The 30-Minute Guide to HR -...

A Quick Guide to Success in HR for the Busy and Confused

The 30-Minute Guide to HR

©2012 Sikich LLP. All Rights Reserved.


The 30-Minute Guide to HR: A Quick Guide to Success in HR for the Busy and Confused :: 2

As an individual with HR responsibilities, every time you turn around someone is talking about compliance. If you read the papers or listen to the news at all, you can easily figure out that compliance is getting tougher, the fines and penalties are getting stiffer and everyone is a target. We’re going to take some of the complexity out of employment law and help you focus on the things that will really make a difference.

In today’s world, compliance with employment law is critical to any organization, regardless of its size or sector. The law continues to change and increase in complexity, including modifications to laws such as the Family Medical Leave Act and the Fair Labor Standards Act that have been on the books for many years. Failure to obey the law will generate expensive penalties that will ultimately affect the operations of any organization, taking money from the budget that could be used to grow operations or fund mission-based projects.

Compliance is not an option; it is the law.

This guide focuses on key compliance areas that organizations should have in place as a protection against both fines and penalties and employee claims. Some items that we will cover are basic organizational protections as mentioned; others will help your organization promote good employee relations and ultimately make your organization less vulnerable to employee claims.

How you approach these various items will depend on your specific needs and resources. A simple solution can be as effective as a high-priced, complex solution.

We’re going to give you a flavor of how you might want to look at what you’re doing. We’re not going to cover every possible area of compliance, but we’re going to cover enough to get you pointed in the right direction. You’re in the best position to determine priorities based on your knowledge of your organization. Use that knowledge to kick it up a level! We’re there behind the scenes to help. So read on!

FOR

WA

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The 30-Minute Guide to HR: A Quick Guide to Success in HR for the Busy and Confused



What Laws Apply to Your Organization?

By way of a quick disclaimer, know two things:

1. You will have specific compliance requirements based on your sector

2. You have compliance responsibility for both state and local laws

The list that follows is a high-level overview of key federal laws on which organizations of various sizes need to focus. Remember that while you are responsible for compliance at the federal level, if your state or local laws are more stringent than federal law, the benefit goes to the employee. Generally, whatever is more advantageous to the employee will be the law with which you will comply.



Why is HR important?Let’s face it—handling human resources is one of the toughest in-house jobs and often the one that gets little credit when things are working smoothly. In smaller organizations, the responsibility for HR is often lumped together with a lot of other administrative or financial tasks, leaving little time for the responsible party to truly get comfortable with the breadth and depth of HR responsibilities.

Sound simple? Maybe not. It is critical that those responsible for human resources have a solid understanding of ever-changing employment laws and employee relations. Many organizations are choosing to outsource all or part of their HR activities due to the complexity of human resources. At a minimum, many organizations have chosen to engage an HR professional on an as-needed basis to provide advice and counsel in the many areas of HR.

HROutsourcing

Recruiting &Onboarding Services

PerformanceManagement

Compensation

Benefits

Compliance

Manpower Planning& Strategic Services

EmployeeRelations

OrganizationalDevelopment

Training &Development

Communications

Key HR concerns include:� Maintaining a high level of compliance and educating the

organization and its supervisors about employment law

� Promoting fair and consistent employee relations

� Supporting organizational effectiveness and success



Let’s lay out some very basic tenants for HR that help bring life to the ideas mentioned before. HR needs to provide for:

� Basic protections, by having solid HR practices in place to help organizations eliminate unnecessary lawsuits

� Consistency, both in organizational operations and in the way employees are treated. Inconsistency is one of the major drivers of employment suits. For example, clear policies that are communicated to both employees and supervisors through your employee handbook help employees understand what is expected of them. And these same policies help your supervisors hold everyone to the same standard

� Fairness, because employees want to be treated fairly and consistently. HR is in the forefront of this concern, coaching, counseling and educating supervisors and managers about the law and their role in sound employee relations. It is HR’s responsibility to make sure that fairness is a reality

Throughout this guide, we will take a look at the key areas of human resources including:

� Recruitment

� Orientation

� Compensation

� Benefits

� Training and Development

� Performance Management

� Employee Relations, including employee handbooks

� Compliance, including I-9 forms

� Administration

� Continuing Education

� Various Laws

When we think about these various functional areas of HR, we are basically looking at the life cycle of an employee, from the employee’s recruitment into the organization through the employee’s departure. After reviewing the information in this guide, you may find that you’re in good shape. In that case, congratulations and keep up the good work. If you find a few areas that could use improvement, start building your to-do list right now.



