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Practice Areas
Construction Law
Business Law
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Employment Law
Contact Us
Home
About Us
Attorneys at Law
Practice Areas
Construction Law
Business Law
Estate Planning
Employment Law
Contact Us
Home
About Us
Employment Practices
Information Gathering
General Background
Your Name
*
First Name
Last Name
1. Have you audited your personnel practices within the last year?
Yes
No
I don't know
2. Was any past audit conducted by an attorney, human resource consultant or risk manager?
Yes
No
I don't know
3. Has your HR manager attended any personnel law compliance training, seminars or workshops in the last year?
Yes
No
I don't know
4. Have you conducted any employee surveys during the last year?
Yes
No
I don't know
5. Have you had any employment practice claims in the last three years including, but not limited to, NLRB, Dept. of Labor, EEOC, FLSA, state agencies, mediations, arbitrations, administrative hearings, internal grievances and attorney demands?
Yes
No
I don't know
If yes, please explain...
(write below)
6. Are you currently aware of any possible employment practice claims?
Yes
No
I don't know
If yes, please explain...
(write below)
7. Are you a government contractor?
Yes
No
I don't know
8. Do you intend to conduct any layoffs, downsizing, plant closures, or recall efforts?
Yes
No
I don't know
9. Do you intend a merger, acquisition or dissolution of any portion or subdivision of your company at any time soon?
Yes
No
I don't know
10. Are you subject to a collective bargaining agreement?
Yes
No
I don't know
11. Do you have Employment Practices Liability Insurance coverage?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Ethics
Do you have a company ethics policy?
Yes
No
I don't know
Do you have a policy for the reporting of illegal or unethical activity?
Yes
No
I don't know
Do you hold your company leaders and employees responsible for conforming to your ethics policy?
Yes
No
I don't know
What are the most common ethical issues that arise in your industry/at your company? What is your plan for preventing them?
(write below)
Thank you!
Outsourcing and Contingent Workers
16. Have you “outsourced” any employees? If so, are you aware of your legal responsibilities to these contingent workers?
Yes
No
I don't know
17. Have any contingent workers been employed by you for more than six months performing duties essential to your core business needs?
Yes
No
I don't know
18. Have you obtained bank references and/or audited financials of any PEO or temp agency you use?
Yes
No
I don't know
19. Do you include contingent workers in your safety training programs and maintain a record of their illnesses and injuries?
Yes
No
I don't know
20. When “outsourcing,” do you make sure the company you are using is:
(check the box if applicable)
Properly licensed?
Conducting reference and background checks of its hires?
Properly insured, (including Worker’s Compensation, EPL and general liability, naming you as an additional insured)?
Providing you with an agreement to indemnify you against any claims generated by one of their employees?
Treating its workers as W-2 employees and not independent contractors?
Prepared to protect your trade secrets and other proprietary property?
21. If your company is unionized, do you consult the union before subcontracting any bargaining unit work?
Yes
No
I don't know
22. Do you loan to, lease to or share any of your employees with other companies?
Yes
No
I don't know
23. Do you have a formal procedure for managing home-based workers?
Yes
No
I don't know
If yes, please explain...
(write below)
24. Do you have any independent contractors?
Yes
No
I don't know
25. Do all independent contractors you hire sign an independent contractor agreement?
Yes
No
I don't know
26. Do all independent contractors you hire have their own tax I.D. number, business license, place of business and insurance?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Hiring
27. Do you post jobs internally?
Yes
No
I don't know
28. Do your job descriptions help you comply with the Americans with Disabilities Act (ADA) by setting forth essential job functions and duties?
Yes
No
I don't know
29. Do you maintain your employment advertisements, job applications, resumes and interview notes for at least a full year?
Yes
No
I don't know
30. Are your employment advertisements non-discriminatory and gender neutral?
Yes
No
I don't know
31. Do you state your position regarding Equal Employment Opportunity in all of your help wanted advertisements?
Yes
No
I don't know
32. Does your employment application or interview questionnaire contain any of the following prohibitive questions?
(check the box if applicable)
Date of birth or age
Height and/or weight, color of eyes, hair, skin, or other physical attributes
Marital or family status
Place of birth
Number of dependents
Name of relative or other close personal contacts for emergencies
High school graduation date (requesting college graduation date is appropriate)
Citizenship (you may only ask if they are permitted to work in the U.S.)
