中国经济管理大学 《心理学与人力资源管理》 （MBA研究生课程班）Chapter 2 – The...
内容提要：中国经济管理大学 MBA微课程：免费畅享MBA中国经济管理大学 《心理学与人力资源管理》 （MBA研究生课程班）Chapter 2 – The Law and Human Resource Management 韦恩.F.卡西欧（Wayne F. Cascio）美国科罗拉多大学（丹佛校区）商学院Robert H. Reynolds全球领导与管理讲座教授，拥有罗切斯特大学工业与组织心理学博士学位。担任美国心理学会工业／组织心理学分会、美国管理学会、全美人力资源学会等多个组织会士。
赫尔曼·阿吉斯（Herman Aguinis）美国科罗拉多大学（丹佛校区）商学院Mehalchin管理讲座教授。曾担任美国管理学会研究方法分会会长。
Overview
Chapter Two, The Law and Human Resource Management, begins by summarizing the organization of the American legal system by branch of government and by district courts.Next, the chapter presents the process for filing discrimination complaints against an employer through the federal courts or through the state courts.Pivotal employment laws are summarized with particular attention and focus on the more recent Civil Rights Acts, Americans with Disabilities Act, and the Family and Medical Leave Acts.Of particular interest is the formation and operation of the Equal Employment Opportunity Commission. In each section, precedence setting cases are mentioned along with brief summaries of subsequent legal decisions and human resource practices. The chapter concludes with a discussion on the ongoing status of Affirmative Action practices, challenges to these practices, and the current importance placed by human resource managers on the development of a diverse workforce.
