human resource management fundamentals and foundations for court leaders n.
Skip this Video
Loading SlideShow in 5 Seconds..
Human Resource Management: Fundamentals and Foundations for Court Leaders PowerPoint Presentation
Download Presentation
Human Resource Management: Fundamentals and Foundations for Court Leaders

Loading in 2 Seconds...

play fullscreen
1 / 214

Human Resource Management: Fundamentals and Foundations for Court Leaders - PowerPoint PPT Presentation

  • Uploaded on

Human Resource Management: Fundamentals and Foundations for Court Leaders. National Association For Court Management. Why is Human Resources Management Critical?. Courts are labor-intensive organizations.

I am the owner, or an agent authorized to act on behalf of the owner, of the copyrighted work described.
Download Presentation

Human Resource Management: Fundamentals and Foundations for Court Leaders

An Image/Link below is provided (as is) to download presentation

Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author.While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server.

- - - - - - - - - - - - - - - - - - - - - - - - - - E N D - - - - - - - - - - - - - - - - - - - - - - - - - -
Presentation Transcript
human resource management fundamentals and foundations for court leaders
Human Resource Management:Fundamentals and Foundationsfor Court Leaders

National Association For Court Management

why is human resources management critical
Why is Human Resources Management Critical?
  • Courts are labor-intensive organizations.
    • Human resources and leadership enable the court to use its fiscal, technological, and physical resources to achieve its purpose.
    • The court’s human capital (its leadership and human resources) is the driver with which a court becomes a high achieving court, satisfying its own and the public’s objectives.
why is human resources management critical1
Why is Human Resources Management Critical?
  • Courts need good people who are competent, up to date, professional, ethical, and committed. This is, among other things, what Human Resources Management helps court executive teams deliver.
why is human resources management critical2
Why is Human Resources Management Critical?
  • Recruitment, selection, employee relations, job analysis, job evaluation and position classification, compensation, and performance management, all demonstrate what the court believes in, its values, and its standards. Human Resources Management can enhance the contribution of every judge and court employee.
what is human resources management
What is Human Resources Management?
  • All of those activities in which the Court engages as an employer to ensure that it has the kinds and numbers of people it needs to effectively, efficiently, and consistently accomplish its mission.
challenges in court human resources management
Challenges in Court Human Resources Management
  • Judicial independence should drive it, despite:
    • Funding arrangements
    • The small size of most courts
    • Complexity of HR issues
the changing human resources management environment
The Changing Human Resources Management Environment
  • Decreasing revenues, more financial pressures, increased scrutiny
  • The quality movement, customer/public service
  • Teams, strategic planning, re-engineering
  • The changing “psychological employment contract”
the changing human resources management environment1
The Changing Human Resources Management Environment
  • The erosion of “career” employment and the growth of the “contingent” workforce
  • Employee retention
  • The erosion of employment-at-will
  • The increase in legal issues in human resources management
the changing labor force
The Changing Labor Force
  • An aging workforce, but don’t forget about “Generation X”
  • More women
  • More “minorities”
  • More individuals with disabilities
human resources competencies
Human Resources Competencies
  • Vision and Purpose
  • Human Resources Fundamentals
  • Context and Fairness
  • Management and Supervision
vision and purpose
Vision and Purpose

Knowledge/Skills/Abilities re:

  • Developing mission/strategic vision/values
  • Aligning vision and values with HR practices
  • Judicial independence
  • Ethical standards and legal compliance
  • Judicial HR policy development
hr fundamentals
HR Fundamentals

Knowledge/Skills/Abilities re:

  • HR planning, job analysis and job descriptions
  • Staffing – recruitment, labor market analysis, selection, orientation
  • Classification and compensation
  • Performance management and appraisal
  • Corrective actions and discipline
  • HR and the law, e.g. Title VII, ADA, etc.
context and fairness
Context and Fairness

Knowledge/Skills/Abilities re:

  • Organizational and governmental structure
  • Workforce and community diversity
  • Due process, fairness, equity and consistency
  • Employee complaints and grievances
  • Unionized organizations
  • Conveying the court’s commitment to fair treatment
management and supervision
Management and Supervision

Knowledge/Skills/Abilities re:

  • Planning, organizing, delegating, monitoring work
  • Teambuilding and management
  • Oral and written communication
  • Mentoring/coaching/counseling
management and supervision1
Management and Supervision

Knowledge/Skills/Abilities re:

  • Constructive feedback
  • Employee motivation
  • Collaboration
  • Change management
employment at will serves at the pleasure of
Employment at Will(“Serves at the Pleasure of…”)

The foundation for employment law in the U.S. is “employment-at-will,” which says: An employee may be dismissed at any time for a good reason, bad reason, or no reason, just as the employee is free to leave with or without cause.

employment at will serves at the pleasure of1
Employment at Will(“Serves at the Pleasure of…”)


  • Statutory protection (or for many court employees, court rule)
  • Constitution (deprivation of property without due process)
  • Implied Contract
  • Public Policy Exceptions
  • Just cause provisions in CBA
employment at will serves at the pleasure of2
Employment at Will(“Serves at the Pleasure of…”)
  • Many court employees are in positions and/or jurisdictions in which they are “at will” employees.
  • However (except for federal court employees), minimally employees are still protected against dismissal for statutorily protected reasons, e.g. race, religion, national origin, sex, etc.
title vii of the civil rights act of 1964 amended 1972
Prohibits discrimination:







on the job treatment

any other terms or conditions of employment

Protected Classes:

National Origin





Title VII Of The Civil Rights Act Of 1964, amended 1972
title vii of the civil rights act of 1964 amended 19721



Employers of 15 or more, unions, employment agencies



Merit and seniority

Title VII Of The Civil Rights Act Of 1964, amended 1972
title vii of the civil rights act of 1964 amended 19722

Make whole

Affirmative Action

Compensatory and punitive damages

Recordkeeping Issues:

1 Year Record Retention: Records concerning any personnel decisions (hiring, firing)

Title VII Of The Civil Rights Act Of 1964, amended 1972
state laws may
State Laws May:
  • Prohibit employment discrimination based upon:
    • Race, color, religion, sex, national origin (like Title VII)
    • Age (generally), marital status
    • Disability
  • Allow employees access to personal records held by the employer (e.g. personnel file)
  • Provide protection to “whistleblowers”
  • Provide leave in excess of FMLA
types of discrimination
Types of Discrimination
  • Disparate treatment – discrimination that singles out an individual or group, “intentional”
  • Adverse impact – neutral policy that disproportionately affects members of protected class
age discrimination in employment act of 1967
Age Discrimination in Employment Act of 1967