The first step in many of the functional areas we listed is creating a sound job description. Your up-to-date job descriptions are the basis for recruiting. There’s a much worn saying in recruiting—“If you don’t know what you’re looking for, you’re sure to find it.” Sound familiar? Your job description defines the requirements of the position in terms of experience, education, technical and interpersonal skills, and a myriad of other items that you need to consider when hiring.

The job description also sets the stage for both orientation and training. It provides a yardstick by which you match the skills, experience and talents your new employee brings to the table against the requirements of the position. This analysis provides you with a ready-made, individualized training tool for a new or newly promoted employee. It serves the same purpose for underperforming groups, allowing you to measure against a real set of standards.

A good job description allows you to competitively compare your salary and benefits package to the market. Most organizations want to pay competitively within the means of the organization and it is impossible to do that without having a sound job description to compare with similar positions in the market.

Job Descriptions & Planning

What makes a good job

description?

You should constantly ask yourself…

How does this candidate

match up to my requirements?

“ “



Your job description is also critical in all aspects of performance management, from setting and communicating the objectives and goals of the job through preparing effective performance appraisals to equitably handling discipline and termination. The job description outlines the key responsibilities of the job and in tandem with that, many supervisors and managers have developed a strong set of performance expectations keyed to the responsibilities of each position. By creating performance expectations, supervisors and employees can be on the same page. Employees can self-manage their performance and seek training help, and supervisors are able to give sound feedback that is consistent to their job and responsibilities.

They also form the basis of hiring plans, and are therefore critical for a number of reasons. A good job description outlines the key responsibilities of a position and should give the employee a clear picture of what the job entails. As an individual with HR responsibilities, it is your job to see that the new employee learns everything he or she needs to know about the new job. The job description is also your guide—it includes key responsibilities, reporting relationships and decision-making authority, as well as requirements from the Americans with Disabilities Act, such as the amount of time standing, how much this position may need to physically lift and environmental factors.

If you don’t have job descriptions or haven’t updated them

in a while, now is a good time to start. A good job description

is the backbone of your compliance efforts as you will see in

more detail as we move ahead.

An effective job description will help you define what you are looking for and can be used to create screening and interview questions. It can also help you focus on the experience that is needed for the position.

Once you know what you are looking for, you need to have a plan as to how you are going to fill the position.

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Internal job postings are also a good way to source candidates. The internal posting provides an opportunity for your employees to self-nominate and provides your organization with an opportunity to promote qualified candidates from within. Internal postings also alert your employees to recommend external candidates that have effectively been pre-screened by the individuals who know your organization best—your own employees.

Sourcing & ScreeningIn today’s world of recruiting, there is no single source of candidates anymore and no one process will work for all organizations. Match your recruiting process to the needs and resources in your organization—create a process that is efficient, making the best use of limited resources, training supervisors on good interviewing techniques and providing appropriate tools to assist supervisors in getting successful interview results.

Many organizations use pre-screening questions that highlight the must-have’s of the position, thus saving time by eliminating candidates who do not meet your basic criteria. Specifically, using pre-screening questions over the phone can save you and your hiring managers a substantial amount of time and allows them to review more candidates in a smaller timeframe. This provides you with a pool of candidates that you know meet your basic criteria.

Recruitment

It is important to cast a wide net to attract top talent to your

organization, so think about all of the places you can go to

recruit candidates. In addition to using job boards, determine

which networking groups and associations may provide

qualified candidates. Whether unemployment is high or low,

top-quality candidates are hard to find.



Double-check your current application to make sure that it contains a well-written disclaimer. Your disclaimer should include:

� A statement around the organization’s right to modify, change, add or delete policies

� A statement including at-will language

� The applicant’s acceptance of the policies as they are stated now and as they might change in the future, and the applicant’s commitment to comply with those policies

� A release for drug testing, reference checks and background checks

� A statement that an applicant may request any needed accommodations

� A statement explaining that all employees will be required to verify that they are eligible to work in the United States

� A statement that an applicant is not required to disclose expunged or sealed criminal records

Recruitment Process (Part 1)After sourcing and screening candidates, you will have a select few that will move forward in the recruitment process. Have all these individuals—whether they are applying for entry-level or executive positions—complete an application.

The application is important for a number of reasons. First, it shows that a candidate can follow the simple directions needed to complete the application. Writing “see resume” for work history isn’t acceptable. Second, statistics show that up to 40 percent of candidates lie on their resumes, so the application provides a second check on employment facts for you. Check dates on the application against dates on the resume—you may be surprised to find sometimes they don’t match up.

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Plan for finding candidates

JobCandidates

SuccessfulHire!