Disabilities ( you may only ask if there is something that would prohibit the applicant from doing the essential job functions of the position applied for)
Arrest record (you may normally only ask about felony convictions)
History of Worker’s Compensation claims
History of garnishment
History of bankruptcies or credit rating (unless they handle finances)
Club, organization and other social or religious affiliations
Military record
33. Does your employment application contain an “at will” clause and a statement indicating the fabrication or omission of material facts will be considered grounds for immediate discharge?
Yes
No
I don't know
34. Do you have a completed, signed application for employment for each employee, including rehires?
Yes
No
I don't know
35. Do you refrain from using terms such as “probationary,” “permanent,” “career,” “security,” “long-term” and “guaranteed” during the hiring process and in your employment relationships?
Yes
No
I don't know
36. If you give pre-hire examinations including medical, physical, or psychological, do you indicate this on your employment application? Do you do the test after making a conditional job offer of employment, requiring that they be “fit for duty”? Are all applicants provided the same test or exam? Is the test or exam related to a bona fide occupational qualification? Do you have ADA accommodation discussions with those who do not past the exam because of a disability?
Yes
No
I don't know
37. Are any aptitude tests and personality assessments job-related & validated based on actual job performance?
Yes
No
I don't know
38. Do you maintain standard interview guidelines?
Yes
No
I don't know
39. Do you keep notes regarding the interview process?
Yes
No
I don't know
40. Do you make sure new employees are interviewed by someone in the Human Resources Department, as well as a supervisor?
Yes
No
I don't know
41. Do you obtain an I-9 Proof of Citizenship Form from new employees?
Yes
No
I don't know
42. Do you obtain a reference and background check permission from the applicant that complies with FCRA requirements?
Yes
No
I don't know
43. Do you conduct at least three reference checks?
Yes
No
I don't know
44. Do you request school transcripts where education is an important job criterion?
Yes
No
I don't know
45. Do you obtain driving records of all applicants who are required to drive a vehicle on company time?
Yes
No
I don't know
46. Do you run credit checks on applicants who are in financial or security-related positions?
Yes
No
I don't know
47. Do you conduct criminal background checks on all applicants?
Yes
No
I don't know
48. Do you have a procedure to inform applicants of their acceptance or rejection?
Yes
No
I don't know
49. Do you send written offer letters to all prospective employees?
Yes
No
I don't know
50. Do your managers and executives sign employment contracts?
Yes
No
I don't know
51. Do you have a new hire checklist for all employees?
Yes
No
I don't know
52. Do you make sure you are prepared for onboarding new employees by preparing paperwork, people, policies and procedures, performance expectations, getting the workstation ready, assigning a work “buddy” and a 60 to 90 day work plan?
Yes
No
I don't know
53. Do you conduct Entrance Interviews to find out why new hires decided to work for you?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Wage and Hour Policies
54. Do you have well-defined employee classifications (i.e., full time, part time, exempt, non-exempt, etc.)?
Yes
No
I don't know
55. Does your treatment of exempt versus non-exempt employees comply with Federal and State Wage and Hour Laws?
Yes
No
I don't know
56. Do you keep accurate records regarding lunch and rest periods?
Yes
No
I don't know
57. Do you comply with overtime pay requirements?
Yes
No
I don't know
58. Are your salaried, non-exempt employees paid overtime?
Yes
No
I don't know
59. Do you provide your supervisors with Overtime Authorization Forms, including the client or work project, work to be done, and expected amount of overtime, which must be signed before the employee works overtime?
Yes
No
I don't know
60. Do you save and analyze your overtime authorization forms on a quarterly basis?
Yes
No
I don't know
61. Are your employees required to drive in company vehicles to and from a job site, or are they required to transport heavy equipment to and from work?
Yes
No
I don't know
62. Do you have a make-up time policy?
Yes
No
I don't know
63. Do you have a written expense reimbursement policy?
Yes
No
I don't know
64. Have you conducted a compensation survey?
Yes
No
I don't know
65. Have you conducted an Equal Pay analysis?
Yes
No
I don't know
66. Do you use interns?
Yes
No
I don't know
67. What deductions do you make from employee paychecks for equipment, uniforms, damaged items, etc.?
(write answer below)
68. Do you have a written policy for absenteeism and punctuality?
Yes
No
I don't know
69. Do you have a sick pay policy?
Yes
No
I don't know
70. Does your vacation policy state: When accumulation starts? How it is to be requested? When must it be used by? If it is forfeited?
