How to Conduct an Employment Law Audit

1、raymond l. hogge, jr. raymond l. hogge, jr., plc dominion tower, suite 1313 999 waterside drive norfolk, virginia 23510 (757) 961-5400 www.virginialaborl a law firm specializing in serving the needs of virginia public and private employers raymond l. hogge, jr. important notice: this presentation is

2、 intended to be used solely for informational purposes, and is not offered as legal advice. for assistance in conducting an employment law audit, contact attorney raymond l. hogge, jr. at (757) 961-5400 raymond l. hogge, jr. benefits of an employment law audit raymond l. hogge, jr. benefits of an em

3、ployment law audit q minimize the risk of employment-related lawsuits raymond l. hogge, jr. benefits of an employment law audit q reduce employment-related costs (recruiting, training, unemployment comp, workers comp, legal expenses) raymond l. hogge, jr. benefits of an employment law audit q improv

4、e productivity, efficiency, morale, and retention raymond l. hogge, jr. benefits of an employment law audit q management can sleep at night raymond l. hogge, jr. goals of an employment law audit raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply

5、with applicable federal, state, and local laws raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q title vii of civil rights act of 1964 q 15 employee minimum q race, color, sex (including pregnancy

6、), religion, national origin raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q americans with disabilities act q 15 employee minimum q pre-hire; conditional offer of employment; post- hire q criti

7、cal concepts: disability, reasonable accommodation; undue hardship raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q rehabilitation act q applies to certain employers with government contracts or

8、grants q similar to ada raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q age discrimination in employment act q 20 employee minimum q age 40 or older raymond l. hogge, jr. goals of an employment

9、law audit q determine whether policies and practices comply with applicable federal, state, and local laws q family and medical leave act q 50 employee minimum q covered employers, eligible employees; qualifying reasons for leave q notification requirements q certification requirements raymond l. ho

10、gge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q fair labor standards act q minimum wage q overtime compensation q child labor q recent changes to exemption rules for minimum wage and overtime compensation ra

11、ymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q davis-bacon act (certain government contractors) q prevailing wage rate raymond l. hogge, jr. goals of an employment law audit q determine whether p

12、olicies and practices comply with applicable federal, state, and local laws q government service contract act (certain government contractors) q prevailing wage rate raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, stat

13、e, and local laws q employee retirement income security act (erisa) q employee benefit plans raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q consolidated omnibus budget reconciliation act (cobra

14、) q 20 employee minimum q health care continuation coverage raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q internal revenue code q payroll taxes q employee benefit plans raymond l. hogge, jr. g

15、oals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q immigration and naturalization act q form i-9 raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable fe

16、deral, state, and local laws q constitutions (public employers) q due process q equal protection q free speech q religious freedom raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q virginia worker

17、s compensation act q reporting injuries and accidents q physician panel q handling claims; assessing defenses q actual risk; not positional risk q return to work strategies raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federa

18、l, state, and local laws q virginia unemployment compensation act q resignation q termination q misconduct raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q virginia payment of wage law raymond l.

19、 hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal, state, and local laws q virginia human rights act raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practices comply with applicable federal,

20、state, and local laws q local ordinances raymond l. hogge, jr. goals of an employment law audit q determine whether policies and practice meet requirements of contracts or grants q prevailing wage rates q affirmative action raymond l. hogge, jr. goals of an employment law audit q determine whether p

21、olicies meet the needs of the organization raymond l. hogge, jr. goals of an employment law audit q determine whether practices match policies raymond l. hogge, jr. goals of an employment law audit q determine whether policies are adequately communicated to employees raymond l. hogge, jr. framework

22、for the audit raymond l. hogge, jr. framework for the audit q the employee handbook raymond l. hogge, jr. framework for the audit q the employee handbook q the employee handbook should define the employment policies raymond l. hogge, jr. framework for the audit q the employee handbook q the employee

23、 handbook should define the employment policies q the employment policies should define the employment practices raymond l. hogge, jr. framework for the audit q the employee handbook q the employee handbook should define the employment policies q the employment policies should define the employment

24、practices q the employment practices should q comply with applicable law q promote the interests of the employer raymond l. hogge, jr. audit employee handbook raymond l. hogge, jr. audit employee handbook q should reflect all policies and practices of the employer q hiring and promotion q performanc

