The Importance of Documentation and Notice Requirements

Rose Miller

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You probably know some of the negative effects that can happen due to a lack of documentation, which in turn, presents difficult in compliance with recordkeeping or notice requirements, such as being penalized for breaking the law or being unable to defend the organization in a lawsuit. However, there are also positive reasons to make sure you are in compliance with your documentation efforts. 

Records and notices are among the best ways to demonstrate that your organization is treating its employees ethically and fairly and respecting their rights. Accurate, thorough records are some of the best evidence of good organizational citizenship. 

Notices can have a similar positive message: Well-trained employees are aware of their rights. Notices are not only legal requirements, they are also training tools to be used to keep your employees informed. 

So let’s not lose sight of the positive dimensions of records and notices. Federal and your specific State’s recordkeeping requirements are extensive and sometimes confusing, as are notice requirements for the various laws. To help you sort it all out, today we will cover the basic information you need to know about the recordkeeping and notice requirements of some major employment laws. 

Most employment laws require employers to keep records covering employment decisions and actions and to post notices concerning the provisions of these laws. There are several benefits to complying with these requirements by keeping good records. 

First, recordkeeping assists in managing human resources by providing hard data on the effectiveness of policies and procedures. For example, records of accidents in the workplace help identify why accidents are occurring and how to prevent them. 

Next, records help to demonstrate compliance and cooperation, not just with recordkeeping requirements, but with the broader purposes of government laws and regulations. For example, documentation of equal employment opportunity practices can help show that an employer is in compliance with Title VII of the Civil Rights Act and is truly giving everyone an equal opportunity to succeed. 

Records also provide documentation to defend—and even drive—employment decisions. For example, they can help when defending against a lawsuit brought by an employee or employees under one of the employment laws. We’ll cover quite a bit of material in this session including all the various employment laws where documentation and notice requirements should be included in all internal business processes. We will review many of the key federal labor laws and build your understanding of their documentation, recordkeeping and notice requirements, as reflected in your documentation goals.

With each law covered, we will use real life examples of situations in the workplace and provide examples of documentation suggested. 

We will review the importance of proper documentation and requirements. Obviously, these things are important because they are required under the law, but there’s more to it than that. They also keep your organization streamlined with accurate and thorough records that help your organization run smoothly and manage its human resources effectively. 

There are many events that call for good documentation by managers and supervisors. We will cover events such as performance reviews, employee conduct (good and bad), training/certifications and rates of pay/bonuses/merit increases. We will also cover the preferred ways to document these events. 

Finally we reviewed some posting notices mandated to make your employees aware of their rights under the law and sends a message that the rules must be obeyed. Sound recordkeeping and notice practices also help defend employment decisions and actions, in case of trouble.

Course Objective

At the close of this session, you will be able to:
  • We’ll solve this puzzle of federal requirements by focusing on a few specific goals:
  • We’ll begin this session with an introduction highlighting the importance of records and notices and commenting on retention, storage, and destruction of records.
  • Next, we will review the recordkeeping requirements of key employment laws so that you will be familiar with the basic rules.
  • We will walk through situations related to each key employment law and review some examples of completed documents.
  • We will discuss other tasks that require complete and accurate documentation.
  • Then, we’ll discuss notice requirements so that you will be aware of what notices
  • need to be posted and how to post them in compliance with the laws.
  • Case Studies on Documentation
At the end of the presentation, we’ll make time for questions or comments.  Then I would like wrap up with a short quiz and answer key.

Course Outline

Documentation and Notice Requirements Related to:
  • Recordkeeping and Notice Requirements Objectives
  • Why Stay in Compliance?
  • Records Retention and Disposal
  • Documentation and Notice Requirements Related to:
    • ADEA: Requirements/Recommendations
    • ADA: Required Records
    • ADA: Other Requirements
    • Civil Rights Act of 1964, Title VII: Required Records
    • Civil Rights Act of 1964, Title VII: Other Requirements
    • Match the Act to the Action
    • COBRA: Recommendations
    • COBRA: Record Retention
    • EPPA: Other Requirements
    • Employee Retirement Income Security Act  
    • Equal Pay Act   
    • Fair Labor Standards Act: Required Records
    • Family and Medical Leave Act: Required Records 
    • Immigration Reform And Control Act  
    • OSHA Requirements    
  • Case Studies and documents of all above mentioned areas 
  • Other Documentation Requirements 
  • Posters and Notices
  • Quiz and Answer Key

Target Audience

  • Employers and Business Owners
  • Human Resources Specialists
  • Hiring Managers
  • HR Managers/Supervisors 
  • Risk Managers 
  • Compliance Officer 
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Speaker: Rose Miller, HR audits, policy creation, employee handbooks, talent

Rose Miller is President of Pinnacle Human Resources, LLC. Pinnacle Human Resources is a NYS and Nationally certified Women Owned Business Enterprise. Her company is located in Albany and Syracuse, New York. Rose has been a Human Resources profession for more than 20 years. She and her team of 12 HR experts provide HR solutions to businesses of every size. They provide strategic and tactical support such as HR audits, policy creation, employee handbooks, talent acquisition services, performance solutions, HRIS solutions, compensation systems and training. Rose holds a Bachelors of Science degree in Organizational Behavior from Lesley University, and received her Senior Professional of Human Resources (SPHR) certification from the Human Resources Certification Institute in Princeton, NJ. Rose holds board positions on several non-for-profit organizations and is a monthly columnist for the Albany Times Union, a Hearst publication.