Yes
No
I don't know
71. Do you give vacation pay based on an employee’s current pay rate?
Yes
No
I don't know
72. Do you provide accumulated vacation pay to employees being terminated in their final paycheck?
Yes
No
I don't know
73. Do you have a process in place to approve schedule changes including a request for time off, make-up time request, vacation, leave, etc.?
Yes
No
I don't know
74. Do you have clearly defined non-discretionary bonus plans?
Yes
No
I don't know
75. Do you include non-discretionary bonuses when determining an employee’s overtime rate?
Yes
No
I don't know
76. Do you compensate non-exempt employees for travel time as well as time spent in training?
Yes
No
I don't know
77. Do you have an employee loan policy?
Yes
No
I don't know
78. Does your sales compensation program spell out when a commission is “earned” and what happens to uncollected commissions after an employee leaves the job?
Yes
No
I don't know
79. Do you comply with labor enforcement standards for the employment of minors (obtain work permits, etc.)?
Yes
No
I don't know
80. Do you provide your employees with an ERISA required Summary Plan Description for your benefit plan?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Personnel Records
81. Do you maintain personnel records for at least four years after an employee leaves?
Yes
No
I don't know
82. Do you keep personnel file drawers locked up and limit access to them on a “need to know” basis?
Yes
No
I don't know
83. Do you maintain the privacy of medical and other private matters by separating these files from regular personnel files and limiting access?
Yes
No
I don't know
84. Do you maintain the following documents in the personnel file (whether in print or online):
(check the box if applicable)
Resume?
Letters of reference?
Employment application?
Pay records?
Employee handbook acknowledgment?
Drug testing acknowledgment and results?
Police check acknowledgment and results?
Driver’s record acknowledgment and results?
Performance appraisals and performance agreements?
Transfer notices, layoffs and recall notices?
Investigation notes?
Discipline notices?
Absenteeism and lateness reports?
Termination documents?
Unemployment and Worker’s Compensation documents?
Injury reports?
Union membership records?
I-9 form (maintain in a separate file or binder)
85. Do you have a policy for destroying personnel records?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Posting and Pamphlet Requirements
86. Have you placed the required compliance posters on display:
(check the box if applicable)
EEOC and state posters regarding discrimination and harassment
OSHA and state posters
Wage, hour and working conditions poster
Worker’s Compensation notice poster
Time off for voting poster
Notice to employees working on federal construction projects or government projects
Notice of Unemployment Insurance and Disability Insurance poster
Employee Polygraph Protection Act poster
Worker Adjustment and Retraining Notice (100 or more employees)
Immigration Reform & Control Act of 1986
Family and Medical Leave Act of 1993 poster (50 or more employees within a 75 mile radius)
87. Do you post emergency numbers and procedures on the employee bulletin board and at other locations?
Yes
No
I don't know
88. Do you distribute a pamphlet to all new hires informing them of their rights and obligations regarding Worker’s Compensation?
Yes
No
I don't know
89. Have you distributed to all your employees a sexual harassment information sheet? (Handouts in foreign languages are suggested where 10% or more of your employees speak that language.)
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Performance Improvement
90. Do you use some type of 60 to 90 day Introductory Period with new employees?
Yes
No
I don't know
91. Do you provide your employees with a performance review on a regular basis?
Yes
No
I don't know
92. Does your performance review system rely on objective, measurable criteria?
Yes
No
I don't know
93. Do you make sure that employees sign and acknowledge having read their performance review?
Yes
No
I don't know
94. Do you provide a place for your employees to disagree with their performance review and place their comments?
Yes
No
I don't know
95. Have you considered using a performance agreement at the beginning of the employment relationship that contains goals, resources, benchmarks and review standards?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Retention/Turnover
96. Have you benchmarked retention/turnover statistics and reasons at your company?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Discrimination and Related Concerns
97. Has the CEO, President or owner of your company made it clear to all employees, in writing, as well as verbally, that the company intends to enforce compliance with EEOC laws?
Yes
No
I don't know
98. Do you have a written policy defining how employees can complain about a violation?
Yes
No
I don't know
99. Do you have a written procedure for investigating sexual harassment, discrimination or other complaints?
Yes
No
I don't know
100. Do you have designated employee(s) to handle sexual harassment and discrimination complaints?
Yes
No
I don't know
101. Does your investigation procedure include the following: factual summary of the complaint; identification of persons interviewed; statements obtained under penalty of perjury; findings issued; communication of findings to those on a “need to know” basis; follow-up and monitoring and finally, personnel systems improvement?