Update job description/

hiring criteria

Develop screening questions

Interview top candidates

Present most qualified

candidates for hiring manager review

Prepare reference checks

Deliver offer letter

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Many organizations have chosen to include pre-employment testing as part of their interview process. This testing can include behavior or predictive testing that provides another look at the candidate in addition to the information generated from the interview process or reference checks. Pre-employment testing can be a cost-effective addition to the recruiting process, and when the right assessment is selected and used consistently, can provide a wealth of information. Pre-employment testing; however, is not a be-all, end-all in itself. It should never be used as a hire/no hire decision-making tool by itself, but rather must be used in conjunction with the interview and reference/background checks.

Reference checks are critical, though many organizations choose not to do them, using the excuse that they can’t get information from previous employers. Your reference check should include only requests for job-related information, and it should be directed only to the candidate’s supervisor, as this individual will best know the candidate’s work. Personal references are rarely an effective source of information because they typically cannot provide information about the candidate’s work performance.

When you’re thinking about your process, make sure that you implement the kinds of testing/background checks that appropriately support the common positions in your organization. Often times, a good background check provider is a solid investment because the provider should have the experience and resources to do effective checks of education, criminal history, credit, professional licensure, etc.

The importance of a strong professional reference check cannot to be overstated. It’s becoming an unfortunate state of affairs, but people are regularly misrepresenting salary, job responsibilities, and start and end dates of employment.

Keep in mind that some states may have differing laws regarding certain types of background checks, so understand those specific laws before making any moves.



Recruitment Process (Part 2)After your number-one candidate passes all background and reference checks, it’s time to formalize the offer and complete the recruitment process. Write an offer letter, continue communication with the candidate until his or her start date, and report the new hire if your state requires it.

Before you complete the recruitment process, find out if your state requires the reporting of new hires. Make sure you are up-to-date on these requirements. If you are using a third-party payroll vendor, they should be doing this for you, but it doesn’t hurt to double check.

Offer Letter

The purpose of an offer letter is to clearly outline

the basic terms and conditions of employment

including start date, salary, supervisor, eligibility

date for benefits, drug testing and other

background check information. It should also

include that the candidate’s employment is “at-

will,” how they are paid, the information they will

need to be placed on payroll (i.e., I-9 completion

and documentation), etc. The offer letter should be

signed by the new hire and the copy placed in the

new employee’s file. The offer acknowledgement

as mentioned is particularly critical because it

verifies the candidate’s acceptance of the offer and

its terms and conditions. A good offer letter leaves

little to no room for interpretation.

Have you ever lost a candidate between the time you made the offer and the time they started? Even if the candidate is starting in two weeks, a lot can potentially change in that time. Make sure you and others in the organization stay in close contact with the new hire until he or she starts, as it helps keep the new hire engaged and shows you are excited to have them on board.



Other ConsiderationsYou don’t need to make things complicated. Consider these four practices for your organization’s recruitment process:

1. Outlook is a simple way to keep track of resumes, and there are many other applicant tracking systems that are easy-to-use and affordable. Your metrics can be as easy as time-to-hire or as complex as multiple levels of metrics around quality-of-hire, time-to-productivity, hiring manager satisfaction, etc.

2. Train your employees to always think like a recruiter. Teach them how to “sell” the great aspects about your organization to anyone outside the organization. Not only is this key to recruiting quality people into your organization, but it is an effective sales tool that can help identify potential customers.

3. Your employee referral program can be as simple as regular notifications to your employee base about current openings, including anything from a small treat to a complex internal marketing campaign with large rewards. If you’re using cash rewards to employees who recommend qualified candidates that you end up hiring, remember that your rewards don’t have to be the same for every position. You may have large rewards for positions that you’d normally fill using a search firm, and negligible rewards or no reward at all for positions that are relatively easy for you to fill.

4. Pipelining is a must in any economy. Keep track of those individuals who you felt at the time would be a good fit for your organization. Maybe you didn’t have the right position available or they were the bride’s maid, but still a good, quality candidate. Find simple, easy ways to stay in touch with them. Think about sending regular communications that keep them up to date on what is happening within the organization. This can also be effective for temporary or seasonal hires.



OrientationWhat does every new employee need to know about your organization in order to be an effective worker and colleague? Find out by examining your culture, performance expectations, client service expectations and more. You have one chance to make a good impression on your new hires; one chance to make sure they get started on the right foot. Don’t lose that opportunity by being unprepared. Remember that these employees have made a commitment to your organization. They want to be successful and they want the organization to be successful. Give them the tools and information to make that a reality.

Document what you talk about during orientation in each employee’s file. Using an orientation checklist can help support all processes and procedures, as it provides documentation of what was discussed upfront while introducing the employee to the organization.

