CHECKLISTS

FOR BUSINESS STRUCTURE

LP|HR
LPHR
LPHR.CO 2014
LPHR
LPHR.CO 2014
Basic Franchise Agreement Terms
Personnel File Documents
Drafting Joint Promotion Agreements
Merchandising License Agreements
Emergency Procedures
Ergonomics
Being an Excellent Employee
Safety in the Workplace
Start Ups
Developing Service Standards
CHECKLISTS
LPHR
LPHR.CO 2014
Workers Compensation Claims
Home Based Worker
Government Grants
Manufacturer Analysis
Partnership Agreements
Routine Management Duties
Sample Proposal Format for RFP Response
Strategic Planning
Vender / Supplier Files
CHECKLISTS
YES NO
My annual report provides analysis and a sense of my companys
direction for the next year, not just a recap of the past year.
My annual report makes fnancial data immediately available and
encapsulates it through charts and graphs.
My annual reports narrative is future-oriented, and describes my
philosophy and growth plans.
My annual report is written in a way that appears to tell my
companys story to the average shareholder.
My annual report uses descriptive headings and sub-headings to
communicate to readers who only skim the report, and to draw
them into reading more thoroughly.
My annual report contains a brief but thorough synopsis of my
companys markets and lines of business.
My annual reports operations review tells the story quickly and
concisely, and describes how divisions fare in their respective
markets.
My annual report is attractively packaged, with an engaging cover
pictures, captions, and other elements that catch an average
shareholders attention.
My annual report is written with its role as a marketing tool in mind,
and would be useful to a shareholder recommending my companys
stock to a friend or relative.
QUESTIONNAIRE: HOW USER-FRIENDLY IS MY ANNUAL REPORT?
Annual reports are an integral part of not only an annual shareholder meeting, but also
your companys reputation. The annual report must accurately describe the fnancial
condition of the company and its future direction. The following questionnaire will
help you determine whether your annual report satisfes the interests of analysts and
shareholders.
The more Yes answers you gave, the more your annual report satisfes the reported
interests of both analysts and shareholders. The more No answers you gave, the more
you may wish to explore reformatting your annual report to fulfll its potential value to
your company.
CHECKLIST:
SHAREHOLDERS AND INVESTORS
ANNUAL REPORTS
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CHECKLIST:
BASIC FRANCHISE AGREEMENT TERMS
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One of the most popular way to start your own company is through a franchise; a
business organization in which a well-known frm with a successful product or service -the
franchisor -enters into a contractual relationship with another business -the franchisee
-that operates under the franchisors name in exchange for a fee. Franchise agreements
vary from franchise to franchise so it would be impossible to identify every term and issue
that should be considered in all situations. The checklist should be used in conjunction
with the franchise agreement -the document that will set out all the terms and conditions
that will govern your ownership of the franchise -which will be drafted by the franchisor.
In any event, you shouldnt sign it until youve discussed your options with your attorney.
Issues relating to the franchise cost terms
What is the initial franchise fee? Is any part or the entire initial fee refundable?
Does it include an opening inventory of products and supplies?
What are the payment terms: amount, time of payment, lump sum or installment,
fnancing arrangements, etc.?
Does the franchisor offer any fnancing, or offer help in fnding fnancing?
Are there any deferred balances? If so, who fnances and at what interest rate?
Does the contract clearly distinguish between total cost and initial fee,
initial cash required, or initial costs, etc.?
Are there periodic royalties? If so, how much are they and how are they
determined?
How and when are sales and royalties reported, and how are royalties paid?
If royalty payments are in whole or part payment for services by the franchisor,
what services will be provided?
Are accounting/bookkeeping services included or available?
Is a specifed amount ofworking capital required ofthe franchisee to cover
operating costs until profts can be made?
Must premises be purchased or rented, and are there further conditions on
either ofthese (from franchisor, selected site, etc.)?
How and by whom will the building be fnanced, if purchased?
Does the franchisee have to make a down payment for construction and/or
equipment?
