThe mode is one type of average. It is the number in a
distribution that occurs most frequently.● demographic profile of the workforce (age, gender);
● internal capability skills inventory (types of skills,Percentiles
education levels, certifications);Percentiles are ratios used to compare numbers in the
● recruitment, retention (turnover rates);form of a fraction with a common denominator of100. A percentile is each of 99 points at which a range
● diversity (self-identification status);of data is divided to make 100 groups of equal size. Aquartile is the data point corresponding to each ● training and development (training days perquarter of data in the distribution. A decile is the data employee/department);point corresponding to each 10th point of data in the
● employee performance evaluation (number of rat-distribution.ings per category, frequency distribution);
Linear Regression Analysis● employee/labour relations (attendance levels or
absenteeism rates , number of gr ievancesRegression analysis is a statistical method used todetermine the nature of the relationship between two filed/settled);sets of measures and predict the measures in one set
● authorized leave system (leaves authorized, byfrom those in the other. The analysis is usually dis-played in scatter diagrams or point graphs. employee/department);
● health and safety (number of injuries, claims filed,Correlation claims settled, return to work placements);
Correlation is defined as a mutual relationship● organization development (employee satisfaction,
between two sets of data.attitudes).
¶1445 Application of Statistical ¶1450 Sample Balanced ScorecardConcepts Framework for HR Function
When applying statistical concepts to classification,A ‘‘balanced scorecard’’ is a form of process manage-the analysis may reveal that the frequency distributionment to facilitate the conversion of strategy intotrends to an inordinate number of salaries being in
the lower range (first quartile — 25% or below), or the action. It results in a comprehensive overview of busi-most frequent salary (the mode), clustered around the ness operations and performance (including HR), andmid-point of a salary range, or a correlation between
provides a methodology to assist in communicating,placement in the top 10% of salaries (90th percentile)and furthering, the understanding of business goalsand performance evaluation rating.and strategies at all levels of an organization.Other statistical concepts may be used, depending on
their appropriateness to the measurement target. Scorecards also integrate key financial and perform-Commercial software is available to conduct the anal- ance indicators with client/customer perspectives;ysis. Data may be compared to any existing industry
internal business/organizational processes; andstandard, to prior performance, or to other depart-learning, growth, and innovation.ments in the organization.
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HR Metrics 87
HR DELIVERABLES
HR EFFICIENCY
ORGANIZATIONAL
AND FINANCIAL
PERSPECTIVE
LEARNING AND
GROWTH
HR CLIENTS’
PERSPECTIVE
INTERNAL
“BUSINESS”
PERSPECTIVE
Measured outcomes for: Skills, Motivation, Work
Environment, Overhead Cost of HR, Service Issues
ALIGNMENT OF HR FUNCTION Fit of HR practices to VISION/MISSION
Fit with Managers’ Strategic Roles
OPERATIONAL PERFORMANCE Efficiency of Performance and Compensation Systems
Organization Development linked to business needs
COMPETENCIES OF HR PROFESSIONAL Knowledge, credibility, business acumen, change
management ability
This framework
illustrates the inter-
relation of 4 main
elements in a
balanced scorecard.
Each Perspective
and Learning and
Growth indicate
outcomes for
“scoring”. Each of
the elements in each
perspective indicates
what may be
measured. The
measurement may
be quantitative or
qualitative. (See HR
Metrics section).
The totality of the
measurements, in
report form, results
in a “scorecard”.
The elements not in
balance would be
identified.
