111111111111111111111111111111111111111111)11010111
`
`
`
`111111 11101 111
`
`(12) United States Patent
`Exall et al.
`
`(10) Patent No.:
`(45) Date of Patent:
`
`US 7,330,817 B1
`Feb. 12, 2008
`
`(54) SYSTEM AND METHODS FOR
`EMPLOYMENT LAW COMPLIANCE,
`ESTABLISHMENT, EVALUATION AND
`REVIEW
`
`(75) Inventors: Marian Exall, Atlanta, GA (US);
`Steven S. Greene, Roswell, GA (US);
`Fred Rogan, Birmingham, AL (US);
`Victoria Helms, Atlanta, GA (US);
`Janet Tomko, Atlanta, GA (US); Tricia
`Reeks, Atlanta, GA (US); Daniel
`Paulk, Mableton, GA (US)
`
`4/1998 Covey
`5,745,755 A
`3/1999 Peterson et al.
`5,884,275 A
`8/2000 Hartnett
`6,112,188 A
`9/2000 Ibarra
`6,119,097 A
`9/2000 Wiitala et al.
`6,122,622 A
`12/2000 Hollingsworth
`6,157,808 A
`7/2002 Callahan
`6,416,328 Bl*
`6/2005 Broadbent et al.
`6,904,412 Bl*
`2001/0051906 Al* 12/2001 Esposito
`2002/0059093 Al*
`5/2002 Barton et al.
`2002/0184148 Al* 12/2002 Kahn et al.
`2004/0010517 Al*
`1/2004 Fetherston
`
`OTHER PUBLICATIONS
`
`434/322
`705/38
`705/35
`705/10
`705/40
`707/104.1
`
`(73) Assignee: Employment Law Compliance, Inc.,
`Atlanta, GA (US)
`
`"Employer's Survival in the Thickening Jungle of Regulatory
`Mandates," PR Newswire, Apr. 24, 1997.*
`
`( * ) Notice:
`
`Subject to any disclaimer, the term of this
`patent is extended or adjusted under 35
`U.S.C. 154(b) by 1056 days.
`
`(21) Appl. No.: 09/929,859
`
`(22)
`
`Filed:
`
`Aug. 13, 2001
`
`Related U.S. Application Data
`
`(60) Provisional application No. 60/224,836, filed on Aug.
`11, 2000.
`
`(51)
`
`Int. Cl.
`G06Q 99/00
` 705/1
`(52) U.S. Cl.
` 705/1
`(58) Field of Classification Search
`See application file for complete search history.
`
`(2006.01)
`
`(56)
`
`References Cited
`
`U.S. PATENT DOCUMENTS
`
` 5,224,173 A
`5,489,213 A
`5,623,403 A
`
`6/1993 Kuhns et al.
`2/1996 Makipaa
`4/1997 Highbloom
`
`(Continued)
`
`Jonathan Ouellette
`Primary Examiner
`(74) Attorney, Agent, or Firm Weatherly Kerven & Seigel
`LLC; David S. Kerven; Mitchell G. Weatherly
`
`(57)
`
`ABSTRACT
`
`The present invention is directed to systems and methods for
`facilitating an employer's compliance with employment
`laws. A typical system includes a data store for storing
`compliance information, a processor for supporting compli-
`ance functionality and a link to a communication channel
`allowing communication with one or more agents of an
`employer. A request to interact is received from an agent
`indicating a selected employment action. The agent is pro-
`vided access to process documentation guiding him through
`a process associated with the selected employment action.
`The agent's interactions with the process documentation are
`stored. Compliance reports are generated and sent to appro-
`priate employer agents. Some embodiments may support
`process documentation development and update. An educa-
`tion facility may be provided in some embodiments.