CHECKLIST:
BASIC FRANCHISE AGREEMENT TERMS
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Issues relating to the franchise location terms
Does the franchise apply to a specifc geographical area? If so, are the boundaries
clearly defned?
Who has the right to select the site?
Will other franchisees be permitted to compete in the same area, now or later?
Is the territory an exclusive one, and is it permanent or subject to reduction or
modifcation under certain conditions?
Does the franchisee have a frst refusal option as to any additional franchises in
the original territory if it is not exclusive?
Does the franchisee have a contractual right to the franchisors latest products
or innovations? If so, at what cost?
Will the franchisee have the right to use his own property and/or buildings? If
not, will the franchisor sell or lease his property to the franchisee?
Who is responsible for obtaining zoning variances, if required?
Issues relating to the buildings, equipment and supplies terms
Are plans and specifcations ofthe building determined by the franchisor?
If so, does this control extend to selection of contractor and supervision of
construction?
Are there any restrictions on remodeling or redecorating?
Must equipment or supplies be purchased from the franchisor or approved
supplier, or is the franchisee free to make his own purchases?
When the franchisee must buy from the franchisor, are sales considered on
consignment? Or will they be fnanced and, if so, under what terms?
Does the franchise agreement bind the franchisee to a minimum purchase
quota?
What controls are spelled out concerning facility appearance, equipment,
fxture and furnishings, and maintenance or replacement ofthe same? Is there
any limitation on expenditures involved in any of these?
CHECKLIST:
BASIC FRANCHISE AGREEMENT TERMS
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Does the franchisor have a group insurance plan? If not, what coverage will be
required, at what limits and costs? Does the franchisor require that it be named
as an insured party in the franchisee liability coverage?
Issues relating to the operating practices terms
Must the franchisee participate personally in conducting the business? If so, to
what extent and under what specifc conditions?
What degree of control does the franchisor have over franchise operations,
particularly in maintaining franchise identity and product quality?
What continuing management aid, training and assistance will be provided by
the franchisor, and are these covered by the service or royalty fee?
Will advertising be local or national and what will be the cost-sharing
arrangement, if any, in either case?
If local advertising is left to the franchisee, does the franchisor exercise any
control over such campaigns or share any costs?
Does the franchisor provide various promotional materials point-of-purchase,
mail programs, etc. and at what cost?
What are bookkeeping, accounting and reporting requirements, and who pays
for what?
Are sales or service quotas established? If so, what are the penalties for not
meeting them?
Are operating hours and days set forth in the franchise contract?
Are there any limits as to what is or can be sold?
Does the franchisor arrange for mass purchasing and is it mandatory for the
franchisee to be a participant buyer?
Who establishes hiring procedures initially and through the franchise term?
Issues relating to termination and renewal terms
Does the franchisor have absolute privilege of terminating the franchise
agreement if certain conditions have not been met, either during the term or
at the end?
CHECKLIST:
BASIC FRANCHISE AGREEMENT TERMS
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Does the franchise agreement spell out the terms under which the franchisor
may repurchase the business?
Does the franchisor have an option or duty to buy any or all of the franchisees
equipment, furnishings, inventory, or other assets in the event the franchise is
terminated for good cause, by either party?
If the preceding situation occurs, how are purchase terms determined?
Is there provision for independent appraisal? Is any weight given to good will
or franchisee equity in the business?
Does the original agreement include a clause that the repurchase price paid by
the franchisor should not exceed the original franchise fee? If so, this eliminates
any compensation for goodwill or equity.
Under what conditions (illness, etc.) can the franchisee terminate the franchise?
In such cases, do termination obligations differ?
Is the franchisee restricted from engaging in a similar business after termination?
If so, for how many years?
If there is a lease, does it coincide with the franchise term?
Does the contract provide suffcient time for amortization of capital payments?
Has the franchisor, as required, provided for return of trademarks, trade names,
and other identifcation symbols and for the removal of all signs bearing the
franchisors name and trademarks?
Other points to consider
Can the franchisee sell the franchised business and assign the franchise
agreement to the buyer?
Is the franchise assignable to heirs, or may it be sold by the franchisees estate
on death or disability?
