HR Compliance for Small Business Owners by Gary Wheeler
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HR Compliance is critical for small business owners. It is predicted that 90% of all small businesses are out of compliance. This presentation delivered which has been delivered by Gary Wheeler to several groups illustrates key compliance areas to correct.
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HR Compliance for Small Business Owners by Gary Wheeler
- 2. THE FEDERAL GOVERNMENT BELIEVES 90% OF ALL SMALL BUSINESSES ARE OUT OF COMPLIANCE. LOW HANGING FRUIT = SMALL Businesses The Government Needs Money
- 3. Equal Employment Opportunity Commission – 1965 - Enforce Title VII of the Civil Rights Act - The EEOC continues to have record-shattering charges - 2000 79,896 - 2010 99,922 - 2011 99,947 EEO Litigation
- 4. Employment Interviews Terminations Harassment Age Discrimination Types of EEO Litigation
- 5. Application on file for each employee complete with signature Never write notes on an application Use a standard behavior interview form - Note: EEOC 2012 ruling – “have you been convicted of a felony” Train your interviewers List of Do’s and Don’ts Select candidates on qualifications Employment Best Practices
- 6. Application on file for each employee complete with signature Never write notes on an application Use a standard behavior interview form - Note: EEOC 2012 ruling – “have you been convicted of a felony” Train your interviewers List of Do’s and Don’ts Select candidates on qualifications Employment Best Practices
- 7. How old are you? What year did you graduate or finish high school? Where were you born? Are you from the United States? Are you married? Do you have kids? What is your faith or religion? Do you have a car (unless it is required for the job)? Do you have a disability? Have you ever had a workers compensation injury? Have you ever been arrested? Interview Don’ts
- 8. Immigration Reform Act of 1986 (I-9) - Requires employers to attest to their employees' immigration status - Illegal to knowingly hire unauthorized immigrants - Must have an I-9 for every employee hired after November 6, 1986 - Fines $100 to $1,100 per employee New I-9 Form Introduced March 8, 2013 - Must comply by May 7, 2013 I-9s
- 9. I-9’s 100% complete in ink Complete first day of employment Signed and dated by employee and employer on 1st day of employment Utilize PDF Writer Verify appropriate documents Tickler file for temporary status employees Go back and get new I-9’s if not 100% Use E-Verify Best Practices
- 10. The government collected over $50-million dollars in fines last year from improper and missing I-9’s Interesting Fact
- 11. Participation in E-Verify is voluntary for most businesses Mandatory for employers with federal contracts or subcontracts Mandatory in 9 states - AL, AZ, GA, LA, MS, NC, SC, TN, UT Voluntary in New York but recommend
- 12. You must provide the following information: - employee name, address, social security number, hire date - employer name, address, employer ID - if dependent health insurance benefits are available to the employee and if so, the date the employee qualifies for the benefits - 20 days from date of hire or $25 fine New Hire Reporting
- 13. Two reference checks for each employee Fair Credit Reporting release form on file Job description for each employee Medical and workers comp in a separate file Terminated employee files in separate drawer Terminated employee files shred after 3-years of termination Non-hired applications on file for 12-months (shred) Other Employment Administration
- 14. Salary Test - U.S. $455 per week - New York $536.10 per week - California $640 per week Executive - Manage business, department, division, group Professional - Doctors, dentists, professors, scientists, CPA/accountants, outside sales Administrative - HR, marketing, office managers, insurance agents Exempt v. Non-Exempt
- 15. Must meet Three Criteria: Office or non-manual work, which is 1. Directly related to management or general business operations of the employer or the employer’s customers, and 2. A primary component of which involves the exercise of independent judgment and discretion and 3. Matters of significance Administrative Exempt
- 16. Annual review of contractor checklist Contractor is incorporated (LLC, S-Corp, C-Corp) W-9 on file 1099 produced annually Contractor v. Employee
- 17. # Yes or No 1 Can the worker make a profit or suffer a loss as a result of the work, aside from the money earned from the project? 2 Does the worker have an investment in the equipment and facilities used to do the work? 3 Does the person work for more than one company at a time? 4 Does the worker offer services to the general public? 5 Do you have the right to give the worker instructions about when, where, and how to work? (control) 6 Do you train the worker to do the job in a particular way? Independent Contractor Checklist
- 18. # Yes or No 7 Are the worker’s services so important to your business that they have become a necessary part of the business? 8 Must the worker provide the services personally, as opposed to delegating tasks to someone else? 9 Do you hire, supervise, and pay the worker’s assistants? 10 Is there an ongoing relationship between the worker and yourself? 11 Do you set the worker’s hours? 12 Must the worker spend all of his or her time on your job? Independent Contractor Checklist
- 19. # Yes or No 13 Must the individual work on your premises, or do you control the route or location where the work must be performed? 14 Do you have the right to determine the order in which services are performed? Independent Contractor Checklist • Risks • Overtime, back pay • Social security, taxes • Benefits, Vacation • Retirement • Penalties
- 20. OSHA is actively pursuing small businesses OSHA
- 21. Hazardous Communication Right to Know - Poster - Annual training MSDS Sheets - All chemicals in the facility on file - Employees aware of MSDS Emergency Evacuation - Plan - Annual Drill Minimum Compliance
- 22. All Injuries Documented - OSHA 301 Injury Report - OSHA 300 Monthly Log - OSHA 300A Annual Summary - Risks $1K for each missing 301 Injury Report $1k for each year for missing 300 Log Minimum Compliance cont.
