Employment Practices Review

Shading [ ] indicates the correct legally-mandated response.1

PP indicates the preferred, but not legally required practice.2

Italics indicate inquiries with other than “yes” or “no” responses.3

EMPLOYMENT PRACTICES REVIEWCopyright 2002©

Belkin, Billick & Harrold Co., L.P.A.

YES NO

I. REQUIRED POSTINGS AND NOTICES

1. Does the Employer comply with the required public posting informing employees oftheir rights regarding:

a. Minimum wage and overtime compensation laws (Federal and State) 1

b. Federal anti-discrimination laws

c. State Fair Employment Practices Act

d. Occupational Health and Safety Act

e. Employee Polygraph Protection Act

f. Family and Medical Leave Act

g. Workers’ Compensation Act

II. THE RECRUITMENT, APPLICATION, AND REFERENCE PROCESS

Recruitment

1. What sources does the Employer use to recruit new employees?

a. Newspapers PP 2

b. Professional or trade journals PP

c. Employment agencies

d. The state Job Service agency PP

e. Employee referrals

f. School placement officers PP

g. Job fairs PP

h. Word-of-mouth PP

2. Are position openings posted internally?

If yes, at what stage of the process?3

For how long?

Belkin, Billick & Harrold Co., L.P.A.2002

YES NO

2

3. Does the Employer maintain copies of all advertisements published?

If yes, where?

For how long?

4. Are unsolicited resumes accepted?

If yes, is this done consistently?

If no, explain.

5. Does the Employer have a website and/or e-mail through which it solicits and/or accepts electronic applications?

If yes, are such applications/resumes handled the same as all otherapplications/resumes?

6. How long does the Employer retain unsolicited resumes?

a. 30 days or less

b. 31 days to 60 days

c. 61 days to 6 months

d. 6 months to 1 year

e. more than 1 year

Employment Application

1. Does the Employer have an official employment application form?

2. Review employment application

a. Does it contain any unlawful inquiries?

b. Does it contain all relevant inquiries which should be made?

c. Does the application packet include the Fair Credit Reporting Act notice anddisclosure if background checks will be done by an outside entity? [For Fair Credit Reporting Act information see: www.ftc.gov]

d. Does the application include an applicant’s acknowledgment of thetruthfulness and completeness of the responses?

3. Are all applicants, including those applying for management positions, required tocomplete an employment application? PP


YES NO

3

If no, which positions do not require completion of an employmentapplication?

4. Is a copy of the job description for the position applied for provided to each applicantat the time of application? PP

5. How long does the Employer retain accepted applications on file?

a. 30 days or less




e. more than 1 year

6. Does the Employer maintain an applicant log?

If yes, how does the Employer determine who is included on the applicantlog?

What other information is included on the applicant log?

How does the Employer obtain information for the applicant log such asrace, gender, national origin, veteran status?

7. Is it the Employer’s practice to respond to all unsolicited resumes or applications?

If yes, how is such response communicated when the Employer is acceptingand when the Employer is not accepting applications?

8. How long does the Employer consider accepted resumes and applications to be active,i.e., under consideration for job selection purposes?

a. 30 days or less




e. more than 1 year

9. Is this time period reflected on the employment application?

10. Is one individual responsible for initially processing all applicants? PP

If yes, who?


YES NO

4

If no, for each position, identify the individual responsible for the initialscreening of applicants.

11. Are there any criteria used to automatically disqualify applicants at this stage, e.g.,certain educational level, absence of required licenses or certification?

If yes, are all such criteria job-related?

Applicant Interviews

1. What position or department conducts interviews of applicants?

a. Personnel/Human Resources

b. First line supervisors

c. Other supervisors

d. Upper management

e. Outside recruiters

f. Other

2. Are applicants interviewed by more than one person or department? PP

3. Has the Employer provided training to all interviewers in:

a. Interviewing techniques

b. Employer policies and procedures

c. What questions should be asked

d. Their legal responsibilities under anti-discrimination laws

4. Have interviewers been informed that it is unlawful to inquire about any of thefollowing with respect to the applicant during the pre-employment inquiry process:

