HR Compliance Score Card – Score-o-meter

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HR Score Card - 15 Questions

Are job descriptions sufficiently tailored to include essential job duties, FLSA status, physical conditions, and work environment?

- No

- Each job description is based on what management believes are the essential job duties.

- Every job description is based on documented observation of actual performance and does include the physical conditions and work environment.

- All above and JDs have been reviewed within the last 12 months and updated with current FLSA position status.

- All above and employees have signed updated job descriptions including language that the employee is capable of performing the essential functions of the position. Signed JDs are kept in employee files.

Do you administer the pre-hire process properly?

- No

- We use a written offer of employment that is contingent upon background and drug screen results. We don’t always run background checks or wait on the results before people start working.

- We use a contingent offer, include the Fair Credit Reporting Act Rights statement in the pre-hire packet, and get signed consents before ordering any background or drug screens for pre-employment.

- All above, and we evaluate the background results considering the exposures of the position, the nature of the conviction and the time elapsed since the conviction before we rule an applicant as ineligible for hire.

- All above, and we send a pre-adverse action letter, give applicant time to correct the record, and then send an adverse action letter through the mail along with the report and rights statement if the applicant is ineligible due to the background results.

Are employee files set up properly and reviewed at least annually for compliance?

- No

- We have employee files but don’t know if they are set up properly

- Files are set up properly but not audited annually. Garnishments, workers comp, medical information, EEO information, and I-9s are kept separately and confidentially.

- Files are set up properly, audited annually, and tracked with a log, but we have some incomplete files on active employees.

- Files are audited annually, tracked, and all active employees have complete files. Access is restricted to HR and designated managers. Our record retention policy dictates how long we keep files.

Is there a signed, dated acknowledgement of receipt for the No Harassment policy for each manager?

- No

- We have an additional acknowledgment for managers, but they don’t always sign it.

- All managers have to sign an additional acknowledgment explaining their roles, but we don’t have documented training on all managers.

- All managers receive documented training, and we have a signed acknowledgment of their responsibilities in their employee files.

- There is a signed, dated acknowledgement of receipt for the No Harassment policy documented for each manager and there is documented training for managers in preventing, recognizing, and responding to these harassment issues. The company has a documented record of responding quickly and appropriately to claims of harassment (or has no record of claims).

Does the company have a clear reporting procedure for violations of policies?

- No

- Our reporting procedure is to speak to any member of management.

- We have a defined reporting procedure with 2 or 3 specific positions named, and employees are encouraged to bypass one for another if it seems appropriate. The reporting procedure is clear in our handbook.

- All above, and we have procedures in place to make sure there is no perception of bias in an investigation or report response.

- All above, and the people named as the recipients of reports (responders) have been trained in proper and legal response. They know what to say and what not to say. We have records to prove it.

Does the company maintain and know when to use, “litigation hold” instructions?

- We don’t know what litigation hold instructions are.

- We understand the intent but don’t have a policy or implement procedures effectively.

- We have written procedures in place but don’t implement them effectively.

- We have current written procedures, and we implement them appropriately. We don’t have documented training.

- We have written procedures, we implement them appropriately, and we have documented training.

Are all nonexempt employees paid the proper overtime premium (including taking into account commissions, bonuses, incentives and other kinds of pay)?

- No.

- All non-exempt employees are paid the proper overtime premium for working more than 40 hours per week.

- The above, including non-discretionary bonuses and other types of pay as required.

- The above, including our wage and hour policy makes clear that employees are not allowed to work off the clock and all hours must be documented properly.

- The above, including employees sign off in a time keeping system each pay period confirming hours worked and we have documented training for managers on wage and hour compliance.

Has the company evaluated the status of executives and other employees treated as exempt?

- No.

- We evaluated the status of executives and other employees treated as exempt more than 12 months ago and the process is not documented.

- We evaluated the status of executives and other employees treated as exempt in the last 12 months and the process is documented for each position.

- We evaluated the status of executives and other employees treated as exempt in the last 12 months with HR and/or legal counsel.

- We re-evaluated, updated, and documented any changes made to the status of executives and other employees treated as exempt in the last 12 months. Employees signed updated job descriptions when status changed.

Does the company follow basic FMLA procedures?

- No or We don’t know.

- We know when to designate FMLA leave and we only consider approving FMLA leave for employees who have worked with us at least 12 months, 1250 hours in the last 12 months, and at a location with 50+ employees within 75 miles.