Does the lease permit assignment to any permitted assignee of the franchisee?
How long has the franchisor conducted business in its industry, and how long
has it granted franchises?
How many franchises and company-owned outlets are claimed, and can they
be verifed? If there is a trade name of a well-known person involved in the
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franchise, is he active, does he have any fnancial interest; does he receive
compensation for work or solely for use of his name, etc.?
Are all trademarks, trade names, or other marks fully identifable and distinct,
and are they clear of any possible interference or cancellation owing to any
pending litigation?
What is the duration of any patent or copyright material to the franchise? If
time is limited, does the franchisor intend to renew, and is this spelled out in
the franchise agreement?
Has the franchisor met all law requirements (registration, escrow or bonding
requirements, etc.), if applicable?
Are there laws governing franchisor/franchisee relationships, including contract
provisions, fnancing arrangements and terminations? If so, does the contract
meet all requirements?
CHECKLIST:
PERSONNEL FILE DOCUMENTS
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Some or all of the following documents should be maintained in an employees
personnel fle. It is generally recommend that personnel fle, payroll! and other records
be maintained for 3 years after employment. Other health and safety records should be
maintained for 5 years.
Resume
Letters of Reference
Employment Application
Interview Record
Pay Record
Employment Agreements
Employee Handbook Acknowledgment
Harassment and Discrimination Policy Acknowledgment
Employee Compliance Surveys
Drug Testing Policy Acknowledgment and Results
Police Check Policy Acknowledgment and Results
Drivers Record Policy Acknowledgment and Results
Confdentiality, Trade Secret and Non-Disclosure Agreements
Performance Appraisals and Performance Agreements
Transfer Notices, Layoffs and Recall Notices.
Discipline Notices
Absenteeism and Lateness Notices
Termination Documents
Exit Interviews
Unemployment and Workers Compensation Documents
Severance Agreements and Releases
Medical Records (limited access)
Injury Reports (limited access)
Union Membership Records
CHECKLIST:
DRAFTING JOINT PROMOTION AGREEMENTS
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Identifcation of Parties
Names
Addresses
Defnition of Property
Defnition of Products
Promotional License Grant
Defnition of territory
Creation of tie-in promotion
Term of Agreement
Extensions of term
Tie-In Promotion
Promotional product
Compensation
Promotional fee
Audit
Obligations of the Parties
Minimum distribution
Artwork creation
Approval o f artwork
Sale or distribution of promotional product
Disposal of promotional product
Advertising
Cost of advertising
Source of advertising
Approval of advertising
Marking requirements
Publicity material
CHECKLIST:
DRAFTING JOINT PROMOTION AGREEMENTS
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Warranties and Obligations
Ownership and Non-infringement
Best efforts to commercialize
Responsibility for manufacture, sale, and distribution
Product introduction and frst shipment dates
Quality Control and Samples
Marking provisions of intellectual property laws
Legal notices
Quality standards
Product approvals/types and frequency
Preliminary artwork
Final artwork
Preproduction samples
Production samples
Periodically during production
Inspection of facilities
Notice Provision
Intellectual Property Rights
Obtaining intellectual property protection
Acknowledgment of ownership
Licensee estoppels
Goodwill
Secondary meaning acknowledgment
Execution o f documents
Termination
Immediate right to terminate
Product introduction dates
Fails to continuously sell
Fail to maintain insurance
Bankruptcy or dissolution
Unauthorized use of marks
Timely payment of royalties
Right to terminate portion of agreement
Right to terminate on notice for breach
CHECKLIST:
DRAFTING JOINT PROMOTION AGREEMENTS
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Posttenmination Rights
Inventory
Sell-off period
Cease selling
Return of material
Goodwill
Infringements
Party with initial right/secondary right
Cooperation
Responsibility for payment
Responsibility for lead counsel
Division of proceeds
Indemnifcation
Product liability
Infringement D Insurance
Product liability
Advertisers
Force Majeure
Jurisdiction and Disputes
