Compliance, Documentation and Policy Development
Compliance
The three-layer framework
Public-sector compliance stacks federal law, state/local statute, and the merit-system or civil-service rules of the jurisdiction. When standards conflict, the more protective or more specific rule usually controls - and the exam often tests whether you can identify which law actually applies to the facts given.
Core statutes to know
- FLSA: overtime and exemption. Exemption requires both a salary basis and a duties test - paying a salary alone proves nothing. Nonexempt public employees may receive comp time in lieu of overtime only in limited circumstances.
- Title VII: race, color, religion, sex, national origin; disparate treatment vs. disparate impact.
- ADA: disability, the interactive process, reasonable accommodation, undue hardship.
- ADEA (40+), Equal Pay Act, GINA, USERRA (reemployment rights).
- FMLA: 12 weeks; eligibility = 12 months of service (need not be consecutive) + 1,250 hours in the prior 12 months + 50 employees within 75 miles.
Traps that appear in questions
- Confusing ADA leave with FMLA leave - they may run concurrently, but eligibility and notice rules differ.
- Treating "salaried" as synonymous with "exempt."
- Forgetting that a retaliation claim can succeed even when the underlying discrimination claim fails.
- Ignoring veterans' preference or merit rules that override private-sector instincts.
Rule of thumb
Run a four-step screen before choosing an answer: (1) Who is covered? (2) Which law is triggered? (3) What action and timeframe are required? (4) What documentation proves compliance? An answer that skips a step is usually the distractor.
Worked example: An employee hired 14 months ago who worked only 1,100 hours in the past year is not FMLA-eligible - she fails the hours test, not the months test.
Documentation and Policy Development
The policy lifecycle
A defensible policy moves through a predictable cycle: needs assessment → drafting → legal/HR review → approval by the proper authority → communication and training → consistent administration → periodic evaluation and revision. Candidates should be able to name the steps and, more importantly, spot when one has been skipped. A policy that is written but never communicated, or communicated but never enforced, is a liability rather than a protection.
Documentation standards
Good documentation is contemporaneous, factual, specific, and behavior-focused. For disciplinary records, capture who, what, when, where, the impact on operations, the expectation going forward, and the consequence of recurrence. Conclusions and labels ("poor attitude") are weak; observed behavior is strong.
Records management
Know the retention rules: FLSA payroll records generally three years, supporting time records two years; Title VII records generally one year (two for larger employers); applicant and selection records retained per EEO rules. Medical and disability information belongs in a confidential medical file, never the general personnel file. Public-records/FOIA statutes create disclosure obligations that vary by state.
Traps
- Handbook language that reads like a promise ("employees will be disciplined only for just cause") can be construed as a contract.
- Inconsistent enforcement - the employee who was never counseled for the same conduct - is a classic defense.
- Long-standing past practice can become binding even without written policy.
- Destroying records during a litigation hold is a serious violation.
Rule of thumb
"If it isn't documented, it didn't happen." A neutral reviewer should be able to read the file and reach the same conclusion you did without asking a single question.
Worked example: A coaching note reading "Spoke with J. about lateness, 3/4, 9:12 a.m. (scheduled 8:00), third occurrence in 30 days; reviewed attendance policy; J. agreed to text supervisor by 7:30 if delayed" is defensible; "talked to J. about attendance problems" is not.