Our society is increasingly bureaucratized and documentation is essential to working this bureaucracy. From a cost vs. benefit standpoint, having a written workplace handbook that highlights conduct, compensation and benefits, generally saves more money than it costs. While downloading a handbook from the internet, even if it’s free, may sound like a good idea, you generally get what you pay for as one-size-fits-all solutions are rarely as effective as solutions tailored to your needs. What makes the most sense for your organization? What policies are must-haves? What are the latest best practices when it comes to employee handbooks? What about training your staff and your managers? This webinar presents practical advice for employers looking to put themselves in the best position possible to not only defend against employment-related claims but—hopefully—to help avoid them in the first place. To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/an-ounce-of-prevention-policies-procedures-and-proactivity-2021/

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Practical and entertaining education for
attorneys, accountants, business owners and
executives, and investors.

3. Disclaimer
The material in this webinar is for informational purposes only. It should not be considered
legal, financial or other professional advice. You should consult with an attorney or other
appropriate professional to determine what may be best for your individual needs. While
Financial Poise™ takes reasonable steps to ensure that information it publishes is accurate,
Financial Poise™ makes no guaranty in this regard.
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5. Meet the Faculty
MODERATOR:
Charles Krugel - Law Offices of Charles Krugel
PANELISTS:
Helen Bloch - Law Offices of Helen Bloch, P.C.
Max Barack - The Garfinkel Group, LLC
Gary Savine - Savine Employment Law, Ltd.
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6. About This Webinar - An Ounce of
Prevention: Policies, Procedures and Proactivity
Our society is increasingly bureaucratized and documentation is essential to working this
bureacracy. From a cost vs. benefit standpoint, having a written workplace handbook that
highlights conduct, compensation and benefits, generally saves more money than it costs.
While downloading handbook from the internet, even if it’s free, may sound like a good idea,
you generally get what you pay for as one-size-fits-all solutions are rarely as effective as
solutions tailored to your needs. What makes the most sense for your organization? What
policies are must-haves? What are the latest best practices when it comes to employee
handbooks? What about training your staff and your managers? This webinar presents
practical advice for employers looking to put themselves in the best position possible to not
only defend against employment-related claims but—hopefully—to help avoid them in the first
place.
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7. About This Series-
Protecting Your Employee Assets: The Life Cycle of
the Employment Relationship 2020
If you have employees or advise companies with employees, this webinar series is for you!
No employer—whether large, medium or small—is immune from the reach of federal, state
and/or local employment laws and regulations. Now, more than ever, employers should
consider taking a proactive approach to auditing their employment practices and policies so
that they can better respond when issues arise. This webinar series approaches the
employer-employee relationship from beginning to end, with programs covering the most
important steps along the way, including hiring and onboarding, policy and procedure
development and training, wage and hour compliance, accommodating disabled employees,
conducting investigations and considerations associated with ending the relationship.
Each Financial Poise Webinar is delivered in Plain English, understandable to investors, business owners, and
executives without much background in these areas, yet is of primary value to attorneys, accountants, and other
seasoned professionals. Each episode brings you into engaging, sometimes humorous, conversations designed to
entertain as it teaches. Each episode in the series is designed to be viewed independently of the other episodes so that
participants will enhance their knowledge of this area whether they attend one, some, or all episodes.
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8. Episodes in this Series
#1: Welcome to the Team! Recruiting and Hiring, Including Restrictive Covenants
Premiere date: 1/26/21
#2: An Ounce of Prevention: Policies, Procedures and Proactivity
Premiere date: 2/23/21
#3: Time for a Break: Managing Leaves of Absence and Accommodating Disabilities
Premiere date: 3/23/21
#4: Show Them the Money: Wage & Hour Compliance
Premiere date: 4/20/21
#5: I Know What You Did Last Summer: Workplace Investigations
Premiere date: 5/11/21
#6: It’s So Hard To Say Goodbye: Minimizing Risk When Terminating Employees
Premiere date: 6/15/21
#7: The Impact of Communicable Diseases, Including Coronavirus, on the Workplace
Premiere date: 7/13/21
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9. Episode #2:
An Ounce of Prevention: Policies, Procedures and Proactivity
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10. The Employee Handbook
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11. Developing an Employee Handbook
• Create/update existing policies
• Determine needs/goals
• Draft outline of handbook content
• Create summary of each policy and procedure
• Insert summaries into outline and review overall handbook
• Submit for legal review
• Distribute to employees and perform periodic updates
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12. The Employment Handbook: Legal Compliance
• The employment handbook must comply with all relevant laws:
 Anti-discrimination/harassment and related civil rights statutes
 National Labor Relations Act
 Family and Medical Leave Act
 State and local laws and regulations
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13. What Should a Good Handbook Include?