The checklist should clearly define the employee’s first 90 days with the organization and the process that surrounds getting them acclimated and trained in their job responsibilities. The first week will cover key items such as new hire paperwork, benefits, the employee handbook and other key policies and procedures, as well as the job description and expectations. Be sure to include touch points along the way so that you know how well the employee is getting settled. Time spent here is a valuable investment in long-term retention.

The document should also include a checklist for the employee’s direct supervisor, which may help ensure that the employee is receiving the right information and follow up during the critical first weeks and months of their probationary employment. It also serves as a reference tool to monitor their probationary period. When creating your orientation checklists, draw your supervisors into the process. They are most knowledgeable about potential issues and stumbling blocks. The checklist will help keep their training and mentoring on point.



Plan DesignPaying people competitively and equitably is critical to any organization that wants to retain top talent. While we’d like to believe that our employees do not know what others are making, we would be woefully mistaken. Pay is seen as a measure of how the organization feels about an employee. When employees perceive that there are significant pay differences for positions that are similar, we sow the seeds for dissatisfaction and turnover, and potentially wage claims.

Compensation has a lot of moving parts, and you should maintain focus for all of these parts:

� What is your organization’s compensation strategy? Where do you want to fall in the market place? Do you want to pay at the top of your market or somewhere in the middle? Is it okay for you to be considered the lowest-paying organization on the compensation spectrum? Your philosophy is important as you go to market to compare salaries for key positions.

� Job descriptions are critical for all positions. Again, these don’t have to be long documents. They can be as simple as 10 bullets explaining the key job responsibilities.

� Your formal pay structure can be a system of grades and ranges, or it can be a documentation of current positions and an informal ranking. This is even more critical now with the Ledbetter Act in place. You need to be able to explain your pay decisions and a formal system can help do so. A formal compensation system also gives credence to your desire to pay fairly and equitably. Employees want consistency and they want to feel as though they are paid appropriately for the job they do.

� Exempt/non-exempt evaluation is critical regardless of the size of your organization. The Department of Labor recently hired more investigators to look closely at organizations to ensure they are classifying employees correctly. Remember, when you classify positions as exempt or non-exempt, you have a duty to use the tests for the various classifications. Keep in mind that it is job responsibilities—not job titles—that determine the classification of any position.

� Conduct regular surveys to know and understand where you fall in your market space. From developing relationships with others in your competitive area to participating in external salary surveys to administering your own large-scale surveys, you have many opportunities to find competitive information. Find out what your peers are using and go from there.

� If you have a formal pay structure, make sure you have a process in place to incorporate new positions within the organization. The Department of Labor wants to see that you have an effective, consistent, regularly used process for making decisions around the placement of positions in your salary structure.

� Strong incentive plans clearly define what behaviors are rewarded and then are regularly tested to make sure those behaviors are indeed being rewarded. Incentive programs don’t have to be expensive nor made up of all cash. Get creative!

Compensation



Compensation continued...

ComplianceCompliance continues to be a critical area for all organizations. Make sure your processes support good compliance through three things: Timely and accurate changes, confidentiality of information and supervisor training on basic compensation practices.

First, you should have proper checks and balances to ensure that payroll changes are timely and accurate. Payroll entries should always have a cross-check by a second party to maintain the integrity of the system. Also, make sure your employees understand the importance of keeping their personal information updated and notifying you when there are changes.

Second, all employee files and salary information should remain confidential. Make sure that you are keeping this info under lock and key, only allowing access to that information to a supervisor/manager on a need-to-know basis.

Finally, train your supervisors on the basics of compensation. If you have a formal salary structure, make sure they understand the basis of the structure and how they should use it to give raises, etc.



Plan Design & CommunicationMany of the things that we say about compensation also apply to benefits, including having a clear strategy and knowing what’s competitive. Successfully design and communicate your organization’s benefits plan by taking the following six steps:

1. Partner: Start working with a good benefits broker who has your organization’s best interest in mind. A good broker will be responsive to your needs throughout the plan year and will act as an advocate for the organization when there are issues and during renewal periods. A good broker will also help you communicate so your employees get the most out of their benefits. Additionally, they will work with you to create a plan design that will work for your organization.

2. Strategize: Know where you want to position your organization in the market. What benefits do you want in order to attract the top talent you need? Your benefits broker can often be helpful.

3. Research: Your broker can also help conduct regular benefit surveys in their sector to determine whether what your organization offers is competitive.