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88 Strategic Human Resources
tion. These manuals may be available for purchase. As¶1452 Data, Surveys andwell, various Statistics Canada reports are available freeBenchmarksof charge. Following are some examples of usefulreports, along with their official descriptions.When using metrics in HR, it is important to select
the appropriate benchmarks. In some instances, thesebenchmarks may serve in conducting enterprise com- Consumer Price Index (CPI)parisons with outside data. The use of metrics also
Status: Activebrings about the requirement for general and specificworkplace information. Frequency: MonthlyA common benchmark used in compensation and Record Number: 2301collective bargaining, for example, is the ConsumerPrice Index (CPI). The CPI is issued by Statistics The Consumer Price Index (CPI) is an indicator ofCanada on a monthly basis. Wage increases in most changes in consumer prices experienced byunionized and non-unionized environments depend Canadians. It is obtained by comparing through timeon the CPI barometer. It is one of many measures the cost of a fixed basket of commodities purchasedpublished by government that are available to HR by consumers.professionals on a variety of topics relevant to human
The CPI is used widely as an indicator of the changeresources management.in the general level of consumer prices, or the rate of
These reports are valuable in setting terms and condi- inflation. Since the purchasing power of money istions of employment; as well, they provide support affected by changes in prices, the CPI is useful todata for proposals at the collective bargaining table. In virtually all Canadians. Consumers can compareaddition, results of an internal measurement process movements in the CPI to changes in their personalcan be benchmarked against an industry, geograph- income to monitor and evaluate changes in theirical, or population level for comparison purposes. financial situation. Collective agreement wage
increases may also depend on the movement of theThey are also valuable in providing examples of ques- CPI and may be ‘‘triggered’’ by a specific amount oftionnaires and report formats that can be modified for movement in the CPI figure.internal use. In addition, survey and report publisherssuch as Statistics Canada and the Human Resources Release dates of the Consumer Price Index for theand Skills Development Canada (HRSDC) Labour coming year are published in advance, usually withProgram address issues such as data collection the release of the CPI for October. The release datesmethods, statistical measures used, and reliability of are available in the Statistics Canada Daily and in Thedata. Consumer Price Index, Catalogue 62-001, monthly.
Subscription to a daily statistical report by sector andLabour Force Survey (LSF)topic of the subscriber’s choice is available at
http://www.statcan.ca/english/dai-quo/. Information Status: Activeon upcoming release dates is included.Frequency: Monthly
The largest and most important data source for popu-lation information and subsequent labour market Record Number: 3701analysis is the Census. The questions cover age, sex,
The Labour Force Survey provides estimates ofmarital status, immigration, languages spoken, self-employment and unemployment that are among theidentification of Aboriginal people, mobility, andmost timely and important measures of performancelabour market activities.of the Canadian economy. With the release of the
In carrying out its policies, programs and activities, survey results only 13 days after the completion ofStatistics Canada has developed manuals that cover all data collection, the LFS estimates are the first of thephases of data acquisition, production and publica- major monthly economic data series to be released.
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HR Metrics 89
these reasons also rose steadily, from 3.0% of theThese data are used by different levels of governmentweekly scheduled work time in 1997 to 3.7% in 2004for evaluation and planning of employment programsand 3.9% in 2005. Extrapolated over the full year,in Canada. Regional unemployment rates are used bywork time lost for personal reasons increased fromHuman Resources and Social Development Canadathe equivalent of 7.4 days per worker in 1997 to 9.2to determine eligibility, level, and duration of insur-days in 2004, and 9.6 days in 2005.ance benefits for persons living within a particular
● Full-time employees in the public sector (more likelyemployment insurance region. The data are also usedunionized or female) lost more work time in 2005 forby labour market analysts, economists, consultants,personal reasons (about 12.5 days on average) thanplanners, forecasters, and academics in both the pri-their private-sector counterparts (8.9 days).vate and public sector.
Source: Statistics Canada Labour Force Survey, 2005Revisions and seasonal adjustments
Labour Productivity, Unit Labour CostMost estimates associated with the labour market areand Related Variables, Quarterlysubject to seasonal variation, that is, annually-recurring
fluctuations attributable to climate and to regular Status: Activeinstitutional events such as holiday seasons. Seasonal
Frequency: Quarterlyadjustment is used to remove seasonal variations fromalmost 3,000 series of statistical reports to facilitate Record Number: 5042analysis of short-term change for major indicators
The Quarterly Canadian Productivity Accountssuch as employment and unemployment by age and(QCPA) contain time series on labour productivity,sex, employment by industry, and class of workerunit labour cost, and related variables such as output,(employee or self-employed). Many of these indicatorsemployment, hours worked, and compensation.are seasonally adjusted at national and provincial
levels. Main labour force status estimates are also sea- These quarterly estimates are useful in analyzing thesonally adjusted for census metropolitan areas (CMAs), short-term relationship between changes in output,and published as three-month moving averages to employment, hours worked and compensation. Theyreduce irregular movements caused by relatively small are especially useful for internal and external analysts,sample sizes. researchers, students and consultants.
