HR compliance checklist SHRM
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Last updated on August 21, 2021 by Christian Davis
HR Compliance Checklist: The Complete Guide 2021Whether you are preparing for a United States government audit or just checking your own systems, running an HR compliance audit can be overwhelming. This HR compliance will hold your hand every step of the way with general HR tasks, documents you need, and best HR audit practices. The team at EasyLlama has your back. Once all this is over you will be able to rest easy knowing your company wont get penalized or fined. The complete checklist is broken down into these categories:
Recruiting, Interviewing and Hiring EmployeesThe first step for your HR checklist is to break down your hiring processes. You have to be very careful about how you figure out if an employee is a proper fit for the company, without turning them down for employment based on illegal factors. These illegal reasons for not hiring an applicant can vary greatly. They usually consist of pre-employment background checks, polygraph results, drug testing, credit checks, and medical exams. However, the illegal reasons for not hiring that stay pretty consistent are disabilities, color, ancestry, and gender. Onboarding documents to have on file:
Affirmative Action PlanTo have HR compliance the EEOC requires that you create a diversity and inclusion plan when onboarding applicants called an Affirmative Action Plan. It's a plan to help include minorities, women, the disabled as well as veterans in the hiring and training in businesses. If your company has 50+ employees and united states government contracts of $50,000 or more your company has to create an affirmative action plan. Some businesses can lose government funding or be able to compete for public contracts if they dont. If you need help with that, check out our diversity and inclusion training course. We can help you create an inclusive and diverse workforce as well as prevent any violations or fines. 4 Questions to Answer with the Application FormNext HR needs to view the job application forms along with the related employee acknowledgment forms and see if they answer these questions:
Storing Files and ConfidentialityReview the companys pre-employment forms to ensure they are completed and in their proper folder. Of course, all these have to be lined up with the local, state, and federal government laws. Make sure that you are able to prove that the applicants criminal history and credit info are confidential. No one can share them and have to be used for application purposes. Interview QuestionsFinally, be ultra-careful about how you phrase interview questions. Make sure they are based solely on whether the applicant is qualified for and able to do the job. Use a behavior assessment tool such as the DiSC program to be on the safe side. As a precaution, its always best to be able to show proof of this in your records. Speaking of which lets go over how you need to audit your record keeping. Employer Record-Keeping & the Employee HandbookMake sure that all employees sign their appropriate employment law papers, acknowledgment forms and receive a copy of an up-to-date employee handbook. Additionally, you need to provide proof that employees are classified correctly whether they be exempt or nonexempt employees or independent contractors. All records need to be kept up to date and make sure you are legally allowed to shred a document before you do. If there is illegal activity going on in your company you could get in major trouble for destroying evidence, even if it was accidental or you didn't know about it. Records to collect and review:
Best record-keeping techniques for employers:
Health Records ConfidentialityMedical information is protected from disclosure except if a signed Health Insurance Portability and Accountability Act (HIPAA) says otherwise. Before sharing the information with anyone in the business make sure it also follows the Americans With Disabilities Act (ADA) or you could face a HIPAA violation in the workplace. Check out EasyLlama's HIPAA compliant training course to make sure your company does not violate or break any laws. Now that you know the proper methods and practices for HR record-keeping lets move onto aligning company policies with the laws. Policies and ProceduresHaving the entire business on the same page is required when doing your checklist. All companies need to regularly update their policies according to the always-changing laws. Equal Employment Opportunity Commission LawsWhen doing your compliance audit checklist make sure to be highly sensitive around anything that could violate Equal Opportunity Commission laws. For example, Title VII of the Civil Rights Act, Title I of Americans with Disabilities Act (ADA), or the Age Discrimination Employment Act. This will prevent the threat of discrimination claims around an employee's perception of inconsistent work policies, unfair performance evaluations, or even disciplinary action processes. Drug Testing, Accommodation for Disabilities and Harassment PreventionEven beyond the employment processes your company needs to be cautious of violating drug testing requirements, such as leaking the results of an employee's drug test. Additionally, you need to provide proof that your company accommodates employees with disabilities, for example, wheelchair access. Also, put emphasis on your bullying and harassment procedures especially if it's sexual. Sexual HarassmentIn the era of the #MeToo movement, many states are making it mandatory for every employee to receive proper sexual harassment training, making it one of the most important steps on the checklist for companies. The laws and workplace trends are constantly changing, so it can feel hard to stay on top of everything. Receiving sexual harassment training in New York and California is vital because it is the law. The bottom line is if you need to get your entire workforce trained and certified by the Equal Employment Opportunity Commission (EEOC) if you want to avoid big compliance fines. How To Get Your Staff Trained And CompliantEasyLlama makes meeting both your federal and state regulations easy, by giving you specialized training for your specific state. It also just feels good to know the workforce feels safe and comfortable so they can perform their best. EasyLlama has interactive quizzes, bite-sized real-world example videos, and training modules based on real-life scenarios. The lessons work on any device with real-time tracking and notifications until each employee completes their training. They also integrate well with the HR tools for many companies. Once you ensure your whole company is trained to be Equal Employment Opportunity (EEOC) compliant, then you can begin collecting the rest of your required policy information for your checklist. Company policy documents to gather:
Best techniques on employment policies:
We are finished with arguably the most challenging part of the checklist for employers. Its all downhill from here! Employee Benefits and Payroll ComplianceFinally, our last step in our human resource compliance checklist is to review the benefits and pay programs. Pay extra special attention to the Equal Pay Act and other discrimination statutes. Also make sure to review your payroll policies for overtime pay, time off requirements, Family and Medical Leave Act (FMLA) rights, labor laws, and records of documentation for employee work hours. Benefits and payroll documents to collect and review:
Employee benefits best practices:
Get the Proper Training Before HR AuditsTo avoid fines and penalties it is more important than ever for HR professionals and business owners to make sure they have HR compliance on the job site with all the major anti-discrimination laws. Sexual harassment laws are one of the fastest-changing employment laws of these times for companies. If your company is looking for a risk-free easy way to make sure all your employees have compliance with the EEOC for sexual harassment use EasyLlama. As an HR leader or business owner, you are very busy. Whether you have a big or small business EasyLlama automates this step for you, so you can rest easy knowing your compliance is complete. |