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Human Resources Laws and Regulations Every Company Must Know Excerpt

Most Business Owners know that there are laws and regulations by which U.S. businesses must comply, but many do not know how to do so entirely. Those companies put themselves at significant risk. Compliance is not overly complicated, but it requires proactive development of specific policies and procedures and related training.

One more element is required— the fortitude to be consistent and follow through completely in implementing your policies. I suggest that you read the following to gain valuable insight.

Human Resources (HR) professionals are responsible for strategically managing employees within an organization while remaining compliant with laws that govern employee rights and employer obligations. If an organization violates these complex and ever-changing regulations, it exposes itself to risk, including lawsuits, financial losses, and reputation damage.

Since non-compliance can result in such serious consequences, there is a strong demand for industry workers who know HR laws and common legal issues in the workplace.

Below, Briana Hyde— a lecturer in Northeastern’s College of Professional Studies teaching non-profit management, legal governance, and human resource management, outlines the top HR laws industry professionals should know to serve their organization and advance their careers effectively.

Why Do HR Professionals Need Legal Knowledge?

HR roles are not one size fits all. Depending on the title, an HR worker’s responsibilities can vary significantly. Some HR managers are solely responsible for staffing, and others concentrate on employee development. Some deal strictly with compensation and benefits, and others—the generalists—do it all.

“But regardless of individual job function,” Hyde says, “compliance is a key responsibility of every HR role. The law touches every profession that falls under the HR umbrella in some way.”

These professionals are tasked with frequent on-the-spot decisions that can have severe legal consequences. So knowledge of common HR-related laws gives these industry workers the confidence to make these decisions or know when to contact outside counsel.

HR professionals with legal expertise also have a competitive advantage in the workplace, as they can proactively minimize a company’s exposure to legal risk. With a working knowledge of current laws and their real-world applications, they help companies remain compliant and avoid unnecessary claims while also protecting the rights of valued employees.

Not every small business has the luxury of having a dedicated HR professional on staff. However, with the guidance and training of DIAD Consulting, Inc., you can develop a program that helps you achieve and maintain DOL rules and regulations compliance.

Please complete our contact form or email us at info@diadconsulting.com to learn how easy it can be to establish an effective and compliant program.

Table of Contents

Human Resources Laws and Regulations Every Company Must Know 1
Why Do HR professionals Need Legal Knowledge? 1
Legal Topics Every HR Professional Should Know 2
Applying The Law 4
Compliance Isn’t Optional 4
Compliance Regulations Change 4
Employee participation is unpredictable 4
Documentation 5
Employee Benefits Legal Requirements 5
Health Insurance Plan and Benefits Coverage Options 5
COBRA 6
The Family and Medical Leave Act (FMLA) 6
HIPAA 6
Other Required Benefits Notices 6
HR Notices 6
Federal Posting Requirements 6
Reporting & Distribution 7
It Is A Good Idea to Publish A Culture Guide 7
HR Compliance Best Practices 8
Designate an Individual to Manage Notices 8
Document Your Procedure 8
Confidentiality 8
Monitor Legal Changes 9
Keep Notices Accessible to Employees 9
Other Essential HR Best Practices 9
Create a Formal Safety Program [Essential Elements] 9
Develop a Conflict Mitigation Procedure 9
Implement a Problem Resolution & Progressive Discipline Policy and Procedure 10
Policy & Procedure Table of Contents 10
How to Learn About Workplace Law 11

Legal Topics Every HR Professional Should Know

Hyde says there are several major legal areas that all HR professionals should be familiar with in order to most effectively serve their employees and employer. They are:

  1. 1. Workplace Discrimination Laws
    Among the most important legislation for HR professionals to know, Equal Employment Opportunity (EEO) laws protect against the discrimination of any individual based on age, disability, genetic information, national origin, race/color, sex, pregnancy, or religion. HR professionals should be familiar with the individual laws that safeguard these protected classes of individuals, such as:

To be continued…

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Problem Resolution & Progressive Discipline Principles