At the start of each year, the seasonally adjusted series The QCPA have three main features:are updated and revised according to the latest data
1. Estimates are limited to measures of labour pro-and information for seasonal models and factors. Theductivity and related variables.seasonally adjusted series are usually revised back
three years. 2. Estimates apply not only to the business sector asa whole but also to two-digit industries.Example: Establishing benchmarks for an attendance
management program — Statistics Canada provides 3. Quarterly estimates are available only in the formthe following information from the Labour Force of indexes or growth rates, as opposed to valuesSurvey, which is useful for internal/external compar- or levels.ison:
Workplace and Employee Survey (WES)Work Absence Rates 2005Status: ActiveHighlights
Frequency: Annual● In an average week in 1997, excluding women on
maternity leave, about 5.5% (484,000) of all full-time Record Number: 2615employees holding one job were absent from work
The overall goal of the survey is to examine the way infor all or part of the week for personal reasons. Bywhich employers and their employees respond to the2004, the figure had risen to 7.6% (800,000) and to
8.3% (877,000) in 2005. Total work time missed for changing competitive and technological environment.
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The Workplace and Employee Survey (WES) is For more information on data users and uses of thedesigned to explore a broad range of issues relating to WES refer to http://www.statcan.ca/english/employers and their employees. The survey aims to survey/business/workplace/workplace.htm.shed light on the relationships among competitive-ness, innovation, technology use, and human resource Evolving Workplace Seriesmanagement on the employer side, and technology
Of note in providing information for comparison pur-use, training, job stability, and earnings on theposes is the Evolving Workplace Series.employee side.
— Empowering employees: a route to innovation.The survey is unique in that employers andProvides data from the new Workplace andemployees are linked at the micro-data level.Employee Survey (WES) conducted by StatisticsEmployees are selected from within sampled work-Canada with the support of Human Resourcesplaces. Thus, information from both the supply andand Social Development Canada. The survey con-demand sides of the labour market is available tosists of two components:enrich studies on either side of the market.1. a workplace survey on the adoption of technol-To create the best conditions for growth in a knowl-
ogies, organizational change, training and otheredge-based economy, governments need to fine-tunehuman resource practices, business strategies,their policies on education, training, innovation,and labour turnover in workplaces; andlabour adjustment, workplace practices, industrial rela-
tions, and industry development. The results from the 2. a survey of employees within these same work-survey will help clarify many of these issues and will places covering wages, hours of work, job type,assist in policy development. human capital, use of technologies, and
training.The Workplace and Employee Survey offers potential— Part-time work and family-friendly practices inusers several unique innovations: chief among these is
Canadian workplaces. Examines part-time workthe link between events occurring in workplaces andand the provision of ‘‘ family-friendly’’ workthe outcomes for workers. In addition, being longitu-arrangements, such as flextime, telework, childcare,dinal, it allows for a clearer understanding of changesand eldercare services.over time.
— New evidence on the determinants of training inTwo reference periods are used for the WES. Ques-Canadian business locations. Studies the determi-tions concerning employment breakdown refer to thenants of worker and workplace participation inlast pay period of March for the reference year, whiletraining. It also present an analysis of the propor-other questions refer to the last 12-month periodtion of employees trained, to evaluate the level ofending in March of the reference year.commitment of the employer to training.
In the labour market information area, the following— The who, what, when and where of gender payare surveyed:
differentials. Addresses pay differentials between● Employees: job characteristics, compensation, com- the sexes in terms of the characteristics of the
parison with previous job, work history/turnover, individual worker, the tasks of the worker, thetechnology at work, usual hours of work, participa- employment contract between the worker and thetion in decisions regarding the workplace, support workplace, and the contribution of specific work-programs, and unionization. place characteristics to these pay differentials.