• Disclaimer
• Anti-Discrimination/Harassment Policies
• Compensation and Benefits
• Work Schedules
• Standards of Conduct
• Safety and Security
• Computers and Technology
• Leave Policies
• Acknowledgement of Receipt
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14. Confidentiality/Information Security and
Conflict of Interest Statements
• These are not a requirement, but some companies may choose to include a statement to
protect company trademarks or industry secrets.
• May be used to support restrictive covenants in litigation
• The handbook should outline the specific information regarding the policy so that all
employees are aware of the agreement.
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15. Anti-Discrimination Policies
• The handbook should confirm that the employer does not discriminate against
applicants/employees on the basis of their:
 Race, color, religion, sex, pregnancy, age, disability, national origin, or any other basis
protected by federal, state or local law.
• The handbook should include an internal complaint procedure and process for resolving
complaints.
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16. Compensation
• The handbook should provide information on deductions for federal, state and local taxes,
and the benefits plan. It should also include information on:
 Employee classifications
 Pay schedules
 Employee reviews
 Breaks (length, paid?)
 Recording of employee time
 Overtime
 Expense reimbursement
 Paid time off (PTO)
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17. Work Schedules
• Is there a set schedule for employees?
• Flexible schedule with possibility of remote work
• Holidays
• Part-time/full-time designation
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18. Standards of Conduct
• The handbook should document information regarding employee standards, such as:
 Dress code
 Code of conduct-what is permissible/what is not
 Progressive discipline/zero tolerance
 Attendance
 Drugs/Alcohol - Will the employer require testing?
 Confidential information
 Use of company property
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19. Safety and Security
• In order to help foster a safe work environment, the handbook should include:
 Procedures for reporting an accident
 Information for dealing with weather-related emergencies
 Procedures for addressing health (physical and mental) crises
 Policy against workplace violence
 Depending on location, weapons in the workplace
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20. Computers and Technology
• The handbook should outline:
 Guidelines on appropriate use of employer’s computer/network/internet
 Confirm that there is no reasonable expectation of privacy
 Social media expectations
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21. Employee Benefits
• This section should provide information regarding mandatory and optional benefits, for
example:
 Medical, dental, vision
 Flexible spending accounts
 Workers compensation
 401(k)
 EAP
 Insurance
 Bonuses
 COBRA
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22. Leave Policies
• The employer’s policies regarding leave should be outlined in this section of the handbook.
 Vacation days
 Sick days
 Personal days
 Jury duty
 Family medical leave
 Military leave
 Bereavement
 Policies must be documented and must comply with federal and state laws
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23. Termination
• Voluntary/Involuntary
• Exit interview
• Final paycheck
• Return of company property
• References
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24. Acknowledgement of Receipt
• Affirms at-will employment
• Recognizes Company’s right to add, delete or modify policies
• Commits to adhere to policies
• Employee must acknowledge after each revision
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25. Employment Policies
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26. The Purpose of Employment Policies
• Communicate organizational values and expectations
• Maintain legislative compliance and protection against employment claims
• Document and implement relevant organizational best practices
• Promote consistent treatment of staff, fairness and transparency
• Help management to make decisions that are consistent, uniform and predictable
• Provides individuals/organization with clear guidelines
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27. Differences between Policy and Procedure
• A policy is a formal statement of a principle or rule that members of an organization must
follow.
 Each policy addresses an issue important to the organization's mission or operations.
• A procedure tells members of the organization how to carry out or implement a policy.
Policy is the "what" and the procedure is the "how to.”
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28. Employment Policy and Routine Audits
• Employment policies should be routinely audited to ensure compliance with the law.
Specifically:
 Policies against discrimination and harassment
 Supervisory training policies
 Employee evaluation forms and method of determining merit pay
 Review ADA compliance (post expiration of FMLA leave)
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29. Employment Policy and Routine Audits
• Review methods for employees to voice concerns.
• Review harassment investigation protocol.
• Review protocol on discrimination charges or other legal proceedings and related
document retention and “electronically stored information” practices and procedures.
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30. Employee Training
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31. Why Train?
• Educates workers about use of technology
• Ensures competitive edge in the market
• Promotes safety and health among employees
• Creates opportunities for career development and personal growth, an important factor in
retaining workers
• Helps employers comply with laws and regulations, and
• Improves productivity and profitability
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32. Training and Development Options
• Job specific training - training and development that increases employee skills and abilities
to meet the requirements of their position
• Career development - training and development that build employee competencies
• Educational development - courses through an accredited/certified/licensed educational
institution
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33. On the Job Training/Development
• On-the-job training and development includes activities such as:
 Peer or supervisor coaching on particular job-related skills
 Mentoring, with an internal or external mentor on job and career related skills and
abilities
 Job rotation
 Job shadowing
 Cross training
 "Acting" responsibilities when superiors are away
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34. Formal Training
• Formal training includes professional development programs, such as:
 Classroom training
 Online training
 Video training
 Conferences and seminars
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35. Manager Training
• Ensure they understand expectations and obligations of compliance with EEO policies
• Explain potential for individual liability
• Teach them to spot issues
• Make sure they know what to do when they see something or receive a complaint
NOTE: If an employee proves in court that a supervisor or manager did discriminate, harass,
or retaliate against them, an employer can protect itself by showing that it provided that
supervisor with the proper training so that they knew their actions were in direct violation of
company policy.