[For EEO regulations, policies and guidance see: www.eeoc.gov][For Ohio Civil Rights Commission information see: http://www.state.oh.us/crc]

a. Marital status

b. Pregnancy or future child-rearing plans

c. Height, weight or physical characteristics

d. Graduation date(s)

e. Age or birth date


YES NO

5

f. Religion or religious beliefs

g. Past residence(s)

h. Former name(s) or names of relatives

i. Whether applicant has ever filed a claim for workers’ compensation ordisability benefits

j. Current or past medical condition or medical history

k. Disability

l. Work days missed in the past due to illness

m. Past drug or alcohol abuse or treatment for such

n. Foreign citizenship

o. Arrests

p. Past garnishment or wage attachments

q. Race

r. National origin

s. Sexual orientation (in some locations — check local ordinances)

5. Are applicants questioned concerning gaps in employment history? PP

6. Are applicants questioned concerning reasons for leaving previous employment? PP

7. Has the Employer developed standard interview questions and procedures? PP

8. Do interviewers record comments relating to the applicant?

If yes, is it:

a. on standardized forms PP

b. on a blank sheet of paper in narrative form

c. on the employment application PP

d. on post-it notes PP

e. other

9. Do interviewers follow objective guidelines in their evaluations?

10. Do interviewers’ evaluations include any subjective comments? PP


YES NO

6

11. Are all interviewers required to follow specific interview procedures? PP

Conducting the Reference and Background Inquiry

1. Does the Employer contact an applicant’s former employers? PP

If yes, have the individuals who conduct the inquiries received training inconducting such inquiries? PP

2. At what point of the application process are former employers contacted?

3. Does the Employer contact the applicant’s former “immediate” supervisors?

4. How are the former employers contacted?

a. Writing

b. Telephone

c. Other

5. Is the information obtained from former employers documented? PP

6. Does the Employer verify the name, title, and relationship to the applicant of theperson disclosing the reference information? PP

7. Does the Employer contact individuals other than former employers if listed by theapplicant as a personal reference?

If yes, how are they contacted?

a. Writing

b. Telephone

c. Other

8. Is the information obtained documented? PP

If yes, explain.

9. Are the above-referenced practices followed with respect to all applicants? PP

If no, explain.

10. Does the Employer contact schools listed by the applicant for verification ofeducational history? PP

If yes, how are they contacted?

a. Writing


YES NO

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b. Telephone

c. Other

11. Is the information obtained documented in writing? PP

12. Is the above practice followed with respect to all applicants? PP

If no, explain.

13. Does the Employer conduct the inquiry into the applicant’s criminal record requiredby state law, including mandatory fingerprinting? [See: Ohio Revised Code§ 3721.12.1 (“Senate Bill 160”) and Ohio Administrative Code Chapter 3701-13-01][For Ohio Revised Code and Ohio Administrative Code see: http://onlinedocs.andersonpublishing.com]

14. Are the disqualifying criminal convictions listed on the authorization?

15. Does the Employer use appropriate authorization forms for such background checks?

16. Is the information obtained documented?

17. Are the above practices followed with respect to all applicants?

If no, explain.

Testing or Screening

1. Are physical/medical examinations required of applicants?

2. If yes, are they required of all applicants?

If no, for what position(s) are they required?

3. Are pre-employment physical/medical exams performed after contingent job offer,but prior to employee beginning work?

4. Are applicants required to complete a medical history questionnaire prior to theexamination?

5. Is the examining physician provided with a written description of the job to beperformed by the applicant? PP

6. Does the Employer require a pre-employment drug test? [For information about theOhio Bureau of Workers’ Compensation Drug-Free Workplace Program see: http://www.ohiobwc.com/employer/forms/dfwp]

7. If yes, has the Employer confirmed the testing facility’s compliance with acceptedtest procedures?


YES NO

8

8. Does the Employer require applicants to take tests of any kind measuring skills,knowledge, intelligence, or performance as part of the hiring process?

a. If yes, explain.

b. If yes, have the tests been properly validated both by the commercialpreparer (if any) and for the specific Employer?