● Employers: wage and non-wage benefits and com- — Working smarter: the skill bias of computer tech-pensation practices, workforce characteristics and nologies. Explores the relationship betweenjob organization, hiring, vacancies, hours of work, employers’ computer technology investments andtechnology use, organizational change, and perform- employees’ training and education, with emphasisance. on the education of new hires.
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HR Metrics 91
— The quest for workers: a new portrait of job vacan- Ethnic Diversity Survey (EDS)cies in Canada. Examines the job vacancy rate in
Status: One TimeCanada in order to estimate companies’ hiringintentions and the future direction of labour Frequency: One Timedemand. It uses data from the new Workplace
Record Number: 4508and Employee Survey (WES).This survey had two primary objectives. First of all, the— Employer and employee perspectives on humansurvey aimed to better understand how people’s back-resource practices. Examines the results of thegrounds affect their participation in the social, eco-1999 round of the Workplace and Employeenomic and cultural life of Canada. Secondly, theSurvey on the role that human resource practicessurvey provided information to better understandplay in facilitating workplace change. It focuses onhow Canadians of different ethnic backgrounds inter-practices such as workplace training, variable pay,pret and report their ethnicity.and employee involvement (job rotation, cross-
training, and teamwork), their association with Topics covered in the survey included ethnic ancestry,change, and whom they impact. ethnic identity, place of birth, visible minority status,
religion, religious participation, knowledge of lan-guages, family background, family interaction, social¶1453 Other Federal Governmentnetworks, civic participation, interaction with society,Resourcesattitudes, satisfaction with life, trust, and socio-eco-
Pension Plans in Canada nomic activities.Status: Active
Federal Jurisdiction Workplace SurveyFrequency: AnnualStatus: ActiveRecord Number: 2609Frequency: IrregularThe Pension Plans in Canada Survey is an annual
census of all registered pension plans (RPPs) in Record Number: 5076Canada. Its purpose is to provide information on the
The objective of the survey is to collect statistical infor-terms and conditions of RPPs, RPP membership, andmation on working conditions in companies undercontributions made by and on behalf of the members.federal jurisdiction. Survey data will be used by
Registered pension plans are plans established either Human Resources and Social Development Canadaby employers or unions to provide retirement income (HRSDC) to analyse the impact on companies ofto employees. These plans are registered with the potential changes in the Canada Labour Code. TheCanada Revenue Agency for tax purposes, and in intent of this survey is to establish a benchmark formost cases, also with the federal or a provincial pen- assessing the evolution of working conditions in com-sion regulatory authority. panies under federal jurisdiction.The primary users of the Pension Plans in Canada The survey examines attributes such as the numberSurvey are the federal and provincial government pen- and demographic characteristics of employees, con-sion authorities. Other main users include the Income tracting-out practices, the distribution of occupations,and Expenditures Accounts Division (Statistics hours of work, pay and benefits, training, andCanada), the federal government (Human Resources expected retirements.and Social Development Canada, and Finance
Results from this survey may be used by businessesCanada), private consultant firms, insurance compa-and trade associations to compare staff working condi-nies, and academics. The data from the Pension Planstions to the average for similar businesses. Govern-in Canada Survey is also used to generate the estimatement departments and agencies, including HRSDC,of the value of benefits accrued in registered pensionuse the data to assist in policy formulation, and theplans for the Survey of Financial Security.
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92 Strategic Human Resources
academic community may use them for research pur- Source: HRSDC — Labour Programposes.
Service CanadaThe Labour Program (Labour Canada) Service Canada is found mostly in local Service
Canada/HRSDC offices in all parts of the country, toA wealth of information is published by the federalLabour Program (formerly the Department of answer questions about the labour markets in Cana-Labour), now part of HRSDC. dian communities. Here are some examples of useful
information available from this resource:The Workplace Information Directorate (WID) offersinformation that may be used for a variety of purposes
● A section on Job Descriptions and Job and Skillwithin the organization, and is useful in developing or
Requirements by occupation and by local area canusing a metrics approach. The WID web page atbe found on the Service Canada site, which sup-http://www.hrsdc.gc.ca/en/lp/wid/info.shtml has aports the task of writing company job descriptions.complete listing of products and services.