`
`94 Claims, 13 Drawing Sheets
`
`214
`
`220
`
`SERVER CLUSTER
`
`218
`
`210
`
`22
`
`DA A
`
`2
`
`2
`
`DATA
`STORE 240
`
`30
`
`DATA SERV ER(S)
`
`COMPLIANCE
`ENVIRCAMENT
`
`250
`
`110 280
`
`270
`
`SERVER 1
`
`SERVER 2
`
`INTERNET
`APPLIANCE
`
`OTHER TERMINAL
`
`SERVER N
`
`EMPLOYMENT LAW
`INFORMATION SOURCE
`
`WIRELESS MOBILE
`DEVICE COMPUTER PERSONAL
`USER
`COMPUTER
`LCOMMUNITY
`
`HOTLINKHR & KPA
`EXHIBIT 1001
`
`Page 1 of 34
`
`
`
`
`
`
`
`
`

`

`US 7,330,817 B1
`Page 2
`
`OTHER PUBLICATIONS
`
`Compliance Pro Software information, www.getyers.com*
`Meade, Jim, "Desktop Employment Law: an HR attomet in your
`PC." HRMagazine, Oct. 1999.*
`Phin, Donald A., "Address Potential Workplace Liabilities Up
`Front: Educate Employees Often About Policies, and Ask Them
`About Problems Before They Come To You," Business Insurance,
`p. 16, Nov. 2, 1998.*
`Heckman & Roetter, "Designing Government Agents for Constitu-
`tional Compliance," Proceedings of the Third Annual Conference
`on Autonomous Agents, pp. 299-305, May 1-5, 1999.
`Johnson & Mead, "Legislative Knowledge Base Systems for Public
`Administration: Som Practical Issues," Proc. of the 3d Intemat'l
`Conf. on Al & Law, pp. 108-117, Jun. 25-28, 1991.
`King & Stanley, "Ensuring Court Admissibility of Computer-
`Generated Records," ACM Transactions on Information Systems,
`vol. 3, Issue 4, pp. 398-412, Oct. 1985.
`Matthijssen, "An Intelligent Interface for Legal Databases," Pro-
`ceedings of Fifth Intemat'l Conf. on Al & Law, pp. 71-80, May
`21-24, 1995.
`Morris, et al. "Handling of Significant Deviations from Boilerplate
`Text," Proceedings of the First Intemat'l Conf. on Al & Law, pp.
`145-154, May 27-29, 1987.
`
`Heckman and Roetter, "Designing Government Agents for Consti-
`tutional Compliance," Proceedings of the Third Annual Conference
`on Autonomous Agents, pp. 299-305, May 1-5, 1999, Seattle, WA
`USA.
`Johnson and Mead, "Legislative Knowledge Base Systems for
`Public Administration: Some Practical Issues," Proceedings of the
`Third International Conference on Artificial Intelligence & Law, pp.
`108-117, Jun. 25-28, 1991, Oxford, United Kingdom.
`King and Stanley, "Ensuring Court Admissibility of Computer-
`Generated Records" ACM Transactions on Information Systems,
`vol. 3, Issue 4, pp. 398-412 (Oct. 1985).
`Matthijssen, "An Intelligent Interface for Legal Databases," Pro-
`ceedings of the Fifth International Conference on Artifical Intelli-
`gence and Law, pp. 71-80, May 21-24, 1995, College Park, MD,
`USA.
`Morris, et al. "Handling of Significant Deviations from Boilerplate
`Text," Proceedings of the First International Conference on Arti-
`ficial Intelligence and Law, pp. 145-154, May 27-29, 1987, Boston,
`MA USA.