Yes
No
I don't know
102. Have you inspected the workplace for inappropriate posters, calendars, jokes, or other items which could be looked upon as creating a discriminatory, harassing or hostile environment?
Yes
No
I don't know
103. Do you regularly survey your workers regarding their understanding of, or exposure to, discrimination, sexual harassment and disability concerns?
Yes
No
I don't know
104. Does your company have specific policies regarding office dating and the employment of spouses or others in a committed relationship?
Yes
No
I don't know
105. Do you maintain statistics regarding employees related to age, sex, race, nationality, disability status, religion or veteran status?
Yes
No
I don't know
106. Do you file EEO-1 forms?
Yes
No
I don't know
107. Do you have an Affirmative Action Program?
Yes
No
I don't know
108. Does your company have a policy for complying with the Family Medical Leave Act (over 50 employees)?
Yes
No
I don't know
109. Do you have a Pregnancy Leave policy?
Yes
No
I don't know
110. Are any jobs or departments staffed predominantly by men, women, minorities or by employees over or under 40?
Yes
No
I don't know
111. Are all employees given equal consideration for advancement and challenging job assignments?
Yes
No
I don't know
112. Do you have a mandatory or early retirement program? If so, have you checked with an attorney to make sure it complies with age discrimination laws and ERISA?
Yes
No
I don't know
113. Do you make an affirmative effort to accommodate disabled workers?
Yes
No
I don't know
114. Do you have any employees in light duty or accommodated job positions?
Yes
No
I don't know
115. Do you understand your obligations under HIPAA for maintaining medical privacy?
Yes
No
I don't know
116. Are you familiar with the rights of employees and employers under the National Labor Relations Act?
Yes
No
I don't know
117. Have you adopted a social media policy? Is it in your handbook?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Legal Compliance Training
118. Do you conduct any training regarding the issues of sexual harassment?
Yes
No
I don't know
119. Do you conduct any training regarding the issue of diversity/discrimination?
Yes
No
I don't know
120. Do you conduct any training regarding the issue of age discrimination?
Yes
No
I don't know
121. Have you considered training in the areas of conflict resolution, employee disciplining or employee motivation?
Yes
No
I don't know
122. Do you maintain an attendance record of training participants?
Yes
No
I don't know
123. Do you have a written procedure for handling employee claims?
Yes
No
I don't know
If yes, please explain...
(write below)
Thank you! We will follow up shortly regarding your employment practices.
Standards of Conduct and Discipline
124. Do you have an employee handbook which is up-to-date and has been reviewed by an employment law attorney during the preceding 12 months?
Yes
No
I don't know
125. Does your employee handbook contain policies for the following subject matters?
(check the box if applicable)
“At-will” employment
List of desired conduct
List of prohibited conduct
Drug and alcohol use
Progressive discipline
Moonlighting
Conflicts of interest
Sexual harassment and discrimination prevention
Family and medical leave
Pregnancy leave
Jury leave
Grievance mechanism
Disability accommodation and leave
Acknowledgment of receipt (provided & signed prior to start of employment)
126. Do you have a uniform enforcement policy for employee discipline?
Yes
No
I don't know
If yes, please explain...
(write below)
127. Does your disciplinary policy permit management to exercise discretion as opposed to setting forth rigid disciplinary steps?
Yes
No
I don't know
128. Do you use a standard employee warning form?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Termination
Do you have a well-documented personnel file before disciplining or terminating an employee?
Yes
No
I don't know
Do you have a standard pre-termination procedure or checklist?
Yes
No
I don't know
Are all terminations independently reviewed and approved?
Yes
No
I don't know
Do you provide terminated employees their full pay including accumulated vacation, commissions, etc. at the time of their termination?
Yes
No
I don't know
Do you supply laid-off or terminated employees with a handout regarding their unemployment rights?
Yes
No
I don't know
Does your reference policy limit itself to dates of employment, last position held, and last rate of pay?
Yes
No
I don't know
Do you refrain from providing letters of reference where an employee was fired for a good cause?
Yes
No
I don't know
Do you assign one specific person for giving references?
