Cross-References:
- FCRA_TCPA_COMPLIANCE_TRACKING.md — Background check and SMS consent gates
- REGULATORY_COMPLIANCE_TRACKER.md — Master compliance tracker
docs/compliance/AUTHORITATIVE_REFERENCES.md— Authoritative External References — HR and Workforce Compliance
Overview
This document tracks the full scope of workforce compliance obligations for behavioral health employers operating in Arizona. It extends beyond the FCRA/TCPA tracking (which covers background checks and SMS) to address wage & hour, leave, benefits, employment eligibility, workplace safety, anti-discrimination, credentialing, and Arizona-specific labor law.1. Wage & Hour Compliance (FLSA / Arizona)
1.1 Fair Labor Standards Act (FLSA)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| WH-01 | Minimum wage — Pay at least federal (7.25/hr)orArizona(15.15/hr effective January 1, 2026, per ARS 23-363(B)), whichever is higher. Note: Local ordinances (e.g., Tucson, Flagstaff) may set higher minimums — verify local rates when expanding to new sites. | HR-07, HR-PAY-01 | 🟡 Partial | Arizona minimum wage is higher; system must track state rate annually. Local ordinance checks deferred to multi-site expansion. |
| WH-02 | Overtime — Pay 1.5× regular rate for hours > 40/week for non-exempt employees | HR-07, HR-05, HR-29 | 🟡 Partial | Time tracking (HR-05) feeds payroll (HR-07); HR-29 provides authoritative exempt/non-exempt classification that determines overtime eligibility |
| WH-03 | Employee classification — Correctly classify exempt vs non-exempt per FLSA duties test | HR-29 | 📋 Specification | HR-29 provides structured duties test documentation per 29 CFR 541, salary threshold tracking, annual audit workflow, reclassification workflow, and DOL audit reports. Replaces manual classification tracking. |
| WH-04 | Recordkeeping — Maintain records of hours worked, wages paid, and deductions for 3 years | HR-05, HR-07 | 🟡 Partial | Time/payroll data retained; ensure 3-year minimum retention policy |
| WH-05 | Youth employment — Comply with child labor provisions (hours, hazardous work restrictions) | N/A | 📋 Low risk | Behavioral health employers typically hire adults; document policy |
1.2 Arizona Wage Payment Act (ARS 23-350 through 23-365)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| AZ-W01 | Pay frequency — Designate ≥2 fixed paydays/month, ≤16 days apart | HR-07, HR-PAY-01 | 🟡 Partial | Payroll schedule configuration |
| AZ-W02 | Final paycheck — Pay within 7 working days of termination (3 working days if employee quits with 72 hours notice) | HR-07 | ⏳ Not Started | Implement termination paycheck workflow; track deadlines |
| AZ-W03 | Cash payment compliance — Employers paying cash must withhold taxes and comply with workers comp (ARS 23-361.01) | HR-07 | 📋 N/A | Encore OS processes payroll electronically; document exception |
| AZ-W04 | Earned Paid Sick Time — Accrue 1 hour per 30 hours worked (ARS 23-371 et seq.) | HR-06 | ⏳ Not Started | Track accrual in leave management; minimum 40 hours/year for employers with ≥15 employees |
2. Leave and Benefits Compliance
2.1 FMLA (Family and Medical Leave Act)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| LV-01 | Eligibility tracking — Identify employees who have worked 12 months and 1,250 hours | HR-06 | ⏳ Not Started | Auto-calculate from time records; flag eligibility. Owner: HR Director. Interim: track manually until HR-06 Phase 2 |
| LV-02 | 12-week unpaid leave — Provide up to 12 weeks for qualifying events (serious health condition, birth/adoption, military family) | HR-06 | ⏳ Not Started | Leave request and approval workflow. Owner: HR Director |
| LV-03 | Job protection — Restore employee to same or equivalent position | HR-06 | ⏳ Not Started | Track protected status in leave records. Owner: HR Director |
| LV-04 | Benefits continuation — Maintain group health coverage during FMLA leave | HR-11 | ⏳ Not Started | Flag FMLA status to prevent benefits termination. Owner: Benefits Administrator |
| LV-05 | Posting and notice — Display FMLA poster; provide eligibility/rights notice within 5 business days of request | HR-06 | ⏳ Not Started | Generate notices from system. Owner: HR Director |
2.2 ERISA and Employee Benefits
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| BN-01 | Summary Plan Description (SPD) — Provide SPD to participants within 90 days of enrollment | HR-11 | ⏳ Not Started | Document management for plan documents |