`
`* cited by examiner
`
`Page 2 of 34
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 1 of 13
`
`US 7,330,817 B1
`
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`Page 3 of 34
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`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 2 of 13
`
`US 7,330,817 B1
`
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`Page 4 of 34
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`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 3 of 13
`
`US 7,330,817 B1
`
`FIG. 3
`
`RECEIVE REQUEST
`TO INTERACT
`
`310
`
`V
`ACCESS TO
`PROCESS
`DOCUMENTATION
`
`320
`
`STORE AGENT
`INTERATIONS
`
`330
`
`GENERATE
`REPORT
`
`340
`
`SEND REPORT
`
`350
`
`Page 5 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 4 of 13
`
`US 7,330,817 B1
`
`FIG. 4
`
`EMPLOYEE
`EDUCATION
`ON POLICY
`
`410
`
`TRAIN MANAGER/
`HR INVESTIGATOR
`
`415
`
`TEST EMPLOYEE
`ON KNOWLEDGE
`AND
`UNDERSTANDING
`420
`
`TEST MANAGER/HR
`INVESTIGATOR ON
`TRAINING
`
`425
`
`FILE EMPLOYEE
`REPORT OF
`POLICY VIOLATION
`
`COMPLETE
`INVESTIGATION
`—1. AND FILE REPORT
`
`430
`
`GENERATE INITIAL
`MANAGER
`RESPONSE
`
`440
`
`460
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`GENERATE
`DISPOSITION AND
`SCHEDULE
`FOLLOW-UP
`465
`
`480
`
`ASSIGN HR
`INVESTIGATOR
`—. AND INVESTIGATE
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`450
`
`470
`
`Page 6 of 34
`
`
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 5 of 13
`
`US 7,330,817 B1
`
`FIG. 5
`
`TRAIN EMPLOYEE
`ON RULES AND
`STANDARDS
`
`510
`
`TRAIN MANAGER
`
`515
`
`TEST EMPLOYEE
`ON TRAINING
` ■
`
`520
`
`TEST MANAGER
`ON TRAINING
` ■
`525
`
`IDENTIFY NEED
`FOR CORRECTIVE
`ACTION
`
`530
`
`CONSULT HR, IF
`CORRECTIVE
`ACTION IS
`TERMINATION
`550
`
`GENERATE
`CORRECTIVE
`ACTION
`CHECKLIST
`535
`
`COMPLETE
`CHECKLIST AND
`CORRECTIVE
`ACTION RECORD
`540
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`560
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`570
`
`Page 7 of 34
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 6 of 13
`
`US 7,330,817 B1
`
`TRAIN MANAGER
`
`604
`
`GENERATE
`SELECTION
`CHECKLIST
`
`610
`
`v
`DEFINE JOB,
`QUALIFICATIONS,
`AND SELECTION
`METHODS
`
`620
`
`POST AVAILABLE
`POSITION NOTICE
`
`630
`
`FIG. 6
`
`TEST MANAGER
`ON TRAINING
`
`608
`
`APPLICANT
`REVIEW OF
`AVAILABLE
`POSITIONS
`640
`
`n.,
`
`REVIEW
`EXPRESSIONS OF
`INTEREST IN
`POSITION
`650
`
`APPL CANT
`EXPRESS
`INTEREST IN
`POSITION
`645
`
`REVIEW DIVERSITY
`AND AAP GOALS
`AND TIMETABLES
`
`660
`
`EVALUATE
`APPLICANTS
`
`670
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`680
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`690
`
`Page 8 of 34
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 7 of 13
`
`US 7,330,817 B1
`
`TRAIN MANAGER
`
`704
`
`REVIEW JOB
`APPLIED FOR OR
`HELD
`
`710
`
`IDENTIFY NEED
`FOR ADA ANALYSIS
`
`720
`
`GENERATE
`CHECKLIST
`
`730
`
`FIG. 7
`
`EXCHANGE
`INFORMATION
`WITH EMPLOYEE/
`HEALTH CARE
`PROVIDERS
`735
`
`FORWARD
`INFORMATION TO
`HR FOR REVIEW
`
`740
`
`DENY
`ACCOMODATION
`
`COMMUNICATE
`DENIAL TO
`EMPLOYEE/
`APPLICANT
`
`760
`
`TEST MANAGER
`ON TRAINING
`
`708
`
`COMMUNICATE
`APPROVAL TO
`EMPLOYEE/
`APPLICANT
`
`750
`
`PROVE
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`770
