Compliance Action Plans FAQs

The DOL says that "[e]mployers and others in the department's regulated communities must understand that the burden is on them to obey the law, not on the Labor Department to catch them violating the law.” "Employers will have to put together a plan that is designed to avoid violations of workplace laws."

Here are a few questions we routinely get on our Compliance Action Plan and HR Audit programs.

How much time will the HR Audit and Compliance Action Plan take me? I am already covered up.

How will the Compliance Action Plan program benefit my organization?

I am not a big company. Is this program for me?

What does the Compliance Action Plan program cover?

So, how do I get this started?

What does the DOL say about Compliance Action Plans?

How much time will the HR Audit and Compliance Action Plan take me? I am already covered up.

That’s the good news! PGPi will get your employee handbook, other policies, compensation plans and practices, safety programs and additional information on your company and we, not you, will do an audit and write the resulting Compliance Action Plan. Our goal is to be as thorough and unobtrusive as possible. Your time commitment is very small.         Top

How will the Compliance Action Plan program benefit my organization?

First, the Compliance Action Plan will let you know where you are from a regulatory compliance point of view and what you need to do to be in full compliance. This allows you to do good planning and asset allocation to achieve your compliance goals.

Second, the Compliance Action Plan often more than pays for itself in savings we find as a result of the human resource audit portion of the project.

Finally, a good Compliance Action Plan will help you if a Department of Labor investigation should occur. An employer's failure to adopt and implement a compliance action plan could result in increased penalties for the organization. On the other hand, an effective compliance action plan will demonstrate your commitment to compliance.         Top

I am not a big company. Is this program for me?

We’ve found that organizations with 20 or more employees get a lot of value out of our HR Audit and Compliance Action Plan programs.
Whether you are a small business or a large one, being in compliance with applicable law is the right thing to do and it will save you a lot of money and stress over time.         Top

What does the Compliance Action Plan program cover?

A lot!
We look at:

• Your compensations systems (base wage, bonus, commission and incentive compensation, salary increase processes, etc.),
• Your employee timekeeping and other recordkeeping processes and systems,

• Your hiring, performance management, discipline, coaching and termination processes.
• Your safety programs and results,
• Your employee handbook,
• Much, much more.         Top

So, how do I get this started?

That’s easy. Please call Rick Galbreath, PGPi’s Practice Leader our Compliance Action Plan and HR Audit divisions today. Rick will be able to advise of our process and fees.

You will be positively surprised by our reasonable prices and impressed by the quality of our practical, intentionally value-adding approach. We want to be part of your team – now and in the future – and treat you that way!         Top

What does the DOL say about Compliance Action Plans?

The following is taken from the Department of Labor Regulatory Agenda Narrative page on the DOL website.

Leveraging Limited Resources to Increase Compliance: "Plan/Prevent/Protect"

Employers and others must "find and fix" violations — that is, assure compliance — before a Labor Department investigator arrives at the workplace. Employers and others in the Department's regulated communities must understand that the burden is on them to obey the law, not on the Labor Department to catch them violating the law. This is the heart of the Labor Department's new strategy.

We are going to replace "catch me if you can" with "Plan/Prevent/Protect."

In various ways, employers and other regulated entities will be asked to assemble plans, create processes, and designate people charged with achieving compliance. They will be required to implement these plans and evaluate their effectiveness in achieving compliance. While the Labor Department can be flexible about which path is chosen to achieve compliance, compliance will be non-negotiable under the "Plan/Prevent/Protect" system.

Historically, worker protection agencies at the Department of Labor, most notably the Office of Federal Contract Compliance Programs (OFCCP) and the Mine Safety and Health Administration (MSHA), have developed compliance programs targeted at specific workplace risks and hazards. For example, employers and others implementing Executive Order 11246's anti-discrimination and affirmative action requirements are required to create programs for diverse workplaces under OFCCP's existing regulations. The Mine Act requires unique mine plans for ventilation and dust control, among others. The Department's latest Regulatory Agenda contains new regulations, discussed in greater detail below that will require employers and other regulated entities to improve the content, implementation, and evaluation of these existing, hazard-specific protection plans and programs. But it also proposes new rules in new areas based on the same philosophy.

"Plan/Prevent/Protect" marks an expansion of these kinds of requirements to more worker protection efforts in the Labor Department. In this Regulatory Agenda, the Occupational Safety and Health Administration (OSHA), MSHA, OFCCP, and the Wage and Hour Division (WHD) will propose regulatory actions that require employers and others to develop programs to address certain employment law compliance issues within each agency's portfolio. Although the specifics will vary by law, industry and regulated enterprise, this "Plan/Prevent/Protect" strategy will require all regulated entities to take three steps to ensure safe and secure workplaces and compliance with the law:

"Plan": The Department will propose a requirement that employers and other regulated entities create a plan for identifying and remediating risks of legal violations and other risks to workers — for example, a plan to search their workplaces for safety hazards that might injure or kill workers. The employer or other regulated entity would provide their employees with opportunities to participate in the creation of the plans. In addition, the plans would be made available to workers so they can fully understand them and help to monitor their implementation.

"Prevent": The Department will propose a requirement that employers and other regulated entities thoroughly and completely implement the plan in a manner that prevents legal violations. The plan cannot be a mere paper process. The employer or other regulated entity cannot draft a plan and then put it on a shelf. The plan must be fully implemented for the employer to comply with the "Plan/Prevent/Protect" compliance strategy.

"Protect": The Department will propose a requirement that the employer or other regulated entity ensures that the plan's objectives are met on a regular basis. Just any plan will not do. The plan must actually protect workers from violations of their workplace rights.

Employers and other regulated entities who fail to take these steps to address comprehensively the risks, hazards, and inequities in their workplaces will be considered out of compliance with the law and, depending upon the agency and the substantive law it is enforcing, subject to remedial action. But employers, unions, and others who follow the Department's "Plan/Prevent/Protect" strategy will assure compliance with employment laws before Labor Department enforcement personnel arrive at their doorsteps. Most important, they will assure that workers get the safe, healthy, diverse, family-friendly, and fair workplaces they deserve.         Top

Link to DOL Site: http://www.dol.gov/regulations/2010RegNarrative.htm

Call us now at:

312.880.7741 (Chicago)
317.721.7741 (Indianapolis) or
309.664.7741 (Central Illinois) or

Email:   Compliance_Action_Plans@complianceactionplans.com
to find out more about our human resources audit and compliance action plan services.
PGPI performs HR Audits and develops Compliance Action Plans throughout the United States.