Prohibits: discrimination in hiring, firing, compensation, or other terms and conditions of employment for those above the age of 40

age discrimination in employment act of 19671
Age Discrimination in Employment Act of 1967


  • Seniority
  • Merit
  • BFOQ
  • Discharge for Cause
  • Policy making executives with pension of $44,000/year
flsa the fair labor standards act of 1938
FLSA: The Fair Labor Standards Act Of 1938
  • Minimum wage
  • Overtime provisions
  • Child labor restrictions
  • Equal pay for equal work (1963)
flsa compensatory or overtime provisions
FLSA Compensatory or Overtime Provisions

Employers are required to pay time and one half an employees regular rate of pay for all hours worked in excess of forty in any workweek for any non-exempt employee.

  • Regular rate
  • Hours worked includes any time in which the employee is “required, suffered or permitted to work”
flsa compensatory or overtime provisions1
FLSA Compensatory or Overtime Provisions

Employers are required to pay time and one half an employees regular rate of pay for all hours worked in excess of forty in any workweek for any non-exempt employee.

  • Hours worked does not include hours employee was paid but for which no work was performed (sick leave, holidays)
  • Each work week stands alone
  • In the public sector, employers can use compensatory time instead of cash overtime
flsa exemptions
FLSA Exemptions
  • Executive
  • Professional
  • Administrative
  • Outside Sales

Note: Remember the importance of the salary test.

flsa three main tests for exemption
FLSA – Three Main Tests for Exemption

Three Main Tests

  • Salary Level
  • Salary Basis
  • Job Duties
flsa three main tests for exemption1
FLSA – Three Main Tests for Exemption
  • Salary Level
    • For most employees - $455/week as of 8/23/04
    • Total Annual compensation includes
      • Commissions
      • Nondiscretionary bonuses
flsa three main tests for exemption2
FLSA – Three Main Tests for Exemption
  • Salary Basis
    • Regularly receives a predetermined amount of compensation each pay period
    • No reduction related to performance
    • Must be paid the full salary for any week in which the employee performs any work.
    • Ready, able and willing to work issues
flsa three main tests for exemption3
FLSA – Three Main Tests for Exemption
  • Job Duties
    • Executive
      • Primary duty is management of the enterprise or of a customarily recognized department or subdivision;
      • Customarily and regularly directs the work of two or more other employees; and
flsa three main tests for exemption4
FLSA – Three Main Tests for Exemption
  • Job Duties
    • Executive
      • Authority to hire or fire other employees or whose suggestions and recommendations as to hiring, firing, advancement, promotion or other change of status of other employees are given particular weight.
flsa three main tests for exemption5
FLSA – Three Main Tests for Exemption
  • Job Duties
    • Administrative
      • Whose primary duty is the performance of office or non-manual work directly related to the management or general business operations of the employer or the employer’s customers; and
      • Whose primary duty includes the exercise of discretion and independent judgment with respect to matters of significance.
flsa three main tests for exemption6
FLSA – Three Main Tests for Exemption
  • Job Duties
    • Learned Professional
      • The employee’s primary duty must be the performance of work requiring advanced knowledge
      • In a field of science or learning
      • Customarily acquired by a prolonged course of specialized intellectual instruction
flsa three main tests for exemption7
FLSA – Three Main Tests for Exemption
  • Job Duties
    • Creative Professional
      • The employee’s primary duty must be the performance of work requiring invention, imagination, originality or talent in a recognized field of artistic or creative endeavor
police fire fighters paramedics other first responders
Police, Fire Fighters, Paramedics & Other First Responders
  • The exemptions also do not apply to police officers, detectives, deputy sheriffs, state troopers, highway patrol officers, investigators, inspectors, correctional officers, parole or probation officers, park rangers, fire fighters, paramedics, emergency medical technicians, ambulance personnel, rescue workers, hazardous materials workers and similar employees, regardless of rank or pay level, who perform work such as preventing, controlling or extinguishing fires of any type; rescuing fire, crime or accident victims; preventing or detecting crimes; conducting investigations or inspections for violations of law; performing surveillance; pursuing, restraining and apprehending suspects; detaining or supervising suspected and convicted criminals, including those on probation or parole; interviewing witnesses; interrogating and fingerprinting suspects; preparing investigative reports; or other similar work.
court reporter fair labor amendments of 1995
Court Reporter Fair Labor Amendments of 1995
  • “The hours an employee … performs court reporting transcript preparation duties shall not be considered as hours worked … if
    • Such employee is paid at a per-page rate which is not less than the maximum established by state law … and
    • The hours spent performing such duties are outside of the hours such employee performs other work … pursuant to the employment relationship with such public agency.
court reporter fair labor amendments of 19951
Court Reporter Fair Labor Amendments of 1995
  • For purposes of this section, the amount paid … for the performance of court reporting transcript preparation duties, shall not be considered in the calculation of the regular rate …
title i americans with disabilities act of 1990
Title I, Americans with Disabilities Act of 1990

Coverage: Employers of 15+, unions, agencies


  • Non-discrimination because of disability
  • Reasonable accommodation unless undue hardship
  • No pre-employment medical examinations
  • Separate, confidential medical records


  • EEOC
title i americans with disabilities act of 19901
Title I, Americans with Disabilities Act of 1990

Definition: An individual with a disability is a person who has a physical or mental impairment that substantially limits one or more major life activities, a record of such an impairment, or who is regarded as having such an impairment.

