HR Compliance and Regulations Flashcards

Question 1

What is the difference between a statute and an agency regulation?

Accepted Answer

A statute is a law enacted by a legislature, such as Congress or a state assembly. An agency regulation is a rule written by an executive agency to carry out a statute, and it has the force of law only within the authority the statute grants.

Question 2

What is the difference between an employee and an independent contractor?

Accepted Answer

An employee works under the employer's control over how, when, and where work is performed, and is usually paid through payroll with taxes withheld. An independent contractor generally controls the manner of the work and supplies their own tools. Agencies weigh many factors, so a contract label alone does not settle the matter.

Question 3

How do employer size and industry affect which federal laws apply?

Accepted Answer

Coverage thresholds decide which laws apply, and employer size is often the most important factor. For example, many federal discrimination statutes apply only once an employer reaches a minimum headcount, while some wage rules reach nearly all businesses engaged in interstate commerce. Industry, government contracting, and union status can change the obligations that apply.

Question 4

How do federal and state laws relate when both cover the same workplace issue?

Accepted Answer

Generally, the stricter or more protective rule controls, because a federal law usually sets a floor rather than a ceiling. A state can add protections beyond the federal baseline, and a local ordinance can add more still. Employers should follow whichever requirement gives employees greater protection.

Question 5

Why do employers keep required posters and notices on site?

Accepted Answer

Many federal and state laws require employers to display certain notices where employees and applicants can read them. Posting them shows employees their rights, such as protections against discrimination or wage rules, and it helps employers show they gave required notice. Requirements vary by jurisdiction, so check current postings for each location.

Question 6

What is the role of a written policy in demonstrating legal compliance?

Accepted Answer

A written policy states the employer's rules, procedures, and expectations in a form employees can read and follow. It shows that the organization has defined its legal obligations and communicated them, which supports consistent decisions and gives managers clear guidance. Policies do not guarantee compliance, so they must be enforced, updated, and trained.

Question 7

What does employment at will mean for terminating an employee?

Accepted Answer

Employment at will means either party may end the relationship at any time, with or without cause or notice. However, this default has important exceptions. An unlawful reason such as discrimination or retaliation cannot justify a termination, and a written or implied contract may limit the employer's freedom to dismiss.

Question 8

What is the purpose of an internal HR compliance audit?

Accepted Answer

An internal compliance audit is a structured review of current practices against applicable laws, policies, and records. Its purpose is to find gaps before a regulator, employee, or court does, so the organization can correct problems, document improvements, and reduce future risk. Audits work best when they are scheduled, scoped, and followed by action.

Question 9

Which characteristics are protected under federal equal employment opportunity law?

Accepted Answer

Federal law generally prohibits employment discrimination based on race, color, religion, sex, national origin, age for those forty and older, disability, and genetic information. Some statutes add protections such as pregnancy, and many states and cities protect additional categories. Protected status alone does not prove discrimination, but it defines who the law covers.

Question 10

What is the difference between disparate treatment and disparate impact?

Accepted Answer

Disparate treatment is intentional discrimination, where an employer treats someone worse because of a protected characteristic. Disparate impact occurs when a neutral policy or practice affects a protected group more harshly and is not justified by business necessity. Intent is required for the first theory but not for the second.

Question 11

What does the Equal Pay Act require about compensation?

Accepted Answer

The Equal Pay Act requires employers to pay men and women equal wages for substantially equal work performed under similar conditions, unless the difference is based on seniority, merit, quantity or quality of production, or another factor other than sex. Employers cannot lower one employee's wage to remove a disparity.

Question 12

What does the bona fide occupational qualification exception allow?

Accepted Answer

The bona fide occupational qualification exception allows an employer to hire based on a protected trait, such as sex or religion, only when that trait is reasonably necessary to the normal operation of the business. It is interpreted narrowly, and customer preference or stereotypes do not qualify.

Question 13

How does harassment law treat conduct that creates a hostile work environment?

Accepted Answer

Harassment becomes unlawful when unwelcome conduct based on a protected characteristic is severe or pervasive enough to alter the conditions of employment and create an abusive environment. Employers are generally liable when they knew or should have known of the conduct and failed to act.

Question 14

What is retaliation, and why is it treated so seriously?

Accepted Answer

Retaliation is an adverse action taken against someone because they opposed discrimination, filed a complaint, or took part in an investigation. It is treated seriously because it discourages people from reporting violations, and protection generally applies even when the original complaint is not ultimately proven.

