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SHRM-CP Exam > US Laws & Regulations > Flashcards

US Laws & Regulations Flashcards

1
Q

What is the Clayton Act (1914)?

A
  1. Prohibits mergers and acquisitions that would lessen competition
  2. Prohibits a single person from being a director of 2 or more competing corporations
  3. Restricts the use of injunctions against labor and legalized peaceful strikes, picketing, and boycotts
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2
Q

What is the Consumer Credit Protection Act (1968)?

A
  1. Limits the amount of wages that can be garnished or withheld in any one week by an employer to satisfy creditors
  2. Prohibits employee dismissal because of garnishment for any one indebtedness
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3
Q

What is the Copeland “Anti-Kickback” Act (1934)?

A

Prevents a federal contractor or contractor from inducing an employee to give up any part of his or her wages to th employer for the benefit of having a job

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4
Q

What is the Copyright Act (1976)?

A

Offers protection of “original works” for authors so others may not print, duplicate, distribute, or sell their work

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5
Q

What is the Copyright Term Extension Act (1998)?

A

Further extended copyright protection to the duration of the author’s life plus 70 years for general copyrights and to 95 years for works made for hire and works copyrighted before 1978

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6
Q

What is the Davis-Bacon Act (1931)?

A

Requires contractors and subcontractors on certain federally funded or assisted construction projects over $2,000 in the US to pay wages and fringe benefits at least equal to those prevailing in the local area where the work is performed

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7
Q

Who does the Davis-Bacon Act apply to?

A

Laborers and mechanics It also allows trainees and apprentices to be paid less than the predetermined rates under certain circumstances

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8
Q

What is the Dodd-Frank Wall Street Reform and Consumer Protection Act (2010)?

A

Includes a non-binding vote for shareholders on executive compensation, golden parachutes, and return of executive compensation based on inaccurate financial statements. Also included are requirements to report CEO pay compared to the average employee compensation and provision of financial rewards for whistleblowers.

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9
Q

What is the Economic Growth and Tax Relief Reconciliation Act (EGTRRA) (2001)?

A

Modifications to the Internal Revenue Code that adjust pension vesting schedules, increasing retirement plan limits, permitting pre-tax catch-up contributions by participants over the age of 50 in certain plans (which are not tested for discrimination when made available to entire workforce), and modification of distribution and rollover rules

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10
Q

What is the Electronic Communications Privacy Act (ECPA) (1986)?

A

Provide rules for access, use, disclosure, interpretation, and privacy protections of electronic communications, and they provide the possibility of both civil and criminal penalties for violations. Prohibit interception of emails in transmission and access to e-mails in storage. Cameras in the workplace are also covered under this act and employees must be given notice.

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11
Q

What is the Employee Polygraph Protection Act (1988)?

A

Prohibits the use of lie detector tests for job applicants and employees of companies engaged in interstate commerce. Exceptions include law enforcement and national security.

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12
Q

What is the Employee Retirement Income Security Act (ERISA) (1974)?

A

Establishes uniform minimum standards to ensure that employee benefit plans are establish and maintained in a fair and financially sound manner. It protects employees covered by a pension plan from losses in benefits due to job changes, closings, bankruptcies or mismanagement. Public employees and many churches are not subject to this law. Note: Does not require employees to establish pensions plans but governs how the plans are managed once established.

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13
Q

What is the Equal Pay Act (EPA) (Amendment to the FLSA) (1963)?

A

Prohibits employers from discriminating on the basis of sex by paying wages to employees at a rate less than the rate paid to employees of the opposite sex for equal work on jobs requiring equal skill, effort and responsibility, and which are performed under similar working conditions.

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14
Q

What is the FAA Modernization and Reform Act (2012)?

A

Requires the Government Accountability Office (GAO) initially to evaluate the National Mediation Board (NMB)’s certification procedures and then audit the NMB’s operations every 2 years. (Railroad and Airline Industries)

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15
Q

What is the Fair Credit Reporting Act (FCRA) (1970)?

A

Requires employers to notify any individual in writing if a credit report may be used in making an employment decision. Employers must also get a written authorization from the subject individual before asking a credit bureau for a credit report.

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16
Q

What is the Fair Labor Standards Act (FLSA) (1938)?