Storage: ADA requires separate and confidential medical records

immigration reform and control act of 1986
Immigration Reform And Control Act Of 1986


  • INS Form I-9 for all employees hired after 11-6-86
  • Employer:
      • Signs form indicating documents examined
      • Verifies authenticity of documents
immigration reform and control act of 19861
Immigration Reform And Control Act Of 1986

Retention: Longer of 3 years or 1 year after employment

Issues: Photocopying and storage in the personnel file

the family and medical leave act
The Family and Medical Leave Act

Provides eligible employees of covered employers up to 12 work weeks of unpaid leave for:

  • birth and care of a newborn
  • placement of child for foster care or adoption
  • care for immediate family member with serious health condition
    • spouse, child, parent
  • employee’s own serious health condition
fmla eligible employees
FMLA – Eligible Employees
  • Those who have worked for the court for at least 12 months
  • And who have worked at least 1,250 hours in the year preceding the FMLA leave
fmla serious health condition
FMLA – Serious Health Condition
  • Injury, illness, impairment, or physical or mental condition that involves:
    • Inpatient care
    • Requires 3+ days of absence
    • Pregnancy/prenatal care
    • Chronic
    • Permanent or long term
    • Continuing treatment by health care professional
fmla year defined as
FMLA – “Year” Defined As…
  • Calendar year
  • Fixed leave year
  • 12 months from the start date of first FMLA leave
  • Rolling 12-month period
  • The court as employer can choose, but must stick with the choice.
fmla spouses working together for the same employer
FMLA – Spouses Working Together for the Same Employer
  • Combined total of 12 workweeks of leave for:
    • Birth and care of a child
    • Adoption or foster care
    • Care for parent with serious health condition
sexual harassment
Sexual Harassment


  • Sexual advances
  • Requests for sexual favors
  • Verbal or physical conduct of a sexual nature
types of sexual harassment
Types of Sexual Harassment
    • Submission to such conduct is made either explicitly or implicitly a term or condition of an individual’s employment
    • Submission to or rejection of such conduct is used as the basis for employment decisions affecting such individual
types of sexual harassment1
Types of Sexual Harassment
  • Hostile Work Environment
    • Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile or offensive working environment.
employer responsibility quid pro quo cases
Employer Responsibility: Quid Pro Quo Cases
  • The employer is responsible for its acts and those of its agents and supervisors regardless of whether the specific acts complained of were authorized or even forbidden by the employer and regardless of whether the employer knew or should have known of their occurrence. (Respondeat superior)
employer responsibility hostile environment cases
Employer Responsibility: Hostile Environment Cases
  • The employer is responsible for sexual harassment by other employees, clients, customers, vendors, contractors, temps, etc., if
    • The employer knew or should have known, and
    • Failed to take immediate and appropriate corrective action.
  • Vicarious, not automatic, liability
possible remedies
Possible Remedies
  • Under Title VII, remedies against the employer may include:
    • Backpay
    • Reinstatement
    • Attorney fees
    • Compensatory and punitive damages
possible remedies1
Possible Remedies
  • Individuals who commit acts of sexual harassment may be personally responsible under:
    • State criminal sexual conduct statutes, (criminal penalties)
    • Tort actions, e.g. “intentional infliction of emotional distress,” (monetary damages)
steps to ensure compliance
Steps to Ensure Compliance
  • Written “no tolerance” policy
  • Train all court stakeholders – judges, managers, employees, interns, volunteers
  • Take appropriate corrective action against offenders
  • Keep records
  • Respond quickly and affirmatively to charges
release of personnel information
Release of Personnel Information

References and Defamation

  • Judicial decisions have consistently permitted employers to share reference information with other employers as part of the hiring process.
  • Legal liability arises when the information provided is:
    • Untrue, I.e. defamation
    • Excessively publicized, I.e. shared with people who have no need to know
  • Maintain good employee morale as well as minimizing legal risks requires good procedures for handling the release of personnel information.
release of personnel information1
Release of Personnel Information

Minimizing the Risk

  • Truthful information provided by authorized individuals
  • Not provided over the telephone
  • Only relevant information without intent to harm
  • No excessive publication, I.e. only those with a need to know
  • Given at proper time and in proper place
  • Written release provided by employee
the changing labor force2
The Changing Labor Force
  • An aging workforce, but don’t forget about “Generation X and Y”
  • More women
  • More “minorities”
  • More individuals with disabilities
  • The quality of education?
the changing labor force age
The Changing Labor Force - Age
  • 1987 Median age - 36
  • 2000 Median age - 39
  • 2008 Projected Median age - 41
  • Share, 35-54 year olds is rising
  • 55-64’s has been rising since the mid 90’s
  • Share of 16-34 declines
  • Don’t forget “Generation X”
implications of an aging labor force
Implications of an Aging Labor Force
  • Increased pool of older workers
  • Increased health care costs
  • Part-time employment, sabbaticals, retraining, retiree job banks
  • Parental care
  • Career plateauing
women the labor force
Women & the Labor Force
  • Women with children in the workforce
    • 1960 -- 19%
    • 1984 -- 61%
    • 1989 -- 68%
    • 2000 -- 73%
  • Women accounted for 58% of workforce growth in the 1990’s
implications of more women in the labor force
Implications of More Women in the Labor Force
  • Two wage earner and single parent families
  • Childcare
  • Part-time, flexible hours, job sharing
  • Flexible benefits
  • Telecommuting
minorities the labor force
“Minorities” & the Labor Force
  • African American Labor Force Increase
    • 1980’s 26%
    • 1990’s 21%
    • 2000-08 15%
  • Hispanic Labor Force Increase
    • 1980’s 75%
    • 1990’s 43%
    • 2000-08 15% (projected)
  • It is estimated that limited literacy skills cost business and taxpayers $20 billion in lost wages, profits and productivity annually.
  • In 1993, 23% (44,000,000) adults demonstrated low levels of literacy.
  • 33% of all welfare recipients are considered functionally illiterate.
  • In 1999, 9.4% of high school students dropped out
generation x stereotypes
Generation X Stereotypes