25、e and evaluation q discipline and discharge q dispute resolution q wages and benefits q safety and health q other raymond l. hogge, jr. audit employee handbook q should contain contract disclaimer raymond l. hogge, jr. audit employee handbook q should contain reservation of employer right to modify

26、policies raymond l. hogge, jr. audit employee handbook q should contain statement that employee benefits are governed by applicable master plan documents and insurance policies raymond l. hogge, jr. audit employee handbook q should contain employment-at-will policy raymond l. hogge, jr. audit employ

27、ee handbook q should contain acknowledgment form to be signed by employee q acknowledge receipt q read before beginning work q contract disclaimer; employer right to revise q at-will q violation of policies results in discipline or discharge q if questions, will ask raymond l. hogge, jr. audit emplo

28、yee handbook q should be distributed to each employee before he or she begins work raymond l. hogge, jr. audit employee handbook q publication method q print q easy to track changes q more expensive than online q online q tracking changes requires diligence q less expensive than print raymond l. hog

29、ge, jr. audit employee handbook q should give the best possible impression of the employer q by example, shows employees the level of quality the employer expects q should be suitable for use as recruiting tool raymond l. hogge, jr. audit eeo policies and practices raymond l. hogge, jr. audit eeo po

30、licies and practices q general eeo policy and practices q title vii q age discrimination in employment act q equal pay act q state statutes q local ordinances q contractual requirements raymond l. hogge, jr. audit eeo policies and practices q sexual (and other) harassment policy and practices q repo

31、rting system q investigation procedures q temporary measures q confidentiality q rights of accused v accuser q use of dispute resolution procedures raymond l. hogge, jr. audit eeo policies and practices q affirmative action policy and practices q if and only if applicable raymond l. hogge, jr. audit

32、 eeo policies and practices q disability accommodation policy and practices q pre-hire q post-hire q essential functions of job identified in job description? q interactive process raymond l. hogge, jr. audit eeo policies and practices q non-retaliation policy and practices raymond l. hogge, jr. aud

33、it eeo policies and practices q incorporation of q grievance procedure q open door policy q arbitration raymond l. hogge, jr. audit job descriptions raymond l. hogge, jr. audit job descriptions q are the job duties clearly stated? q most important duties should be listed first raymond l. hogge, jr.

34、audit job descriptions q are all essential functions of the job identified? q reliable time and attendance q physical demands q interpersonal skills raymond l. hogge, jr. audit job descriptions q do the requirement of the job as stated in the job description have the effect of discriminating against

35、 applicants on the basis of any protected status (race, sex, disability, etc.)? raymond l. hogge, jr. audit job descriptions q if the job is flsa-exempt, does the job description clearly demonstrate the exemption is applicable? raymond l. hogge, jr. audit hiring practices raymond l. hogge, jr. audit

36、 hiring practices q assessment of recruiting methods raymond l. hogge, jr. audit hiring practices q assessment of recruiting methods q promotion v. posting v. advertisement raymond l. hogge, jr. audit hiring practices q assessment of recruiting methods q use of recruiters q contract between employer

37、 and agency raymond l. hogge, jr. audit hiring practices q assessment of recruiting methods q use of staffing agencies q contract between employer and agency q legal duties of employer and agency q allocation of risk between employer and agency raymond l. hogge, jr. audit hiring practices q assessme

38、nt of recruiting methods q use of professional employer organizations q contract between employer and peo q legal relationship between employer, peo and worker q allocation of risk between employer and peo raymond l. hogge, jr. audit hiring practices q assessment of recruiting methods q contents of

39、advertisements legal? q statement discriminatory q eeo statement required? raymond l. hogge, jr. audit hiring practices q assessment of recruiting methods q affirmative action required? q have federal or state contract? q receive federal or state funds? raymond l. hogge, jr. audit hiring practices q

40、 assessment of application forms raymond l. hogge, jr. audit hiring practices q assessment of application forms q should state how long application considered active raymond l. hogge, jr. audit hiring practices q assessment of application forms q should contain employment-at-will disclaimer raymond

41、l. hogge, jr. audit hiring practices q assessment of application forms q should contain falsification or omission of information provision raymond l. hogge, jr. audit hiring practices q assessment of application forms q should contain authorizations necessary for information verification, reference

42、checks, credit reports raymond l. hogge, jr. audit hiring practices q assessment of application forms q should contain authorizations necessary for q information verification q reference checks q credit reports raymond l. hogge, jr. audit hiring practices q assessment of application forms q should c

