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The GCI Business Assessment

The first step in any General Counsel Initiative engagement is the GCI Business Assessment, which gives us the information we need to function as a true General Counsel. We accomplish most of this using a unique, cost-effective and proprietary method: GCI Assessment Surveys.

To save time (and fees), we use GCI Assessment Surveys as one of our primary information-gathering tools. We prepared these Surveys to help you gather the information we will need without our involvement (or fees). Depending on the circumstances, different Assessment Surveys are utilized, such as Surveys that focus on ownership structure, succession planning, risk management, merger suitability, and so on.

Once we complete this fact-gathering process, we provide a report detailing what we found, along with preliminary recommendations. We discuss those findings and recommendations with you, and then finalize an agreed plan for our future services and involvement.

Below is a sample of one of our GCI Assessment Surveys, dealing with employment law compliance. To get a better understanding of how the General Counsel Initiative works, you may complete the form, press SUBMIT at the end, and we will respond with a summary of key findings and recommendations.

Sample Survey:
Employment Law Compliance.

GCI Assessment Survey

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    List each of your business locations by state and city, and state how many employees work at each location.
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    Have you verified your compliance with the employment law requirements that apply in each of your business locations (for example, respecting disabilities, paid and unpaid leave, criminal background checks, pay equity, payment of wages, noncompetition agreements, and so on).
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    Provide a copy of your employee handbook, and any addenda that are specific to the states and cities in which your employees are located.
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    Have you verified that you have properly classified your employees as exempt or non-exempt in accordance with the requirements of the Fair Labor Standards Act and the requirements of the states and cities where your employees are located?
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    What method do you utilize to track hours worked by non-exempt employees?
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    Do you have a policy/procedure that defines how non-exempt employees are (or are not) paid for time spent preparing for work (for instance, donning protective gear, setting up work stations), breaks, meals, travel, time spent on-call, and training? Is it consistently enforced and respected?
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    Do you track hours worked by exempt employees? Is the compensation of exempt employees in any way determined by hours worked (for example, do they receive less pay if they work less than a full day, or less than a certain minimum number of hours per pay period)?
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    Do you always pay non-exempt employees time and one-half for all hours worked in excess of 40 hours per week? For example, in lieu of overtime payments, do you utilize “comp time,” or do you exclude salaried employees from overtime entitlements, or do you exclude unauthorized overtime hours?
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    Have you determined whether your employment application forms and hiring/interviewing procedures are legally compliant in all of the states and cities where your employees are located, particularly in respect to: a. Inquiries respecting arrests or criminal convictions; b. Drug testing; c. Use of compensation history; d. Inquiries respecting health history, status and physical abilities?
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    Have you verified the compliance of your employee drug testing policies/procedures (including medical marijuana) in all of the states and cities where your employees are located?
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    Do you have a policy/procedure respecting employees who indicate by their conduct or words that they may not be able to perform all of the essential functions of their job? Is it consistently enforced and respected?
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    Do you have a policy/procedure respecting employees who request unpaid leave because of their own health condition or the health of a family member? Is it consistently enforced and respected?
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    Do you have a policy/procedure respecting employees who request unpaid leave because of the birth or adoption of a child? Does the policy/procedure differ depending on whether the employee is the mother or the father? Is it consistently enforced and respected?
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    Do you have a policy/procedure respecting employees who exceed their paid time off or unpaid leave entitlements? Is it consistently enforced and respected?
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    When is the last occasion that your management personnel were trained in respect to compliance with harassment and discrimination laws? How long did the training last? Was the training done in-person? Did all levels of supervision and management attend, including the top executives in the company?
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    Do you have a policy/procedure addressing romantic relationships between employees? Is it consistently enforced and respected?
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    Do you have a policy/procedure addressing the use of social media by employees? Is it consistently enforced and respected?
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    Do you have a policy/procedure addressing pro-unionization communications in the workplace? Is it consistently enforced and respected?
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    Do you have a policy/procedure respecting employees who request changes in workplace rules or procedures based on their religion? Is it consistently enforced and respected?
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    Have complaints been filed against you for employment law violations during the last three years?
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    Do you have a procedure respecting the issuance of employee warnings and discipline? Is it consistently enforced and respected?
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    Do you have a procedure respecting employee evaluations? Is it consistently enforced and respected?
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    Do you have a written procedure (for example, in your employee handbook) that explains how employee complaints about harassment or discrimination are to be handled? As part of the procedure, do you have a procedure for the investigation of harassment and discrimination complaints? Is it consistently enforced and respected?
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    Do you employ certified/degreed HR staff on a fulltime basis?
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    Do you have a procedure respecting the making of offers of employment? Is it consistently enforced and respected?
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    Do you utilize employment agreements that include confidentiality, non-compete and/or non-solicitation of clients/customers provisions?
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    Do you utilize independent contractor/consultant agreements that include confidentiality and nondisclosure provision?
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    Do you utilize employment agreements and independent contractor/consultant agreements that include “work for hire” and similar provisions that secure ownership of work product, inventions and other intellectual property?
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    Do you have a procedure intended to protect trade secrets (such as identifying information that constitutes a trade secret, and implementing procedures designed to prevent the disclosure of that information)? Is it consistently enforced and respected?
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    Do you have any arrangements designed to promote key employee retention, such as bonus, profit sharing, deferred compensation, stock options or similar programs?
  • This field is for validation purposes and should be left unchanged.