HUMAN RESOURCES COMPLIANCE AUDIT Company Employees:

Transcription

1 RECRUITING & INTERVIEWING PROCEDURES Recruiting 1 Review Job Descriptions for all categories of employees 2 Update descriptions over 2 years old 3 Review for exemption status 4 Review for ADA/FEHA status 5 Review language in marketing of job openings & postings 6 Review of all recruiting procedures 7 Provide sample job descriptions, as necessary Employment Application Review 8 Compliance with Federal & State Discrimination Laws 9 At-Will Statement 10 Compliance with Disability Issues (ADA & FEHA) 11 Authorization for Background Check, Drug Test, References Check 12 Provide employment application, as necessary Interviewing Process 13 Consistency in Interviewing (who interviews) 14 Review of Interviewing Questions 15 Selection Process 16 Review of how hiring decisions are made 17 How/When Background Checks are administered 18 How/When Drug Screens administered 19 Review skill/aptitude test procedures Reference Checks 20 Review questions asked 21 Ensure compliance with California Labor Code HIRING PROCEDURES Job Offer 22 Review Job Offer Letter 23 Provide Checklist of things to do prior to employee start date 24 Provide sample Job Offer Letter, as necessary New Employee Orientation Checklist 25 Employment Eligibility Verification (I-9) 26 Review Procedures, Timing & Compliance 27 Employee s Withholding Allowance Certificate (W-4) 28 Sexual Harassment Brochure 29 Paid Family Leave Brochure 30 Employee Information Form 31 Change in Personal Data Form 32 Receipt of Employee Handbook 33 Provide sample orientation checklist, as necessary Page 1 of 5

2 Procedures for New Employees 33 Ridealongs/Visits with existing employees 34 Office Orientation 35 Assignment of mentor/buddy 36 Daily Supervisor Review 37 Compliance With Applicable Federal & State Laws 38 At-will statement 39 Ensure all forms are completed and filed properly 40 I-9/IRCA Compliance 41 HIPAA Compliance 42 ADEA Compliance 43 Civil Rights Act Compliance 44 FEHA Compliance POLICIES & PROCEDURES Review of Business Non-Harassment Policies & Procedures 45 Grievance Procedure - Review 46 Harassment Policy - Review 47 Make policy recommendations for non-harassment 48 Make recommendations on how to prevent harassment 49 Non-Retaliation Policy - Review 50 Review of Employee Training Compliance with California Laws 51 DFEH Requirements 52 Protected Classes in California 53 Ancestry 54 Color 55 Disability (including HIV/AIDS diagnosis) 56 National Origin 57 Race 58 Religion 59 Sex 60 Sexual Orientation 61 Transgender 62 Employment At-Will 63 California Discrimination Guidelines 64 Cal-COBRA 65 California Family Rights Act 66 Cal-OSHA 67 Domestic Violence Leave 68 Pregnancy Disability Leave 69 Rehabilitation Leave 70 School Visitation 71 Child Labor Laws 72 Employee Polygraph Protection Act 73 Fair Credit Reporting Act Page 2 of 5

3 74 Garnishments 75 Harassment 76 Military Duty Leave 77 State & Federal Poster Requirements 78 Ensure up-to-date status 79 Ensure conspicuously displayed 80 Unemployment Insurance Coverage 81 Age Discrimination 82 Agriculture Labor Relations Act 83 Applicant Identification Records 84 Cal-COBRA 85 California Family Rights Act 86 California Layoff Law 87 Cal-OSHA 88 Car Pooling 89 Change of Status Notification Requirement 90 COBRA Extension Rights 91 Confidentiality of Medical Information Act 92 Disability Insurance Coverage 93 Discrimination 94 Domestic Violence (employee restraining orders) 95 Dress Code Requirements 96 Drug Free Workplace 97 Drug Rehabilitation Leave 98 Drug/Alcohol Rehabilitation 99 Employee Invention Rights 100 Employee Registry (New Hire Reporting) 101 Employer Information Reports 102 Equal Pay Act 103 Ergonomics 104 Fair Employment & Housing Act 105 Harassment (Reno v. Baird) 106 Hazardous Substances Information & Training Act 107 Health Insurance Premium Payments 108 Industrial Welfare Commission Orders 109 Injury & Illness Prevention Plan 110 Insurance Conversion Privileges 111 Jury Leave 112 Literacy Education for Employees Act 113 No Smoking Policy 114 Paid Family Leave Insurance 115 Pregnancy Disability Act 116 School Visitation by Parents, Guardians, Grandparents 117 School Visits for Suspended Child 118 Sick Leave Usage - for care of family 119 State WARN Act of Sue Your Boss Law 121 Time Off To Vote Page 3 of 5

4 122 Trade Secrets Act 123 Victims of Domestic Violence Leave Act 124 Volunteer Firefighters 125 Wage & Hour Provisions 126 Whistleblower Protection Act 127 Witness Duty Leave 128 Workers' Comp Insurance Coverage Compliance with Federal Laws 129 Age Discrimination in Employment Act 130 Americans With Disabilities Act 131 Civil Rights Act - Title VII 132 COBRA 133 Consumer Credit Protection Act 134 Drug Testing 135 Economic Espionage Act 136 Employee Information reports 137 Equal Employment Opportunity 138 Equal Pay Act (Interstate/foreign commerce) 139 Family & Medical Leave Act 140 HIPAA 141 Immigration and Reform Control Act 142 Mental Health Parity Act 143 NLRA 144 PRORWA 145 Plant Closure Law 146 Pregnancy Discrimination Act of Summary Plan Descriptions 148 Trade Secrets Act 149 Veterans Re-employment Law 150 WARN Act Wage & Hour Issues 151 Review Exempt vs. Non-Exempt Status for all employees 152 Rest & Meal Break Requirements 153 Ensure overtime pay is properly and legally administered 154 Time-And-A-Half 155 Double Time 156 Sick Leave 157 Vacation Pay Procedures 158 Independent Contractor vs. Employee Status - review and recommend 159 IRS 20 factor test 160 Minimum Wage Review 161 Reporting Time Pay 162 Frequency of employee pay periods 163 Review uniform/equipment deductions 164 Review Cash Shortages/Breakage deductions 165 Child Labor Laws Page 4 of 5

5 Employee Records 166 Ensure employee files contain only job-related information 167 Job Offer Letter 168 Performance Reviews/Appraisals 169 Job Status Letters 170 Related payroll information 171 Receipt of Employee Handbook 172 Receipt of 'at-will' statement 173 I-9 review (recommend separate location) 174 Records Retention Requirements - Review 175 HIPPA Compliance Employee Relations 176 Review Performance Appraisals 177 Performance Appraisal Audit Checklist 178 Review of disciplinary and discharge process 179 Recommend changes/improvements to disciplinary process 180 Review or help write warning/termination letters 181 Review Progressive Discipline Procedures 182 Review of employee communication/how policies are communicated 183 Answer/Discuss employer-employee relations training 184 Answer any questions on CA & Federal compliance issues Safety & Loss Control 185 Strategies for reduction of workers compensation claims 186 Review Illness & Injury Prevention Plan 187 Review Evacuation Procedures 188 Ensure appropriate state & federal posters/proper posting procedures 189 Ergonomics policy & procedure review Employee Benefits 190 Medical/Dental - review and recommend procedures 191 Section present and evaluate 192 Retirement Plan - present and evaluate 193 Premium Only Plan - present and evaluate Page 5 of 5