4. Communicate: Open enrollment time is not the only time to communicate with your employees about benefits. Make sure they know what benefits are offered and how to get the most out of what you are offering. Many organizations choose to communicate around the value of the benefits, including statutory benefits that employees receive. It’s often very eye-opening for employees to see exactly how much their organization has invested in them. This can actually positively impact turnover.

5. Provide accessibility: You have an obligation to provide Summary Plan Descriptions (SPDs) or advise employees how to access them if they are online, and health care reform is going to provide even more obligations for employers. For example, health care reform regulations are going to require that any plan design changes are communicated at least 60 days prior to the changes taking effect.

6. Update: It is your responsibility to ensure that your plan documents are up-to-date, as these are the documents that are the last word in how your plans need to run. Make sure your broker provides the appropriate amendments when you make changes to the plan design.

Benefits



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Benefits continued...

ComplianceCompliance is equally critical in the area of benefits and it is an area that is continually under scrutiny by the government. As an individual with HR responsibilities, it is essential for you to:

� Input timely and accurate benefit deductions into your organization’s system

� Provide COBRA notices during the orientation process and within 14 days of termination from the plan. These must be sent to participants and family members covered under the plan, and must be sent via U.S. mail

� Protect employees’ health information by limiting the number of people who can access medical files and deal with claims issues. Ensure that files are secured and you have both a policy and process that is HIPAA compliant

� File 5500 forms each year by the specified deadline for 401(k) plans

� Administer the Family Medical Leave Act (FMLA) and other leaves properly by knowing what you must provide to employees, documenting any leaves and getting the appropriate documentation

� Train supervisors on benefits and leaves so they understand FMLA and other leaves, as well as processes associated with these leaves

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Training & Development

Out of ideas for training & development? Take the mentor approach and use what you’ve got. View more secret tips here: http://www.sikich.com/hr-guide Tweet this!

Training and development activities help support your compliance efforts by showing that you have provided the right kind of training for the positions in your organization. Training can be an adjunct to the discipline and termination process. Additionally, training helps you meet any requirements that you have in the area of safety. Careful documentation of training received by employees is critical to support compliance in many areas. Training and development should include these aspects:

� A needs assessment doesn’t have to be complicated or cumbersome; spend some time with your supervisors, managers or executives talking about where performance could be improved and then figure out if there are training components that would be useful. What are you required to do from a compliance standpoint that training can support?

� Everyone could use on-the-job training and coaching, and it could be a good opportunity to use a mentor approach by using some of your supervisors or key employees as trainers, you can keep it simple and cost effective. Be sure to document attendance at any training activity for your files.

� Take an inventory of any potential safety concerns in your organization and work with your insurance broker to figure out what safety training is available on the outside through your carriers. If a claim is filed, demonstrating that you’ve provided appropriate training will pay dividends.

� Have a clear idea of what licenses and certifications are necessary for your employees to function—this will vary from organization to organization. All licenses and certifications typically have an expiration date. If they are necessary for compliance purposes, make sure you have identified an internal individual who can track the terms of the documents and provide reminders to those involved.

� After every training program, evaluate its effectiveness. Take a few minutes to talk with supervisors and participants about what worked and what didn’t. Sometimes waiting a week to do this is useful so that you get information about what people have been able to use. Remember that we want to look at the impact of training. Did the training help the participants be more effective in their jobs?

� Supervisors are your first line of defense—what skills could you help them improve through supervisory training? Whether that might include harassment prevention training, interviewing skills training or discipline and termination training, what a supervisor says and does may be critical to defending against an employment claim.

� Whether you have two employees or 2,000 employees, you must conduct harassment prevention training on a regular basis and document training attendance. If an employee brings a harassment claim forward, it is important that you can show training has been provided to your employees.

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Consistent, well-planned and executed performance reviews, disciplinary interviews and terminations are critical in protecting your organization from employment claims. The spectrum of performance management activities should include:

� Performance standards and expectations: Managers and supervisors need to articulate what constitutes good work. If they can’t do this, they can’t expect to see top performance; however, employees who fully understand what is expected of them can perform at the level required with proper training. Performance expectations also provide the groundwork for concrete discussions about performance, both positive and negative.

� Appropriate evaluation tools: Use a consistent tool to evaluate performance—one that is used to evaluate everyone on the same criteria as related to their job. Consider working with a professional to develop competency-based performance appraisals that focus on the competencies necessary for success in the specific job and organizational culture.

� Regular performance reviews: Your evaluation tool should focus on the expectations of the position that were communicated to the employee and should be used to provide feedback on a regular basis.

� Employee self-appraisal: Are employees asked to rate their own performance? Self-appraisals can be a valuable tool to help employees put their own performance in perspective. Experience

has demonstrated that employees typically rate themselves lower than their supervisor does. The self-appraisal is a good jumping off point for a solid conversation about an individual’s performance.

