Compliance and Risk Management

Complying with laws, regulations, and policies while educating stakeholders to identify, mitigate, and respond to organizational risk.

5 minutes 5 Questions

Compliance and Risk Management is a critical area within Human Resources that focuses on ensuring an organization adheres to all applicable laws, regulations, and internal policies while proactively identifying and mitigating potential risks related to the workforce. Compliance in HR involves unde…

Concepts covered
I-9 Form Completion and Work AuthorizationCOBRA Continuation CoverageEEOC and Nondiscrimination LawsEmployment-at-Will DoctrineImmigration Reform and Control Act (IRCA)ERISA and Employee Benefits ComplianceUSERRA and Military Leave ProtectionsDrug-Free Workplace ActSarbanes-Oxley Act and Whistleblower ProtectionsRisk Assessment and Emergency PreparednessBusiness Continuity and Workplace SecurityIntellectual Property and Data ProtectionTitle VII of the Civil Rights ActAmericans with Disabilities Act (ADA)WARN Act and Worker Notification RequirementsNational Labor Relations Act (NLRA) and Union EnvironmentsCollective Bargaining and Alternative Dispute ResolutionFair Labor Standards Act (FLSA) and Wage/Hour LawsPatient Protection and Affordable Care Act (PPACA)OSHA Workplace Safety and Health StandardsHIPAA and Employee Privacy ProtectionsSexual Harassment Laws and PreventionMergers, Acquisitions, and Organizational Restructuring
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aPHR - Compliance and Risk Management Example Questions

Test your knowledge of Compliance and Risk Management

Question 1

What is the primary purpose of a 'no-strike clause' in a collective bargaining agreement?

Correct Answer: It prohibits the union from striking during the term of the contract

A no-strike clause is a contractual provision in which the union agrees not to engage in any work stoppages, strikes, or slowdowns during the life of the collective bargaining agreement, typically in exchange for a grievance and arbitration procedure to resolve disputes.

The lockout option refers to an employer action and is a separate concept not governed by a no-strike clause. Requiring binding arbitration for all disputes may accompany a no-strike clause but is not the clause's primary purpose. Restricting union organizing of additional bargaining units relates to representation matters, not strike activity.

Key concept tested: understanding labor relations contract provisions, specifically the no-strike clause in collective bargaining agreements.

Question 2

What does the term 'impasse' mean in collective bargaining?

Correct Answer: A point where neither party is willing to move from their position during negotiations

An impasse in collective bargaining occurs when negotiations reach a deadlock, meaning neither the union nor management is willing to make further concessions or compromise on their positions, effectively stalling the bargaining process.

A formal agreement after deliberation describes a settlement or ratified contract, not a breakdown in talks. A temporary pause to consult legal advisors is simply a caucus or recess, which is a routine part of negotiations. Submitting final proposals to a neutral third party describes final-offer arbitration, which is actually one method used to resolve an impasse after it has already occurred.

The key concept tested is understanding bargaining deadlock and its role in the collective bargaining process.

Question 3

Which federal agency is responsible for issuing the Uniform Guidelines on Employee Selection Procedures used to evaluate hiring practices for potential discrimination?

Correct Answer: The Equal Employment Opportunity Commission (EEOC)

The EEOC is the primary federal agency responsible for issuing and enforcing the Uniform Guidelines on Employee Selection Procedures (1978), which provide a framework for evaluating whether hiring and selection practices may have an adverse impact constituting discrimination under Title VII.

While the OFCCP enforces affirmative action and nondiscrimination requirements for federal contractors, it was not the primary issuer of the Uniform Guidelines. The NLRB oversees labor relations and collective bargaining, not employee selection procedures. The OPM manages federal workforce personnel policies but did not issue these guidelines.

Note: The Uniform Guidelines were actually adopted jointly by the EEOC, Department of Labor, Department of Justice, and Civil Service Commission, but the EEOC is recognized as the lead agency.

Key concept tested: Knowledge of the Uniform Guidelines on Employee Selection Procedures and the responsible federal agency.

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