A

Law introduced a maximum 44-hour 7-day workweek, established a national minimum wage , guaranteed time-and-a-half for overtime in certain jobs, and prohibits most employment of minors in “oppressive child labor”

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17
Q

Exempt

A

Ineligible for overtime pay. Employees can work as many hours of overtime as the job requires without being paid for their overtime work.

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18
Q

Nonexempt

A

Eligible for overtime pay.

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19
Q

What is the Foreign Corrupt Practices Act (FCPA) (1997)?

A

Prohibits American companies from making bribery payments to foreign officials for the purpose of obtaining or keeping business.

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20
Q

What is the Health Information Technology for Economic and Clinical Health Act (HITECH) (2009)?

A

Requires that anyone with custody of personal health records send notification to affected individuals if their personal health records have been disclosed, or the employer believes they have been disclosed to any unauthorized person.

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21
Q

What act is the Health Information Technology for Economic and Clinical Health Act (HITECH) a part of?

A

American Recovery and Reinvestment Act (ARRA)

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22
Q

What is the Health Insurance Portability and Accountability Act (HIPAA) (1996)?

A

Ensures that individuals who leave or lose their jobs can obtain health coverage even if they or someone in their family has a serious illness or injury or is pregnant. It also provides privacy requirements related to medical records for individuals as young as 12 years old.

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23
Q

What is the Immigration and Nationality Act (INA) (1952)?

A

Addresses employment eligibility and employment verification for aliens

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24
Q

How does the INA differentiate aliens?

A

Resident or Nonresident. Immigrant or Nonimmigrant. Documented or Undocumented.

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25
Q

What is the Immigration Reform and Control Act (IRCA) (1986)?

A

The first law to require new employees to prove both their identity and their right to work in the US. (i.e. I-9 process)

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26
Q

What are IRS Intermediate Sanctions (2002)?

A

These rules allow the IRS to impose penalties when it is determined that top officials have received excessive compensation from their nonprofit organizations.

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27
Q

What is the Labor Management Relations Act (LMRA) (1947)?

A

Prohibits unfair labor practices by unions and outlaws closed shops where union membership is required in order to get and keep a job. Employers may not form closed-shop agreements with unions. Requires both parties to bargain in good faith.

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28
Q

What is the Labor Management Relations Act (LMRA) also known as?

A

The Taft-Hartley Act

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29
Q

What is the Labor-Management Reporting and Disclosure Act (1959)?

A

Outlines procedures for redressing internal union problems, protects the rights of union members from corrupt or discriminatory labor unions, and applies to all labor organizations.

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30
Q

What is the Labor-Management Reporting and Disclosure Act (1959) also known as?

A

The Landrum-Griffin Act

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31
Q

How must unions conduct elections?

A

Unions must conduct secret elections, the results of which can be reviewed by the Department of Labor

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32
Q

Who cannot hold office in a union?

A

Convicted felons and members of the Communist Party

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33
Q

What is required from Unions in relation to finances?

A

Annual financial reporting from unions to the DOL is required

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34
Q

What did the Mine Safety and Health Act do (1977)?

A

Converted the existing Mine Enforcement Safety Administration (MESA) to the Mine Safety and Health Administration (MSHA). Brought all coal, metal, and nonmetal mining operations under the same DOL jurisdiction. Regulations and safety procedures were not altered, just carried into the new agency for oversight.

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35
Q

What is the Mine Safety and Health Act (1977)?

A

This law requires the secretaries of labor and health, education, and welfare to create regulations governing the countries mines. All mines are covered if they are involved in commerce (any active mining operation would be). Among the regulations it is specified that employees must be provided with certain protective equipment while working. Devices relate to respiration and fire prevention among other protection. Black lung disease is a key concern.

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36
Q

What are the recordkeeping requirements of the Mine Safety and Health Act (1977)?

A

Employers engaged in mining operations must inspect their work sites and document the results, reflecting hazards and actions taken to reduce or eliminate the hazards. Employees are to be given access to information related to accident prevention, fatal accident statistics for the year, and instructions on specific hazards they will face while working in the mine. Individual employee exposure records must be maintained. Information must be made available to MSHA inspectors if they request it.

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37
Q

Who is the mining industry overseen by?