� Pay for performance: Pay decisions should be linked to performance ratings. This presupposes that the performance appraisals are valid looks at performance. Since your performance review should focus on the responsibilities and expectations of the position, a strong performance review system should be able to clearly differentiate levels of performance.

� A consistent disciplinary process: Similar disciplinary situations should be treated in a similar way, and you should have the flexibility in your discipline system to match it to the incident. A rigid system ties you into a certain action for a certain situation. Leave yourself room to choose the disciplinary action that you feel fits the situation.

� Discipline training for supervisors: Supervisors need training on your process to ensure that they are creating accurate reviews and documenting performance properly for disciplinary purposes.

Performance Management



Everyone wants to work in a great place where teamwork and communication are strong, employees feel that they have the necessary resources and are treated fairly, and everyone understands what is expected. Some ways to ensure effective employee relations include:

� Employee training: Employees need a clear understanding of the “rules of the road.” What do we expect of employees and in turn, what can employees expect from the organization? Many of those items are also outlined in the employee handbook.

� Communication processes: Make sure you have clearly defined communication channels for employees’ problems—who should someone go to if they have an issue? You also need to make sure there is more than one person to whom the employee can reach out. For example, if the supervisor is the problem, to whom else can the employee take his or her concerns? This aspect is especially critical when talking about harassment or discrimination, as the courts look to see whether you have a process for handling employee issues and whether those processes were followed.

� Supervisory training: Supervisors need to understand how the organization expects them to deal with problems and employee relations issues, especially harassment prevention. Training provides an affirmative defense for the organization if there is a claim filed—showing that you did harassment prevention training will help your case.

� Employee communications: Other ways to ensure good employee relations include communications such as newsletters and state-of-the-organization communications that keep employees updated.

� Temperature surveys: Get a pulse on the organization by finding out what employees think. Make sure you are prepared to act on some items brought up, or you may lose credibility.

� Exit interviews: Obtain feedback from someone who has left the organization by conducting exit interviews. In addition to giving the employee closure, these also give the exiting employee a chance to share valuable feedback that will allow the organization to improve. Consider using a third party, which could allow for more candid comments.

Employee Relations

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What is an Employee Handbook?

Handbook

em·ploy·ee hand·book (noun): Your handbook is one of your best

organizational protections and is the cornerstone of compliance

and employee communications. It is a set of expectations and a

“rules of the road” compilation, so make sure that it is regularly

updated; has required federal, state and local compliance language;

and is widely disseminated to everyone in your organization. The

handbook is also a supervisory tool, so your supervisors should

also receive training on the content and their related responsibilities.

The handbook—which should be clear, consistent, available

and well-organized—should be distributed to all employees and

everyone must sign an acknowledgment stating they received

the handbook, which should be placed in their file. You also need

to make sure that the employees understand all polices in the

handbook—this starts with orientation.



Must-Have’s Setting the stage for employment

Disclaimer

Equal Employment Opportunity Statement

Genetic Information Nondiscrimination Act (GINA)

Americans with Disabilities Act

Harassment Prevention Policy

Other critical policies

Employment at-will

Confidentiality

Access to employee records

Managing required leaves of absence/time off

Family Medical Leave Act

Managing breaks

Lunches and breaks

Break Time for Nursing Mothers (update to FLSA under PPACA)

Paying employees correctly

Proof of authorization to work

Employment status

Overtime

Compensatory time (public entities only)

Handbook acknowledgement: Must be signed and dated by employee, and placed in employee file by the employer

Employee Handbook Checklist

Good job

This will be a great addition

Way to go the extra mile!



Should-Have’s Workplace basics

Hours of operation

Work schedule

Parking

Building access

Non-solicitation

Acceptance of gifts

Smoke Free Workplace

Introductory period

Reporting absences

Dress code

Reporting time

Managing to great performance

Performance reviews

Salary reviews

Terminable offenses

Communicating effectively

Inter-organization communication

Computer use/email policies

Social networking/social media

Cell phone use/texting

Employment verifications

Open door policy

Communicating about benefits

Benefits

Types of benefits available

Eligibility

Paid time off – vacation, sick, personal, holidays

COBRA eligibility

Jury duty

When employees must leave the organization

Termination process

Reminder of important policies including at-will, confidentiality, etc.


Find out the must-have’s, should-have’s and nice-to-have’s for your employee handbook. View the checklist here: http://www.sikich.com/hr-guide Tweet this!