Non-disclosure and Non-compete
Binding on Successors
Waiver
Severability
No Joint Venture

Assignability
Integration
Execution and Dating by Parties
CHECKLIST |GUIDELINES:
MERCHANDISING LICENSE AGREEMENTS
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Identifcation of Parties
Names
Addresses
Defnition of Property
Defnition of Licensed Products
Fragmentation issues if exclusive
License Grant
Exclusive vs. non-exclusive
Defnition of territory
Reservation of rights
Entertainment and merchandising rights
Sublicensing
Term ofAgreement
Options to renew
Effect ofcommercialization of property
Compensation
Royalty income
Sublicensing income division
Royalty period de fned
Net sales defned
Royalty statements
Advance
Guaranteed minimum royalty
Guaranteed vs. non-guaranteed
When sale occurs
Sales to affliates
Receipt will not prevent subsequent challenge
Acceleration
Survival oftermination
Currency
Interest
CHECKLIST |GUIDELINES:
MERCHANDISING LICENSE AGREEMENTS
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Audit
Timing and notice
Underpayment
Record retention
Representations and Warranties
Ownership and non-infringement
Necessary permissions
Ability to contract
No conficting agreements
Best efforts to commercialize
Promote and advertise
Product introduction and frst shipment dates
Quality Control and Samples
Marking provisions of intellectual property laws
Obligation to seek intellectual property protection
Legal notices
Quality standards
Product approvals/types and frequency
Preliminary artwork
Final artwork
Preproduction samples
Production samples
Periodically during production
Right to terminate if quality falls
Intellectual Property Rights
Acknowledgment of ownership
Licensee estoppels
Goodwill
Secondary meaning acknowledgment
Execution of documents
CHECKLIST |GUIDELINES:
MERCHANDISING LICENSE AGREEMENTS
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Termination
Immediate right to terminate
Product introduction dates Fails to continuously sell
Fail to maintain insurance
Bankruptcy or dissolution Unauthorized use of marks
Timely payment of royalties
Right to terminate portion of agreement
Right to terminate on notice for breach
Post termination Rights
Inventory
Sell-off period
Cease selling
Return of material
Infringements
Party with initial right/secondary right
Cooperation
Responsibility for payment
Responsibility for lead counsel
Division of proceeds
Goodwill
Indemnifcation
Product liability
Infringement
Insurance
Product liability
Advertisers
Force Majeure
Jurisdiction and Disputes
CHECKLIST |GUIDELINES:
MERCHANDISING LICENSE AGREEMENTS
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Notice Provision
Non-disclosure and Non-compete
Termination
On notice in event of breach
By agent
Binding on Successors
Waiver
Independent Contractor
Severability
Assignability
Integration
Execution and Dating by Parties
CHECKLIST:
EMERGENCY PROCEDURES
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Emergency Instructions
Follow these rules in an emergency:
Stop work and leave the building IMMEDIATELY when the fre alarm sounds or
when you are instructed to do so.
Follow instructions, avoid panic, and cooperate with those repsonding to the
emergency.
Proceed to the designated or nearest exit.
Turn off computers, equipment, fans, etc. and close desk drawers.
Do NOT delay your exit from the building by looking for belongings or other people.
When leaving the building, go to a clear area well away from the building. Do not
obstruct fre hydrants or the responding fre/rescue workers and their equipment.
Do not re-enter the building until instructed to do so by your supervisor or fre/
rescue worker.
The above rules will be enforced. Period fre emergency drills may be conducted.
Your life and the lives of others will depend on your cooperation.
EMERGENCY PLAN:
The company has a responsibiliy for minizing the danger to life, property and job security
arising from the effects of fre, riots, civil commotion, and natural and man-made disasters.
To accomplish this purpose, a Quick Reaction Team hasbeen developed to respond to
emergencies.
Their responsibilities include the following:
Arrange for evactuation of employees
Render frst aid
Salvage and restore company operations
If you ever discover a fre:
Remain calm. Do not shout Fire! but instead pull the nearest fre alarm.
Dial 911 on the telephone and give the operator the location of the fre, the foor,
wing and room number, if possible.