Question 15

What does a reasonable accommodation require under disability law?

Accepted Answer

A reasonable accommodation is a change to the job, schedule, equipment, or workplace that lets a qualified individual with a disability perform essential functions. The employer must engage in an interactive process with the employee to identify options. An accommodation is not required if it would cause undue hardship to the employer.

Question 16

How should an employer respond to an employee's request for religious accommodation?

Accepted Answer

An employer should promptly review the request, discuss possible options with the employee, and offer a reasonable accommodation unless it would cause undue hardship. Schedule changes, voluntary shift swaps, and dress or grooming adjustments are common examples. Decisions should be documented and applied consistently, and the employer should avoid assumptions about the employee's beliefs.

Question 17

What is the purpose of the Fair Labor Standards Act?

Accepted Answer

The Fair Labor Standards Act sets federal standards for minimum wage, overtime pay, recordkeeping, and child labor. It applies to covered employers and employees, and it establishes a baseline that states may exceed but not undercut. Understanding its basic framework is the starting point for nearly all federal wage and hour questions.

Question 18

What is the difference between exempt and nonexempt employees?

Accepted Answer

Nonexempt employees are entitled to overtime pay for hours worked beyond the threshold set by law, usually forty in a workweek. Exempt employees generally must meet both a salary requirement and a duties test, such as executive, administrative, or professional work, to fall outside overtime rules. Job titles alone do not determine exemption status.

Question 19

Why does the workweek definition matter for overtime calculations?

Accepted Answer

Overtime is calculated within a fixed and recurring workweek, which is a set of seven consecutive days that the employer designates. Hours are not averaged across separate weeks, so overtime owed in one week generally cannot be offset by shorter hours in another. Employers should define the workweek clearly in writing.

Question 20

How is the regular rate of pay used when calculating overtime?

Accepted Answer

The regular rate is the basis for overtime premium pay, and it generally includes most payments made for work, such as hourly wages, shift differentials, and nondiscretionary bonuses. Overtime hours are paid at one and one-half times the regular rate. Certain payments, like gifts or expense reimbursements, are typically excluded from the calculation.

Question 21

What is the difference between a paid break and an unpaid meal period?

Accepted Answer

Short rest breaks are generally treated as paid work time under federal law. A bona fide meal period, during which the employee is completely relieved from duty, may be unpaid. Some states impose their own break rules, so employers must check both.

Question 22

What is a tip credit and how does it affect minimum wage obligations?

Accepted Answer

A tip credit lets an employer pay a tipped employee a cash wage below the full minimum wage, with tips making up the difference, where the law permits it. The employer must still ensure the employee earns at least the full minimum wage once tips are counted.

Question 23

What is comp time and why is it generally not allowed for private employers?

Accepted Answer

Compensatory time is paid time off given in place of overtime pay, and it is generally available only to certain public agencies under federal law. Private sector employers must pay overtime in cash for hours beyond the threshold. Employers should check state rules, since some states impose additional limits.

Question 24

What is the purpose of a wage garnishment order?

Accepted Answer

A wage garnishment order is a court or agency directive requiring an employer to withhold part of an employee's pay and send it to a creditor or other designated party. Federal law limits how much may be withheld in most cases, and some state rules are stricter. Employers must follow the order.

Question 25

What are the basic duties an employer owes under workplace safety law?

Accepted Answer

Employers must provide a workplace free from recognized hazards that are likely to cause death or serious physical harm. They must comply with applicable safety standards, keep required records, and inform workers about hazards and protective measures. Employees also have rights, including reporting hazards without retaliation.

Question 26

What is the purpose of an injury and illness prevention program?

Accepted Answer

An injury and illness prevention program is a written plan that helps an employer find, evaluate, and control workplace hazards before they cause harm. It typically assigns responsibility, sets procedures for reporting and training, and includes regular inspections. Some states require such programs by law, and others encourage them as good practice.

Question 27

What is a safety data sheet, and why must it be available to workers?

Accepted Answer

A safety data sheet describes a hazardous chemical's properties, health effects, handling precautions, and emergency measures. Workers have a right to access these sheets so they can understand the risks of substances they use or are near. Employers must keep sheets accessible and train employees on how to read and use them.

Question 28

What is lockout tagout, and why is it used?