Good job



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Nice-to-Have’s Creating a great culture

Organization background

History

Mission, vision, values


Good job





We’ve talked about compliance opportunities throughout this guide, but there are a few other compliance-specific items to think about for your HR functions:

� I-9 forms: There is considerable governmental activity surrounding I-9 forms, and many organizations have had these audited. Make sure yours are correctly and completely filled out and that you have an updated form for everyone in your workforce with appropriate documentation. Audit your I-9 forms before someone else does, and ensure you purge them on an appropriate schedule. Find more detailed information on I-9 audits in the next section of this guide.

� Tax forms: Have appropriate tax forms on file for each employee and be especially careful for those employees working out of state. Not all states require state tax forms, but if they do, make sure they are current.

� Overtime: Overtime is owed for all hours worked over 40 hours in a seven-day pay period, and you must pay for all hours worked even if the individual did not get approval for extra hours. Overtime is time-and-a-half of the individual’s regular hourly rate of pay. Compensatory time is not an acceptable pay practice in the private sector.

� Employee classification: Make sure that all your employees are properly classified as exempt or non-exempt. Exempt employees are not subject to the overtime requirements of the Fair Labor Standards Act, but it is the individual’s job responsibilities that determine whether or not they are exempt.

� Independent contractors: If you use independent contractors, make sure you have a specific contract that stipulates the work to be performed and make sure you have checked the requirements for classifying someone as an independent contractor. If they don’t meet the requirements, you may be putting the organization at risk, as the Department of Labor and IRS are going after organizations that misclassify workers.

� Required posters available: Employers in the United States are required to have their employment posters visible in high-traffic areas. Visit the Department of Labor website to obtain copies of all posters for free.

� Workers’ compensation: If a worker is injured, get a detailed report of what happened and fill out the first report of injury, which is a standard form used by workers’ compensation carriers. You also have to post the OSHA 300 log each year in February for the previous year.

Compliance

http://www.dol.gov



I-9 AuditsWhat can you do to prepare for a potential I-9 audit? Here are 10 steps to take:

1. Make sure your organization has a completed I-9 form and the appropriate background documentation for all employees hired after November 6, 1986. Copies of the most recent I-9 form can be downloaded from the government website, www.uscis.gov/i-9. All documentation submitted as proof of citizenship must be unexpired or it will be viewed as invalid by the auditors. Spanish I-9 forms can be utilized for translation purposes; however, the English version is the form that must be retained for records purposes.

2. New hires should have their documentation and form completed by their first day on the job, and at least one piece of documentation presented must include the employee’s photograph. By law, new employees have up to three business days from their first day of hire to provide the appropriate documentation, and they must use physical addresses, not P.O. boxes.

3. The federal government does not require you to copy the documentation presented; however, it is good HR practice to do so, saving much time if you need to verify any documentation at a later date. Further, all completed I-9 forms and any copies of identification documents should be kept separate from employees’ personnel files. Store the documents in binders in alphabetical order by employee last name. This way, if you are audited, all you need to do is hand the auditor your binder of I-9 records.

4. Many organizations are also utilizing E-Verify, which is the Web-based verification companion to the I-9 form. E-Verify is a free program that provides an automated link to federal databases, helping employers confirm the employment authorization of new hires. In essence, it shows that your organization has taken all steps available as part of the new hire verification process. If an

organization uses E-Verify, it must be utilized for all new hires, not selectively. Employers can enroll online for E-Verify at www.dhs.gov/E-Verify.

5. Employees who indicate they are “aliens authorized to work” should specify their status and classification on the I-9 form. Employers must then establish a system to follow up on any conditional authorizations before the expiration date.

6. Be proactive and audit your own files, which will give you the opportunity to correct any I-9 forms. Refer to the federal government’s manual on I-9 forms for more details, which can be downloaded from their website at www.uscis.gov/I-9.

7. After you have audited your files, place a note in your I-9 binder indicating the date that the files were audited. This adds transparency to any corrections made on the documents.

8. I-9 forms must be retained for as long as the employee is working for you. After the employee leaves your organization, you must retain his or her I-9 form for at least three years after the date of hire, or one year after the employment termination date, whichever timeframe is longer.

9. I-9 forms can be retained on paper, microform or electronically, but electronic records must comply with the Department of Homeland Security’s standards and must be easily accessible by auditors. Review the federal guidelines for properly uploading I-9 forms for electronic storage, particularly the steps required for the signatures and electronic signature protocol.

10. Review each I-9 form to make sure that all information is completed in its entirety. Fines will be assessed for incomplete information, and can range from $110 to more than $1,000 per violation and perform.