A

The OSHA Agency

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38
Q

What does the MSHA Agency Enforce?

A

Safety standards that involve ventilation, chemical exposure, noise, forklifts, and other mining equipment, mine shoring, and more.

39
Q

How does MSHA enforce their regulations?

A

Has a team of federal inspectors who conduct on-site audits of mining operations. Inspectors have the authority to cite mine operators for violations of regulations and citations carry a $1,000 per day penalty in some circumstances.

40
Q

What is the National Industrial Recovery Act (1933)?

A

Proposed the creation of “Codes of Fair Competition” where every business would have to identify with and belong to a trade association. Failure to do so would be a result in suspension/ending of operations.

41
Q

What was the National Industrial Recovery Act replaced by?

A

The National Labor Relations Act

42
Q

What happened to the National Industrial Recovery Act (1933)?

A

It was declared unconstitutional by the US Supreme Court in 1935 and replaced by the National Labor Relations Act

43
Q

What is the National Labor Relations Act (NLRA) (1935)?

A

Grants employees the right to organize, join unions, and engage in collective bargaining and other “concerted activities”. Also protects against unfair labor practices by employers.

44
Q

What is the National Labor Relations Act (NLRA) (1935) also known as?

A

The Wagner Act

45
Q

What is the National Labor Relations Board (NLRB)?

A

Helps define fair labor practices. Has the power to accept and investigate complaints of unfair labor practices by either management or labor unions. It plays a judicial role within an administrative setting.

46
Q

What are some key provisions of the NLRA?

A
  1. The right of workers to organize into unions for collective bargaining
  2. The requirement of employers to bargain in good faith when employees have voted in favor of a union to represent them
  3. Requirement that union represent all members equally
  4. Covers nonmanagement employees in private industry who are not already covered by the Railway Labor Act
47
Q

What is the Needlestick Safety and Prevention Act (2000)?

A

Provides rules related to handling and disposing of sharps, puncture devices, scalpels and other tools that can harm the person using them or someone else. Also encourages the invention of new devices that will reduce or eliminate the risk associated with injury due to sharps. Reducing the amount of injury and subsequent illness due to puncture, stab, or cut wounds is a primary objective. Blood-borne pathogens and transmission of human blood-borne illness such as AIDS/HIV and hepatitis are key targets.

48
Q

How are sharps injuries to be recorded?

A

On the OSHA 300 log with “privacy case” listed and not the employee’s name.

49
Q

What is the Norris-LaGuardia Act (1932)?

A
  1. Prohibited “Yellow-Dog” Contracts (agreements which employees promised employers that they would not join unions). Declared such contracts to be unenforceable in any federal court.
  2. Prohibited federal courts from issuing injunctions of any kind against peaceful strikes, boycotts, or picketing when used by a union in connection with a labor dispute.
  3. Defined labor dispute to include any disagreement about working conditions
50
Q

What is the Occupational Safety and Health Act (OSHA) (1970)?

A

Administrative agency within the US Department of Labor.

51
Q

What is the General Duty Clause in OSHA’s regulations?

A

Employers shall furnish each employee with a place of employment free from recognized hazards that are likely to cause death or serious injury. It also holds employees responsible for abiding by all safety rules and regulations in the workplace.

52
Q

Who does OSHA apply to?

A

All employers regardless of the employee population size.

53
Q

Per OSHA what are employers required to do regarding hazardous materials?

A

It is necessary to document and make available to employees records about hazardous materials and how they must be properly handled.

54
Q

Per OSHA what are employers required to do regarding injury and illness in the workplace?

A

Employers with 10 or more people on the payroll must summarize all injury and illness instances and post that summary in a conspicuous location within the workplace. The report must remain posted from February 1 - April 30 of each year.

55
Q

Per OSHA what are employers required to do regarding a serious or fatal accident?

A

A full incident report must be prepared by the employer and maintained in the safety file. These records must be maintained for a minimum of 5 years from the data of the incident.

56
Q

What is a log of occupational injury or incident?

A

Includes a record of each incident resulting in medical treatment (other than first aid), loss of consciousness, restriction of work or motion, or transfer or termination of employment.

57
Q

OSHA: On-site visits that are conducted without advance notice

A

Inspectors can walk into any place of employment and request that you permit an inspection. You don’t have to agree unless the inspector has a search warrant. In the absence of a warrant, you can delay the inspection until an attorney is present.