III. THE HIRING PROCESS

1. What positions make the final hiring decision?


b. First line supervisors PP

c. Other supervisors/department heads PP

d. Upper management

e. Other

2. How are employment offers made?

a. Telephone

b. Writing PP

c. Both

d. Other

3. Does the Employer use a form offer letter or other written confirmation? PP

4. If yes, does the correspondence contain information about the employee’s:

a. probationary/introductory period

b. annual salary/hourly wage

c. salary review date

d. eligibility for vacation, health insurance, and other benefits

e. duration of employment

f. potential for advancement

5. Does the Employer require employees to sign employment agreements, non-competition agreements, and/or confidentiality agreements as a condition of employment?


YES NO

9

6. If yes, are such agreements presented to the candidate prior to employment?

7. If yes, is the candidate’s signature required prior to beginning work?

8. Does the Employer require employees to sign an agreement to arbitrate allemployment-related disputes as a condition of employment?

If yes, when is signature requested?

9. Who has authority to negotiate individual employment contracts or to deviate fromstandard practices in establishing terms and conditions of employment?


b. First line supervisors PP

c. Other supervisors PP

d. Upper management PP

e. Other

f. No one

10. Does the Employer notify all rejected applicants of their rejection?

If yes, does the Employer retain a copy of such notification and the reasonsstated therein? PP

11. Does the Employer use a “temporary agency” to “try out” potential employees?

12. Does the Employer use “temporary employees” for other than occasional or seasonalfill-in help?

If yes, does the Employer understand its role as a “joint employer” with thetemporary agency?

13. Does the Employer make the policies, rules, and procedures applicable in itsworkplace known to the temporary employees?

IV. IMMIGRATION REFORM & CONTROL ACT COMPLIANCE

[For information and forms on IRCA see: www.ins.gov; click on FAQS; click on“Employment Eligibility Verification”; for I-9 Forms, click on “INS Forms, Feesand Fingerprints”]

1. Does the Employer require all new hires to complete an I-9 form?

2.. Are instructions made available to employees when completing the form?


YES NO

10

3. Does the Employer also require submission of supporting identification and workeligibility documents?

4. Does the Employer require completion of the forms and submission of supportingidentification and work eligibility documents within 3 business days of date of hire?

5. Does the Employer retain a copy of all supporting identification and work eligibilitydocuments with each I-9 form?

6. Are I-9 forms with supporting documents retained in a separate alphabetized file withall other I-9 forms? PP

7. If new hires are unable to present the required supporting documents within threebusiness days of their date of hire, are they required to present a receipt from theapplication for said documents within three business days?

When an application for supporting documents is made, is submission ofsuch actual documents required within 90 days of the employee’s date ofhire?

8. Does the Employer have on file completed I-9s with copies of supporting documentsfor all employees hired after 11/6/86?

9. Does the Employer have a procedure for reverifying employment authorizationdocuments of non-U.S. citizen employees?

10. Upon termination of employment (for whatever reason), does the Employer retain theemployee’s completed I-9 form with supporting documents for at least one year?

V. AMERICANS WITH DISABILITIES ACT COMPLIANCE

1. Does the Employer ever require that employees (as opposed to applicants) undergomedical examinations?

If yes, under what circumstances?

2. If yes, does the Employer require this of all similarly situated employees?

Are such examinations job related?

3. Are all medical records other than those relating to workers’ compensation claimsretained in a file separate from the employee’s personnel file?

4. Does the Employer have written job descriptions for every position?

5. Who prepared the job descriptions?

6. What information sources are used in preparing job descriptions?

a. Information from supervisors PP


YES NO

11

b. Information from employees currently in the position PP

c. Information from external sources such as job descriptions from otherfacilities, trade associations, or outside experts

d. Information from employees who previously held the position

e. Applicable collective bargaining agreement

7. Has the Employer reviewed the accuracy of the job descriptions in the past year?

8. Do the job descriptions comply with the Employer’s Blood-borne Pathogens Plan?

9. Are job requirements tailored to reflect the essential functions of the job?

How are the essential functions of a particular job identified?

10. Does the Employer follow a specific procedure in determining whether it canreasonably accommodate a disability and what accommodation is appropriate?

11. Have all supervisors been trained to recognize the importance of the “interactive”approach to looking for a reasonable accommodation?