| BN-02 | Annual reporting (Form 5500) — File Form 5500 with DOL for plans with 100+ participants | HR-11 | 📋 External | Filed by benefits administrator/TPA; system provides headcount data |
| BN-03 | Fiduciary duties — Plan administrators must act in participants’ best interest | HR-11 | 📋 Policy | Organizational policy; system supports audit trail |
| BN-04 | COBRA continuation — Offer continuation coverage for 18-36 months after qualifying events (employers with 20+ employees) | HR-11 | ⏳ Not Started | Track qualifying events; generate election notices; enforce 60-day election window |
| BN-05 | ACA employer mandate — Offer minimum essential coverage to full-time employees (50+ FTE) or face penalties | HR-11 | ⏳ Not Started | Track FTE count; benefits eligibility; generate 1095-C data |
3. Employment Eligibility and Anti-Discrimination
3.1 I-9 and E-Verify
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| EE-01 | Form I-9 — Complete Section 1 by first day; Section 2 within 3 business days of hire | HR-01, HR-03 | 🟡 Partial | HR-03 EN-3 implements I-9/W-4 forms in onboarding; E-Verify integration still ⏳. Owner: Compliance Officer |
| EE-02 | E-Verify — Arizona mandates E-Verify for all employers (ARS 23-214) | HR-01 | ⏳ Not Started | Integration or manual verification; record case number. Owner: Compliance Officer |
| EE-03 | Document retention — Retain I-9 for 3 years after hire or 1 year after termination, whichever is later | HR-01 | ⏳ Not Started | Automated retention calculation and alerts. Owner: HR Director |
| EE-04 | Re-verification — Re-verify employment authorization before document expiration | HR-01 | ⏳ Not Started | Alert on upcoming document expirations. Owner: HR Director |
3.2 EEOC / Anti-Discrimination (Title VII, ADA Title I, GINA, PWFA)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| AD-01 | Title VII — No discrimination based on race, color, religion, sex, national origin (employers with 15+) | HR-01, HR-09 | 📋 Policy | Organizational policy; system enforces consistent hiring workflows |
| AD-02 | ADA Title I — Reasonable accommodation; no discrimination based on disability | HR-01 | 📋 Policy | Track accommodation requests; interactive process documentation |
| AD-03 | GINA — No use of genetic information in employment decisions; maintain confidentiality | HR-01 | 📋 Policy | System must not store or surface genetic information |
| AD-04 | PWFA — Reasonable accommodations for pregnancy-related conditions | HR-01, HR-06 | 📋 Policy | Extends ADA-type accommodations to pregnancy; track requests |
| AD-05 | EEO-1 reporting — Annual filing for employers with 100+ employees (or 50+ with federal contracts) | HR-42 (export), HR-01 (source demographics) | 📋 Specification | Workforce EEO-1 Component 1 export via HR Reports Hub; hiring EEO remains HR-09 |
| AD-06 | Arizona Civil Rights Act (ARS 41-1463) — State-level anti-discrimination; Arizona Attorney General enforcement | HR-01 | 📋 Policy | Posting requirement; aligned with federal protections |
| AD-07 | Internal selection / promotion audit trail — Document non-discriminatory internal selection decisions with disposition codes and timestamped stage history (EEOC UGESP 29 CFR 1607) | HR-35 | ✅ Implemented (2026-05-22) | hr_internal_application_stage_audit captures every transition; hr_application_disposition PF-15 picklist (8 EEOC-aligned defaults) is required on terminal transitions; manager-notify default OFF protects employee privacy. Evidence: docs/compliance/evidence/HR-35-eeo-internal-selection-EVIDENCE.md. |
3.3 HIPAA Privacy Rule — workforce safeguards
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| HP-01 | Policies and procedures; workforce training — Document that workforce is trained on privacy policies and procedures (45 CFR 164.530(b)) | HR-31, HR-03 | ⏳ Not Started | HR-31 provides electronic acknowledgment, version history, and exportable evidence; HR-03 may include policy packet steps. Interim: paper sign-off sheets. |
4. Workplace Safety (OSHA / ADOSH)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| OS-01 | General Duty Clause — Maintain workplace free from recognized hazards | N/A | 📋 Operational | No system spec; operational safety programs |
| OS-02 | Workplace violence prevention — Healthcare-specific: risk assessments, training, incident reporting | HR-01 (incident tracking) | ⏳ Not Started | Behavioral health has elevated risk (44.4 per 10,000); implement incident tracking |
| OS-03 | OSHA 300 Log — Record and post workplace injuries/illnesses annually | HR-01 | ⏳ Not Started | Track incidents; generate OSHA 300/300A forms |