Annotated Outline
I. At a Glance
a. Legal issues of employment dominate HRM
i. Employment legislation pervasive
ii. Individuals motivated to correct previous wrongs
b. All branches U. S. government (federal & state) active in employment law
i. Legislative – House of Representatives
ii. Executive - Senate
iii. Judicial – Supreme and state courts Employment legislation pervasive
c. Employment Opportunity protected regardless
i. Race
ii. Color
iii. Age
iv. Gender
v. Religion
vi. National Origin
vii. Disability
d. All aspects of employment affected
i. Screening
ii. Recruitment
iii. Selection
iv. Placement
v. Compensation
vi. Training
vii. Promotion
viii. Performance management
e. Industrial Organizational Psychologists and HR Professionals work
i. With attorneys
ii. With courts
iii. Regulatory agencies
iv. Serious consequences if ignored
f. Affirmative Action remains work-life fact
i. Public policy
1. Americans support AA ideas and reality
2. Disagreement about how to implement
ii. IO Psychologists & HR Professionals provide assistance
II. The Legal System
a. U. S. Constitution is first & above all courts at all levels
i. Federal laws supersede state laws, generally provide minimum standards
ii. State laws may be enacted if federal laws do not provide framework
iii. State courts systems may be modeled similar to federal courts
b. Federal Government Organization Structure – 3 branches
i. Legislative Branch
1. U. S. Congress
2. Enact laws – statutes interpreted by regulatory agencies standards
ii. Executive Branch
1. U. S. Senate
2. Enforce laws
iii. Judicial – Federal Courts
1. Supreme – one court with 9 judges
a. One Chief Justice
b. Eight Associate Justices
2. Inferior courts (lower courts) as directed by Congress
a. U. S. District Courts
b. Federal Trial Courts per state
c. Try cases
i. Between citizens of different states
ii. Constitutional challenges
iii. Broken Federal laws
3. Appellate Courts
a. 12 Circuit or regional courts
b. Decisions may be appealed to Supreme Court
i. Only if Supreme Court agrees
ii. Usually when circuit opinions differ
iii. Supreme Court reviews are certiorari
iv. Writ of Certiorari must be granted first
v. If writ denied, circuit decision stands
4. State Courts organized or structured similarly
a. State district courts lowest
b. State Appellate Courts next
c. State Supreme Court highest
d. U. S. Supreme Court may get involved subsequently
5. Equal Employment complaints
a. Start with employer
b. Next
i. state, local Fair Employment Practice Commissions
ii. federal agencies
1. Equal Employment Opportunity Commission
2. Office of Federal Contract Compliance Programs
c.Next, state district courts
d. Next, state Appellate Courts
e. Next, state Supreme Court
f. Finally, U. S. Supreme Court
6. Employers advised to have complaint resolution system
III. Unfair Discrimination: What is it?
a. Definition – giving members one group unfair advantages over nonmembers
i. Selection requires exclusion
ii.Selection can exclude while remaining fair
b. Discrimination subtle and complex
i. Unequal (disparate) treatment
1) Intention to discriminate or to retaliate
a) May be based on direct evidence
i) Employment policies, handbooks
b) May be based on circumstantial evidence – statistical trends
ii) Schwager v. Sun Oil Co. of Pa.
c) May be mixed-motives
i) Previous practices
ii) Current trends
ii. Adverse impact (unintentional) discrimination
1) Identical standards
2) Limit opportunities for particular group
3) Standards unrelated to job success
IV. Legal Framework for Civil Rights Requirements
A. Laws govern public and private sector employers
B. Executive orders govern government contractors
C. Important laws
i. U. S. Constitution
ii. Civil Rights Acts of 1866 & 1871
iii. Equal Pay Act of 1963
iv. Civil Rights Act of 1964
v. Age Discrimination Act of 1967 (& amended in 1986)
vi. Immigration Reform & Control Act of 1986
vii.Americans with Disabilities Act of 1990
viii. Civil Rights Act of 1991
ix. Family and Medical Leave Act of 1993
D. Important Executive orders
i. Executive Orders 11246, 11375, 11478
ii.Rehabilitation Act of1973
iii. Uniformed Services Employment and Reemployment Right Acts of 1994
V. The U. S. Constitution – Thirteenth and Fourteenth Amendments
A.13th prohibits slavery & involuntary servitude
B.14th guarantees equal protection of the law for all citizens
VI. The Civil Rights Acts of 1866 and 1871
A.1866 – right to make and enforce employment contracts, amended by CRA of 1991
B.1871 – right to sue in federal courts
C.Important case - Johnson v. Railway Express Agency (1975)
VII. Equal Pay for Equal Work Regardless of Sex
A.Equal Pay Act of 1963 – prohibits sex discrimination for wage payments
i.Some exceptions
1. Seniority
2. Merit
3. Quantity, quality production
4. Other differentials
ii.Administered by Equal Employment Opportunity Commission
B.Equal Pay for Jobs of Comparable Worth