12. Are any of the following factors considered in determining how to accommodate anemployee with a disability:

a. Eliminating or reassigning to other employees unperformable functions ortasks

b. Authorizing changes or modifications in work schedules, e.g., shift changes,part-time, modified arrival or departure times

c. Reassignment of the employee to a vacant position

d. Modifying non-essential job requirements

e. Providing equipment to enable a disabled individual to perform the essentialfunctions of the job

f. Providing or extending leaves of absence

13. Does the Employer offer a maximum leave of absence which the Employer will notextend under any circumstances?

14. Which factors does the Employer consider in determining whether theaccommodation sought constitutes an undue hardship?

a. The nature of the accommodation

b. The expense of the proposed accommodation


YES NO

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c. The effect of the accommodation on business operations

d. The size of the Employer’s facility

e. Accommodations made by others in the same business

f. Whether the disabled employee is willing to absorb a portion of the expenseof the proposed accommodation

g. The effect of such accommodation on the morale of co-workers

[For ADA regulations, policy and guidance see: www.eeoc.gov.]

VI. ANTIDISCRIMINATION LAW COMPLIANCE

1. Have all managers and supervisors received training related to unlawfuldiscrimination and harassment?

2. Have all other employees received training related to unlawful harassment?

3. Does the Employer communicate to all employees a policy against:

a. Discrimination on the basis of sex, race, age, religion, national origin,ancestry and disability

b. Sexual and other unlawful harassment

c. If such policy is in written form, how is it otherwise communicated to allemployees?

4. Has the Employer established a complaint procedure for discrimination andharassment?

a. If yes, is the complaint procedure written?

b. Does the procedure clearly identify who the employees are to contact withcomplaints?

c. Have employees received training in how to use the procedure?

d. Have any employees used the procedure to report claims?

5. Has the Employer established a procedure for investigating reports of discriminationor harassment?

6. Are employees required to comply with a dress code?

a. If yes, are employees informed of this code in writing?

b. Is this code equally applicable to males and females?


YES NO

13

7. Are employees required to comply with any type of grooming code?

a. If yes, are employees informed of this code in writing?

b. Is this code equally applicable to males and females?

VII. EMPLOYEE SAFETY

1. Does the Employer provide safety training to all employees?

2. If yes, is the training documented?

3. If yes, who conducts the training?

a. The Employer’s Safety Officer

b. The department supervisor

c. Several department supervisors

d. An outside third party

e. Co-workers

4. Does the Employer provide training regarding Material Safety Data Sheets andappropriate access to MSDSs?

5. Does the Employer provide training regarding program requirements for all OSHAstandards, e.g., chemical hazards in the workplace, blood-borne pathogens?

6. Does the Employer require employees to report injuries suffered on the job?

a. If yes, are employees required to complete and submit a written injuryreport? PP

b. Does the Employer have a policy requiring employees who sustain work-related injuries or illnesses to report such to their supervisor immediately? PP

c. If employee injuries are reported orally to the employee’s immediatesupervisor, does the supervisor document such report? PP

7. Is it the Employer’s practice to place documentation of an employee’s injury in his orher personnel file?

8. Is it the Employer’s practice to document “recordable” injuries or illnesses on anOSHA 200 form?

9. Is it the Employer’s practice to document additional information on recordableinjuries on a supplementary OSHA 101 form?

Who at the Employer is responsible for maintaining OSHA forms?


YES NO

14

10. Does the Employer have a prepared plan to deal with an OSHA inspection? PP

11. Is a specific employee responsible for reviewing all claims for workers’ compensationbenefits submitted to the Employer? PP

12. Does the Employer have a procedure in place to review claims for workers’compensation benefits? PP

13. Does the Employer have a procedure for determining whether to certify or reject aclaim for workers’ compensation benefits? PP

14. Does the Employer have a modified work program (“light duty” work) for employeeswith workers’ compensation injuries?

[For OSHA requirements and forms see: www.osha.gov; for information relatingto nursing homes see: http://www.osha-slc.gov/SLTC/nursinghome/index.html][for information on Ohio workers’ compensation see: www.ohiobwc.com]