Unmanageable slackers

Disrespectful of authority

Scornful of paying dues

“Just don’t care”

typical baby boomer beliefs values
Typical Baby Boomer Beliefs/Values
  • If I don’t like something, I boycott it; social action is important.
  • People under 30 can’t be trusted.
  • I should be put on a pedestal; that’s where I’ve always been.
  • I am tolerant of diversity and comfortable with change.
  • The world was better in the 60’s/70’s.
typical generation x beliefs values
Typical Generation X Beliefs/Values
  • People see me as a child and I resent it.
  • I have to deal with a confusing world that I didn’t create.
  • I feel indifferent to things that seem to matter to others.
  • I like to have a variety of experiences.
  • I rebel against the molds that society pushes me into.
typical generation y values
Typical Generation Y Values
  • If it’s not fun, it’s not worth doing.
  • Only I know what’s good for me.
  • Technology is what makes the world better.
  • I can state my opinion at the expense of anyone.
  • The world is violent, and it scares me.
generation x ers are independent
Generation X’ers Are Independent
  • Because they were “latch key” kids, many become self-sufficient and creative problem solvers.
  • They are results oriented, whether 8-5 or Noon to 8.
  • They often rebel against micro-management, but blossom with coaching and feedback.
generation x ers are technology whizzes
Generation X’ers Are Technology Whizzes
  • They demand state of the art capabilities such as e-mail, teleconferencing, and telecommuting in order to work efficiently and effectively.
  • They are much more skilled with technology than most of their baby boomer counterparts.
generation x ers and life
Generation X’ers and Life
  • They want balance in their lives, demanding time for work, play, family, friends and spirituality.
  • They want to know “What can you do to help me balance work, life and family?”
  • They expect organizations to understand and respect their needs as individuals with important personal lives.
generation x ers and bureaucracy
Generation X’ers and Bureaucracy
  • Cynical about authority, irreverent about hierarchy, hate bureaucracy, loath hidden agendas and disdain politicking.
  • Demand honesty and clarity.
  • Respect substance over style.
  • Focus on big picture; emphasis is on outcomes over process or protocol
generation x ers as free agents
Generation X’ers as Free Agents
  • Seek challenging projects that help them develop a portfolio of skills.
  • Thrive in learning organizations where they can embrace creative challenges and acquire new skills
are generation x ers unmanageable
Are Generation X’ers Unmanageable?
  • They support a more casual workplace because they support substance over style
    • Dress codes, grooming standards
  • Independence, combined with technological expertise supports growth in telecommuting.
  • What about a service-environment like the courts?
managing generation x ers
Managing Generation X’ers
  • Teacher and facilitator rather than a boss.
  • Training is critical, but should be immediately relevant.
  • The best training seems to be self-directed or tied to self-improvement, personal development and skill building.
  • Mentoring programs that pair institutional memory and experience of “boomers” with technological prowess of “X’ers” can help to foster mutual respect.
why aren t gen xers committed
Why Aren’t Gen. Xers Committed?
  • TV generation – has there been a good boss since Lou Grant?
  • Saw parents victimized by downsizing, mergers
  • Understand that management loyalty lasts only as long as financial statements make it possible.
keys for retaining gen xers
Keys for Retaining Gen. Xers
  • Information and continuous learning opportunities
  • Devoting time and money to socially responsible causes
  • Merit awards (money, time or training) for good service
gen xers leave more than others because of
Gen. Xers Leave More Than Others Because of:
  • Desire for more challenging job
  • Higher salary
  • Better benefits
  • Flexible work schedules
  • Lack of daily proof that work matters
  • Inaccurate and untimely feedback
non financial rewards for gen xers
Non-Financial Rewards for Gen. Xers
  • More control over their own schedules
  • Access to marketable skills
  • Exposure to decision makers
  • Clear areas of responsibility
  • The chance for creative freedom
communicating with generation x and y
Communicating With Generation X and Y
  • Need to know why
  • They don’t recognize hierarchical structure. Therefore, expectations, consequences and recognition must be communicated early, often and straight.
  • Make technology count
  • Immediate supervisors are critical.
a workforce that embraces diversity
A Workforce That Embraces Diversity
  • “Say so.” Talk about it with the other person; you get one chance.
  • Talk directly about unwritten rules of the department and unit.
  • If necessary refer people to others who can help (mentor).
  • Apply EEO policies and train managers and employees.
  • Do not tolerate race/sex epithets, period.
  • Differing behaviors and work styles are acceptable so long as integrity and quality are preserved.
basic principles of employee motivation
Basic principles of employee motivation
  • Everyone is motivated, all of the time...
  • ...By needs (internal drives) that they are attempting to satisfy.
  • To be highly motivated, to extend the effort needed to keep a job or perform well, people must be able to meet the needs that are important to them on or through their jobs.
  • Thus, the key is for management to design jobs and manage people in such a way that: (a) employees can meet their own needs while, (b) at the same time achieving the goals of the organization.
basic principles of employee motivation1
Basic principles of employee motivation
  • Inability to meet important needs produces frustration which, in turn, leads to:
    • Aggressive behavior, or
    • Withdrawal behavior.
  • People are complicated, i.e. They have many different needs they are trying to satisfy on the job.
  • Many of today's people (performance) problems are due to the frustration of "higher-order needs".
expectancy theory seems to sum things up
Expectancy theory seems to sum things up:
  • An employee will increase his/her effort, if he/she believes that increased effort will lead to improved job performance, and
  • He/she believes that desirable rewards will result from the improved job performance.
a two part strategy for addressing motivation problems
A Two-Part Strategy for Addressing Motivation Problems
  • Identify individual and organizational inhibitors to motivation, and adopt strategies for their elimination or understanding/acceptance, and
  • Identify and implement possible motivators.
dealing with motivation problems part i
Dealing with Motivation Problems, Part I

If it appears that an employee performance or behavior problem is motivation-based, determine if there is a hindrance to motivation.

Check the following:

  • Physical working conditions
  • Information/orientation
  • Status
  • Economic
dealing with motivation problems part i1
Dealing with Motivation Problems, Part I

If it appears that an employee performance or behavior problem is motivation-based, determine if there is a hindrance to motivation.

Check the following:

  • Social
  • Job security
  • Recognition
  • Responsibility
dealing with motivation problem part ii possible motivators
Dealing with Motivation Problem, Part II – Possible Motivators
  • Involvement
  • Goal setting
  • Praise
  • Assignment of or as a mentor
  • Rotational assignments
  • Cross training
dealing with motivation problem part ii possible motivators1
Dealing with Motivation Problem, Part II – Possible Motivators
  • Projects that stretch duties
  • Special assignments
  • Creative assignments
  • Plum responsibility, i.e. attractive assignments
  • Training opportunities
the communications process






the sender
The Sender
  • Decisions
    • When to communicate
    • Content
    • Medium
  • Responsibility
    • The language must be understandable to the receiver
    • Check for understanding
ten commandments of listening
Stop talking

