Hiring, firing and discipline - a simple audit
The following list of questions should serve as an introduction to a number of fundamental employment law concepts, and the answers to each question will enable users to determine if “best practices” generally are being followed. Of course, this list of questions will not ensure that full compliance with all laws and regulations that govern the employer-employee relationship, but it is a good starting point. If a “no” answer to any of the below questions is provided, use the page number reference to understand why the answer is “no” to assess whether or not there are any violations of the law within the workplace. The chapter reference is for the book Hiring, Firing and Discipline for Employers, which can be ordered here, and provided for quick reference.
| YES | NO | Chapter Reference | |
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☐ | Does the company have a regularly updated employee handbook and does it state that employment is not guaranteed? | Chapter 8, Policy Manuals and Employee Handbooks |
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☐ | Are hiring managers aware of what questions can and cannot be asked of job applicants? |
Chapter 2, Pre-Employment Issues Chapter 4, Interviews |
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☐ | Are medical examinations given to applicants only after the employment offer, and are they given to all applicants in the job category? | Chapter 3, Pre-Employment Testing |
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☐ | What should and should not be asked of personal references? |
Chapter 5, Background Checks Chapter 16, Employment Litigation |
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☐ | Is there a discipline policy and do supervisors understand it and apply it consistently? | Chapter 13, Discipline |
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☐ | Should job descriptions be utilized? | Chapter 2, Pre-Employment Issues |
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☐ | Is the company prepared to respond to union-organizing activity? | Chapter 17, Union Organizing Activity |
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☐ | Do supervisors and managers know when a company can be sued for negligent retention or supervision of an employee? | Chapter 16, Employment Litigation |
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☐ | Does law protect whistleblowers? |
Chapter 14, Termination Chapter 16, Employment Litigation Chapter 18, Social Media |
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☐ | Can employers record surveillance of employees suspected of wrongdoing? | Chapter 13, Discipline |
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☐ | Are legally enforceable release agreements used to prevent employees from suing after their termination? | Chapter 14, Termination |
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☐ | May an employer terminate an employee or refuse to hire an applicant, based on garnishments? |
Chapter 2, Pre-Employment Issues Chapter 8, Policy Manuals and Employee Handbooks Chapter 14, Termination |
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☐ | Are all new hires reported to the proper agencies? | Chapter 7, New-Hire Reporting |
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☐ | Does the company comply with the special requirements for “Internet applicants?” | Chapter 12, Affirmative Action |
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☐ | Are an applicant’s arrest and conviction records factored into employment decisions? |
Chapter 2, Pre-Employment Issues Chapter 5, Background Checks |
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☐ | What steps need to be taken before performing a background check? | Chapter 5, Background Checks |
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☐ | Are all medical records kept separate from other personnel files? | Chapter 9, Employee Personnel Files |
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☐ | Are employment contracts used? Do hiring managers know what qualifies as an “implied contract?” |
Chapter 10, Employment Contracts Chapter 14, Termination |
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☐ | Are employees’ performance documented? | Chapter 13, Discipline |
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☐ | Are standards of conduct distributed to employees? | Chapter 14, Termination |
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☐ | Are job applications, resumes and promotion/demotion and discharge letters retained for one year? | Appendix A, Federal Recordkeeping Requirements |
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☐ | Are records of each employee’s name, address, date of birth, occupation, rate of pay, and compensation retained for three years? | Appendix A, Federal Recordkeeping Requirements |
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☐ | Are all required employee notices posted in conspicuous places? | Appendix B, Posting Requirements |
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☐ | May an employee be terminated for excessive absenteeism while they serve jury duty? | Chapter 14, Termination |
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☐ | What should a termination procedure include? | Chapter 14, Termination |