If you are in HR, you’re no stranger to compliance management, forms, and deadlines—though keeping them all in order may be a different story. We want to be sure you are equipped with the right information to keep everything on track throughout the year, from ACA to FLSA.

That is why we put together the HR compliance calendar, to bring you an important list of dates and deadlines you need to know to keep your workplace on track.

In this month’s compliance calendar, you will find the key topics to keep your Company up-to-date including employee awareness and required or recommended training.

*NEW: Monthly Compliance Calendar Consultations – As a client of Guardian HR you already know how valuable it is to receive assistance from your dedicated consultant but did you know you also have a compliance consultant available to you as well.  We will review your overall HR practices and procedures and set you up on a 12-month compliance agenda where you will have monthly meetings with your compliance consultant who will help you implement our recommendations. Ask your Dedicated Consultant to get you started with your Compliance Consultant today.  There’s no additional cost.
  • Not applicable to HUB100 or GHR Hotline Clients

Holidays

  • National Employee Appreciation Day – March 6

Important Dates and Deadlines for this Month

March 2

  • Deadline for Electronic Submission of OSHA 300A Data Due for the calendar year 2020. The collection will begin on January 2, 2021. Remember, not all establishments need to submit their OSHA 300A Data. To review which establishments need to provide their data, click here.

March 10

  • Employees are required to report to you tips of $20 or more earned during February.

March 14

  • Daylight Savings Time Begins

March 31

  • End of Q1, calendar year. *
  • California employers with 100+ employees. Deadline to submit certain pay data to DFEH
  • FFCRA tax credit extension expiration.

Topics to Discuss and/or Review

1.Focus on Equal Employment Opportunity and Affirmative Action. For clients with access to the Forms Library, references to this section can be found in the folder “EEOC & Affirmative Action.”

  • Check EEO Protected Classes by State and Municipality. For clients with access to the Forms Library, see the chart, “EEO Protected Classes by State and Municipality “ 
  • Check Company Equal Opportunity or Affirmative Action policies to ensure compliance with Federal, State, and local laws.

2. Prepare EEO-1 Component 1 Survey ( For employers with 100+ employees (lower thresholds apply to federal contractors). See EEO-1 Frequently Asked Questions and Answers, Instruction Booklet, EEO-1 Survey Login, First Time Filers/Registration). For clients with access to the Forms Library, references to this section can be found in the folder “EEOC & Affirmative Action.”

  • After delaying the opening of the 2019 EEO-1 Component 1 Data Collection on May 8, 2020, in light of the Coronavirus Disease 2019 (COVID-19) public health emergency, the EEOC is pleased to announce 2019 as well as 2020 EEO-1 Component 1 Data Collection is now on schedule to open in 2021.
  • The 2019 and 2020 EEO-1 Component 1 Data Collection is scheduled to open in April 2021.  Filers should begin preparing to submit data in anticipation of the April 2021 opening.
  • The precise opening dates of the collections, as well as the new submission deadline dates, will be announced by posting a notice on the EEOC’s home page at eeoc.gov as well as on the new dedicated website for the EEOC’s data collections at https://EEOCdata.org. As in previous years, a notification letter will also be sent to eligible filers. Please visit https://EEOCdata.org for more information regarding updates on the data collections. When the collections open, resources to assist filers with their submissions will be available online at https://EEOCdata.org. The EEOC Filer Support Team will also be available to respond to filer inquiries and to provide additional filling assistance.
  • California Employers with 100+ employees submit pay data to the Department of Fair Employment and Housing. For clients with access to the Forms Library, see the folder “Pay Data Reporting – SB 973” located in the “California” folder.

3. Set reminders for upcoming EEO-3, EEO-4, & EEO-5 Data Collection

  • The precise opening date of the collections, as well as the new submission deadline date, will be announced by posting a notice on the EEOC’s home page at eeoc.gov as well as on the new dedicated website for the EEOC’s data collections at https://EEOCdata.org.  As in previous years, a notification letter will also be sent to eligible filers. Please visit https://EEOCdata.org  for more information regarding updates on the data collection.
  • When the collection opens, resources to assist filers with their submissions will be available online at https://EEOCdata.org.  The EEOC Filer Support Team will also be available to respond to filer inquiries and to provide additional filling assistance.
  • EEO-3 –
    • The EEO-3 Report, formally known as the Local Union Report, is a biennial data collection conducted every other year in the even calendar years.
    • The 2020 EEO-3 Data Collection is scheduled to open in August 2021.  Filers should begin preparing to submit data in anticipation of the August 2021 opening.
  •  EEO-4-
    • The EEO-4 Report, formally known as the State and Local Government Report, is collected in odd-numbered years from State and Local governments.
    • The 2021 EEO-4 Data Collection is scheduled to open in October 2021. Filers should begin preparing to submit data in anticipation of the October 2021 opening.
  • EEO-5-
    • The EEO-5 Report, formally known as the Elementary-Secondary Staff Information Report, is a joint requirement of the EEOC and the Office for Civil Rights (OCR) of the U.S. Department of Education. It is conducted biennially, in even-numbered years, and covers all public elementary and secondary school districts with 100 or more employees in the United States. The filing deadline was November 30, 2018.
    • The 2020 EEO-5 Data Collection is scheduled to open in July 2021.  Filers should begin preparing to submit data in anticipation of the July 2021 opening.