Yes
No
I don't know
Do you conduct an exit interview with all employees who are terminated or voluntarily resign?
Yes
No
I don't know
If you have a severance pay plan, does it comply with ERISA requirements?
Yes
No
I don't know
Does your severance pay plan require employees to sign a Release of Claims Agreement as a condition to receiving any severance package?
Yes
No
I don't know
Do you have an arbitration or mediation agreement for resolving employee claims which is signed by all employees at the time of hire and maintained separately from your employee handbook?
Yes
No
I don't know
Do you supply terminated employees with written notice of termination including whether it was a discharge, layoff, leave of absence, or change of status from an employee to an independent contractor?
Yes
No
I don't know
Are you familiar with the standards for opposing unemployment claims?
Yes
No
I don't know
Do you offer laid-off employees outplacement services?
Yes
No
I don't know
Do you have a formal policy regulating layoffs or downsizing?
Yes
No
I don't know
Thank you!
Health and Safety
145. Have you complied with all OSHA and Community Right-To-Know Toxic Substance Requirements related to your industry?
Yes
No
I don't know
146. Do you have an injury prevention program (IIP)?
Yes
No
I don't know
147. Do you have a designated safety officer that conducts periodic safety inspections?
Yes
No
I don't know
148. Do you have a safety training program?
Yes
No
I don't know
If yes, please explain...
(write below)
149. Do you provide incentives for creating a safe workplace?
Yes
No
I don't know
150. Do you have an emergency response plan?
Yes
No
I don't know
151. Have you conducted a safety audit?
Yes
No
I don't know
152. Do you have any employees who work from home?
Yes
No
I don't know
153. Do you have occupational injury forms readily available and require that employees immediately report all occupational injuries?
Yes
No
I don't know
154. Do you immediately report all occupational injuries to your Worker’s Compensation insurance carrier?
Yes
No
I don't know
155. Do you start a new OSHA log every January which records all employee illnesses and Injuries?
Yes
No
I don't know
156. Do you have a hazardous substance communication policy?
Yes
No
I don't know
157. Have you established a return-to-work program for employees injured on the job?
Yes
No
I don't know
158. Do you review your losses with your Worker’s Compensation agent or carrier?
Yes
No
I don't know
159. Do you provide employees access to an Employee Assistance Program (EAP)?
Yes
No
I don't know
160. Have you conducted an ergonomics study?
Yes
No
I don't know
161. Do you have a safe VDT policy which addresses exposure, eyesight and carpal tunnel syndrome issues?
Yes
No
I don't know
162. Have you identified liability exposures related to job stress?
Yes
No
I don't know
163. Do you have a formal policy which has been memorialized in writing for managing the potential for violence in the workplace?
Yes
No
I don't know
164. Does the company have a “no weapons” policy compliant with state law?
Yes
No
I don't know
165. Have you conducted an indoor air pollution inspection?
Yes
No
I don't know
166. Have you considered an employee wellness program?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Privacy and Confidentiality in the Workplace
167. Do you communicate to your employees your right to inspect desks, lockers, vehicles, bags, purses, etc.?
Yes
No
I don't know
168. Do you have a policy regarding E-mail, social media and other online activities usage which addresses privacy, confidentiality and harassment issues?
Yes
No
I don't know
169. Do you monitor any employee activities, including but not limited to, computer use, e-mail, phone calls, social media, video surveillance, etc.?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
Protecting the Workplace
170. Do you have a theft prevention policy?
Yes
No
I don't know
171. Do you have a workplace security policy?
Yes
No
I don't know
172. Do you have a cashing out and closing policy?
Yes
No
I don't know
173. Is there a safe box for cash and other valuables?
Yes
No
I don't know
174. Do you have a computer security policy?
Yes
No
I don't know
175. Do you have a policy regarding the use of company equipment and premises?
Yes
No
I don't know
If yes, please explain...
(write below)
176. Do you have an employee inventions policy?
Yes
No
I don't know
177. Do you keep your trade secrets confidential and have employees and third parties sign confidentiality and non-disclosure agreements?
Yes
No
I don't know
178. Do your employees sign non-compete agreements?
Yes
No
I don't know
179. Are all proprietary and confidential documents stored in a secure environment?
Yes
No
I don't know
180. Do you have a document disposal policy?
Yes
No
I don't know
Thank you! We will follow up shortly regarding your employment practices.