VIII. LEAVES OF ABSENCE

1. Which of the following types of leaves of absence does the Employer provide?

a. Family Medical Leave (FMLA)

b. Medical Leave (FMLA)

c. Paid Sick Days (non-FMLA)

d. Family Leave (FMLA)

e. Maternity/Paternity Leave (non-FMLA)

f. Disability Leave (non-FMLA)

g. Personal Leave

h. Bereavement Leave

i. Jury Duty Leave

2. Does the Employer provide any of the following disability-related benefits?

a. Short-term disability insurance coverage

b. Long-term disability insurance coverage

c. Salary continuation/paid time off

d. Light duty work


YES NO

15

3. Has the Employer taken steps to coordinate leaves of absence available for medical,family medical and/or disability reasons?

4. Has the Employer taken steps to coordinate medical/disability leaves with vacation,sick days, personal days or any other paid time off and with short and long-termdisability insurance?

5. Is the Employer’s medical and/or disability leave coordinated with workers’compensation leave? PP

6. Does the Employer have in place the appropriate FMLA forms?

a. Notice of employees’ rights under the FMLA

b. Certification of Health Care Provider (or other medical information form)

c. Form for designation of time off as FMLA leave

7. Have supervisors been trained to recognize when the FMLA may apply to anemployee’s absence so the supervisor alerts the appropriate personnel to makerequired inquiries and designations? PP

8. Does the Employer have in place the appropriate systems for designation andtracking each employee’s use of FMLA leave?

[For FMLA information and forms see: www.dol.gov; click on “Find It ByTopic”; click on “Leave Benefits”]

IX. WAGE AND HOUR COMPLIANCE

1. Does the Employer have a current list of all salaried employees by exempt and non-exempt status?

a. If yes, when was the list last reviewed for compliance with the Fair LaborStandards Act?

b. Who conducted the review?

2. Does the Employer ever provide employees with compensatory time off (“comptime”) instead of overtime pay?

3. Are hours recorded for salaried non-exempt employees?

4. Does the Employer pay any employee a wage rate lower than $5.15 per hour?

5. What types of compensation are included in non-exempt employees’ “regular rate ofpay” for purposes of calculating overtime compensation?

a. On-call pay

b. Shift differential or premium pay


YES NO

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c. Production or quality bonus

d. Attendance bonus

e. Incentive bonus

f. Retroactive pay increase

g. Contest prizes

6. Are non-exempt employees paid a premium of 1.5 times their regular rate of pay forall hours worked in excess of 40 in one work week [or in excess of 80 hours in a 14-day pay period and in excess of 8 hours in a day]?

7. Are non-exempt employees paid for meal breaks?

8. Are non-exempt employees required to clock out for meal breaks?

9. Are non-exempt employees completely relieved of all work responsibilities duringunpaid meal breaks?

10. Are non-exempt employees paid for breaks of 20 minutes or less?

11. Do any employees work shifts lasting longer than 8 hours?

12. Does the Employer pay overtime or premium pay to any salaried employee?

13. Are any employees ever required to be “on-call”?

If yes, are they compensated for any portion of on-call time?

14. Does the Employer ever withhold any amounts from an employee’s pay checkwithout the employee’s specific written authorization?

[For information on the Fair Labor Standards Act: www.dol.gov; click on FLSA]

X. CHILD LABOR LAW COMPLIANCE

[For Ohio law re employment of minors see: Ohio Revised Code Chapter 4109“Employment of Minors” and Ohio Administrative Code 4101-9-2]

1. Does the Employer currently employ any person under the age of 18?

a. If yes, does the Employer retain a valid work permit on file for each suchperson currently employed?

b. Does the Employer ensure the minor employee’s hours and work dutiescomply with the legal restrictions for minors?

