PHR /SPHR Professional in Human Resources Certification

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3 PHR /SPHR Professional in Human Resources Certification Study Guide Third Edition

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5 PHR /SPHR Professional in Human Resources Certification Study Guide Third Edition Anne M. Bogardus, SPHR

6 Acquisitions Editor: Jeff Kellum Development Editor: David Clark Technical Editors: Laura Owen and Tamra Aguinaldo Production Editor: Rachel McConlogue Copy Editor: Kim Wimpsett Production Manager: Tim Tate Vice President and Executive Group Publisher: Richard Swadley Vice President and Publisher: Neil Edde Project Manager 1: Laura Moss-Hollister Associate Producer: Josh Frank Quality Control: Shawn Patrick Book Designers: Judy Fung and Bill Gibson Compositor: Craig Woods, Happenstance Type-O-Rama Proofreader: Publication Services, Inc. Indexer: Ted Laux Project Coordinator, Cover: Lynsey Stanford Cover Designer: Ryan Sneed Copyright 2009 by Wiley Publishing, Inc., Indianapolis, Indiana Published simultaneously in Canada ISBN: No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except as permitted under Sections 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, 222 Rosewood Drive, Danvers, MA 01923, (978) , fax (978) Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) , fax (201) , or online at Limit of Liability/Disclaimer of Warranty: The publisher and the author make no representations or warranties with respect to the accuracy or completeness of the contents of this work and specifically disclaim all warranties, including without limitation warranties of fitness for a particular purpose. No warranty may be created or extended by sales or promotional materials. The advice and strategies contained herein may not be suitable for every situation. This work is sold with the understanding that the publisher is not engaged in rendering legal, accounting, or other professional services. If professional assistance is required, the services of a competent professional person should be sought. Neither the publisher nor the author shall be liable for damages arising herefrom. The fact that an organization or Web site is referred to in this work as a citation and/or a potential source of further information does not mean that the author or the publisher endorses the information the organization or Web site may provide or recommendations it may make. Further, readers should be aware that Internet Web sites listed in this work may have changed or disappeared between when this work was written and when it is read. For general information on our other products and services or to obtain technical support, please contact our Customer Care Department within the U.S. at (877) , outside the U.S. at (317) or fax (317) Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. Library of Congress Cataloging-in-Publication Data Bogardus, Anne M. PHR/SPHR : Professional in Human Resources certification study guide / Anne Bogardus. 3rd ed. p. cm. ISBN (paper/cd-rom) 1. Personnel management Examinations Study guides. 2. Personnel departments Employees Certification. I. Title. II. Title: Professional in Human Resources/Senior Professional in Human Resources. HF5549.B dc TRADEMARKS: Wiley, the Wiley logo, and the Sybex logo are trademarks or registered trademarks of John Wiley & Sons, Inc. and/or its affiliates, in the United States and other countries, and may not be used without written permission. PHR and SPHR are registered trademarks of Human Resource Certification Institute. All other trademarks are the property of their respective owners. Wiley Publishing, Inc., is not associated with any product or vendor mentioned in this book

7 Dear Reader, Thank you for choosing PHR/SPHR: Professional in Human Resources Certification Study Guide, Third Edition. This book is part of a family of premium-quality Sybex books, all of which are written by outstanding authors who combine practical experience with a gift for teaching. Sybex was founded in More than thirty years later, we re still committed to producing consistently exceptional books. With each of our titles we re working hard to set a new standard for the industry. From the paper we print on, to the authors we work with, our goal is to bring you the best books available. I hope you see all that reflected in these pages. I d be very interested to hear your comments and get your feedback on how we re doing. Feel free to let me know what you think about this or any other Sybex book by sending me an at nedde@wiley.com, or if you think you ve found a technical error in this book, please visit Customer feedback is critical to our efforts at Sybex. Best regards, Neil Edde Vice President and Publisher Sybex, an Imprint of Wiley

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9 For Kit, who taught me to love reading; to Bob, the best manager of people I ve ever known; and to both of them for their unwavering support and love. With love and gratitude