4. Conduct Sexual Harassment Training for all employees (Certain States have their own requirements please check). For clients with access to the Forms Library, see the chart, “Sexual Harassment Training by State“.

  • We offer this training both live and online. It is included in our training library at www.guardian-hr.com. Please feel free to contact us to schedule live training.

5. Develop a Diversity and Inclusion Initiative. For clients with access to the Forms Library, references to this section can be found in the folder “Diversity”.

  • Conduct diversity and inclusion cultural assessments as a diagnostic tool to identify any barriers to workplace exclusion. An effective cultural assessment should solicit detailed information concerning employee perceptions regarding:
    • Differences in promotion and advancement;
    • Differences in compensation;
    • Differences in access to opportunities (e.g., for training and development);
    • Sexual harassment or other unlawful discrimination; and
    • Management’s commitment to diversity and inclusion.
  • Create a Diversity and Inclusion Mission Statement to explain why the employer is taking certain actions, such as:
    • Creating affinity groups;
    • Developing mentoring programs;
    • Providing diversity and inclusion training; and
    • Recruiting at different colleges and universities.
  • Steps to Increase and Manage Workplace Diversity
    • Hire a Diverse Workforce
    • Carefully Onboard and Manage Employees
    • Avoid Stereotypes
    • Implement Policies Fairly and Consistently
    • Respond to Complaints
    • Lead by Example
    • Increase Sensitivity
    • Eliminate Miscommunication
    • Build Relationships
    • Handling Conflicts Effectively

6. Discuss and develop strategies to provide inclusivity for individuals that are Gender Transitioning. For clients with access to the Forms Library, references to this section can be found in the folder “Diversity” and click the subfolder, “Gender Transitioning.”

7. Evaluate the types of complaints received in the previous year to see which areas need more guidance, training, etc. For clients with access to the Forms Library, references to this section can be found in the folder “Complaints” and the folder, “Harassment.”

8. Train supervisors and managers on the Company’s complaint procedure and bring up points of concern based on the previous year’s complaint evaluation. For clients with access to the Forms Library, references to this section can be found in the folder “Complaints.”

  • How do employees communicate work-related problems or file complaints? (Open-Door Policy, Complaint Resolution Policy, Investigation Procedure, Discrimination, Harassment, and Retaliation Reporting, Whistleblower policy, reporting to the EEOC or State Reporting Procedures).
  • What is the process supervisor and manager must do when receiving a complaint? (i.e. Who do they report it to? Is there anything they need to document/file?)
  • How does the Company follow-through with complaints?

9. Conduct a meeting or an open discussion with employees to instruct them on any employee dating or non-fraternization policies, their reporting options, the Company’s role in investigations of received complaints, the Company’s prohibition of retaliation, and to encourage employees to report any violation of Company Policies including Harassment, Discrimination, Retaliation, Conflict of Interest, etc. to any individual of management they feel comfortable). For clients with access to the Forms Library, references to this section can be found in the folders “Complaints” “Conduct” and “Harassment.”

Tips

More information in reference to the topics discussed in this month’s compliance calendar can be found in our comprehensive online Forms Library, which is available to members 24/7.

Note: This calendar is designed to help our clients review the key human resources-related reporting and notice requirements that may apply to their organizations. Please note that this list is for general reference purposes only and is not all-inclusive. Many of the compliance requirements are complex ERISA or other statutory legal filings and responsibilities may vary depending on your company’s plans. We encourage you to consult with your insurance brokers, plan administrators, and/or your ERISA and tax advisors for further guidance.

For the most current information on certain tax-related or benefit-related documents or forms provided by the IRS, or other sources, please check with a tax professional, benefit professional, and/or the correlating websites (i.e. irs.gov/LatestForms, etc.).