2. Does the Employer employ persons under the age of 16?


YES NO

17

XI. PERFORMANCE APPRAISAL

1. Does each employee receive a performance evaluation? PP

2. If yes, are such evaluations written? PP

3. Are all employees evaluated on a standardized appraisal form? PP

4. How often are performance appraisals conducted?

a. At the end of an employee’s probationary period PP

b. At the end of a recently transferred or promoted employee’s introductoryperiod

c. At the employee’s anniversary date

d. At a designated annual performance review for all employees

e. Only when there is a problem PP

5. Who conducts the performance appraisal?

a. Employee self-appraisal

b. Employee peer appraisal

c. Immediate Supervisor

d. Department Head

e. Human Resources Personnel

6. Are all documents relating to the employee’s work performance reviewed prior toconducting the appraisal? PP

7. Is the most recent appraisal reviewed by the appraiser prior to conducting theappraisal? PP

8. Have the Employer’s supervisors (or other employees who conduct performanceappraisals) received any training in conducting performance appraisals? PP

If yes, what was the scope of such training?

9. Are performance appraisals subject to review by higher level management? PP

If yes, what is the review process?

10. Are performance appraisals used in determining:

a. Promotions


YES NO

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b. Salary/Wage Adjustments

c. Transfers/Demotions

d. Disciplinary Actions

e. Termination/Layoffs

11. Where are performance appraisals kept?

a. In the employee’s personnel file

b. In a secondary personnel file

c. In a file maintained by the immediate supervisor PP

Who has access to the employee performance evaluations?

12. Do employees receive additional training and development to remedy weaknessesmeasured in their performance appraisal? PP

13. Does the Employer have a policy or procedure for handling unsatisfactoryperformance by an employee?

If yes, what it the procedure?

XII. PERSONNEL RECORDS

1. Does the Employer have a policy for handling, access, use and disclosure of hiring,employment, and personnel file documents? PP

a. Are personnel file cabinets kept locked when not in use? PP

b. Are personnel file cabinets fire proof? PP

Which persons have designated access to employee personnel files(designated staff who have keys and/or employment records custodians)?

2. Are the following documents contained in each employee’s personnel file?

Pre-Employment documents

a. Resume

b. Application

c. Pre-employment investigative background checks and referenceinquiries

d. BCII/FBI Files (SB 160 - Fingerprinting)

e. Confirmation of employment letter (wages and position)


YES NO

19

f. IRCA Form I-9 and copies of supporting identification and workeligibility documents

Employment Documents

a. Job Description

b. Payroll information

c. State and federal tax forms, e.g., W-4

d. Employment Agreements including confidentiality agreements,arbitration agreements, or corporate ethics policy agreements

e. Car insurance and driver’s license information (if driving is job-related)

f. Health insurance and other benefit elections/forms

g. Acknowledgments of policy and procedures

h. Any other industry specific requirements

i. Employee acknowledgment forms verifying receipt of theEmployer’s property

j. Orientation Checklists

k. General Personal/Emergency Contact Information

l. Documentation of misconduct

m. Record of any disciplinary action

n. Performance Appraisals

3. Are any of the following secondary documents contained in the employee personnelfiles?

a. Medical questionnaires, history, physician statements or exam results,Mantoux, check x-rays

b. EEO identification characteristics

c. Drug testing records and results

d. Work related injury reports

e. Medical leave requests

f. Medical excuses provided for proof of medical or disability leave


YES NO

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4. If no, are any of the above documents kept in a secondary employee personnel file?

List documents and location where stored.

5. Is a separate workers’ compensation file maintained for each employee?

How long does the Employer retain an employee’s personnel file oncehis/her employment has been terminated (whether voluntary orinvoluntary)?

6. Are the following documents retained the required period of time followingtermination of employment?

a. I-9 documents [later of 3 years after date of hire or 1 year after termination]

b. Payroll records [at least 3 years]

c. Any records relating to FMLA leave or benefits [3 years]

d. Other employment records relating to hiring, promotion, demotion, transfer,layoff or termination [in Ohio, at least 6 years from date of Employer’s action]

e. Personnel records relating to a discrimination charge brought by theAttorney General or the EEOC [until final disposition]

7. Are the following documents properly retained?

a. EEO-1 Report [must be filed annually by employers with 100 or moreemployees; current one must be on file]

b. OSHA Log and Supplementary Record [5 years]

8. Are any employee records or personnel documents stored at an off-site facility?

If yes, where?