Overall, it is good HR practice to train one or two individuals to manage the I-9 forms and process. This will help ensure that all forms are completed in a timely fashion and completely filled out.

http://www.uscis.gov/i-9

http://www.dhs.gov/E-Verify

http://www.uscis.gov/I-9



As with all other aspects of human resources, administration also has its general best practices that can help move the HR department forward more effectively. Among those best practices are:

� Clearly defining the positions of all who support the HR function and ensuring they understand the expectations

� Creating a checklist that will allow you to audit your files periodically to ensure that the information contained in those files is appropriate

� Including a policy in your handbook that states the process for requesting a review of file. Be aware that some states have specific requirements for employees to review their files. In some situations, these requirements may cover how quickly the file must be produced, what can be withheld and whether the employee can make copies of any documents

� Establishing clear guidelines of how long you are will retain files and who is responsible for purging those files. Records retention periods will vary by type of document

� Maintaining confidentiality in all situations by all those involved in HR

Administration



The world of human resources changes often with the addition of new employment regulations, updates to existing laws and new interpretations. If you have responsibilities in your organization’s human resources department, it is critical that you continue your education to develop professionally.

It isn’t easy staying updated on the latest changes and developments with employment laws. Keep your knowledge fresh by attending training sessions and legal updates for all the latest news and changes. You may want to also consider getting a professional certification.

Continuing Education



The following list is a sampling of the federal laws governing employment matters. This list should not be considered all-inclusive nor a complete review of the specific law noted. Remember, organizations are required to comply with state and local laws as well. It is your responsibility to determine with the laws with which your organization must maintain compliance.

Employers with 2+ Employees� Equal Pay Act of 1963: This act requires employers to pay employees fairly and makes it illegal to pay

different wages to men and women if they perform equal work in the same workplace.

� Fair Labor Standards Act: This act regulates overtime, minimum wage and child labor laws.

� Immigration and Nationality Act: This act requires employers to verify eligibility of all employees hired.

� Occupational Safety and Health Act: This act requires employers to maintain a workplace that is safe and healthful for its employees.

Employers with 5+ Employees� Nursing Mothers in the Workplace Act: This act requires that employers provide reasonable unpaid

break time each day to an employee who needs to express breast milk for an infant.

Various Laws



Employers with 15+ Employees� Title VII of the Civil Rights Act of 1964: This law makes it illegal to discriminate against someone on

the basis of race, color, religion, national origin or sex. The law also makes it illegal to retaliate against a person because the person complained about discrimination, filed a charge of discrimination or participated in an employment discrimination investigation or lawsuit. The law also requires that employers reasonably accommodate applicants’ and employees’ sincerely held religious practices, unless doing so would impose an undue hardship on the operation of the employer’s organization. An amendment also makes it illegal to discriminate against a woman because of pregnancy, childbirth or a medical condition related to pregnancy or childbirth.

• Workplace harassment deserves special mention here. Harassment can include sexual harassment or unwelcome sexual advances, requests for sexual favors and other verbal or physical harassment of a sexual nature. Harassment does not have to be of a sexual nature; however, and can include offensive remarks about a person’s sex. For example, it is illegal to harass a woman by making offensive comments about women in general.

� Americans with Disabilities Act of 1990: This law prohibits employment discrimination against qualified individuals with disabilities. The law also requires that employers reasonably accommodate the known physical or mental limitations of an otherwise qualified individual with a disability who is an applicant or employee, unless doing so would impose an undue hardship on the operation of the employer’s organization.

� Genetic Information Nondiscrimination Act (GINA): This law makes it illegal to discriminate against employees or applicants because of genetic information.



Employers with 20+ Employees� Age Discrimination in Employment Act of 1967: This act prohibits age discrimination against

individuals who are 40 years of age or older.

� Consolidated Omnibus Budget Reconciliation Act (COBRA): Employees who have lost coverage under their group plan due to certain “qualifying events” must be given the option to purchase the same health coverage available to active employees. Note that employers with fewer than 20 employees are subject to state laws, where applicable.

Employees with 50+ Employees� Family and Medical Leave Act (FMLA): Employers must provide up to 12 weeks of unpaid leave

to employees because of the birth or adoption of a child, to care for a child or family with a serious health condition or because of the employee’s own serious illness.


Have we covered every possible compliance concern that you should

have? Of course not. Our intent is to provide you with a framework to

begin looking at your organization in the context of the employment

laws and best practices that are relevant to your organization. Take a

moment to start a to-do list for yourself so that you can begin looking

at the people-side of your organization in a focused way. You can’t

change everything at once, but know what you need to look at and

take it one high-priority item at a time.

Contact UsJoyce GrenisSenior Vice President, Human Resource Consulting [email protected]

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