Accepted Answer

Lockout tagout is a procedure for disabling machinery and controlling hazardous energy, such as electrical or mechanical energy, before employees perform service or maintenance. Workers attach locks and tags so equipment cannot be started accidentally while someone is working on it. The procedure protects workers from unexpected startup, which can cause severe injuries.

Question 29

How does workers compensation generally protect employees who are injured on the job?

Accepted Answer

Workers' compensation is a state-regulated system that provides medical care and partial wage replacement to employees hurt on the job, in exchange for limiting most lawsuits against the employer. Coverage rules, benefit levels, and claim procedures vary by state. Employers usually must carry insurance or qualify as self-insured, and must report injuries promptly.

Question 30

What does the Family and Medical Leave Act generally provide?

Accepted Answer

The Family and Medical Leave Act generally entitles eligible employees to unpaid, job-protected leave for specified family and medical reasons. Eligibility depends on factors such as length of service and hours worked. Employers must maintain group health coverage during leave and restore the employee to the same or an equivalent position.

Question 31

What is the purpose of a return-to-work program after an injury?

Accepted Answer

A return-to-work program helps an injured employee resume productive duties safely through temporary or modified assignments. It supports recovery, reduces time away from work, and keeps skilled workers connected to their jobs. Any modified duties should follow medical restrictions, and employers should avoid pressuring employees to return before they are ready.

Question 32

When must an employer report a workplace fatality or serious injury?

Accepted Answer

Federal rules require employers to report a work-related fatality promptly and to report certain serious injuries, such as amputations or hospitalizations, within a short set period. The exact timing and method depend on the type of event, so employers should consult current agency guidance. Some states have their own reporting requirements that may be stricter.

Question 33

What types of employment records do employers typically need to keep?

Accepted Answer

Employers typically keep personnel files, payroll and time records, benefit information, and records of hiring decisions, such as applications and interview notes. Retention periods vary by record type and by law, so the safest approach is to follow the longest applicable requirement. Records should be stored securely and destroyed according to a written schedule.

Question 34

What is the purpose of Form I-9 and who must complete it?

Accepted Answer

Form I-9 documents an employee's identity and authorization to work in the United States, and the employer must complete the employer section. Employees complete their own section no later than the first day of work. Employers should keep completed forms on file and avoid selectively requesting documents, which can itself violate discrimination rules.

Question 35

What are the basic privacy concerns when handling employee medical information?

Accepted Answer

Medical information about employees must be kept confidential and stored separately from ordinary personnel files. Access should be limited to people with a legitimate need, such as supervisors who must know about work restrictions and first aid personnel. Employers should not use medical records to make unlawful employment decisions.

Question 36

What is personally identifiable information and why does it need protection?

Accepted Answer

Personally identifiable information is data that can identify an individual, such as a Social Security number, home address, or bank account details. Employers collect this information for payroll and benefits, so they have a duty to limit access and protect it from unauthorized disclosure. Breaches can lead to identity theft and legal liability.

Question 37

What is the purpose of a final pay requirement after separation?

Accepted Answer

Final pay rules require employers to pay wages owed to a departing employee by a set deadline, which varies by state and by the reason for separation. Final pay includes earned wages, and it may include accrued vacation depending on state law and written policy. Employers should consult state rules, since deadlines can differ.

Question 38

What is an exit interview and how can it support compliance?

Accepted Answer

An exit interview is a conversation held with a departing employee to learn about their experience and reasons for leaving. It can reveal policy violations, safety concerns, or discrimination that managers should address. Participation is usually voluntary, and responses should be recorded accurately and handled confidentially.

Question 39

What should an employer consider before conducting a reduction in force?

Accepted Answer

An employer should confirm that selection criteria are job-related and applied consistently, and review the impact on protected groups before notifying anyone. Advance notice requirements may apply under federal or state law, and some employees may be entitled to severance or benefits continuation. Documentation of the business reasons and selection process is essential.

Question 40

What is constructive discharge, and how does it differ from a voluntary resignation?

Accepted Answer

Constructive discharge occurs when an employer makes working conditions so intolerable that a reasonable person would feel forced to resign. Although the employee chooses to leave, the law may treat the departure as a termination for purposes of a discrimination or retaliation claim. A voluntary resignation is a choice made without that pressure.

HR Compliance and Regulations Flashcards

1Foundations of Employment Law

2Equal Employment and Discrimination

3Wage and Hour Rules

4Workplace Safety and Leave

5Records, Privacy and Separation

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