9. Are any employee records or personnel documents kept by supervisors or managers? PP

a. If yes, where are they kept?

b. Does the Employer have a procedure for retrieval of those documents? PP

XIII. EMPLOYEE DISCIPLINE

1. Has the Employer established written rules of conduct or work rules for all categoriesof employees?

If yes, are such rules set forth in writing? PP


YES NO

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2. Does the Employer require employees to sign an acknowledgment that they havereceived a copy of such rules? PP

Does the Employer have on file a signed acknowledgment form for eachperson currently employed? PP

3. Has the Employer established written policies and procedures for employee disciplinefor all categories of employees?

a. If yes, are such policies and procedures set forth in writing? PP

b. Does the Employer require employees to sign an acknowledgment that theyhave received a copy of such policies and procedures? PP

c. Does the Employer have on file a signed acknowledgment form for eachperson currently employed [or witnessed refusal to sign]? PP

4. Are all supervisors and management personnel familiar with the Employer’spersonnel policies, including rules of conduct? PP

5. Have the Employer’s supervisors and managers received any training with respect tohandling discipline for violation of rules of conduct? PP

6. Does the Employer conduct an investigation upon receiving a report of employeemisconduct? PP

a. What procedures does the Employer follow in conducting suchinvestigation?

b. Who conducts the investigation?

c. Does the investigator interview other employees who may have knowledgeof the incident at issue? PP

d. If yes, does the investigator make notes during each interview? PP

e. Does the Employer have the investigator obtain voluntary written statementsfrom the employees interviewed detailing their knowledge of the incident atissue? PP

8. Does the Employer interview the employee under investigation? PP

a. If yes, is this interview conducted prior to imposing disciplinary action? PP

b. Does the Employer document the employee’s explanation of the incident? PP

9. Do immediate supervisors have the authority to unilaterally impose disciplinaryaction?


YES NO

22

10. If yes, what type of disciplinary action are immediate supervisors authorized toimpose?

a. Verbal Warning

b. Written Warning

c. Suspension

d. Termination PP

e. Other

11. Which employees have authority to impose disciplinary action?

12. Does the Employer review disciplinary records of other employees to ensure that theproposed discipline for the employee under investigation is consistent with what hasbeen done in the past? PP

13. Does the Employer inform an employee face to face of disciplinary action? PP

14. Does the Employer document any type of disciplinary action imposed? PP

15. Does the Employer show the disciplinary action form to the employee and secure theemployee’s signature indicating the employee has read the form? PP

16. Is all documentation concerning an employee’s misconduct, including a record of thedisciplinary action taken, forwarded to and retained in the employee’s personnel file? PP

17. Is it the Employer’s policy to maintain the confidentiality of the:

a. Investigation of misconduct PP

b. Disciplinary action taken

XIV. TERMINATION

1. Does the Employer review an employee’s personnel file prior to making a finaldecision on termination? PP

Who conducts such review?

2. Are there circumstances under which the Employer would terminate an employee “onthe spot” (i.e., without investigation)? PP

If yes, explain.

3. Does the Employer conduct an exit interview with all exiting employees? PP

a. Only with voluntary separation?


YES NO

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b. Only with involuntary separations?

4. Does the Employer have a policy in place to insure the return of all of the Employer’s property from a terminated employee? PP

5. Does the Employer pay involuntarily terminated employees for accrued or unused:

a. Vacation days

b. Personal days

c. Sick days

6. Does the Employer have a different policy regarding payment to employees whovoluntarily terminate?

7. Does the Employer ever retain an employee’s final paycheck upon termination? [Under Ohio Revised Code § 4113.15 earned wages cannot remain unpaid morethan 30 days beyond the regularly scheduled payday.]

8. Does the Employer ever deduct monies from an employee’s final paycheck withoutthe employee’s written consent?

9. Does the Employer have a procedure for handling COBRA notices? [For COBRA information see: www.dol.gov; click on “Health Plans &Benefits”]

10. Does the Employer have a procedure for handling unemployment compensationclaims? PP

11. Does the Employer have a procedure for HIPPA compliance (as it relates toemployees)?

XV. RESPONDING TO A REFERENCE INQUIRY

1. Does the Employer have a written policy relating to responding to reference requestsconcerning current or former employees? PP

a. Has this policy been communicated to all management employees includingimmediate supervisors? PP

b. If no, explain.