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`780
`
`Page 9 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 8 of 13
`
`US 7,330,817 B1
`
`FIG. 8
`
`TRAIN MANAGER
`
`805
`
`EMPLOYEE
`EDUCATION ABOUT
`LEAVE POLICY
`
`EXCHANGE
`INFORMATION
`WITH EMPLOYEE/
`HEALTH CARE
`PROVIDERS
`810
`850
`
`RECEIVE LEAVE
`REQUEST
`
`DECISION ON
`LEAVE REQUEST
`
`820
`
`860
`
`GENERATE
`CHECKLIST
`
`840
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`870
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`880
`
`Page 10 of 34
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 9 of 13
`
`US 7,330,817 B1
`
`FIG. 9
`
`TRAIN MANAGER
`
`905
`
`GENERATE
`CHECKLISTS
`
`910
`
`PREPARE JOB
`DESCRIPTION
`INDICATING
`CLASSIFICATIONS
`
`920
`
`SUBMIT JOB
`CLASSIFICATIONS
`AND CHECKLIST
`TO HR FOR
`APPROVAL
`930
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`
`940
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`950
`
`Page 11 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 10 of 13
`
`US 7,330,817 B1
`
`FIG. 10A
`
`TRAIN MANAGER
`
`1005
`
`GENERATE
`CHECKLIST
`
`1010
`
`PERFORM
`EVALUATION
`
`1020
`
`MEETING TO
`DISCUSS
`EVALUATION
`
`1030
`
`FORWARD
`EVALUATION TO
`EMPLOYEE AND
`PROGRAM
`ADMINISTRATOR
`1040
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`1050
`
`Page 12 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 11 of 13
`
`US 7,330,817 B1
`
`FIG. 10B
`
`TRAIN MANAGER
`
`1005
`
`EMPLOYEE SELF-
`EVALUATION
`
`1055
`
`GENERATE
`CHECKLIST
`
`1060
`
`PERFORM
`EVALUATION
`
`1065
`
`MEETING TO
`DISCUSS
`EVALUATION
`
`1070
`
`FORWARD
`EVALUATION TO
`EMPLOYEE AND
`PROGRAM
`ADMINISTRATOR
`1075
`
`EVALUATE
`MANAGERS,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`1080
`
`Page 13 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 12 of 13
`
`US 7,330,817 B1
`
`FIG. 11
`
`TRAIN MANAGER
`
`1105
`
`EMPLOYEE
`EDUCATION
`
`1110
`
`FORWARD ALL TO
`PROGRAM
`ADMINISTRATOR
`1150
`
`EVALUATE
`MANAGERS, HR,
`UPDATE DATA,
`ENHANCE SYSTEM,
`GENERATE
`REPORTS
`
`1160
`
`REPORT RECEIVED
`
`1120
`
`MOBILIZE THREAT
`MANAGEMENT
`TEAM
`
`1130
`
`DESIGN THREAT
`RESPONSE WITH
`CHECKLIST
`
`1140
`
`Page 14 of 34
`
`
`

`

`U.S. Patent
`
`Feb. 12, 2008
`
`Sheet 13 of 13
`
`US 7,330,817 B1
`
`FIG. 12
`
`TRAIN MANAGER
`
`1205
`
`GENERATE RIF
`CHECKLIST
`
`1210
`
`FORWARD RIF
`PLAN TO HR
`
`1220
`
`COMMUNICATE
`STATUS TO
`EMPLOYEES
`
`1230
`
`DETERMINE IF
`WARN NOTICE
`NEEDED
`(CHECKLIST)
`1240
`
`SEND WARN
`NOTICES IF
`NEEDED
`
`1250
`
`PRESENT
`WAIVERS TO
`EMPLOYEES IF
`NEEDED
`1265
`
`YES
`
`YES
`
`NO
`
`DETERMINE IF
`WAIVERS NEEDED
`(OWBPA
`CHECKLIST)
`1260
`
`FORWARD ALL
`TO PROGRAM
`AADMINISTRATOR
`
`1270
`
`EVALUATE
`MANAGERS, HR,
`UPDATE DATA,
`ENHANCE
`SYSTEM,
`GENERATE
`REPORTS
`
`1280
`
`NO
`
`Page 15 of 34
`
`

`

`US 7,330,817 B1
`
`1
`SYSTEM AND METHODS FOR
`EMPLOYMENT LAW COMPLIANCE,
`ESTABLISHMENT, EVALUATION AND
`REVIEW
`
`CROSS-REFERENCE TO RELATED PATENT
`APPLICATION
`
`This application claims the benefit, pursuant to 35 U.S.C.
`§119(e), of applicants' provisional U.S. Patent Application
`Ser. No. 60/224,836, filed Aug. 11, 2000, entitled "SYSTEM
`AND METHOD FOR EMPLOYMENT LAW COMPLI-
`ANCE ESTABLISHMENT, EVALUATION AND
`REVIEW", which application is hereby incorporated by this
`reference in its entirety for all purposes.