● The Wages & Salaries section lists current wageThe Workplace Bulletin, (a full version of the pub-lished information is accessible in PDF format) pro- rates for numerous occupations within local areas.vides you with ongoing developments and access to
● The Employment Prospects section provides infor-the latest information on industrial relations and col-mation on local hiring shortages or surpluses.lective bargaining. It is produced bi-monthly and is
free of charge. Individuals and organizations can add● The Labour Market Information Service (LMI) sec-their name to the mailing list.
tionBelow is a list of the products and services provided:
— provides detailed labour market information at● trends in negotiated wage adjustments; the local or community level;
● current and upcoming key negotiations (PDF — analyses data and local events in order to iden-format, 50kb); tify community specific labour market trends
and opportunities;● current settlement listing (PDF format, 426kb);
— works with other labour market players,● collective agreement expiries and reopeners;including businesses, educational institutions
● negotiated benefits and working conditions;and local and provincial governments;
● work stoppages;— ensures people have access to quality labour
● directory of labour organizations; market information.
● union membership (PDF format, 343kb); Service Canada provides information on where toaccess training in the community and province, for a
● innovative workplace practices;variety of occupations. It is also possible to compare an
● Readers’ Corner (PDF format, 151kb); entire occupation, or only certain elements of an occu-pation, in different areas within a province or territory
● Negotech access to settlement summaries and fullor across Canada, or compare similar occupations intext collective agreements;one location. The Service Canada Web site may be
● list of articles and case studies; accessed at http : \ \www.servicecanada .gc .ca/● selection of recent changes in Canadian labour laws. en/home.html.
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HR Metrics 93
¶1475 CHECKLISTS
¶1477 HR Metrics Checklist
The following should be considered when using metrics in the HR context:
❏ Select areas of focus for measurement.
❏ Choose appropriate measurement and interpretive tools.
❏ Agree on benchmarks for comparative analysis.
❏ Construct an HR scorecard framework.
❏ Develop report formats.
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ORGANIZATION DEVELOPMENT
¶1500 OVERVIEW
related disciplines. Most would also agree that ODOrganizational development (OD) is an effortimplies change and, if we accept that improvement inplanned organization-wide and managed from theorganizational functioning means that change hastop to increase organizational effectiveness and healthoccurred, then, broadly defined, OD means organiza-through planned interventions in the organization’stional change.processes, using behavioural science knowledge.
(Richard Beckhard). This section discusses the following aspects of organi-zation development:Organization development is a dynamic, values-based
approach to systems change in organizations and● principles of practice;communities; it strives to build the capacity to achieve
and sustain a new desired state that benefits the ● organization development initiatives;organization or community and the world around
● organization development competencies and corethem.knowledge;
Warner Burke, a pioneer theorist and practitioner in● five-step change model; andthe field, defines it as follows:
Most people in the field agree that OD involves consul- ● potential OD interventions.tants who try to help clients improve their organizations
As well, we take a look at social network analysis, aby applying knowledge from the behavior sciences —psychology, sociology, cultural anthropology, and certain new organizational development process.
¶1505 PRACTICAL APPLICATION
● Draws from multiple disciplines that inform an¶1506 Principles of Practiceunderstanding of human systems, including applied
The practice of OD is grounded in a distinctive set of behavioural and physical sciences.core values and principles that guide behaviour and
Systems Focusedactions.● Approaches communities and organizations as open
Values and Principles systems: that is, acts with the knowledge thatchange in one area of a system always results inValues Basedchanges in other areas; and change in one area
Key values include the following: cannot be sustained without supporting changes inother areas of the system.● Respect and inclusion
Action Research● Collaboration● Continuously reexamines, reflects, and integrates● Authenticity
discoveries throughout the process of change in● Self-awareness order to achieve desired outcomes. In this way, the
client members are involved both in doing their● Empowermentwork, and in sharing their reflections and learning
Supported by Theory in order to achieve shared results.