Put the speaker at ease

Show a willingness to listen

Remove distraction

Be empathic

Be patient

Hold your temper

Go easy on arguments and criticism

Ask questions

Stop talking

Ten Commandments of Listening
communication barriers
Communication Barriers
  • Organizational
  • Physical
  • Interpersonal
feedback closing the loop
Feedback: Closing the Loop
  • Paraphrasing
  • Empathy
  • Active Listening
    • Responding to thoughts and to the underlying feelings or interests
    • “It sounds like you ….”
    • “I hear you saying ….”
    • “You seem to feel ….”
giving high quality feedback
Giving High Quality Feedback
  • Specific, rather than general
  • Focused on behavior
  • Attends to needs of receiver
  • Behavior that the receiver can do something about
  • Solicited, not imposed
giving high quality feedback1
Giving High Quality Feedback
  • Sharing information, not giving advice
  • Well-timed
  • The amount of information that the receiver can use
  • Checked to ensure clear communication
effectively receiving feedback
Effectively Receiving Feedback
  • Try not to be defensive-- suspend judgement
  • Summarize and reflect what you heard
  • Ask for clarification and examples
  • Check with group for validity
  • It is your right to decide what to do with it
accusatory confrontation you message
Accusatory Confrontation: “You” message
  • Judgmental, evaluative, critical, blameful
  • Little direct information on sender’s feelings
constructive confrontation i message
Constructive Confrontation:“I” message
  • Non-blaming specific description of the other’s behavior
  • Concrete and tangible effects on you
  • Congruent expression of your feelings/interests
  • Shifts the focus of the interaction to underlying issues, rather than positional blaming
  • Selective perception
  • Stereotyping
  • Projection
  • Halo effect
building trust
Solicit and provide honest feedback

Open communications and trust are reciprocal

Be genuine

Accept others and try to be accepted

Be empathic

Possess integrity

Have a sense of justice/fairness

Be able to do the job

Have good intentions

Be reliable

Building Trust
team definition
Team Definition
  • An energetic group of people who are committed to achieving common objectives, who work well together and enjoy doing so, and who produce high quality results.
commonsense findings about teams
Commonsense Findings About Teams
  • A demanding performance challenge tends to create teams.
  • The disciplined application of “team basics” is often overlooked.
  • Team performance opportunities are widespread.
  • Top management teams are the most difficult.
  • Most organizations prefer individual over group accountability.
uncommonsense findings about teams
“Uncommonsense” Findings About Teams
  • Organizations with strong performance standards seem to spawn real teams.
  • High performance teams are rare.
  • Hierarchy and teams go together.
  • Teams naturally integrate performance and learning.
  • Teams are the primary performance unit for an increasing number of organizations.
building a winning team the steps
Get commitment from the power structure

Establish/clarify mission/vision/ values/goals

Get involvement

Take the pulse regularly

Acknowledge you have heard input

Make visible changes

Recognize the importance of trust

Make the process fun where possible

Building a Winning Team:The Steps
eight components of successful teams
Eight Components of Successful Teams
  • Goals
  • Talent
  • Roles
  • Procedures
  • Team-oriented Training
  • Interpersonal Relations
  • Reinforcement
  • External Relations
deciding how to decide
Deciding How to Decide
  • Considerations
    • Time available
    • Level of commitment required for successful implementation
    • Quality of thinking necessary
  • Decision Options
    • Command
    • Consultative
    • Consensus
high performance teams
High Performance Teams
  • Balance of people and technical skills.
  • Members must have shared values.
  • Limited number of members with common vision.
  • Members have training especially w.r.t. to problem solving and communications.
  • Leadership is the key factor.
team leadership skills
Team Leadership Skills
  • Open, trusting
  • Affirmative, expressing optimism
  • Skilled at dealing with feelings and practical methods for problem-solving
  • Willing to share leadership
prerequisites for participation
Prerequisites for Participation
  • Time
  • Costs must not exceed the value
  • Subject must be relevant or interesting
  • Participants must have qualifications
  • Must be able to speak each other’s language
  • Can’t feel threatened
  • Only within area of job freedom
when working as a team member
When Working as a Team Member
  • Keep goals clear
  • Keep an open mind
  • View differences of opinion as a help
  • Work things through on the basis of logic and reason
  • Avoid changing your mind just to avoid conflict
  • Make sure everyone has opportunity to participate
  • Encourage and protect the shy
  • Be aware of your own “power”
task oriented functions
Task-Oriented Functions
  • Initiating
  • Seeking information or opinions
  • Giving information or opinions
  • Clarifying and elaborating
  • Summarizing
  • Consensus-testing
group maintenance functions
Group Maintenance Functions
  • Harmonizing
  • Gate keeping
  • Encouraging
  • Compromising
  • Standard setting and testing
counterproductive activities within teams
Counterproductive Activities Within Teams
  • Prejudging ideas
  • Competing with others
  • Monopolizing
  • Withdrawing
  • Defensive communications
ten key strategies
Good recruiting and selection

Managers must view development and retention as their #1 job

Flexibility in HR policies

Strong orientation program

Development-oriented performance mgmt

Equity in compensation

Supervisors/mgrs selected based upon managerial skills

Over communicate

Job preview for new hires

Employee recognition and incentive program

Ten Key Strategies
key issues in staffing 8 critical roles for managers
Key Issues in Staffing8 Critical Roles for Managers
  • Review the critical court values that apply to all court positions, e.g. customer service, integrity, initiative, teamwork, etc.
    • These are essential to ensure that the employee is not just technically competent, but also will fit the cultural of the court
  • Identify and define necessary competencies for the job
    • An up-to-date job description may provide this information.
    • If not, the knowledge, skills and abilities necessary to perform each required duty must be identified.
key issues in staffing 8 critical roles for managers1
Key Issues in Staffing8 Critical Roles for Managers
  • Identify and choose selection devices
    • Once the required competencies have been identified, e.g. interviewing skills, knowledge of court procedures, etc., a determination can be made about how to ascertain the extent to which a candidate possesses them.
    • For example, if the competency is the ability to write probation reports, perhaps a test is created in which a candidate has to write one given a packet of information.
key issues in staffing 8 critical roles for managers2
Key Issues in Staffing8 Critical Roles for Managers
  • Develop a structured interview guide
    • Some interpersonal competencies are best assessed through the interview.
    • Asking the same set of job related questions to each candidate is critical.
  • Remember perceived fairness, consistency, and legal compliance
key issues in staffing 8 critical roles for managers3
Key Issues in Staffing8 Critical Roles for Managers
  • Eliminate implied promises
    • It is possible that the status of court employees who serve at the pleasure of the court can be changed if court leaders make oral or written promises of a “for cause” employment relationship.
key issues in staffing 8 critical roles for managers4
Key Issues in Staffing8 Critical Roles for Managers
  • Orientation, training, and development are critical
    • The most critical aspect of orientation is not what the HR department does, it is what line managers do.
    • Consider assigning a mentor.
    • Pay attention to the little things – lunch, parking, breaks.
    • Don’t overwhelm; spread things out over the first weeks and months.
    • Take all court employees into the court room so that they see “the end product.”
    • Be clear about expectations.
    • Allow for regular, two-way communication.
key issues in staffing 8 critical roles for managers5
Key Issues in Staffing8 Critical Roles for Managers
  • A successful “probationary period”
    • This is the final step in the hiring process and is extremely important.
    • It is usually easier to dismiss a poor performing employee during the probationary period than at any other time.
    • It is an opportunity to guide, direct, and nurture the employee.
    • A regular schedule for review and feedback throughout the period is critical, as is regular documentation.
    • If there is doubt about the employee’s performance at the conclusion of the probationary period, dismiss the employee, barring unusual circumstances.
alternative selection devices choose the correct tool for the competency
Employment application