`
`BACKGROUND OF INVENTION
`
`1. Field of Invention
`The present invention is directed to systems and methods
`for facilitating an employer's compliance with employment
`laws having varying requirements. More specifically, with-
`out limitation, the present invention relates to computer-
`based systems and methods for use by an employer through
`its agents in facilitating, reviewing, evaluation and/or estab-
`lishing compliance with employment laws.
`2. Description of Related Art
`The Internet is a global network of connected computer
`networks. Over the last several years, the Internet has grown
`in significant measure. A large number of computers on the
`Internet provide information in various forms. Anyone with
`a computer connected to the Internet can potentially tap into
`this vast pool of information.
`The most wide spread method of providing information
`over the Internet is via the World Wide Web (the Web). The
`Web consists of a subset of the computers connected to the
`Internet; the computers in this subset run Hypertext Transfer
`Protocol (HTTP) servers (Web servers). The information
`available via the Internet also encompasses information
`available via other types of information servers such as
`GOPHER, WAIS, SMTP (simple mail transfer protocol),
`POP3 (Post Office Protocol) and FTP (file transfer protocol).
`Information on the Internet can be accessed through the
`use of a Uniform Resource Locator (URL). A URL uniquely
`specifies the location of a particular piece of information on
`the Internet. A URL will typically be composed of several
`components. The first component typically designates the
`protocol by which the address piece of information is
`accessed (e.g., HTTP, GOPHER, etc.). This first component
`is separated from the remainder of the URL by a colon (':').
`The remainder of the URL will depend upon the protocol
`component. Typically, the remainder designates a computer
`on the Internet by name, or by IP number, as well as a more
`specific designation of the location of the resource on the
`designated computer. For instance, a typical URL for an
`HTTP resource might be:
`http ://www. server. com/dir 1 /dir2/resource.htm
`
`where http is the protocol, www.server.com is the designated
`computer and /dirl/dir2/resouce.htm designates the location
`of the resource on the designated computer.
`Web servers host information in the form of Web pages;
`collectively the server and the information hosted are
`referred to as a Web site. A significant number of Web pages
`are encoded using the Hypertext Markup Language (HTML)
`although other encodings using the eXtensible Markup
`Language (XML) or the Standard Generic Markup Lan-
`
`2
`guage (SGML) are becoming increasingly more common.
`The published specifications for these languages are incor-
`porated by reference herein. Web pages in these formatting
`languages may include links to other Web pages on the same
`5 Web site or another. As will be known to those skilled in the
`art, Web pages may be generated dynamically by a server by
`integrating a variety of elements into a formatted page prior
`to transmission to a Web client. Web servers, and informa-
`tion servers of other types, await requests for the information
`10 from Internet clients.
`Client software has evolved that allows users of comput-
`ers connected to the Internet to access this information.
`Advanced clients such as Netscape's Navigator and
`Microsoft's Internet Explorer allow users to access software
`15 provided via a variety of information servers in a unified
`client environment. Typically, such client software is
`referred to as browser software.
`The foregoing information regarding the Internet and
`World Wide Web is provided as background with respect to
`20 Web-based embodiments of the present invention. As such,
`the present invention is not necessarily limited to such
`embodiments but may encompass other delivery vehicles/
`communication channels now known or subsequently dis-
`covered as further described below.
`25 Computer and telecommunications technologies provide
`an unprecedented ability to custom tailor content to the
`demands of particular users. Computerized environments
`have been developed to aid in compliance with legal require-
`ments such as compliance with registration and taxation
`30 requirements (see, e.g., U.S. Pat. No. 5,623,403 to High-
`bloom) and chemical control laws (see, e.g., U.S. Pat. No.
`6,122,622 to Wiitala et al.). The present invention utilizes
`these technologies to create, manage and deliver content,
`particularly materials, often interactive, to facilitate compli-
`35 ance with employment laws.
`Employers are subject to a wide variety of laws governing
`workplace behavior and the employment relationship. In the
`United States, for example, such laws include at the federal
`level: Title VII of the Civil Rights Act of 1964 (Title VII),
`40 The Age Discrimination in Employment Act (ADEA), The
`Americans with Disabilities Act (ADA), The Fair Labor
`Standards Act (FLSA), The Family and Medical Leave Act
`(FMLA), The Occupational Safety and Health Act (OSHA),
`the Worker Adjustment and Retraining Notification Act
`45 (WARN), and the Older Workers Benefit and Protection Act
`(OWBPA).