i.Documented trend - when women dominate an occupation, wages decrease
ii.Are women underpaid or are the jobs worth less?
iii. Comparable worth by definition requires jobs be classified by gender
VIII. Equal Employment Opportunity
A.Civil Rights Act of 1964 – organized by sections or titles
i.Title VII most relevant to Employment Practices, amended by CRA 1972
a.Established the Equal Employment Opportunity Commission (EEOC)
ii.Requires nondiscrimination on basis of
a.Race
b.Color
c.Religion
d.Sex
e.National Origin
iii.Requires nondiscrimination for
a.Apprenticeships
b.Training
c.Advertising
d.Prohibits retaliation
iv.Originally aimed at private employers with more than 25 employees
v.1972, amended to include private and public employers with > 15employees
vi.Exceptions
a.Private clubs
b.Employers associated with American Indian Reservations
c.Religious organizations
vii.Federal government oversight managed by
a.U. S. Office of Personnel Management
b.Merit Systems Protection Board
viii.Title VII also defines
a.Protection from lawsuit when AAP followed
b.Back-pay awards when employers found guilty of discrimination
ix.Title VII allows discrimination when
a.Bona Fide Occupational Qualifications (BFOQs) exist
b.Seniority & merit systems exist without intent to discriminate
c.Pre-employment inquiries occur to meet regulation reporting
d.Professionally developed ability tests are used for decisions
e.There are demographic imbalances in the geographicjob area
Ward Cove Packing v. Antonio, 1989
f.Veterans are involved as long as male & female veterans considered
g.National security is involved
IX. Age Discrimination in Employment Act of 1967
A.Equal Employment Opportunities for those 40 and older are guaranteed
B.Unless age is a relevant BFOQ
C.Employers may offer special incentives to older workers
C.Employees may waive & revoke their rights to sue
X. The Immigration Reform and Control Act of 1986
A.Applies to every employer
B.Must verify employee citizenship status within 3 days of hiring (I-9) forms
C.When two candidates equally qualified, U. S. citizens receive legal preference
D.Some amnesty rights for aliens residing continuously in the U. S. prior to 1982
E.Penalties range from $100 to $1000 per breach of law per undocumented employee
XI. The Americans with Disabilities Act (ADA) of 1990
A.Applies to all employers with 15 or more employees
B.Disabled employees must have qualifications to complete the job
C.Reasonable accommodations must be made
D.Expense is relevant only ifit causes undue hardship for employer
E.Pre-employment physicals allowed only if all applicants must complete
F.Medical information must be kept separate from other work-related information
G.Drug-testing rules apply
H.Enforcement by
i. EEOC and
ii. Department of Justice and
iii.Department of Transportation
XII. Civil Rights Act of 1991
A.Allows compensatory and punitive damages
i.for nonpublic employees for intentional discrimination
ii.sets cap at $300,000 for guilty public employers
B.Clarifies adverse impact and responsibilities for evidence
i. Plaintiff must prove it exists by specific practice
ii.If plaintiff succeeds, employer bears burden of proof
C.Employees of U. S. companies are protected while in foreign countries
i.Unless foreign country’s laws would be violated
D.Racial Harassment
i.Workers are protected with regard to aspects of employment
E.Consent decrees cannot be challenged by nonparticipants
F.Mixed-motive Cases
i.Damages determined by end results, not by intentionality
G.Seniority systems can be challenged only at 3 times
i. When plan adopted
ii. When individual is covered by the plan
iii.When a person is injured by the plan
H.Race Norming and Affirmative Action
i. Not legal to adjust scores based on race-related criteria
ii.Court-ordered remedies supersede regardless
iii. Chicago Firefighters Local 2 v. City of Chicago, 2001
I.Government employees (elected and appointed) are protected
XIII. Family and Medical Leave Act (FMLA) of 1993
A.Applies to private sector employers of 50 or more employees
i. Includes part-timers working 1250 hours over 12 months (25 hours/week)
ii.Mandates 12 weeks unpaid leave
a.Birth
b.Adoption
c.Foster care
d.Care for spouse, parent, child with serious health condition
e.Employee’s own health needs
iii. Employers may exempt top 10% salaried employees
B. 95% all U. S. companies have fewer than 50 employees
C.Most employers have become more flexible with regard for family needs
XIV. Executive Orders 11246, 11375, 11478
A.Apply to federal agencies, contractors, and sub-contractors
B.Have force of law
C.These orders equivalent to Civil Rights Act of 1964 with 1972 amendments
D.Enforced by
i. Department of Labor through
ii.Office of Federal Contract Compliance Programs (OFCCP)
XV. Rehabilitation Act of 1973
A.Applies to federal contractors & subcontractors
B.Pushes the active recruitment and inclusion of disabled individuals
C.Equivalent to the ADA