Academic performance


Reference checks


Criminal records

Medical examinations

Psychological examinations

Alternative Selection Devices:Choose the Correct Tool for the Competency
the employment interview process
The Employment Interview Process
  • Identify the competencies you want to assess using the interview (e.g. judgment, problem-solving, etc.)
  • Define, anchor and scale those competencies (e.g. what is excellent versus acceptable versus unacceptable judgment)
  • Write interview questions
  • Train interviewers
  • Conduct interviews – ideally, no more than 5 or 6 in a day
  • Evaluate the interview after each candidate
  • Validate interview results and the selection process
employment interview keys
Employment Interview Keys
  • Format – Rapport, information getting, information giving
  • Structured interview guide
  • Open ended questions
  • Behavioral focus
interview biases
Interview Biases
  • Halo and horns effect
  • Leniency, severity, and central tendency
  • Stereotypes
  • Selective perception
  • Similarity
  • First impression
  • Contrast effect
panels or oral boards
Panels or Oral Boards
  • Keep the size manageable -- three or so
  • Get panel members involved in the development process
  • Assign roles
  • Plan note taking
  • Rate individually, then work for clarification and consensus, not averaging
  • The lifeblood of the court is the accumulated insight of the people who choose to give their gifts of talent and commitment.
  • Mentoring may be the best way to ensure that the intellectual legacy of court staff continues.
mentoring helps to
Mentoring Helps To:
  • Attract and retain high performers
  • Upgrade employee skills/knowledge
  • Promote diversity of thought and style
  • Develop leadership talent
  • Preserve institutional memory
  • Create inclusion
  • Develop a line of succession
  • Foster a collaborative environment
  • Ease the transition to new assignments
building and managing a mentoring programs
Building and Managing a Mentoring Programs
  • Determine the purpose and set goals.
  • Identify and match mentors and protégés.
  • Train mentors and prepare protégés – listening, conflict resolution, motivation, instructional techniques, flexible leadership, providing feedback, positive reinforcement
  • Monitor the mentoring process
  • Evaluate the program
the mentoring program
Selecting a mentor

Job performance

Business acumen

Interpersonal skills

Learning capacity

What mentors do




Savvy insider


The Mentoring Program
mentoring guidelines for the court
Mentoring Guidelines for the Court
  • Get top management support
  • Make mentoring part of career development
  • Start with a short program
  • Make the program voluntary
  • Be public about the program
  • Select mentors with credibility – expertise, rank and power
  • Orientation for both mentors and protégés
  • Allow for diverse mentoring styles
  • Document the progress of the program
guidelines for mentors
Guidelines for Mentors
  • Expect to invest considerable time and effort
  • Be prepared to initiate the relationship
  • When the time is right, let the protégé go
  • Have realistic expectations of the relationship
concepts of total compensation
Concepts of Total Compensation
  • Intrinsic Rewards – A part of the compensation that employees receive from the job is not specifically provided by the employer, it is inherent in the work, e.g.
    • Sense of self worth
    • Social contact
    • Having fun
    • It’s what I do
    • It’s what you’re “suppose to do”
    • Opportunity to make a difference
    • The prestige of working for the judicial system and/or judges
concepts of total compensation1
Concepts of Total Compensation
  • Extrinsic rewards – usually when one thinks of compensation one thinks of the employer provided rewards Sense of self worth
    • Non-monetary
      • Office
      • Office with a door and window
      • Job title
      • Travel
      • Computer
      • Flexibility
concepts of total compensation2
Concepts of Total Compensation
  • Extrinsic rewards
    • Financial
      • Direct compensation – base pay, performance incentives
      • Indirect compensation
        • Pay for time not worked, e.g. holidays, vacation, sick days, personal days
        • Benefits
          • Medical, dental, life insurance, retirement
          • Workers’ compensation, social security

Collectively, these intrinsic and extrinsic rewards form the total compensation package for the employee and go into the equation as to whether or not the employee feels that she/he is being compensated equitably relative to others.