`Title VII Prohibits discrimination in employment on the
`basis of race, color, sex (including pregnancy), national
`origin or religion. "Discrimination" includes harass-
`50 ment on these bases. Title VII also prohibits retaliation
`against employees who make a complaint or participate
`in a proceeding covered by Title VII.
`ADEA Prohibits discrimination on the basis of age.
`Also prohibits harassment and retaliation (see Title
`55 VII).
`ADA Prohibits discrimination in employment on the
`basis of disability. Employers have an obligation to
`provide a reasonable accommodation to disabled appli-
`cants or employees.
`60 FLSA Requires employers to pay employees a mini-
`mum hourly wage and to pay time and a half the regular
`hourly rate for hours worked in excess of forty per
`week. There are limited exemptions to these require-
`ments for so-called "white collar" workers and other
`65 specific types of jobs.
`FMLA Gives job protection to eligible employees who
`take leave because of their own or a close family
`
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`SUMMARY OF THE INVENTION
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`3
` member's serious medical condition, or for the birth or
`placement by adoption of a child.
`The present invention is directed to systems and methods
`OSHA
`Imposes a duty on employers to maintain a safe
`workplace.
`for facilitating an employer's compliance with employment
`WARN Requires employers to give workers 60 days'
`5 laws having varying requirements. Further, the systems and
`notice of a plant closing or mass layoff resulting in at
`methods according to the present invention may aide in
`least a certain specified number of employment losses.
`reviewing, evaluation and/or establishing such compliance.
`OWBPA Requires waivers of claims obtained from
`More specifically, the present invention is directed to com-
`employees over 40 to conform to certain requirements puter-based systems and methods for use by an employer for
`regarding content, and time for consideration and revo- 10 guiding its agents (employees, human resources and other
`cation. managers) through process best suited to promote compli-
` Over the last twenty years the number and complexity of
`ance with existing employment laws. The systems and
`employment laws has increased, and the task of translating
`methods in some embodiments may provide timely employ-
`these changing legal standards into practice has become
`ment law compliance education to agents, including state-
`more difficult. At the same time, the risks of non-compliance 15 ments of employment policies and procedures and training
`have grown. The number of employment-related lawsuits
`modules. The systems and methods may also provide
`and the size and frequency of awards to plaintiffs have
`mechanisms and procedures for updating employment law
`increased tremendously, especially in the United States,
`compliance content as requirements change. Additionally,
`presenting not only substantial financial exposure, but also
`the systems and methods may provide tracking, recording
`the risk of adverse public reaction, and worsened employee 20 and reporting on employment law compliance.
`relations. Even when an employer avoids litigation, it pays
`A typical environment according to the present invention
`a high price for failing to attract and retain the best employ-
`includes a system data store, a system processor and a link
`ees. Finally, employers face an enormous administrative
`to a communication channel allowing communication with
`challenge in maintaining the appropriate records to demon-
`one or more user output devices. The system data store
`strate compliance.
`25 stores data needed to provide the desired system function-
`Employers currently look to a variety of sources in
`ality and may include compliance information in the form of
`meeting the employment compliance challenge. They may
`monitored interactions, agent information, employer infor-
`turn to outside attorneys or human resources consultants.
`mation and process documentation (content). The system
`The high cost of outside counsel and consultants often
`data store may include multiple physical and/or logical data
`means assistance is not sought until after non-compliance 30 stores for storing the various types of information. Data
`has caused a problem. Moreover, the hourly billing model
`storage and retrieval functionality may be provided by either
`most often employed encourages the expensive re-creation
`the system processor or data storage processors associated
`of a "unique" solution each time for each client.
`with the data store. The system processor is in communica-
`Training has long been acknowledged as an important tool
`tion with the system data store via any suitable communi-
`in assuring legal compliance. However, classroom training 35 cation channel(s); the system processor is in communication
`is expensive, disruptive, and often ineffective in changing
`with the link via the same, or differing, communication
`behavior. The cost of developing an in-house training pro-
`channel(s). The system processor will typically include one
`gram is high, and the necessary expertise may not be
`or more processing elements that provide access, monitor-
`available. With the technological advances described above,
`ing, updating, tracking, training, reporting and/or other
`e-learning companies have emerged, offering computerized 40 functionality.