Table of Contents

Problem Resolution & Progressive Discipline 1
I. Problem Resolution 3
1.0 Work Environment 3
2.0 No Reprisals 3
3.0 Escalating an Unresolved Problem through the Management Chain 3
4.0 Mutual Understanding 4
5.0 Open Door Policy 4
II. Coaching Employees 4
1.0 Distinguish between Coaching & Discipline 4
2.0 Considerations for Coaching 4
2.2 The Characteristics of a Good Coach 5
2.3 Good Coaching Environment 5
3.0 Coaching Focus 5
4.0 Steps in Coaching an Employee 6
The GROW Coaching Model 7
How to structure a coaching session 7
Establish the Goal 7
Examine Current Reality 8
Explore the Options 8
Establish the Will 8
5.0 Constructive Feedback 9
5.1 What is constructive feedback? 9
5.2 What is required to give successful constructive feedback? 9
5.3 How do you plan for it? 9
6.0 Ten Steps for Giving Feedback 10
7.0 Potential Pitfalls of Constructive Feedback 11
III. Progressive Discipline 13
1.0 Introduction 13
2.0 Purpose 13
3.0 General Process 13
4.0 Why Supervisors Don’t Discipline 14
5.0 Key Indicators that Coaching or Discipline is needed 14
6.0 Procedure Guidelines 15
7.0 Discussions and Documentation 15
8.0 Preparation for a Verbal Counselling Session 16
8.1 Before the Meeting 16
8.2 During the Meeting 17
9.0 Preparation for a Written Counselling Session 17
10.0 Probation and/or Suspension 18
11.0 When the Employee Returns 20
12.0 Procedure Sequence (Steps) 20
12.2 Second Offense 20
12.3 Third Offense 20
12.8 Another Option 21
IV. ATTACHMENTS 21
Pre-meeting Counselling Checklist (Optional) 21
Post-Meeting Checklist (Optional, Recommended) 21
Procedures Matrix (Referrence) 21
Written Counselling Form (Mandatory) 21

I. Problem Resolution

1.0 Work Environment:

William S Nadler Jr., Inc. is committed to providing the best possible working conditions for its employees. Part of this commitment is encouraging an open and frank atmosphere in which any problem, complaint, suggestion, or question receives a timely response from the Company supervisors and management. Our company strives to ensure fair and honest treatment of all employees. Supervisors, managers, and employees are expected to treat each other with mutual respect. Employees are encouraged to offer positive and constructive criticism.

2.0 No Reprisals:

If employees disagree with established rules of conduct, policies, or practices, they can express their concern through the problem resolution procedure. No employee will be penalized, formally or informally, for voicing a complaint with the Company in a reasonable manner, or for using the problem resolution procedure.

3.0 Escalating an Unresolved Problem through the Management Chain:

If a situation occurs when employees believe that a condition of employment or a decision affecting them is unjust or inequitable, they are encouraged to make use of the following steps. The employee may discontinue the procedure at any step.

  1. The employee presents problem to immediate supervisor or manager after incident occurs. If the supervisor or manager is unavailable or employee believes it would be inappropriate to contact that person, employee may present problem to the next higher level manager available.Managers will document the discussion. The manager may need to consult with their supervisor, HR manager or the Executive Management, for certain issues, and will respond to the employee in a timely manner after the consultation is possible.
  2. If the employee’ concern is not resolved by their supervisor or manager after they discussed the matter, the employee may escalate the issue to the next higher level manager and so on as is necessary to close the issue. The employee should inform their supervisor of their intent to do so, but no justification or further discussion is required.
  3. If still unresolved, Employee presents problem to the next higher level of management, for example the Operations Manager, in writing, or schedules an appointment to meet with the that manager.The manager, Operations Manager in our current example, will review and consider the problem. He/she will inform employee of the decision. Executive Management has full authority to make any adjustment deemed appropriate to resolve the problem.
  4. If the employee is still not satisfied he/she may escalate the issue to the General Manager by making a written request to do so through the HR Supervisor Manager. The General Manager will review and consider the problem. She will inform employee of the decision.The General Manager’s decision is final.

4.0 Mutual Understanding:

Not every problem can be resolved to everyone’s total satisfaction, but only through understanding and discussion of mutual problems can employees and management develop confidence in each other. This confidence is important to the operation of an efficient and harmonious work environment, and helps to ensure everyone’s job security.

5.0 Open Door Policy:

We encourage all employees to make full use of their management chain to handle inquiries, conflicts, and disputes at the lowest level possible per section “3.0” above.

Routine Human Resources or Administrative issues may be addressed directly to the Human Resources (HR) Supervisor/Manager.

The Human Resources Supervisor/Manager is also available for assisting problem resolution on an Open Door basis. However, the employee should give his/her direct management chain the first opportunity to resolve the issue, unless they have a reasonable belief that their position or job may be in jeopardy if they address their issue to their supervisor or the next level manager. In that case the employee should contact the HR Manager to discuss the issue and request Open Door access to the Operations Manager and/or General Manager.

To be continued…

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Disclaimer

This policy sets out how DIAD Consulting, Inc. uses and protects any information that you give when you use this website.
We are committed to ensuring that your privacy is protected. Should we ask you to provide certain information by which you can be identified when using this website, you can be assured that it will only be used in confidence. We do not share your information with 3rd parties.

For inquiries, please call us or send us a message online.

Want to Learn More?

Send us a message on our contact form!

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