58
Q

OSHA: On-site inspections or phone/fax investigation

A

Depending on the urgency of the hazard and agreement of the person filing the complaint, inspectors may telephone or fax inquiries to employers. The employer has 5 working days to respond with a detailed description of inspection findings, corrective action taken, and additional action planned.

59
Q

OSHA: Imminent Danger

A

Situations where death or serious injury are highly likely. Compliance officers will ask employers to correct the conditions immediately or remove employees from danger

60
Q

OSHA: Fatalities and catastrophes

A

Incidents that involve a death or the hospitalization of three or more employees. Employers must report these incidents to OSHA within 8 hours.

61
Q

OSHA: Worker complaints

A

Allegations of workplace hazards or OSHA violations. Employees may request anonymity when they file complaints with OSHA

62
Q

OSHA: Referrals

A

Other federal, state, or local agencies; individuals; organizations; or the media can make referrals to OSHA so the agency may consider making an inspection

63
Q

OSHA: Follow-ups

A

Checks for abatement of violations cited during previous inspections are also conducted by OSHA personnel in certain circumstances

64
Q

OSHA: Planned or programmed investigations. Sometimes called targeted investigations.

A

OSHA can conduct inspections aimed at specific high-hazard industries or individual workplaces that have experienced high rates of injuries and illnesses.

65
Q

What two types of standards does OSHA provide for?

A

Normal Standards and Emergency Temporary Standards

66
Q

OSHA: Normal Standards

A

If OSHA determines that a specific standard is needed, any of the several advisory committees may be called upon to develop specific recommendations

67
Q

OSHA: Emergency Temporary Standards

A

Under certain limited conditions, OSHA is authorized to set emergency temporary standards that take effect immediately.

68
Q

OSHA: What is the process for an emergency temporary standard?

A

OSHA must determine that workers are in grave danger due to exposure to toxic substances or agents determined to be toxic or physically harmful or to new hazards and that an emergency standard is needed to protect them. Then OSHA publishes the emergency temporary standard in the Federal Register, where it also serves as a proposed permanent standard. It is then subject to the usual procedure for adopting a permanent standard except that a final ruling must be made within 6 months.

69
Q

What is the Omnibus Budget Reconciliation Act (OBRA) (1993)?

A

Reduces compensation limits in qualified retirement programs and triggers increased activity in nonqualified retirement programs. It also calls for termination of some plans.

70
Q

What is the Pension Protection Act (PPA) (2006)?

A

Requires employers that have underfunded pension plans to pay a higher premium to the Pension Benefit Guarantee Corporation (PBGC). It also requires employers that terminate pension plans to provide additional funding to those plans.

71
Q

What is the Personal Responsibility and Work Opportunity Reconciliation Act (1996)?

A

Requires all states to establish and maintain a new hire reporting system designed to enhance enforcement of child support payments. It requires welfare recipients to begin working after 2 years of receiving benefits. States may exempt parents with children younger than 1 from the work requirements. Parents with children younger than 1 may use this exemption only once; they cannot use it again for subsequent children. These parents are also still subject to the 5 year time limit for cash assistance.

72
Q

What is the portal-to-portal act (1947)?

A

This law defines “hours worked” and establishes rules about payment of wages to employees who travel before and/or after their scheduled work shift. Minimum wages and overtime are not required unless there is a custom or contract to the contrary.

73
Q

What is the Railway Labor Act (1926)?

A

Law originally created to allow railway employees to organize into labor unions. Has expanded in coverage to include airline employees.

74
Q

What is the Rehabilitation Act (1973)?

A

Created support for states to create vocational rehabilitation programs.

75
Q

Section 501 of the Rehabilitation Act

A

Requires nondiscrimination and affirmative action in hiring disabled workers by federal agencies within the executive branch

76
Q

Section 503 of the Rehabilitation Act

A

Requires nondiscrimination and affirmative action by federal contractors and subcontractors with contracts valued at $10K or more

77
Q

Section 504 of the Rehabilitation Act

A

Requires employers subject to the law to provide reasonable accommodation for disabled individuals who can perform the major job duties with or without accommodation

78
Q

What is the Retirement Equity Act (REA) (1984)?