`training modules on a limited range of employment com-
`Accordingly, a method of facilitating compliance and
`pliance topics. However, these programs are not usually
`reporting typically includes a variety of steps that may, in
`tailored to the needs and characteristics of a particular
`certain embodiments, be executed by the typical environ-
`employer, and may not be current with the latest legal
`ment summarized above and more fully described below or
`developments. In any event, training alone, no matter how 45 be stored as computer executable instructions in and/or on
`good the content or efficient the means of delivery, has
`any suitable combination of computer-readable media. In
`limited effect in ensuring and tracking compliance on a
`some embodiments, a request to interact is received from an
`day-to-day basis.
`agent of an employer. The request will at least include an
`In contrast to either ad hoc compliance advice from
`indication of a selected employment action. The agent is
`outside consultants or occasional compliance training (class- so then provided access to process documentation that guides
`room or computer), the present invention presents the appro-
`the agent through a process, designed to minimize non-
`priate employment law compliance information to employ-
`compliance with employment laws, supporting the selected
`ees, managers and human resources professionals at the
`employment action. The agent's interactions with the pro-
`appropriate time. The invention guides managers and human
`cess documentation are stored in a data store. One or more
`resources professionals in making employment decisions 55 compliance reports are generated from the stored interac-
`and taking employment actions, as the events requiring a
`tions. Such reports may be generated at periodic intervals,
`compliant response actually occur. The appropriate manager
`upon demand and/or in response to some triggering event.
`or HR professional then, through a series of interactions with
`The generated one or more reports are sent to one or more
`the computer, is led step-by-step to take legally compliant
`report agents of the employer. In some embodiments, the
`action. The present invention allows for updating the content 60 reports are generated in a manner, and into a form, suitable
`promptly to reflect legal or business developments. Finally,
`for admission into evidence in a legal proceeding.
`the invention allows a complete record of activity to be
`Some embodiments may also support process and/or
`maintained, to enable the employer to evaluate results, and
`process documentation creation and update. A set of
`to demonstrate compliance, if an employment action is later
`employment actions impacting employment law compliance
`challenged. Through computer technology, the present 65 is created initially. A process designed to minimize non-
` invention thus offers a cost-effective way to ensure employ-
`compliance is created for each employment action; process
`ment compliance consistently throughout an organization.
`documentation associated with each created process may
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`US 7,330,817 B1
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`5
`also be developed. The created set of employment actions
`and the developed process documentation are stored in a
`data store. The employment actions, processes and docu-
`mentation may be reviewed and updated at periodic intervals
`or as needed based upon developments in employment laws,
`human resources best practices, or the employer's business
`environment.
`An education facility may also be provided according to
`the present invention. Employment law sensitivity materials
`such as employer policy statements and training materials
`are provided to designated agents of the employer. Interac-
`tions of the designated agents are monitored and stored.
`Additional advantages of the invention will be set forth in
`part in the description which follows, and in part will be
`obvious from the description, or may be learned by practice
`of the invention. The advantages of the invention will be
`realized and attained by means of the elements and combi-
`nations particularly pointed out in the appended claims. It is
`to be understood that both the foregoing general description
`and the following detailed description are exemplary and
`explanatory only and are not restrictive of the invention, as
`claimed.
`
`BRIEF DESCRIPTION OF THE DRAWINGS
`
`The accompanying drawings, which are incorporated in
`and constitute a part of this specification, illustrate embodi-
`ments of the invention and together with the description,
`serve to explain the principles of the invention.
`FIG. 1 is a diagram of an architecture for a typical system
`according to the present invention.
`FIG. 2 is a diagram of an architecture for another embodi-
`ment of the present invention.
`FIG. 3 is a flow chart of steps in a typical process
`according to the present invention.
`FIG. 4 is a flow chart of example process for handling
`employee complaints.
`FIG. 5 is a flow chart of example process for taking
`corrective action.
`FIG. 6 is a flow chart of example process for employee
`selection.
`FIG. 7 is a flow chart of example process for performing
`ADA analysis.