- 23. Area Average Fine Hazardous Communication & Right to Know $281 Employee Training $447 Training Requirements (safety mtgs, evac drills, etc.) $465 Head Protection $511 Wiring Design and Protection $542 Ladders $698 Aerial Lifts $961 Fall Protection $1,160 Evacuation Plans $2,110 General Requirements $2,182 Average OSHA Fines
- 24. Have an up-to-date Employee Handbook Handbook should be clear, concise and lean Unemployment claims and EEOC charges Employee Handbook
- 25. Employment Interviews√ Sexual Harassment Terminations Age Discrimination Types of EEO Litigation
- 26. Have a policy Policy is the first policy in your employee handbook Communicate the policy Provide annual employee training Employees sign off on policy annually Enforce the policy as it is written Investigate all complaints Resolve complaints promptly Sexual Harassment Best Practices
- 27. Train managers on how to discipline employees Communicate and document If discipline is not written, it doesn’t exist If document isn’t signed, it doesn’t exist Honest communication Follow proper steps when terminating over 40 Termination Best Practices
- 28. FMLA 401K Plans Patient Protection and Affordable Health Care Act Additional Topics
- 29. Family Medical Leave Act - Requirements 50 or more employees Worked for 12-months at the company Worked 1,250 hours (avg. 24-hours per week) - Employee Entitled Up to 12 consecutive weeks Unpaid leave Personal illness, birth of a child, adoption, foster care Intermittent leave (hourly, daily or weekly) Reduced schedule to care for loved one Care for spouse, child under 18, parent FMLA
- 30. Ensure compliance with ERISA and DOL Common Mistakes - Following plan document guidelines? - Is there an investment policy in place that is followed? - Are fees and investment performance reviewed annually? - Are participant fees disclosed? - Are quarterly or semi-annual fiduciary reviews conducted? 401K Plans
- 31. Health Care Reform Effective January 1, 2014, any business with 50 or more employees will have to offer health care or pay penalty - Penalty starts at $40,000 - Increases $2000 for each additional worker over 50
- 32. Plan Requirements Plan must cover 60% of health care expenses Must cost employee less than 9.5% of his/her family salary If coverage deemed substandard, penalty goes to $3,000/employee
- 33. Individual Mandate Everyone must have some sort of coverage by 2014 Entrepreneurs – will have to buy for themselves Not complying will cost $95 or 1% of income (higher of the two) Exchanges up and running by 2014
- 34. What we do - Provide strategic and tactical HR solutions for small business Part-time HR Director - Starting at $1,000 per month Annual Membership Program - $500 per year Our Company
- 35. $500 per year Membership Program
- 36. Compliance Audit Recommendations to Mitigate Risks Customized Application Onboarding Checklist with all employment forms I-9 Training (Power Point) Reference Request form Fair Credit Reporting Release form Employee Orientation Power Point Exempt v. non-exempt review Contractor v. employee review Membership Program
- 37. Hazardous Communication Training Power Point OSHA Forms (301, 300, 300A) Training Customized Employee Handbook Online Sexual Harassment Training Video Online Training on How to Communicate and Document Discipline 8 Job descriptions 8 Performance evaluations linked to business profitability Will create any HR tool you need to run your business Membership Program cont.
- 38. Unlimited phone calls or emails to review employee issues, questions or concerns - Employee performance issues - HR compliance issues - Contractor v. employee - Exempt v. non-exempt - Recruiting and retention challenges - EEO & harassment complaints - Safety challenges Membership Program cont.