D.Enforced by the OFCCP
XVI. Uniformed Services Employment and Reemployment Rights Act (USERRA) of 1994
A.Protects employees serving in uniformed services
B.Applies to public and private employers
C.Must maintain benefits
D.Do not have to make up difference in pay
E.Protection lost if dishonorably discharged
XVII. Enforcement of the Laws – Regulatory Agencies
A.State Fair Employment Practices Commissions – 100 nationwide
B.Equal Employment Opportunity Commission (EEOC)
i. Five commissioners appointed by President, confirmed by Senate
a.Each serves for 5 years
b.No more than 3 may be from same political party
ii.Enforces federal civil rights laws
a.50 field offices
b.24 district offices
c.2,800 employees
iii. Typical cases resolved within 6 months, some never resolved
iv. Complaints filed are increasing
v.Complaint process
a.First, deferred to state or local fair employment commission
b.After 60 days, EEOC may begin own investigation
vi.Primary purposes
a.Investigate – prioritize cases by merit
b.Conciliate – settle out of courts where possible
c.Litigate – when necessary
d.Informate – educate to prevent rather than trying to correct
C.Office of Federal Contract Compliance Programs (OFCCP)
i. Applies to all federal contractors and subcontractors
ii.Monitors adherence to EEOC and AAP
iii. Reviews goals and timetables for improving EEOC and AAP practices
XVIII. Judicial Interpretation, Enforcement Decisions – General Principles
A. Case Law
i. Legal interpretations of a general law
ii. Serve as precedents not guarantees for future challenges to a law
iii.Evaluates actual persons, not abstracts of persons
iv.Validation requires that the “end” be measured & analyzed “before”predictions as to success are made
v.Cognitive abilities, personality, motivation, and experience are valid
B. Testing – Precedent Cases
i. Griggs v. Duke Power Company, 1971
a. All individuals hired at same time must have same opportunities
b. Employer must prove requirements related to job performance
c. Professionally developed tests must be job-related
d. Intentional & unintentional practices are prohibited
e. Discriminatory results are the determinants of discrimination
f. Job-related tests and other measures are legal and useful
ii.Albemarle Paper Co. v. Moody, 1975
a. Tests must be validated for individuals affected by the decisions
1) Applicants
2) Incumbents at same level as new hires
b. Tests must be based in job analyses
iii.Washington v. Davis, 1976
a. Validated entry level predictions satisfy for job relevance requirements
b. Specified
1) Job analysis required
2) Relevant
3) Reliable
4) Unbiased job performance measures
5) Predict performance regardless of minority status
iv.Connecticut v. Teal, 1982
a. Title VII protects individuals, not groups
b. Adverse impact at any point in employment process illegal
c. Cannot “make-up” by giving preferential treatments later on
C.Personal History
i. Background checks are permissible even if potentially discriminatory
ii.Employment history may be checked
iii. Experience may be checked
iv. Past wage garnishments may be checked
v.Previous conviction records may be checked (use only if relevant to job)
a. Hyland v. Fukada, 1978
vi. While arrests may be requested, remember innocence until proven guilty
D. Sex Discrimination
i. May be used only if job relevant
ii.Should be interpreted narrowly
iii. Pregnancy does not by definition ensure special consideration
iv. Sexual Harassment
a. Unwelcome sexual advances
b. Requests for sexual favors or other conduct as condition ofemployment
c. Intimidating, hostile, offensive working environment
d. Two primary types of harassment
1) Quid pro quo – I give, you give
2) Hostile environment
e. Not necessary to show psychological harm
f. Employers responsible regardless of knowledge of events
g. Pivotal Cases
1) Meritor Savings Bank v. Vinson, 1986
2) Harris v. Forklift Systems, Inc., 1993
3) Burlington Industries, Inc. v. Ellerth, 1998
4) Faragher v. City of Boca Raton, 1998
h. Preventions
1) Statements of intolerance from CEOs
2) Definition and training as to definition of harassment
3) Complaint procedure
4) Statements of sanctions for violations
5) Record keeping
6) Follow-ups
E.Age Discrimination
i. Pivotal Case – Schwager v. Sun Oil Co. of Pa., 1979
ii.Organizations to study
a. Woolworth, nka Foot Locker
b. Sun Oil Company of Pennsylvania
F. English Only Rules
i. May be required, work involved should be considered
ii.Multiple language skills considered desirable by most employers
G. Seniority
i. Considered fair and legal to give longer term employees preference
ii.Pivotal Cases
a. California Brewers Association v. Bryant, 1982
b. Firefighters Local Union No. 1784 v. Stotts, 1984
c. Wygant v. Jackson Board of Education, 1986
iii. If collective bargaining in place, union must be involved in changes
H. Preferential Selection
i. Reverse discrimination just as illegal as class action discrimination