`FIG. 8 is a flow chart of example process for performing
`FMLA management.
`FIG. 9 is a flow chart of example process for analyzing job
`classification.
`FIGS. 10A-B are flow charts of example process for
`performing introductory and regular (periodic) performance
`evaluations, respectively.
`FIG. 11 is a flow chart of example process for handling
`reports of threats of workplace violence.
`FIG. 12 is a flow chart of example process for performing
`a reduction in force.
`
`DETAILED DESCRIPTION OF THE
`INVENTION
`
`A preferred embodiment of the invention is now described
`in detail. Referring to the drawings, like numbers indicate
`like parts throughout the views. As used in the description
`herein and throughout the claims that follow, the meaning of
`"a," "an," and "the" includes plural reference unless the
`context clearly dictates otherwise. Also, as used in the
`description herein and throughout the claims that follow, the
`meaning of "in" includes "in" and "on" unless the context
`clearly dictates otherwise.
`
`6
`Ranges may be expressed herein as from "about" one
`particular value, and/or to "about" another particular value.
`When such a range is expressed, another embodiment
`includes from the one particular value and/or to the other
`5 particular value. Similarly, when values are expressed as
`approximations, by use of the antecedent "about," it will be
`understood that the particular value forms another embodi-
`ment. It will be further understood that the endpoints of each
`of the ranges are significant both in relation to the other
`10 endpoint, and independently of the other endpoint.
`
`Architecture of a Typical Environment
`FIG. 1 depicts a typical environment according to the
`present invention. Members of the user community using
`15 suitable devices 270 can interact with the compliance envi-
`ronment 280 via a communications channel such as the
`Internet 260. A typical compliance environment 280 will
`include a cluster of servers 210 including one or more
`-
`servers 214, 218 supporting various employment law com
`pliance functionality which, in some embodiments, may
`20
`include guided decision making, training, tracking usage and
`report generation, as described more fully below. The com-
`pliance environment may include a separate system data
`store 240 for storing data associated with compliance, train-
`25 ing, tracking, employers and agents of employers. A data
`store, in a typical embodiment, may be implemented as a
`database system using one or more servers 230 with one or
`more internal or external data repository 240, as described
`more fully below.
`30 The compliance environment 280 will also typically
`include a communication channel such as Ethernet 250
`supporting communication among components of the envi-
`ronment 280. The compliance environment 280 may also
`optionally include one or more load-balancing devices 220,
`35 typically server systems, for distributing work among the
`components of the environment 280.
`The compliance environment 280 may include a server
`cluster 210 of one or more servers (e.g. 214, 218) that
`provides environment functionality. These, or other servers
`40 (not shown), may support access to the environment by
`members of the user community 270. Access to the envi-
`ronment by these various users may be via any suitable
`communication channel, which in a typical embodiment will
`be a computer network such as the Internet 260 and/or
`45 Ethernet 250. In other environments, access may be via
`other forms of computer network, direct dial-up connection,
`dedicated connection, direct or indirect connection such as
`via a bus connection, parallel or serial connection, null
`modem connection or wireless connection utilizing an
`50 appropriate communication protocol such as BLUETOOTH,
`IRDA, 802.11b or other suitable channel as would be known
`to those skilled in the art. Some embodiments may use
`and/or require a combination of communication vehicles,
`such as those previously described, to serve as the commu-
`55 nication channel In some embodiments the access channel
`may provide security features, either session-based and/or
`layer-based; for instance, a secure socket layer (SSL) may be
`used with respect to an embodiment using the Internet 260
`as the access communication channel The one or more
`60 servers of the server cluster 210 may include or connect to
`a data store 240.
`The conveyance of information to and from the user of the
`environment occurs via a link, or interface, to or with a
`suitable communication channel for conveying the informa-
`65 tion. The link will depend upon the environment implemen-
`tation and the communication channel, or the first portion
`thereof where the communication channel is composed of
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`7
`several portions of potentially varying types. Depending
`access functionality such as by electronic mail server(s)
`upon the characteristic of the link, the link may allow
`and/or Web server(s) and the application servers provide the
`selective communication with one or more user computers.
`desired curriculum functionality. In some such embodi-
`In most cases, the e