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Conducting the Employment Practices Audit 2010 Edition & 2013 Supplement
2010 Edition and 2013 Update with Book on CD
Employment & Labor

CLE: 0.00
PR: 0.00

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Employees are the focus of a large body of state and federal laws, regulations, and policies. Balancing their rights with protecting the business entity is challenging whether you are advising the human resources department of an international corporation or evaluating your own small firm’s employment practices. CONDUCTING THE EMPLOYMENT PRACTICES AUDIT presents proactive strategies for minimizing litigation risks and solving practical human resources problems in 2010 and beyond. The handbook guides the practitioner through the steps of performing a thorough review of employment-related documents, policies, and procedures. The free Book on CD includes all the checklists and extensive sample policy language and forms in the handbook, ready to be adapted to your needs.

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Chapter 1 — Introduction

What is a human resource audit?

Why have an employment practices audit book?

Why conduct an employment practices audit?

Which three areas need immediate audit focus?

Frank J. Del Barto, Masuda, Funai, Eifert, & Mitchell, Ltd., Chicago


Chapter 2 — Practical and Legal Considerations Prior to Conducting the Audit

Preliminary considerations

Who should conduct the audit

Protecting the results of the audit

Minimizing employee claims that might arise from the audit

Pre-audit preparations, gathering information regarding the employer, checklist

Nancy E. Sasamoto and Samuel J. Schumer, Masuda, Funai, Eifert, & Mitchell, Ltd., Chicago


Chapter 3 — Hiring Process and Related Issues

The employment application

Recruiting — advertising for potential new hires

Forms and other employment documentation


Preemployment inquiries under the ADA

General guidance regarding other problematic preemployment inquiries, chart

Testing as part of hiring process

Background checks

Offers and rejections of employment

Illinois directory of new hires

Noah G. Lipschultz, Littler Mendelson P.C., Minneapolis, MN


Chapter 4 — Affirmative Action and Drug-Free Workplaces: Federal Government Contractor Considerations

Executive Order No. 11,246 — federal nondiscrimination and affirmative action law:


                Record retention

                Equal opportunity survey


                Compliance reviews

                Wage discrimination

                Other affirmative action obligations and statutes enforced by OFCCP

                Desk audit


Drug-free workplace requirements, checklist

Michael R. Lied, Howard & Howard Attorneys PLLC, Peoria, and Jane S. Hahn, Howard & Howard Attorneys PLLC, Chicago


Chapter 5 — Employment Agreements

Basic material terms that govern the employment relationship

Company's rights and obligations upon termination

Boilerplate provisions

Employment agreement

Richard P. McArdle and Tracy M. Billows, Seyfarth Shaw LLP, Chicago


Chapter 6 — Employee Handbooks

What is an employee handbook and what are the reasons to utilize one?

What kind of information is contained in an employee handbook?

What policies should an employer include in an employee handbook?

What additional policies may an employer include in an employee handbook?

Who should receive the handbook?

How should the employee handbook be distributed?

Should the employer get a signed acknowledgment of receipt from each employee?

Julie L. Gottshall and Jeffrey L. Rudd, Katten Muchin Rosenman LLP, Chicago


Chapter 7 — Antidiscrimination and Antiharassment Policies and Training

Sexual harassment: the Ellerth and Faragher decisions

Punitive damages for intentional discrimination: Kolstad v. American Dental Ass'n

Practical suggestions:

                Policy audit checklist

                Training audit checklist

                Enforcement and implementation of policies audit checklist

James S. Barber and Michelle K. Garcia, Clausen Miller P.C., Chicago


Chapter 8 — Personnel Records and Posting of Notices

The Personnel Record Review Act

Documents and information that should not be kept in personnel files

Documents and record retention

Posting of notices

Jeffrey A. Risch, SmithAmundsen LLC, Chicago


Chapter 9 — Wage and Hour Issues and Child Labor Laws

Fair Labor Standards Act

Minimum wage

Equal pay

Child labor

Illinois Wage Payment and Collection Act

Revised federal hours-of-service regulations

David E. Krchak, Thomas, Mamer & Haughey LLP, Champaign


Chapter 10 — Discipline and Termination Issues

Performance evaluations and documentation:

        Inflated reviews



        Evaluation training


        Performance and performance improvement policies

        Progressive discipline

        Documentation of discipline

        Suggestions to avoid appearance of discrimination when disciplining employees


        Pretermination considerations

        Liability checklist

        Termination meeting

        Exit interview

        Post-termination considerations

John F. Kuenstler and Sarah T. Wilhite, Barnes & Thornburg LLP, Chicago


Chapter 11 — Reductions in Force

Alternative to reductions in force

Practical suggestions for implementing RIFs to reduce legal risks

Law relating to discrimination claims resulting from RIFs

Releases and waivers

Considerations under the Worker Adjustment and Retraining Notification Act

Jill Russell, McGuireWoods LLP, Chicago


Chapter 12 — Compliance with the NLRA

Coverage and jurisdiction of the NLRA

Employee activities protected by the NLRA

NLRA prohibition against antiunion discrimination

Employee solicitation and distribution rules

Employee use of e-mail and Internet

Union access to employer property

Protected and unprotected communications with the public

Employment of union organizers (union "salting")

Union organizing

The right of an employee to have representative present during investigatory interview

Legality of common work rules under the NLRA

Sample policy provisions

Joshua L. Ditelberg, Seyfarth Shaw LLP, Chicago


Chapter 13 —Independent Contractors and Other Nonemployees


Independent contractors


Partners, shareholders, officers, and directors

Independent contractor agreements

Volunteer agreements


        Sample independent contractor agreement

        Sample volunteer agreement

Julie Badel, Epstein Becker & Green, P.C., Chicago


Chapter 14 — The Audit Report and Follow-Up

Time frame to prepare the report

Format of the report

Content of the report

Additional follow-up with employer

Morgan M. Russell, Laner, Muchin, Dombrow, Becker, Levin and Tominberg, Ltd., Chicago 

Chapter 15 — Appendix
Employee handbook questionnaire
Sample employee handbook
Robert T. Bernstein and Jill P. O'Brien, Laner, Muchin, Dombrow, Becker, Levin and Tominberg, Ltd., and Julie L. Gottshall and Jeffrey L. Rudd, Katten Muchin Rosenman LLP, Chicago

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