goals of a compensation system
Goals of a Compensation System
  • Perceived equity in compensation received
    • Internal equity – determined through use of job evaluation techniques. Employees look at
      • Employees on same job, and
      • Employees on different jobs
    • External – determined through surveys of other employers in the labor market. Employees consider
      • Geographic area
      • Similar positions
      • Public sector versus private sector
goals of a compensation system1
Goals of a Compensation System
  • Incentives for superior performance
  • Compliance with laws
    • Fair Labor Standards Act, Equal Pay Act, Title VII, ADA, ADEA
  • Efficiency of administration
job analysis
Job Analysis
  • Definition – A systematic process for gathering and summarizing information about
    • Job Content
    • Job Requirements
    • Job Context
  • Importance – Job analysis results, as summarized in the job description, is one of the core components of effective human resources management. It provides the data for good decision making in staffing, compensation, performance management, training, etc.
job analysis1
Job Analysis
  • Critical Data
    • Nature of Work
      • Essential Functions
      • Additional Duties
      • Responsibilities
    • Level of Work
      • Skill
      • Effort
      • Responsibility
      • Working Conditions
job analysis2
Job Analysis
  • Sources of Information
    • Direct Observation
    • Individual Interviews
    • Group Interviews
    • Diaries/Logs
    • Job Analysis Questionnaires
job descriptions the summary of the job analysis
Job Descriptions – the summary of the job analysis
  • Key Elements
    • Title
    • Essential Duties
    • Minimum Job Requisites
      • Physical
      • Mental
    • Working Conditions
uses of job descriptions
Uses of Job Descriptions
  • Basis for Job Evaluation
  • Job Pricing - External salary surveys
  • Work Assignments
  • Organizational Structure
  • Succession Planning
  • Training
point factor job evaluation systems
Point Factor Job Evaluation Systems
  • Types of Factors Given Weight
    • Skill
    • Effort
    • Responsibility
    • Working Conditions
pay surveys
Pay Surveys
  • Pay Survey
    • Collection of data on compensation rates for workers performing similar jobs in other organizations.
  • Benchmark Jobs
    • Jobs found in many organizations.
  • Internet-Based Pay Surveys
    • Pay survey questionnaires are distributed electronically rather than as printed copies.
developing pay surveys
Developing Pay Surveys

Select Employers with Comparable Jobs

Determine Jobs to be Surveyed

Decide What Information Is Needed

Conduct Survey

classification or pay structures
Classification or Pay Structures
  • Pay Grades
    • A grouping of individual jobs having approximately the same job worth, based upon job evaluation and salary survey data
  • Broadbanding
    • The practice of using fewer pay grades having broader pay ranges that in traditional systems.
classification or pay structures1
Classification or Pay Structures
  • Objective
    • Provides an equitable foundation for rewarding employees given the relative worth of their position
  • If Employees are Improperly Classified
    • Poor morale, turnover
performance feedback and development
Performance Feedback and Development

Basic Assumptions

  • People are our most important resource.
  • People’s performance can improve and their behavior can change, even though their basic personalities do not change.
  • While some performance management and appraisal forms and systems are better than others, managers determine the success or failure of any program.
performance feedback and development1
Performance Feedback and Development

Basic Assumptions

  • Performance management is a fundamental part of every supervisor’s job, a part of the planning, implementation, evaluation cycle.
  • A good feedback session takes some time.
  • The most effective performance appraisal is a part of a comprehensive program of performance management that takes place day-in and day-out, not once a year.
strategic planning and performance management
Strategic Planning and Performance Management
  • Strategic Planning
  • Identification of strategic issues
  • Action planning
  • Performance management
performance planning
Performance Planning
  • Define the job purpose.
  • Define job duties, responsibilities, and objectives (including measures).
  • Discuss general performance factors (values, methods).
  • Define priorities and standards.
  • Schedule interim review sessions.
the performance feedback and appraisal session
The Performance Feedback and Appraisal Session
  • Your attitude is critical
  • Pay attention to the setting
  • Start with the purposes
    • Review performance relative to expectations, including accomplishments and areas in need of improvement, and provide an assessment
    • Develop strategies for improvement were required
    • Provide input for supervisory improvement
the performance feedback and appraisal session1
The Performance Feedback and Appraisal Session
  • Begin with the accomplishments
  • Then move to “areas in need of improvement”
  • Try to reach agreement on each item to be appraised
  • Be objective and honest
  • Don’t use loaded words
  • Stay realistic
  • Listen more than you talk
  • Remember your non-verbals
common rater biases
Common Rater Biases
  • Halo, Horns
  • Recency
  • Leniency/Severity/Central tendency
  • Similarity
  • Stereotypes
  • Contrast Effect
  • Selective Perception
overcoming biases
Overcoming Biases
  • Recognize the ones you have.
  • Share expectations with the appraisee.
  • Keep a “log” of events during the year.
  • Give regular feedback (no surprises!).
  • Consider using an employee self-appraisal
  • Review your draft appraisal with someone.
  • Remind yourself of your biases before every performance appraisal conference.
factors that predict how courts decided in appraisal cases
Factors That Predict How Courts Decided in Appraisal Cases
  • Written instructions and training to evaluators
  • Results or behavior-oriented system
  • Job analysis
  • Employee knows in advance what is expected
how many organizations therefore have succession plans

How many organizations, therefore, have succession plans?

Results of a December 2003

SHRM Survey

Nevertheless, because human talent is the key ingredient for court success, court leaders must give thought to succession planning.
scanning the external environment
Scanning the External Environment
  • Environmental Scanning
    • The process of studying the environment of the organization to pinpoint opportunities and threats.
  • Environment Changes Impacting HR
    • Governmental regulations
    • Economic conditions
    • Geographic and competitive concerns
    • Workforce composition
internal assessment of the organizational workforce
Internal Assessment of the Organizational Workforce
  • Auditing Jobs and Skills
    • What jobs exist now?
    • How many individuals are performing each job?
    • How essential is each job?
    • What jobs will be needed to implement future organizational strategies?
    • What are the characteristics of anticipated jobs?
internal assessment of the organizational workforce1
Internal Assessment of the Organizational Workforce
  • Organizational Capabilities Inventory
    • HRIS databases—sources of information about employees’ knowledge, skills, and abilities (KSAs), training
    • Components of an organizational capabilities inventory
      • Workforce and individual demographics
      • Individual employee career progression
      • Individual job performance data – education, training, etc.
internal assessment of the organizational workforce2
Internal Assessment of the Organizational Workforce
  • Organizational Capabilities Inventory
    • What can be developed versus what can be acquired
  • Know the organization.
    • Is the organization growing, contracting? Implementing new services, processes?
  • Number of positions that need to be filled by organization and by unit.
    • 125 new employees needed next year
    • 8 court executive officers, 20 court reporters, 12 system professionals, etc.
  • Take a holistic approach. Be aware of chain effects: as people are promoted their positions become available.
key concepts in employee discipline
Key Concepts in Employee Discipline
  • Communications/Forewarning
  • Consistency
  • Perceived fairness
  • Procedure/Due process
  • Documentation
    • Regular, Non-secretive, Specific, Observable
analyzing and solving people problems
Analyzing and Solving People Problems
  • Describe the problem
  • Is it important?
  • Analyze the causes?
  • Decide on a corrective action.
  • Implement the plan.
  • Follow up.
  • Revise as needed?
performance problems
Performance Problems
  • Ability
  • Clear goals
  • Adequate tools and support
  • Motivation
behavior problems
Behavior Problems
  • Does the employee know what the proper behavior is?
  • Are there health, family, emotional, substance abuse, medical, psychological, etc. problems?
corrective actions