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Organization Development 95
Process Focused ¶1530 Organization DevelopmentCompetencies and Core
● Intervenes in organizational or communityKnowledgeprocesses to help bring about positive change and
to help the client work toward desired outcomes. Organization development professionals, whetherinternal or external consultants, must possess certainInformed by Dataskills and competencies. The following was preparedas part of the OD Network’s 20th Edition of the● Involves proactive inquiry and assessment of theOrganization Change and Development Competencyinternal environment in order to discover andEffort (March 2001), by Roland Sullivan, Bill Rothwell,create a compelling need for change and theand Chris Worley.achievement of a desired future state of the organi-To be successful, an OD professional should possess aszation and community. Some methods includemany of the following competencies as possible:survey feedback, assessment tools, interviewing,
focus groups, story telling, process consultation, and 1. Marketingobservation.
2. EnrollingClient Centred 3. Contracting
● Focuses on the needs of the client in order to con- 4. Mini-Assessmenttinually promote client ownership of all phases of 5. Data Gatheringthe work, and to support the client’s ability to sus-
6. Diagnosistain change after the consultant’s engagement ends.7. Feedback
Focused on Effectiveness and Health8. Planning
● Helps to create and sustain a health-effective9. Participationhuman system as an interdependent part of its
10. Interventionlarger environment.
11. Evaluation
¶1507 Organization Development 12. Follow-UpInitiatives 13. Adoption
14. SeparationOrganization development initiatives are normallymost effective in larger, more complex settings. This 15. Self Awarenessdoes not, however, mean they must be confined there.
16. Interpersonal SkillsHuman resources professionals who understand or17. Other Skillsare schooled in the principles of OD may scale the
initiative to their organization. A ‘‘core knowledge’’ ofDetermining If an OD Consultant Isthese principles and practices is needed as a minimumNeededfor a successful OD program. It should also be empha-
sized that the process is a dynamic, continuous pro- An OD consultant may be needed if there is no in-house expertise, time, or supportive resources to effectcess, which must also have maintenance componentsthe desired changes.in its construct. Because of its possible (and sometimes
dramatic) impact in terms of organizational structure Choosing an OD consultant is like choosing anyand culture, any OD efforts need an informed, fully other type of consultant: the range of consultants’committed leadership within the organization. backgrounds and their methods should be matched
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96 Strategic Human Resources
to specific organizational environments. Some consid- (a) survey administration;erations may include the following:
(b) employee/stakeholder feedback.● educational background (specific studies/training in
OD?);● Data Review and Analysis
● number of years of experience; Review and analysis is used to identify issues. It maybe carried out in-house, or it may be outsourced if
● industry/sector experience;objectivity is an issue.
● customized approach to your needs and your staff;● Recommendations for Change
● personal involvement in the assignment, rather thandelegation to junior consulting staff; (a) systemic changes;
● ability to meet specific deliverables and timelines; (b) policy/procedure changes;
● experience with union or non-union environments; (c) program changes.● sensitivity to your organizational culture (e.g., mis-
● Action Plan Developmentsion, vision, values, diversity, etc.);
(a) resources needed to initiate change;● personality (ability to communicate at all levels);
● consulting fees and related expenses. (b) role of HR in supporting the plan;
(c) considerations regarding outpouring theMethods of Diagnosis and Analysis change agent.
A number of modalities may be used in an OD inter-● Implementation Decisionsvention:
(a) resources needed to implement change;● Initial Diagnosis
(b) assignment of implementation roles.An initial diagnosis of organizational effectivenesswould include the following:
● Evaluation(a) surveys;
(a) decision about metrics to be used to eval-(b) interviews; uate OD interventions;
(c) reports.(b) re-surveying to measure incremental
changes in findings;● Data Collection
This phase includes the following: (c) establishing a reporting and feedback loop.
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