2. Are immediate supervisors authorized to respond to requests for referenceinformation? PP

3. Are co-workers authorized to respond to requests for reference information? PP

Specify each individual authorized to respond to reference inquiries.


YES NO

24

4. Are all employees who are not authorized to respond to reference inquiries madeaware that they are not permitted to respond to reference inquiries and also could beindividually liable for a variety of legal claims should they release information? PP

5. Does the Employer require a release from the employee for whom the referenceinformation is sought prior to releasing any information? PP

If yes, does the Employer have a release form for this purpose? PP

6. Does the Employer require that requests for information about a current or formeremployee be in writing prior to the release of any information? PP

If yes, does the Employer retain a copy of the information released (by theEmployer) for the Employer’s records? PP

7. What information does the Employer release orally in response to a referenceinquiry?

a. Positions held PP

b. Dates of employment PP

c. Reason for leaving

d. Comments relating to employee’s work performance

e. Comments relating to employee’s attitude

f. Comments relating to employee’s attendance

g. Comments relating to any claims, administrative charges or lawsuits filed bythe employee PP

h. Comments from supervisors

i. Rate of pay

j. Other

8. Does the Employer verify the identity of the individual seeking employmentinformation prior to releasing any information?

If yes, explain the verification process.

9. What information does the Employer release in writing in response to a referenceinquiry:

a. Positions held PP

b. Dates of employment PP


YES NO

25

c. Reason for leaving

d. Comments relating to employee’s work performance

e. Comments relating to employee’s attitude PP

f. Comments relating to employee’s attendance

g. Comments relating to any claims, administrative charges or lawsuits filed bythe employee

h. Comments from supervisors PP

i. Rate of pay

j. Other

[See Ohio Revised Code § 4113.71 for employer immunity as to truthful jobperformance information disclosure]

XVI. EMPLOYEE RELATIONS CLIMATE

1. Does the Employer have regularly scheduled employee/staff meetings?

If yes, how frequently, what topics, who attends?

2. Does the Employer have a structured orientation program? PP

If yes, what are the specifics of program(s)?

What employees are responsible for conducting the orientation program?

3. Does the Employer have a structured training/in-service program? PP

If yes, what are the specifics of the program(s)?

What employees are responsible for conducting the training program(s)?

What documentation of the training is done?

4. Does the Employer have any structured employee recognition programs?

If yes, what are the specifics of program(s)?

5. What benefits does the Employer offer to employees?

a. Is a specific management employee authorized and expected to answeremployees’ questions about their benefits?

b. Are there particular benefits or policies which have created confusion ormany questions among employees?


YES NO

26

6. Does the Employer maintain a comprehensive list of benefits offered to employees? PP

7. How are the employees informed of their benefits?

8. Does the Employer provide appropriate Summary Plan Descriptions for all ERISA-qualified benefit plans?

9. How often are wage increases given to non-union hourly employees?

10. On what basis are wage increases awarded?

a. Merit

b. Length of Service

c. Cost of Living

11. What was the date of the most recent wage rate increase?

What was the amount of the increase?

12. Does the Employer have a procedure for determining pay rates and increases forsalaried employees? PP

If yes, explain

13. What are the means by which Employer information is communicated to themanagement staff as well as the front line employees?

14. Does the Employer have an alternative dispute resolution policy/procedure forresolving employee disputes?

a. If yes, is it mandatory?

b. If yes, does it incorporate the necessary components to withstand challengeto its enforceability?

[For online access to union financial disclosures (LM-2 forms) required to be filed with the Department ofLabor see: http://www.dol-union-reports-gov.]

Copyright 2002, Belkin, Billick & Harrold Co., L.P.A. All rights reserved. No part of this publication may be©

reproduced or transmitted by any means, electronic or mechanical, including photocopying, without written permissionfrom the publisher. Please feel free to contact Linda Hauserman Harrold at 216/831-3377 in the firm’s Cleveland, Ohiooffice if you have any questions or comments. Ms. Harrold’s e-mail address is [email protected].

This publication is provided by Belkin, Billick & Harrold Co., L.P.A. for general information purposes for AOPHAmembers; it is not and should not be used as a substitute for legal advice.

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