“Plan / Prevent / Protect”Your Business

Steven Yee, SPHRHRAnswerLink, Inc.July 19, 2011

Agenda

Introduction

Key U.S. DOL Strategies

Top Employer Action Items

Critical HR Audit Factors

Questions and Answers

Next Steps

Introduction

Meeting Objectives1. Gain awareness of the U.S. Department of

Labor’s recent strategic initiatives and enforcement efforts.

2. Understand the relevance and impact of the DOL’s efforts on your business and its employees.

3. Learn how to proactively position your organization for HR compliance towards increased performance.

General Background

The U.S. DOL Strategic Plan

Key U.S. DOL Strategies

Plan / Prevent / Protect

Plan how to correct risks of workplace law violations; Prevent any further risks from emerging; and Protect employees and their workplace rights.

Openness and Transparency

Push Workplace Rights Education for Employees Partner with Employee Advocacy Groups

5 DOL Goals

Prepare workers for good jobs and fair compensation.

Ensure workplaces are safe and healthy.

Assure fair, high quality work-life environments.

Secure health benefits.

Produce timely, accurate data on the economic conditions of workers and their families.

Worker Protection Agencies Employee Benefits Security Administration

(EBSA)

Mine Safety and Health Administration (MSHA)

Occupational Safety and Health Administration (OSHA)

Office of Labor-Management Standards (OLMS)

Wage and Hour Division (WHD)

Top Employer Actions Items Designate a Compliance Officer.

Conduct Regular HR Audits.

Establish an HR Compliance Action Plan.

Utilize Reporting and Tracking Systems.

Provide Continuous Education and Training.

Secure Professional HR Expertise.

Critical HR Audit Factors

Scope / Type Compliance Function-Specific Best Practices Strategic

Resources Internal External

Scope / Type Compliance Function-Specific Best Practices Strategic

Resources Internal External

7-Step Audit Process

1 •Determine the type of audit.

2 •Define the questions.

3 •Gather the data.

4 •Assess the results.

5 •Generate feedback.

6 •Develop the action plan.

7 •Regularly review to improve.

Hot Topic HR Audit Hot Spots

Employees vs. Independent Contractors

Exempt vs. Non-exempt Employees

Timekeeping Records

Personnel File Records

Workplace Policies

Questions and Answers

The Next Steps

1. Designate a Compliance Officer.

2. Conduct Regular HR Audits.

3. Establish an HR Compliance Action Plan.

4. Utilize Reporting and Tracking Systems.

5. Provide Continuous Education and Training.

6. Secure Professional HR Expertise.

Thank You!