10 Acknowledgments Writing a book is one of those romantic dreams that many people have, although usually it s to write the great American novel or the next big blockbuster thriller and not a study guide, no matter how passionate the author is about the subject matter. I have learned that it is a lot harder to write a book than one would think, and the team at Wiley provided the encouragement and support that got me through the process. Working with this fantastic group of people gets better every time. Thanks to Jeff Kellum for arranging everything and getting the process going, thanks to David Clark for helping shape the book and for his patience, and thanks to Rachel McConlogue for making sure the final product was the best it could be. Thanks to all of you for your thoughtful comments and suggestions I have enjoyed working with all the teams in the past, but, without doubt, you have made this the best experience to date. Thanks also to Kim Wimpsett, whose attention to detail was immensely helpful, and to Craig Woods and the group at Happenstance Type-O-Rama, who made the pages of this book so accessible. I am grateful for the level of professionalism and expertise that each of them brought to this project. I am most grateful to the book s technical editor, Laura Owen, JD, SPHR, GPHR, whose expertise and feedback were invaluable in clarifying my thoughts and improving the content. I am also indebted to Tamra Aguinaldo, PHR, whose experience in HR certification and professional development added greatly to the final product. Thanks to the students in my certification classes, especially those who put me on the spot by asking questions that I didn t know the answers to I learned so much from all of you! Special thanks to Gayle Holmlund, SPHR, for her encouragement and support. Special thanks to Debbie, Judy, Jeannette, KC, and Barb for encouraging me when it all seemed like too much to get er done. To my clients, from whom I learn more every day, thank you. Finally, thanks to my friends for their generosity of spirit, understanding, and patience while I finished this project all of you are the best!

11 About the Author Anne M. Bogardus, SPHR began her human resources career in compensation at a public multinational corporation, Castle & Cooke, owner of the Dole food brand, and later at First Nationwide Bank. Currently she is founder and principal of S.T.A.R. HR in northern California, which specializes in building human resource functions that serve strategic business needs. Her practice includes small to medium-sized businesses in a wide range of industries including biotechnology, mortgage lending, high technology, public relations, retail, nonprofit, and construction. Ms. Bogardus is also the author of an introductory book for non-hr business professionals, Human Resource Jumpstart, also published by Wiley. About the Technical Editors Laura Owen s career spans 30 years of providing strategic and day-to-day functional human resources leadership and direction at leading technology companies. An employment attorney with both senior and global human resource professional certifications (SPHR and GPHR), she is currently Vice President, Human Resources, for Spirent Communications, where she is leading change management initiatives including organizational design, new compensation plans, and an effective employee communications architecture. Ms. Owen has previously held executive-level positions managing global human resources for leading technology companies including Cisco Systems, Macrovision, and Credence. She earned a J.D., magna cum laude, degree from Santa Clara University School of Law and a B.S. in Personnel and Industrial Relations, magna cum laude, from San Francisco State University. Tamra Aguinaldo, PHR, has a background in human resources and education and currently works as an HR consultant in Northern California. She has a Master of Arts degree in Education with an emphasis in Guidance Counseling. Prior to becoming a consultant, she was Director of Professional Development for the Northern California Human Resources Association in San Francisco. HR is a dynamic profession requiring practitioners to keep up-to-date with current trends and changes to employment law. The PHR/SPHR exams are updated annually to reflect these trends and changes. For information updates between revisions of this study guide, log on to and click PHR/SPHR Certification to view changes or ask questions about content.

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13 Contents at a Glance Introduction Assessment Test xxi xxvii Chapter 1 Certifying Human Resource Professionals 1 Chapter 2 Core Knowledge Requirements for HR Professionals 23 Chapter 3 Strategic Management 93 Chapter 4 Workforce Planning and Employment 139 Chapter 5 Human Resource Development 215 Chapter 6 Total Rewards 273 Chapter 7 Employee and Labor Relations 371 Chapter 8 Risk Management 433 Appendix A About the Companion CD 501 Appendix B Case Study 505 Appendix C Federal Employment Legislation and Case Law 519 Appendix D Resources 541 Glossary 549 Index 597

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15 Contents Introduction Assessment Test xxi xxvii Chapter 1 Certifying Human Resource Professionals 1 The Human Resource Profession 2 Development of the Human Resource Body of Knowledge 3 Defining the Functional Areas of the BOK 5 Core Knowledge Requirements of the BOK 6 Certification Levels 7 Eligibility Requirements 9 Recertification 10 The Test 11 It s Experiential and Federal 12 What the Questions Look Like 13 Preparing for the Exam 14 Taking the Exam 19 Summary 21 Chapter 2 Core Knowledge Requirements for HR Professionals 23 Needs Assessment and Analysis 25 Third-Party Contract Management 26 Communication Skills and Strategies 29 Employee Communication 29 Professional Communication 30 Documentation Requirements 30 Documenting Employment Actions 31 Documenting Performance Issues 31 Adult Learning Processes 33 Motivation Concepts 34 Abraham Maslow: The Hierarchy of Needs (1954) 34 Fredrick Herzberg: Motivation/Hygiene Theory (1959) 34 Douglas McGregor: Theory X and Theory Y (1960) 35 Clayton Alderfer: ERG Theory (1969) 35 David McClelland: Acquired Needs Theory (1961) 36 J. Stacy Adams: Equity Theory (1963) 36 Victor Vroom: Expectancy Theory (1964) 36 B. F. Skinner: Operant Conditioning (1957) 37