CHECKLIST:
ERGONOMICS
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Ergonimics is the study of physical work and it has never been more important to
buisiness owners and managers. As new technologies become available to help us do
our jobs better, we hear reports that the same technologies can cause reptitive injuries
or cumulative trauma. Employees who develop cumulative trauma or reptetive stress
disorders may seek compensation from their employers who failed to heed early warning
signs. Proactice attention to ergonimics when your employees are frst placed at new
workstations could prevent serious workplace injuries down the line - which will prevent
your company facing citations, fnes or litigation.
The following checklist can help you make sure every employee who uses a desktop
computer is comfortable and helathy. This checklist can be downloaded to your frms
Intranet Site for your employees to use.
NOTE: Swich wording to say employees should be able to answer yes - guide for
employers not necessary for individual employees as a handout??
Can every employee answer yes to each of the following questions?
It is easy for me to get in and out of my workstation.
My chair adjusts so that my upper legs and lower legs form a right angle.
My chair has armrests.
The keyboard sits at my waist; my upper arms and lower arms form a right angle.
My writs are not bent while typing.
A wrist rest is available if I want one.
I can tilt the keyboard.
I can easily reach the mouse pad.
The chair back supports my lower back.
The chair back supports my upper back.
My feet rest comfortably on the foor.
A footrest is available if I want one.
An adjustable document holder is available if I want one.
I have a color monitor that is adjustable for contrast and brightness.
My monitor sits at or below eye level and is not too close or too far from me.
CHECKLIST:
ERGONOMICS
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My monitor has a glare protection screen.
There is plenty of light at my workstation.
A desk lamp is available to me if I want one.
My work surface easily accomodates the books and tools I use regularly.
The telephone is near my chair and I do not have to reach to use it.
A telephone headset is avaialble to me if I want one.
I am comfortable with my workload I dont do the same task all day long.
I take advantage of breaks and my lunch period to get up and move around.
I have received training and cululative trauma.
I know the telltale signs of repetitive stress and other workplace injuries.
If my workstation became uncomfrtable, I would tell my supervisor.
CHECKLIST:
BEING AN EXCELLENT EMPLOYEE
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Understand that all relationships require trust, direction, communication and
committment to be successful.
Keep yourself healthy, focused and alert at all times.
Dont be afraid to admid mistakes. It is better to admit that you made a mistake,
realize why you made the mistake, and then make sure you dont do it again.
Dont be afraid to say I dont know. It is better to confess ignorance and learn the
right way of doing things than to pass on, or rely on, false information that may be
damaging to you and the company.
Dont talk behind someones back. If you decide to come to work for us, we expect
your loyalty and best efforts. You should expect ours in return. If you dislike your
supervisor or the company then let us know what is bothering you and we will try
to work it out.
Dont just punch the clock. If you run out of things to do during the workday, fnd
out if there is anything else you can do to help bring value to the company, its
clients, customers and other stakeholders.
Find the value in the diversity of our employees and customers.
Dress correctly. Wear clothes that will make other people feel comfortable and that
refects your value to the company.
Dont harass, discriminate, use profanity or tell off-color jokes.
Be honest and trustworthy. Follow the Code of Ethics provided in the Employee
Handbook.
Think! Be creative and innovative. The company is willing to listen to any suggestions
or ideas you have which would increase the quality and value of our products and
serbices.
Follow the Golden Rule! Act with respoect and responsbility towards those around
you.
CHECKLIST:
SAFETY IN THE WORKPLACE
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This list contains important points to consider to offer your employees
a safe work environment:
Offer employees a share of insurance premium reductions which result from a
reduced number of accidents.
Match the applicant carefully to the job. Test their skills and physical abilities.
Install alarm systems for thefy, entry and fre purposes.
Make sure that all threats of violence are reported and investigated immediately.
Maintain a frst aid cabinet, post frst aid infromation, including fre, policy,
ambulance numbers and a poster on how to perform mouth-to-mouth
resuscitation.
Comply with all Federal and State/Province requirements.
Comply with all hazardous materials reporting requirements, including
idenfcation of hazardous substances.