A

Provides legal protections for spousal beneficiaries of qualified retirement programs. It prohibits changes to retirement plan elections, spousal beneficiary designations, or in-service withdrawals without the consent of a spouse.

79
Q

What is the Revenue Act (1978)?

A

Added two important sections to the Internal Revenue Tax Code relevant to employee benefits: Section 125, Cafeteria Benefit Plans, and section 401(k), originally a pre-tax savings program for private-sector employees known as individual retirement accounts (IRA), subsequently expanded to a second plan opportunity known as “Roth IRA” that permitted funding with after-tax savings.

80
Q

Why was the Sarbanes-Oxley Act (SOX) (2002) created?

A

To address the need for oversight and disclosure of information by publicly traded companies.

81
Q

What were the provisions and protections of the Sarbanes-Oxley Act (SOX) (2002)?

A

Strict oversight to corporate governance and financial reporting for publicly held companies. Holds corporate offices accountable for proper record-keeping and reporting of financial information, including internal control systems to assure those systems are working properly. There are also requirements for reporting any unexpected changes in financial condition, including potential new liabilities such as lawsuits. Lawsuits can involve things such as employee complaints of illegal employment discrimination.

82
Q

Who does the Sarbanes-Oxley Act (SOX) (2002) protect?

A

Anyone who reports wrongdoing to a supervisor, appointed company officials who handle these matters, a federal regulatory or law enforcement agency, or a member or committee of Congress. It even extends to claims that prove to be false as long as the employee reasonably believed the conduct is a violation of SEC rules or a federal law involving fraud against shareholders.

83
Q

Does the Sarbanes-Oxley Act (SOX) (2002) protect contractors and subcontractors?

A

Yes, all contractors and subcontractors of publicly (NOT privately) held companies are subject to the whistleblower provisions of this law.

84
Q

Who oversees SOX (Sarbanes-Oxley Act) Enforcement?

A

The Public Company Accounting Oversight Board (PCAOB). A nonprofit corporation created by the act to oversee accounting professionals who provide independent audit reports for publicly traded companies. It essentially audits the auditors.

85
Q

What is the Securities and Exchange Act (1934)?

A

A law that provides governance in the “secondary market” which is all trading after the initial public offering.

86
Q

What did the Security and Exchange Act (1934) create?

A

The Securities and Exchange Commission (SEC) which has oversight authority for the trading of stocks in the US.

87
Q

What is the Service Contract Act (SCA) (1965)?

A

This applies to federal contractors (and subcontractors) offering goods and services to the government, this law calls for payment of prevailing wages and benefit requirements to all employees providing service under the agreement. All contractors and subcontractors, other than construction services, with contract value in excess of $2,500 are covered. Safety and health standards also apply to such contracts. Compensation requirements of this law and enforced by the Wage and Hour Division of the DOL. Safety and health requirements are enforced by OSHA.

88
Q

What is the Sherman Anti-Trust Act (1890)?

A

John Sherman suggested the US needed protections against monopolies and cartels. This law was used by federal prosecutors to break up the Standard Oil Company into smaller units. Case law has developed over time that concludes that attempting to restrict competition or fix prices can be seen as violation of this law. Restraint of trade is also prohibited.

89
Q

What is the Small Business Job Protection Act (1996) (SBJPA)?

A

Increased federal minimum wage levels and provided some tax incentives to small business owners to protect jobs and increase take-home pay.

90
Q

What is the Social Security Act (1935)?

A

Designed to help senior citizens and support disabled workers. Supported through payroll taxes with contributions from both the employee and the employer.

91
Q

What are payroll taxes set by?

A

The Federal Insurance Contributions Act (FICA)

92
Q

What is included in the Social Security Act?

A

Federal old-age benefits (retirement), survivors benefits (spouse, dependent children, and widow/widower benefits), disability insurance for workers no longer able to work, temporary assistance for needy families, medicare health insurance for aged and disabled, medicaid grants to states for medical assistance programs, supplemental security income (SSI), State Children’s Health Insurance Program (SCHIP), and Patient Protection and Affordable Care Act

93
Q

What is used as a tax identification number?

A

Social Security Number

SHRM-CP Exam (2 decks)

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