Growthport.com

Mini Employement Practices Risk Self Audit
This Self-Assessment has been completed and forwarded to you by the person identified below on behalf of the company also identified below for purposes of receiving your professional analysis of the responses it contains and your legal advice based upon that analysis.

Contact Name:
Company Name:
Address:
City:
State:
Zip:
eMail Address:
Years in Business:
Industry:
Numer of Employees:
Phone Number:
Percent of workforce Salaried/Hourly (e.g. 70%/30%) :

Employment Practice	YES	NO	Legal & HR Justification
Justifications in Red are mandated by federal and/or state laws.
1. Does your application form contain preventive “at-will”, physical ability to perform, drug testing, dispute resolution and applicant fraud language?	Yes	No	Reduces risk of wrongful termination, discrimination & negligent hiring claims & lawsuits.
2. Are personal and credit references checked?	Yes	No	Reduces risk of applicant fraud, negligent hiring lawsuits, employee theft, worker’s comp claims, & poor performance.
3. Are I-9’s obtained for new hires?	Yes	No	Mandated by federal immigration law, enforced by levying substantial fines/penalties for violations.
4. Are the first 90 days of employment regarded as “probationary” or “introductory”?	Yes	No	Reduces risk of wrongful termination & discrimination claims & lawsuits, poor performance.
5. Are independent contractors ever utilized? If so, do they work under written guidelines?	Yes	No	Reduces risk of federal and state government audits resulting in payment of back taxes, wages, overtime payments, fines and penalties.
6. Is there a written salary/wage plan?	Yes	No	Reduces risk of discrimination, equal pay & wage & hour claims, lawsuits, fines & penalties, reduces turnover from poor morale because of perceived differences in compensation among employees.
7. Is work time recorded, verified and maintained?	Yes	No	Reduces risk of federal and state government audits, wage and hour, overtime and discrimination claims, lawsuits, fines and penalties.
8. Are employees evaluated to determine whether they are exempt or not from overtime pay?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
9. Is daily and weekly overtime paid?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
10. Do employees receive an itemized paycheck?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
11. Are COBRA benefits disclosed to applicants and eligible terminated employees and dependents?	Yes	No	Mandated by federal law enforced by levying substantial fines & penalties against individuals & employers for violations.
12. Does your company have written EEO, “No-Harassment,” and Pregnancy policies?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
13. Are work-related injuries reported, investigated and recorded?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
14. Have there been rumors of or actual union organizing efforts?	Yes	No	Organizing activity is protected by federal labor laws requiring employer neutrality, enforced by substantial fines, penalties & reinstatement with back pay.
15. Is someone responsible for complying with ERISA reporting requirements?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
16. Do you believe you comply with equal opportunity guidelines for hiring, compensation, work assignments, lay-offs & terminations?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
17. Do you allow time off for work-related injuries, illnesses, or family care?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
18. Is unpaid medical leave available to your employees?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
19. Are medical records maintained for employees? If so, are they separated from regular personnel files?	Yes	No	Mandated by federal & state laws, enforced both privately & by govt. agencies by levying substantial fines and penalties for violations.
20. Do you have an Employee Handbook covering major HR/safety policies?	Yes	No	Reduces the risk of wrongful termination & other employment-related claims, employee complaints & lawsuits & costs. Promotes direction & increases productivity.
21. Do you provide your supervisors with a Handbook covering all major policies to assist them in fairly enforcing these policies?	Yes	No	Reduces the risk of wrongful termination & other employment-related claims, employee complaints & lawsuits & costs. Promotes direction & increases productivity.
22. Are drug tests required of all new applicants?	Yes	No	Reduces risk of worker’s comp claims, accidents, negligent hiring lawsuits, poor performance and employee turnover costs.
23. Is there an alcohol and drug rehabilitation program available?	Yes	No	Reduces risk of worker’s comp claims, accidents, negligent hiring lawsuits, poor performance and employee turnover costs.
24. Do you provide written job descriptions for all key positions?	Yes	No	Required for effective hiring, compensation, wage and hour compliance and performance management of employees.
25. Do supervisors regularly conduct performance evaluations?	Yes	No	Required to produce the results for which employees are being paid & to correct behavioral & poor performance challenges.
26. Is employee compensation linked to their performance?	Yes	No	Required to achieve results & attract & retain talented employees.
27. Are “progressive discipline” procedures used to warn employees of rule infractions, misconduct, or poor performance?	Yes	No	Should be avoided in favor of “corrective action” steps to ensure you always control the degree to which policy infractions or poor performance challenges are treated.
28. What is your current Workers’ Compensation Modification Rate?	Yes	No	Must know in order to reduce workers’ comp costs and insurance premiums.
Please briefly describe any challenge threatening your firm that requires immediate attention.

Click to purchase
Employed For Life!
An Insider's Secrets for Guaranteed Employment in our Permanently Changed Workplace.
by P.Anthony Burnham, Esq.

Interviews With P. Anthony Burnham, Esq.

The New Job Market for the 50+

Using Your Age as an Advantage

More Interviews

News: AARP announces new employee assistance programs featuring Growthport Partners' Tony Burnham.

Important Facts

Studies have determined that Employee-involvement practices generate a 66 percent higher return on sales, 20 percent higher return on assets, 20 percent higher return on investments, and a 13 percent higher return on equity.

Ed Lawler & Susan Mohrman, USC Center for Effective Organizations, Workforce, December, 2001.

Research indicates 25% of managers time is spent on conflict-related issues. Unresolved conflicts impede operations, decrease productivity and increase negative attitudes among staffers

Philip Chard, a psychologist and CEO of NEAS, Inc, 2001.

Home - About Us - Contact