| OS-04 | ADOSH (Arizona Division of Occupational Safety) — State OSHA plan; additional state-specific inspections | N/A | 📋 Operational | Comply with ADOSH standards; no additional system requirements beyond OSHA |
| OS-05 | Bloodborne pathogens — Exposure control plan for healthcare workers (29 CFR 1910.1030) | N/A | 📋 Operational | Clinical and residential staff exposure; operational policy |
| OS-06 | Hazard communication / safety policy acknowledgment — Evidence employees received required safety-related policies (29 CFR 1910.1030 training elements; General Duty communication) | HR-31 | ⏳ Not Started | Complements operational OSHA programs; HR-31 stores acknowledgment records and audit exports. |
5. Credentialing and Licensing
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| CR-01 | State licensure verification — Verify behavioral health professional licenses (AZBBHE, nursing boards) | HR-02 | 🟡 Partial | Credentialing module tracks license status; manual verification |
| CR-02 | NPI tracking — Maintain National Provider Identifier for rendering providers | HR-02 | 🟡 Partial | NPI stored in employee/provider record |
| CR-03 | Payer credentialing — Maintain provider enrollment with AHCCCS, commercial payers | HR-02 | ⏳ Not Started | Track payer enrollment status and renewal dates |
| CR-04 | License renewal alerts — Notify before license/certification expiration | HR-02 | 🟡 Partial | Expiration tracking with configurable alerts |
| CR-05 | Continuing education — Track CE hours required for license renewal | GR-02-EN-04 (canonical requirement library, jurisdiction-scoped via PF-96); HR-02 (consumer for renewal eligibility); HR-27 (overlay UI for deficit alerts) | 📋 Specification | Reframed by ADR-014: requirement library moved from HR-27/HR-02 into gr_ce_requirements + gr_ce_requirement_overrides + gr_ce_progress_v under the AZ jurisdiction profile. CE hour logging via gr_ceu_credits (GR-02 parent); auto-check against jurisdiction-resolved requirements. |
| CR-06 | Fingerprint clearance card — Arizona DPS fingerprint clearance required for behavioral health (ARS 36-425.03, ARS 41-1758.07) | HR-02 | ⏳ Not Started | Track clearance card status and renewal (6-year cycle) |
6. Workers’ Compensation (Arizona)
| # | Requirement | Responsible Spec | Status | Notes |
|---|---|---|---|---|
| WC-01 | Coverage requirement — All Arizona employers must carry workers’ comp insurance (ARS 23-961) | HR-11 | 📋 External | Insurance carrier manages; system tracks claims data |
| WC-02 | Injury reporting — Report workplace injuries to insurer within prescribed timeframes | HR-01 | ⏳ Not Started | Incident reporting workflow; track claim status |
| WC-03 | Return to work — Facilitate modified duty/return-to-work programs | HR-01, HR-06 | ⏳ Not Started | Track work restrictions and accommodations |
| WC-04 | Premium classification — Correct industry classification codes for premium calculation | HR-11 | 📋 External | Provided to insurance carrier; payroll data feeds |
7. Authoritative External References
8. Periodic Review Schedule
| Review | Frequency | Next Due | Owner |
|---|---|---|---|
| FLSA classification audit | Annually | YYYY-MM-DD | HR Director |
| Arizona minimum wage rate update | Annually (Jan 1) | 2027-01-01 | Payroll Manager |
| I-9 / E-Verify audit | Annually | YYYY-MM-DD | Compliance Officer |
| FMLA eligibility review | Quarterly | YYYY-MM-DD | HR Director |
| License/credential expiration check | Monthly | YYYY-MM-DD | Credentialing Coordinator |
| OSHA 300 Log posting | Annually (Feb 1 – Apr 30) | 2027-02-01 | Safety Officer |
| Workers’ comp classification review | Annually | YYYY-MM-DD | HR Director |
| FCRA/TCPA compliance audit | Quarterly | YYYY-MM-DD | Compliance Officer |
Version History
1.0.2 (2026-05-22)
- Updated AD-05 mapping to HR-42 for workforce EEO-1 Component 1 export
1.0.1 (2026-03-25)
- Added HIPAA Privacy Rule workforce training documentation (HP-01) mapped to HR-31 / HR-03
- Added OSHA safety policy acknowledgment evidence (OS-06) mapped to HR-31
1.0.0 (2026-02-27)
- Initial comprehensive HR workforce compliance document
- Covers FLSA, Arizona wage law, FMLA, ERISA, COBRA, ACA, I-9/E-Verify, EEOC/Title VII/ADA/GINA/PWFA, OSHA/ADOSH, credentialing, workers’ comp
- Cross-references FCRA_TCPA_COMPLIANCE_TRACKING.md for background check and SMS details
- 40+ compliance requirements tracked across 6 categories
Last Updated: 2026-05-22 Next Review: 2026-05-27