Saturday, November 22, 2008

     To assist your company in assessing its vulnerability to employment litigation, Jackson Lewis has developed this short form preventive audit. It is intended to highlight potential problem areas, which could result in claims or litigation against your company. It is not intended as legal advice about any particular situation or EPLI policy. For specific advice, please consult with competent employment counsel or your insurance broker.
  1. Has the Company implemented, communicated and consistently enforced appropriate rules regarding solicitation, distribution, trespass and access to the premises?
  2. Are appropriate posters conspicuously displayed explaining state and federal equal employment and federal contractor laws?
  3. Does the Company have an Equal Employment Opportunity policy?
  4. Does the Company maintain anti-discrimination policies and/or written procedures for the selection of employees for hiring, promotion, transfer, layoff, salary increases, work assignments and other employment actions?
  5. Has the Company adopted, communicated to employees, and consistently enforced a sexual harassment policy?
  6. Do all employees periodically receive training in recognizing and preventing sexual and other forms of harassment?
  7. Does the company have a sexual harassment complaint procedure that ensures confidentiality and provides a bypass mechanism for the offending individual?
  8. Are the Company’s employment policies and procedures, including employee handbooks, periodically reviewed by employment counsel?
  9. Is the Company in compliance with the wage-hour laws, including those pertaining to overtime pay and exemptions, time record-keeping, wage deduction prohibitions and payment for training, orientation and "on call" time?
  10. Does the Company administer any tests, including drug tests, to screen applicants or to promote or monitor employees?
  11. Are job descriptions periodically reviewed for accuracy and to distinguish between essential and non-essential functions?
  12. Is there a written safety program and a procedure for handling employee complaints?
  13. Have the Company's five most recent EEO-1 forms been reviewed to determine appropriate representation of women and minorities in each EEO-1 category and the degree which such female or minority representation is increasing or decreasing?

  14. Are all employment applications in compliance with federal and state laws?
  15. Are applications on file reviewed when there are job openings?
  16. Are open positions posted internally and/or with the state job service?
  17. Are employment ads reviewed for accuracy and legality?
  18. Are all interviewers appropriately instructed as to lawful inquiries and equipped with an interview checklist and packet containing both lawful inquiries and questions not to ask?
  19. Are applicants asked to sign a reference consent and are references appropriately checked before an offer of employment is communicated to the applicant?
  20. Is orientation standardized for all departments and an appropriate orientation checklist followed which includes orientation to the physical plant, the Company's problem-solving procedure and its union free philosophy?
  21. Do new hires sign an appropriate handbook receipt/disclaimer and receipt for other orientation material?

  22. Are written performance evaluations completed at the end of an employee's introductory period and on a periodic basis?
  23. Do the standard evaluation forms reflect the evaluator's supervisory status and contain appropriate criteria?
  24. Is an evaluation conference held to review the evaluation and obtain the comments and signature of the employee?

  25. Are current disciplinary rules effectively communicated to employees and supervisors?
  26. Do supervisors in all departments receive instruction on how to enforce the disciplinary rules fairly and consistently?
  27. Is enforcement of the disciplinary rules monitored to ensure fair and consistent enforcement in all departments?
  28. Is a system of progressive discipline followed which provides for a thorough investigation, including an opportunity for the employee to give an explanation, prior to the imposition of discipline?
  29. Is appropriate documentation maintained, including oral warnings (documented), written warnings, and memoranda related to informal reprimands? Do employees sign warning forms?
  30. What is the procedure for reviewing prospective terminations prior to actual termination?

  31. Are employees permitted to bring complaints to supervisors in an informal manner?
  32. Is there a formal complaint resolution procedure which is communicated to employees and allows employees to, in certain instances, bypass their immediate supervisor?
  33. Are supervisors instructed as to their role in the complaint resolution procedure in order to encourage its use and ensure that complaints are addressed in a timely manner?
  34. Are the nature of complaints and action taken appropriately documented?

  35. Are records of hours worked and overtime maintained for non-exempt employees?
  36. Are records of employee attendance, sick leave, vacation, and other leaves maintained?
  37. Are employee benefit programs communicated to employees during orientation, in the handbook and when changes/improvements are made?
  38. Are wage increases given in a fair and consistent manner, based upon as objective criteria as possible?
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