Clearly mark and keep clear all your exists, aisles,and passages. Procide stairs with
slip resistant surgaces, handrails and proper lighting.
Make sure your equipment contains safety guards, electrical grounding, readily
available and easily idenftifable power shut off switches and emergency stop
buttons.
When appropriate, provide your employees with, and require them to wear,
protectve clothing including: safety glasses, gloves, hard hats, steel toed boots,
headphones, hearing prtective equipment, writst braces, back support belts and
the like.
Do not allow productivtty pressures to compromise safety.
Make sure the furniture and equipment you use at the work is ergonomically
designed. This includes chairs, computer keyboards, computer screens, as well as
other equipment involving repetitive physical use.
Address indoor pollution problems through proper ventilation and inspection.
Regularly inspect your equipement for functionality and safety purposes.
Have a safety offcier, a safety plan, and conduct safety meetings.
Make sure to send ill employees home before allowing them to work around
dangerous machinery.
Make sure you communicate emergency response plans for fre, earthquakes,
hurricanes, fooding, etc.
CHECKLIST:
SAFETY IN THE WORKPLACE
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Drug testing new employees and after accidents.
Clearly set forth smoking prohibitions and participate in anti-smoking campaigns.
Do a criminal reference chcek for employees in positions of responsibility for
elders, infants and others who are dependent on their care.
Do pre-hire and annual Department of Motor Vehicle Checks for all employees
who drive as part of their job.
CHECKLIST: START UP
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Background work
Analyze your business idea by doing a
SWOT analysis
Assess your strengths and weaknesses
as an entrepreneur
Establish business and personal goals
Assess your fnancial resources and
identify potential sources of funds
Identify the fnancial risks
Determine the start-up costs
Decide on your business location
Do a thorough market research
Identify your customers
Identify your competitors
Develop a marketing plan
Business transactions
Select a lawyer and an accountant
Choose a form of organization
(proprietorship, partnership, or
corporation, for example)
Create your business (register your
companys name, incorporate the
business, etc.)
Prepare a business plan
Select a banker and set up a business
checking account
Apply for business loans and grants (if
applicable)
Establish a line of credit (if possible)
Select an insurance agent and obtain
business insurance
First steps
Prepare corporate brochures
Build a website
Set-up corporate email accounts
Get business cards
Obtain a lease
Line up suppliers (if applicable)
Get furniture and equipment
Obtain business licenses or permits (if
applicable)
Get a federal employer identifcation
number (if applicable)
Get an employer ID number (if
applicable)
Send incorporation papers for federal
and state/province tax forms
Join a professional organization
Choose a starting date
Prepare and deploy your
communication/marketing strategy
Here is a checklist for you to follow when developing or evaluating
your own service standards:
Are they stated clearly and completely in writing? (When you state your standards
in writing, it shows you are serious about their implementation.)
Do you have a method to keep the service standards constantly in front of the
employees whose job it is to deliver those standards? (This is a good place to
have lots of posters, signs, and coffee mugs and buttons to remind everyone of
the standards, especially at moment of customer contact.)
Are they observable and measurable? (Only what you can see, hear or measure
can be stated as behavioral standards.)
Are they able to be attained by the majority of the employees? (Impossible goals
will just decrease morale.)
Were they developed by a team of employees, management and customers?
(If you do not include the front -line employees, you run the risk of not getting
buy in from them because goals are unrealistic. It is also a good idea to
include customers so that you can be sure the standards satisfy your customers
expectations.)
Do they come as close to perfect as is possible in your environment?
Do they have the unequivocal support of top management and contribute to
your organizations goals and mission statement?
Do you have a feedback system to help judge when a standard is found to be
unrealistic or unworkable? (In cases like this, the standard should be changed
and all employees notifed of the change. Again, it is best to take a team-decision
approach when adding to or changing the standards.)
Do you have some kind of disciplinary action for when the standards are not
met? (You need to let employees know that meeting and exceeding these
standards is an important part oftheir job.)