- We require employees to request medical leave in writing a certain amount of time before a foreseeable absence and if it is not foreseeable, then as soon as the employee knows. We consistently give them the Notice of Eligibility and Rights and Responsibilities Form and the appropriate certification form within 5 days of requesting leave.

- If employee fails to provide medical certification within 15 days, we delay or deny leave and notify employee in writing. If employee provides incomplete or vague information, we allow 7 days to supply complete and clear certification.

- If employee provides proper certification, we provide the appropriate designation form within 5 days. We notify key employees of intentions, notify all employees on leave of their benefits payment obligations, and we attach the employee’s job description with the designation, expected return date, and let them know we’ll need a Fitness for duty release. We then track the leave and payments and keep management informed.

Does the company provide notices under HIPAA and COBRA at the inception and termination of health plan Coverage?

- No

- We provide notices under HIPAA and COBRA to the employee at the inception and termination of health plan coverage, as well as to the employee’s spouse if the spouse is covered under the plan.

- The above, including: It contains adequate information regarding the coverage the employee is entitled to receive, the premium required to be paid in order to maintain coverage, and other information to enable the employee to make “an informed and intelligent decision whether to elect continuation of coverage.”

- All of the above, including: The notice is sent by first-class mail to the last known address of the covered employees and their spouses.

- All of the above, including: A separate copy of the notice is sent to any dependents covered under the plan due to a qualified medical child support order.

Does the company comply with OSHA recordkeeping requirements (including the OSHA Forms 300, 300A, and 301) if applicable?

- No

- We keep the OSHA Log and Summary Forms current for recordable injuries only. We know the difference between reportable injuries and recordable injuries.

- The above and we report work related individual deaths to OSHA within 8 hours and inpatient hospitalization, amputation or loss of an eye to OSHA within 24 hours.

- Above and we maintain OSHA records for 5 years and hazardous exposure records for 30 years. We post the OSHA Summary from Feb –April of each year.

- All of the above and all incidents are documented in a confidential file. OSHA poster is on display where employees can see it.

Does the company have a Job Safety Analysis (JSA) for each job?

- No

- We have some information but aren’t sure what a JSA is.

- We have started the process but haven’t completed a JSA for every position yet.

- We have completed a JSA for each position (in writing), but the info is not in our job descriptions or in our safety manual.

- We have completed a JSA for each position, and the info is in our job descriptions and used to determine training and PPE for our safety program. The JSAs are reviewed and updated when position requirements change.

Is the company’s handbook up-to-date and an accurate reflection of actual company practices?

- We do not have an employee handbook.

- We have an employee handbook, but it has not been updated since it was first written.

- We have an up-to-date handbook but it is not an accurate reflection of the company’s current practices.

- Our company handbook is up-to-date and is an accurate reflection of our company practices. We have signed acknowledgements on file for all employees and records of changes and how those changes were communicated.

-Our company handbook is up-to-date and is an accurate reflection of actual company practices. It has been reviewed by HR or legal counsel and is compliant with current state and federal laws.

Is the company a certified Drug Free Workplace?

- No

- We do drug testing, but we don’t have a written policy. We’re not certified.

- We have a written policy, do drug testing, but we don’t have documented annual training for supervisors and employees.

- Above and we provide annual Drug Free Workplace training to satisfy certification requirements.

- Above and we are currently certified and receiving discounts on worker’s comp coverage in states that offer the discount.

Are the I-9 form and E-verify process for a new hire completed within the required time limit?

- No

- We complete them but don’t know the time limits. We are using the most current version of the form.

- The employee completes section 1 the first day of work, before any work is performed, but the employer section is not always completed within 3 days of the start date. We don’t always get proper supporting documents, and we haven’t audited the I-9s in the last 12 months. Sometimes we accept copies and complete the I-9 at corporate.

- Section 1 and section 2 are completed correctly and on time with every new hire, and we get the necessary supporting documentation as well. Managers are trained on I-9 compliance, and only the person who physically sees the I-9 supporting documents completes section 2 of the I-9. E-verify is consistently completed within 3 days of hire.

- I-9s are correct, complete, and on-time with proper documentation and kept separately from personnel files. They have been audited internally within the last 12 months, and all are complete and correct. New-hires choose documentation from the approved list; they are not told which documents to submit. E-verify is completed on time for all new hires.

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