ii. AAPs supersede reverse discrimination effects
iii.People not involved in original lawsuits may not re-open cases
iv.Limited burdens on effected classes may take place
v. Public & private universities may use race in admissions decisions
vi.Diversity efforts are good; quotas are not good
vii. Pivotal Cases
a. McDonald v. Santa Fe Transportation Co., 1976
b. Gratz v. Bollinger, 2003
c. Grutter v. Bollinger, 2003
Discussion Questions
1. What advice would you offer to an employer that is considering an English-only rule in the workplace?Page 35
If the employer is based in an English-as-a-First Language country and if most of the employees are also English-as-a-First-Language, then I would advise the employer to consider their reasons for the “English-only” rule.If their motivations include the desire to improve operations with the goals of facilitating communications and understanding in the workplace, I would advise them to proceed with the rule but to do so with empathy for individuals who would be considered English-as-a-Second-Language (ESL). For example, I would advise that a meeting be held with all employees attending at the same time.I would have the CEO and the Chief Human Resource Officer (CHRO) explain the rule, the reasons, the action plans, and the consequences for non-compliance. The meeting should allow questions and comments from all employees. The meeting should be followed up with a written letter from the CEO & the CHRO, an updated Employee Handbook, a press release, and updated information on the organization’s website.The action plans should provide on-going ESL instruction for all employees and should also include cultural and language instruction for those languages and cultures represented by the ESL employees. In other words, while the “English-only” rule is in place, the employer should strive to increase multi-cultural competencies for all employees.This approach should reduce any perceptions of discrimination and should protect the employer from any legal actions. All employees will benefit from such an approach. Furthermore, I would advise that this practice be instituted for any locations in other countries, too. In foreign locations, the primary language may not be English, but with English as the international business language, it is a strong organizational strategy to make sure that all employees around the world are able to communicate with and to understand their fellow employees and their competitors.
2. Prepare a brief outline for the senior management of your company that illustrates the requirements and expected impact of the Family and Medical Leave Act. Pages 26, 27
Student answers may show some originality of thought with regard to potential negative and positive outcomes, but all answers should be based on information from pages 26 & 27.
I. Since we are a private sector employer and employ more than 50 individuals, we must participate in the FMLA
II. Top 10% of salaried employees are not eligible for the Family and Medical Leave Act.
III. Enforced by U. S. Department of Labor
A. May assess fines, penalties
B. If not followed, will experience
1. loss of employee confidence, 2. loss of reputation 3. difficulties recruiting and retaining quality employees
III. Eligible participants
A.All those working fulltime
B. Part-time employees accumulating 1250 hours per year or averaging 25 hrs/week
IV. Individual jobs or equivalent jobs must be held for participants in the FMLA
V. Up to 12 weeks of unpaid leave must be granted when requested (w/in first year) for
A.Birth of child
B.Adoption of child
C.Assuming foster care of dependent child
D.Caring for spouse with serious health condition
E.Caring for child with serious health condition
F.Caring for parent with serious health condition
G.Recovering from own serious health condition
VI. With regard to paid leaves
A.May offer compensatory time off when overtime is accrued
B.May offer better protections than mandated by this FMLA
C.Will need to offer some benefits for the top 10% as well
3. What specific steps would you recommend to a firm in order to ensure fair treatment of persons with disabilities? Pages 23 - 25
Student answers should indicate mastery of information from pages 23, 24, & 25.
First, an organization should provide copies of the Americans with Disabilities Act (ADA) to employees and decision-makers and should provide training for all employees with regard to the organization’s policies and adherence to the ADA.Next, thorough job analyses should be completed to validly identify requirements for each job. Then, the physical buildings, facilities, equipment, tools, and products must be reviewed to determine where, how, and when modifications should be made.Action Plans need to be developed and shared within the organization and to appropriate authorities.Finally, the plans need to be implemented and periodically reviewed and adjusted.
