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Can I backdate FMLA paperwork?

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Question:

Can I backdate FMLA paperwork to the date at which the employee went on Workers’ Compensation?

Answer:

In a word, “no” – FMLA cannot be backdated. That’s why it is so critical that HR is on top of any types of absences that may qualify for FMLA. If an injury that falls under Workers’ Compensation also qualifies as a “serious medical condition” under the Family and Medical Leave Act, any time missed can be counted against the 12 week leave allotment an FMLA qualified employee is entitled to receive. When such an event occurs, send the appropriate notifications (found on www.dol.gov), and make sure you document that you have done so.  Then follow up appropriately for the certifications. The clock does not start ticking on FMLA until the notifications have been sent – whether it is immediately after the incident, or two months later. Keep in mind, if an employee returns to work on light duty, from a Workers’ Comp injury, that is no longer time counted against Family Medical Leave.

The world of employee leave is a complex one, often involving Family Medical Leave, Workers’ Compensation and the Americans with Disabilities Act. Many times, the different types of leaves overlap. Make sure you consider all appropriate legislation when an employee is absent from work before taking any type of adverse employment action.

FMLA, the ADAAA and other labor laws can be difficult to interpret, let alone enforce. That’s where Strategic HR has you covered. We bring years of experience and know-how to the table. We can assist you with your tough compliance issues and help you sleep more soundly at night. Visit our Compliance page to learn more.

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Summary of Benefits Coverage

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Question:

It sounds like the Health Care Reform is requiring employers to distribute Summary of Benefits Coverage documents for plan years beginning September 23. What do I need to know?

Answer:

You are right!  Starting September 23, the Accountable Care Act (aka Health Care Reform) requires employers to distribute the new Summary of Benefits Coverage (SBC’s) documents.

At first glance, the SBC’s seem like an easy task to check off your to-do list. Most health care vendors are filling in the government-designed templates for their clients. All you have to do is hang them on your site or mail to employees. Easy, right?

Well, not so fast.

Since we create and maintain Summary Plan Descriptions for our clients, many have asked us to review the SBC documents sent to them by their vendors. We have found some vendors are providing base documents, but are not including the specific nuances designed into the plans.

When you get your SBC’s, closely check some of the following areas:

  • Penalties: If you have penalty fees, e.g. for not pre-certifying a hospital stay, the fees need to be in the Limits and Exceptions box on the same line where the coverage is listed.
  • Limitations: If your plan has unique limitation amounts, e.g. for speech and physical therapy or home health and hospice service, make sure they are listed correctly, again on the same line where the coverage is listed.
  • Prescription carve outs: If your prescription coverage is carved out from your medical plan, your medical vendor probably won’t complete that section. You will need to complete that part of the template and ask your prescription vendor to review it for accuracy.

For the initial year, the Department of Labor has indicated it wants to work with plans to get to compliance and is not focusing on imposing penalties. Therefore, you might not be concerned about meeting every regulation spelled out in the government’s 15-page instructions. However, keep in mind that you will probably pick up the same document next year, so it would probably be worth the time and effort to get it as accurate and complete as possible. As is true with most benefits and HR communications, the devil is in the details.

A special thanks to Elizabeth Borton, President of Write On Target, for sharing her expertise with us.  Sign-up on her website at to receive future communication blogs at www.writetarget.com. Or, you can contact her with questions at EBorton@WriteTarget.com or  937.436.4565 at extension 28.

Are you hesitant when it comes to navigating federally mandated rules and regulations? Strategic HR understands your uncertainty. Ask us for assistance for any of your benefits and compensation needs. Please visit our Benefits & Compensation page for more information on any of these services.

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What to Include in a Written Warning

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Question:

I was told that I should give a written warning to a problem employee to create documentation. What should the written warning include?

Answer:

First make sure you are following your established disciplinary policy and procedures. Do you have any steps prior to a written warning that need to take place (i.e. counseling, verbal warning, etc.)? Assuming that giving a written warning follows your typical disciplinary procedures, you’ll want to create a record of discussion and document the following:

  • Employee and Supervisor’s Name
  • Date of the written warning / disciplinary action
  • Description of the performance issue being addressed
  • Corrective action required by employee
  • Resources available to assist the employee (if applicable)
  • Consequences of not improving performance
  • Date for follow up discussion
  • Acknowledgement of the warning by employee and supervisor

A copy of this document should be placed in the employee file. Be sure to follow up on the documented date to follow through with the disciplinary procedure.

Recordkeeping is one of the more mundane tasks associated with Human Resources, but is extremely important. Keeping documentation of corrective actions, counseling sessions and performance appraisals are vital to making sure you are being consistent with your disciplinary and performance policies. Strategic HR has a great online tool that’s affordable, easily downloaded and ready for immediate use. Our Coaching and Counseling toolkit has sample policies and forms to help you with your Counseling needs. Visit our Recordkeeping page to learn more.

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Filing Employee Paperwork

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Question:

I am new to HR and there is currently no system for filing employee paperwork. Where do I even start to go through the piles?

Answer:

Once you get organized, employee documentation can actually be quite easy to maintain. To start, you will need a minimum of three files: a personnel file, a confidential medical file and a confidential, non-medical file. It is important to separate medical information from non-medical information due to HIPAA privacy requirements. Using the three folder method, each should include:

Personnel File: Applications for employment, resumes, certifications, most pre-employment and new hire paperwork (see below for exceptions), payroll information, attendance records, discipline documentation, performance evaluations, training needs, and documents relating to employment decisions (promotion, demotion, transfer, layoff, termination).

Confidential Medical File: Benefits enrollment paperwork, doctor’s excuses, FMLA or any other type of medical leave documents, disability documentation, Workers’ Compensation documents, injury reports, drug and alcohol testing, and any other form containing medical information.

Non-Medical Confidential File: Criminal or Credit Background checks, garnishments, EEO related charges or investigation documents, litigation documents, and 401k enrollment forms.

Some employers may also choose to have a separate folder for compensation or performance related matters. I-9 forms should be kept together for all employees in one binder.

Recordkeeping can be a daunting task, especially once you get behind in filing. Keeping some documents accessible, but confidential is extremely important. Strategic HR has an easy to use desktop reference to assist with managing employee documentation and record retention. Visit our HR Store page to learn more about this handy tool.