43、ontain arbitration agreement, if arbitration of employment disputes is desired raymond l. hogge, jr. audit hiring practices q assessment of application forms q should not contain potentially discriminatory questions, e.g.: q workers compensation history (ada) q medical conditions (ada) q arrest reco

44、rds (title vii) q marital status (va. human rights act raymond l. hogge, jr. audit hiring practices q assessment of selection process raymond l. hogge, jr. audit hiring practices q assessment of selection process q interview procedures and questions should be determined in advance and consistently a

45、pplied raymond l. hogge, jr. audit hiring practices q assessment of selection process q interview questions should be job-related q interview questions should reflect job requirements set forth in written job description q consider using written job description during interview raymond l. hogge, jr.

46、 audit hiring practices q assessment of selection process q interviewers should make written record of all relevant information q interviewers should not record information which could be interpreted as discriminatory or otherwise unlawful or inappropriate raymond l. hogge, jr. audit hiring practice

47、s q assessment of selection process q medical information q should follow 3-stage process required by ada q pre-offer q conditional offer of employment q post-hire q should ensure strict confidentiality raymond l. hogge, jr. audit hiring practices q assessment of selection process q all tests given

48、to applicants should reflect job duties stated on written job description q tests should be assessed to identify potential issues under ada, title vii, etc. raymond l. hogge, jr. audit hiring practices q assessment of selection process q all reference should be checked q written record should be mad

49、e of all information received raymond l. hogge, jr. audit hiring practices q assessment of selection process q credit checks should be performed only in strict compliance with applicable law raymond l. hogge, jr. audit hiring practices q assessment of selection process q selection should be based up

50、on job-related criteria stated in the written job description raymond l. hogge, jr. audit hiring practices q assessment of employment documents raymond l. hogge, jr. audit hiring practices q assessment of employment documents q hiring should be confirmed in writing (letter / form) q state job title

51、q state date of hire q state rate of pay q state flsa exempt / non-exempt status q refer to employee handbook q refer to arbitration, if used raymond l. hogge, jr. audit hiring practices q assessment of employment documents q use written employment contracts for executive and highly compensated empl

52、oyees q contract will supersede all prior agreements q specify how employment may be terminated q consider non-compete and non-disclosure q consider buy / sell if ownership interest q have contracts reviewed by attorney first raymond l. hogge, jr. audit hiring practices q assessment of employment do

53、cuments q non-compete agreements q restrictions must be no greater than necessary to protect employer interests q restrictions must not unduly interfere with employee ability to earn a living q restrictions must not be against public policy q no blue pencil in virginia raymond l. hogge, jr. audit hi

54、ring practices q assessment of employment documents q non-disclosure agreements q protect confidential information and trade secrets q consider for executives, sales, and technology personnel q do not make overbroad raymond l. hogge, jr. audit hiring practices q assessment of employment documents q

55、arbitration agreements q consider using arbitration agreements to reduce litigation costs q specify arbitration protocol q specify disputes subject to agreement q specify disputes not subject to agreement raymond l. hogge, jr. audit hiring practices q assessment of employment documents q consent to

56、drug / alcohol testing q specify types of testing (random, post-accident, etc.) q meet requirements for regulated industries (e.g., trucking) raymond l. hogge, jr. audit hiring practices q assessment of employment documents q proof of citizenship q form i-9 raymond l. hogge, jr. audit hiring practic

57、es q assessment of employment documents q personnel file q maintain separate medical file raymond l. hogge, jr. audit evaluation practices raymond l. hogge, jr. audit evaluation practices q evaluations should follow schedule stated in employee handbook raymond l. hogge, jr. audit evaluation practice

58、s q evaluations should be based upon job duties stated in written job description raymond l. hogge, jr. audit evaluation practices q evaluations should be in writing, using established forms and rating systems raymond l. hogge, jr. audit evaluation practices q evaluations which call for improvement

59、should be followed by a written corrective action plan raymond l. hogge, jr. audit evaluation practices q employees should be able to use grievance procedure to challenge evaluations with which they disagree raymond l. hogge, jr. audit evaluation practices q evaluations should be confidential, and s

60、hared only with managers and supervisors who have a need to know raymond l. hogge, jr. audit disciplinary practices raymond l. hogge, jr. audit disciplinary practices q employee discipline should be based upon standards of conduct stated in employee handbook raymond l. hogge, jr. audit disciplinary