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36. About the Faculty
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37. About The Faculty
Charles Krugel - cak1@charlesakrugel.com
As a management side labor & employment attorney & human resources (HR) counselor,
Charles Krugel, www.charlesakrugel.com, has 25 years of experience in the field & has been
running his own practice for 20 years. His clients are small to medium sized companies in a
variety of industries. Charles has been lead negotiator for hundreds of labor & employment
agreements & contracts. Additionally, he’s litigated dozens of court cases, administrative
proceedings & arbitrations. In addition to providing traditional labor & employment law
services, he represents companies desiring to institute preventive & proactive HR functions.
These functions include policies & procedures, which help to efficiently & discreetly resolve
issues in-house & prevent lawsuits & complaints; they also help to reduce costs & act as
catalysts for increasing productivity & profits. Moreover, he’s frequently the subject labor &
employment law related TV, radio & print interviews.
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38. About The Faculty
Gary Savine - gnoah@savinelaw.com
Gary Noah Savine is an employment lawyer and the founder of Chicago-based law firm
Savine Employment Law, Ltd. Gary brings to the table over twenty years of legal expertise
and hands-on experience, working around the globe, shoulder-to-shoulder with senior
executives and human resource professionals solving the thorniest of workplace disputes.
Before starting his firm, Gary practiced employment law exclusively at two of Chicago’s
largest law firms and served as chief employment counsel at Navistar (NYSE: NAV) and Hill-
Rom Holdings (NYSE: HRC). Gary frequently speaks and writes about employment law
issues. He has written and presented before the American Bar Association, the National
Employment Lawyers Association, the Northern Illinois Society for Human Resources
Management, the Northern Illinois Franchise Association and the American Conference
Institute. Gary received his law degree cum laude from the University of Michigan Law School
in 1996. More information about Gary’s firm can be found at www.savinelaw.com.
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39. About The Faculty
Helen Bloch - hbloch@blochpc.com
In 2007, Helen Bloch founded the Law Offices of Helen Bloch, P.C., a general practice firm that is a
Certified Female Business Enterprise. In the employment & business context, Helen represents clients on
all sides of the employment relationship- individual employees, managers, or employers. Routinely Helen
negotiates & counsels clients on employment agreements, including non-competition, confidentiality, &
severance agreements. Also, she drafts employment handbooks & various policies & procedures. Helen
will advise businesses on best practices, including providing sexual harassment training. Helen has
lectured on topics such as gender role in the law, legal issues affecting small businesses, & legal rights &
obligations from multiple sides of the employer-employee relationship. For the past two years she has
been selected for inclusion in Super Lawyers in the area of employment law. Helen is President of the
Decalogue Society of Lawyers & serves on the Alliance of Bar Associations, where she assists in
screening judicial candidates. Her other bar association memberships include the Illinois chapter of the
National Employment Lawyers Association, Women’s Bar Association of Illinois, & the Illinois State Bar
Association. An active National Association of Women Business Owner’s (NAWBO) member, Helen
leads NAWBO’s Lincoln Park Business Exchange Group.
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40. About The Faculty
Max Barack - MBarack@favarogorman.com
Max leads the Garfinkel Group, LLC's employment law practices groups and is a plaintiff-side
employment law attorney. He has been practicing law since 2013 and has spent the majority
of that time handling plaintiff-side employment matters. He concentrates his practice primarily
on representing plaintiffs in their claims of discrimination, as well as wage & hour violations,
whistleblower actions, & severance negotiations. He has extensive litigation experience, with
a focus on electronic discovery (ESI). He has represented & assisted employers in defending
discrimination & wage & hour disputes, including in department of labor investigations. He is a
member of the Board of Directors of the National Employment Lawyers Association of Illinois
& co-chair of its Legislative Committee. He is a regular contributor to the Chicago Bar
Association's @theBar blog, & is fluent in Spanish.
J.D., Chicago-Kent College of Law
B.A., University of Michigan
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41. Questions or Comments?
If you have any questions about this webinar that you did not get to ask during the live
premiere, or if you are watching this webinar On Demand, please do not hesitate to email us
at info@financialpoise.com with any questions or comments you may have. Please include
the name of the webinar in your email and we will do our best to provide a timely response.
IMPORTANT NOTE: The material in this presentation is for general educational purposes
only. It has been prepared primarily for attorneys and accountants for use in the pursuit of
their continuing legal education and continuing professional education.
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42. About Financial Poise
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