For example, plans and policies can be included in employee handbooks and posted to organization websites.Ramps can be installed.Doors can be widened.Door handles can be updated.Elevator panels can be adjusted for sound and Braille. Special desks and computer equipment can be installed.Adjustments for the need for additional absences or the need to work from other locations can be implemented. Recognized disabilities can be defined and clarified as needed.
4. Prepare a brief outline of an organizational policy on sexual harassment. Be sure to include grievance, counseling, and enforcement procedures. Pages 21, 32 - 34
Student answers should knowledge of information from pages 32 - 34 with information from page 21 and BFOQs a plus.
I. CEO, Board, and Employees agree to a no tolerance policy for Sexual Harassment.
II. Sexual Harassment is defined as
a. Unwelcome sexual advances
b. Requests for sexual favors or other conduct as condition ofemployment
c. Intimidating, hostile, offensive working environment
III. Two primary types of harassment
a. Quid pro quo – I give, you give
b. Hostile environment
IV. Remember!
a. Not necessary to show psychological harm
b. Employers responsible regardless of knowledge of events
V. Policies based on pivotal cases
a. Meritor Savings Bank v. Vinson, 1986
b. Harris v. Forklift Systems, Inc., 1993
c. Burlington Industries, Inc. v. Ellerth, 1998
d. Faragher v. City of Boca Raton, 1998
VI. Preventions
a. Statements of intolerance from CEO, Board, & all employees
b. Definition and training as to definition of harassment
All employees must attend training, show comprehension and follow the policy
c. Complaint procedure –
confidential to HR Rep,
acknowledged within 24 hours,
resolved within 1 month
d. Statements of sanctions for violations
all reports treated respectfully, seriously, confidentially
any employee found guilty will be terminated
e. Record keeping
any complaints filed in personnel records
amends also filed in personnel records
f. Follow-ups
Person filing the complaint will receive follow-up to verify resolution
5. What guidance would you give to an employer who asks about rights and responsibilities in administering a testing program? Pages 30 - 32
Testing program rights, responsibilities, and administration information is found on pages 30, 31, & 32. The first area I would address would be to familiarize the employer with the precedent legal cases surrounding testing issues. Then, I would confirm the currency of their job descriptions and confirm that thorough job analyses had been conducted. Next, I would confirm that the best performers’ current behaviors matched those identified in the job descriptions.Then, I would ask for the behaviors of rising “best performers” to make sure that the organization understands the concept of predictive validity for job descriptions and employment decision. I would confirm that the employer is keeping adequate records to allow on-going validity checking for their procedures and decisions. In addition to this, I would advise periodic management training to keep their employment testing practices current. The following outline might be offered as part of the advising process.
I. Testing – Precedent Cases
A. Griggs v. Duke Power Company, 1971
a. All individuals hired at same time must have same opportunities
b. Employer must prove requirements related to job performance
c. Professionally developed tests must be job-related
d. Intentional & unintentional practices are prohibited
e. Discriminatory results are the determinants of discrimination
f. Job-related tests and other measures are legal and useful
B.Albemarle Paper Co. v. Moody, 1975
a. Tests must be validated for individuals affected by the decisions
1) Applicants
2) Incumbents at same level as new hires
b. Tests must be based in job analyses
C.Washington v. Davis, 1976
a. Validated entry level predictions satisfy for job relevance requirements
b. Specified
1) Job analysis required
2) Relevant
3) Reliable
4) Unbiased job performance measures
5) Predict performance regardless of minority status
D.Connecticut v. Teal, 1982
a. Title VII protects individuals, not groups
b. Adverse impact at any point in employment process illegal
c. Cannot “make-up” by giving preferential treatments later on
II. General Principles for all Testing Programs
A. Legal interpretations reflect a general law, specific programs may differ
B. Legal interpretations serve as precedents not guarantees for futurechallenges to a law
C. Tests should evaluate actual persons, not abstracts of persons
D. Validation requires that the “end” be measured & analyzed “before”predictions as to success are made
E.Cognitive abilities, personality, motivation, and experience are valid to usewithin testing programs 给自信 更公益
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