Employee Assistance Program


Interim Performance Reviews

Corrective discipline




Corrective Actions
conducting an effective coaching session
Conducting an Effective Coaching Session
  • Establish rapport – place the employee at ease.
  • Describe the behavior or performance problem.
  • Try to get agreement that a problem exists.
  • Determine why the employee’s performance has been a problem.
conducting an effective coaching session1
Conducting an Effective Coaching Session
  • Ask for the employee’s ideas or solutions to the problem and discuss the ideas that she/he volunteers.
  • Agree on the specific action to be taken by the employee.
if you suspect that an employee problem might benefit from the employee assistance program
If you suspect that an employee problem might benefit from the Employee Assistance Program:
  • Concentrate on performance and behavior on the job
  • Make sure that the employee is aware of the EAP
  • Document this communication
  • Participation in the EAP does not excuse poor performance or inappropriate behavior on the job!
Seven Tests of Just Cause:The Questions Asked by Arbitrators in Unionized Workplaces Which Provide A Useful Guide for Non-Union Courts
  • Forewarning?
  • Reasonable rule?
  • Investigation?
  • Fair investigation?
  • Adequate proof/evidence?
  • Consistency?
  • Appropriate punishment?
corrective discipline
Corrective Discipline
  • Oral warning or reprimand (documented)
  • Written warning or reprimand
  • Suspension or disciplinary layoff
  • Discharge
when determining disciplinary action consider
When Determining Disciplinary Action, Consider:
  • Seriousness of the offense
  • Employee’s past record
  • Employee’s length of service
  • Past practice in similar cases
  • Mitigating or aggravating circumstances
documentary evidence
Documentary Evidence
  • Business records
  • Meritorious complaints
  • Employer communications to employees
  • Personnel file information
physical evidence
Physical Evidence
  • Examples of poor quality work
  • Photographs
  • Unauthorized/Illegal substances or weapons
  • Other physical evidence
  • Nothing substitutes for first hand testimony
  • Written statements from witnesses
the fosa method
The “FOSA” Method
  • F – Facts
  • O – Objectives
  • S – Solutions
  • A -- Actions
purposes of the grievance procedure
Purposes of the Grievance Procedure
  • Brings problems out in the open.
  • Opportunity for emotional release by employees.
  • Guards against unfair actions by managers.
  • Proper administration of the terms of a collective bargaining agreement (CBA) or court personnel policies.
  • Clarification of ambiguous terms/policies.
  • Identification of terms/policies in need of modification.
time limits in unionized courts
Time Limits in Unionized Courts
  • A timeliness objection must be raised at the first written response by management.
  • Raising a timeliness violation does not preclude dealing with the merits of a grievance.
  • Be sure to be aware of the definition of the word “days.”
burden of proof in labor relations
Burden of Proof in Labor Relations
  • In discipline cases, management is assigned the burden of proof.
  • In contract administration grievances the union carries the burden of proof.
handling grievances
Handling Grievances
  • Settle at lowest possible level.
  • Maintain a receptive attitude/atmosphere.
  • Union steward usually has a right to be present at any meetings at which grievances are being adjusted, even if the employee does not desire representation (check your CBA).
grievance handling steps
Grievance Handling Steps
  • Listen attentively as the grievance is presented.
  • Find out from employee/steward the section of the CBA or personnel policies alleged to have been violated.
  • Question the employee/steward to develop a full set of facts.
  • Investigate -- develop additional facts and verify employee/steward assumptions.
grievance handling steps1
Grievance Handling Steps
  • Analyze your information.
  • Record all pertinent information.
  • Write your decision.
  • Report your decision to employee/steward and management.
  • Follow-up on your decision.
management rights past practices and contract administration

Management Rights, Past Practices and Contract Administration

Special Issues for Unionized Courts

management rights
Management Rights
  • Residual Rights Doctrine -- Management does not acquire its rights through the CBA
  • Exclusive rights -- rights not subject to bargaining
  • Non-exclusive rights -- areas covered by the contract or mandatory subjects of bargaining
non exclusive rights
Non-Exclusive Rights
  • Right to initially interpret and apply contract language
  • The right to direct the workforce
limitations to management rights
Limitations to Management Rights
  • The terms of the CBA
  • Legislation
  • Limitations upon unilateral action with significant impact on terms & conditions
  • Reasonableness
  • Custom and past practice
binding past practice
Binding Past Practice
  • Definition: A consistent response to a given set of circumstances which has been enunciated and acted upon over a significant period of time and has thus been mutually accepted by the parties as an established and correct procedure.
eliminating past practices
Eliminating Past Practices
  • Change in technology or methods
  • Use of “corrective” rule
  • Voiding of the practice
  • Contract negotiations3
contact administration
Contact Administration
  • Definition: The process through which the parties to a CBA ensure that the terms of the agreement are enforced in accordance with their respective understandings of the rights and obligations agreed to in the language of the contract.
the union administers the cba through filing grievances
The Union Administers the CBA Through Filing Grievances
  • Management inconsistency
  • Management consistency
  • Perceived contract violations
  • Grievances for grievances sake
how management should administer the contract
How Management Should Administer the Contract
  • Identifying and articulating its interpretation
  • Communicating this interpretation
  • Consistently and uniformly enforcing its interpretation
  • Guarding against adverse practices
  • Settling grievances on their merits
  • Settling grievances of questionable merit on a non-precedential basis
achieving consistency where language is ambiguous
Achieving Consistency Where Language is Ambiguous
  • Use a team approach
  • Keep good records
  • Practice positive contract administration
  • Develop methods of communication among management personnel
  • Develop an interpretative manual
  • Monitor contract enforcement
typical definition of a grievance
Typical Definition of a Grievance

Any formal complaint on the part of an employee or the union that an action or inaction by management violated the labor contract or one of the court’s policies or procedures in such a way as to adversely affect the working conditions of employees.

definition of a complaint in non union setting
Definition of a “Complaint” in Non-Union Setting

Any complaint on the part of an employee that an action or inaction by management is perceived to be unfair or to unfairly affect the employee.