CHECKLIST | GUIDELINES
FOR DEVELOPING SERVICE STANDARDS
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CHECKLIST:
WORKERS COMPENSATION CLAIMS
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The initial period is critical in handling workers compensation claims. So you must be sure to:
Immediately
Administer frst aid
Accompany injured worker to a selected medical provider
Report incident within company
Notify family
Assign responsible person to follow claim
First Day
Report to claim handler outside company (insurance company or third-party
administrator)
Determine, on a preliminary basis, whether the injury is covered by workers
compensation
Counsel employee and/or family on claims procedures, available benefts,
companys continuing interest in employees welfare, etc.
Follow up with the employee or family
First Week
Coordinate payment of initial benefts
Talk to treating physician to learn diagnosis and treatment plan
Evaluate whether medical rehabilitation is necessary or appropriate
Develop return-to-work plan
Contact the injured employee and/or the family and forward mail
First Month
Use a wellness approach (cards, phone calls, visits) to continue to reinforce
companys concern
Consider medical examination by independent physician, if warranted
Reevaluate treatment plan based on new medical information
Update return-to-work plan and contact the injured employee and/orthe family
Ongoing
Continually reevaluate treatment plan
Refer for pain management evaluation of chronic pain, if appropriate
Maintain contact with the injured employee and/or the family
CHECKLIST:
COLLECTING INFORMATION FOR A CLAIM
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Whether its the businesses owner, or someone assigned by the business owner to
keep track of the claim, heres some advice for the types of information the person
overseeing the claim should be gathering:
About the employee
Name, nicknames, maiden name, previous names
Address-current and previous (length oftime living at both addresses)
Phone number, pager number, cellular number
Social security and drivers license numbers
Sex
Date of birth
Marital status
Dependents and immediate family contact
Non-relative contact
Date of hire (state hired, if applicable)
Job classifcation, if applicable (insurance class or company classifcation)
Vehicle (type, year, license number)
Interests-hobbies
Lenqth of time as a state resident
About the injury
Time and date of injury
Date of death (if applicable)
State of injury
Nature of injury (sprain, fracture, etc.)
Body part(s) affected; any previous injury to the affected body part(s)
Source of injury (machines, hand tools, buildings, etc.)
Type of injury (fall, struck by object orvehicle, overexertion, repetitive motion
trauma)
Witnesses
Work process involved (lifting, carrying, etc.)
To whom was the injury reported
Who flled out the frst report of injury report
Plant or location
Job
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WORKERS COMPENSATION CLAIMS
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Time and date the injury was reported
Shift, if applicable
About the claim
Date employer frst notifed
Who was notifed, by whom?
Date employerwas notifed ofworkers compensation claim
Date insurance company or service company notifed
Date state agency notifed
State case number
Average weekly wage
Beneft rate
Health care providers and costs
Other benefts lost (Did the employer stop paying vacation, health benefts, etc.?)
Other benefts received
Date disability started
Date of frst payment
Projected return-to-work date
Date case closed
Date of maximum medical improvement
Impairment rating
Lost days
Total benefts paid
Vocational rehabilitation activity
Subrogation (Is some third party responsible?)
Second injury fund potential
Oral statement from injured worker
Conduct the interview in a non-adversarial setting
Demonstrate concern and empathy
Allow the worker to talk
Do not rush the worker
Reenact the accident
Check for photos and/or video of the accident
CHECKLIST:
WORKERS COMPENSATION CLAIMS
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Written statement from injured worker
Note the location where the statement is taken
Let the employee write the statement, if possible
Statement is taken ASAP after the injury
Describe the worker pre-injury and post injury actions
Request that the worker and any witnesses sign the statement
Make sure the employee initials any changes
Give copy of statement to employee
List the date and time of the statement
Oral statement from witness(es)
Note witness location at the time of injury
Record witness relationship to the injured worker
Interview witnesses individually
Do not rush the witness
Make sure the statement is unrehearsed
Written statement from witness(es)
Make sure the witness writes the statement in ink
Record the stated ASAP after the injury
Make sure the witness records his/her actions before, during and after the time of
injury
Request that the witness sign the statement and initial any changes
Record the date and time of the statement
Give a copy ofthe statement to the witness
If litigation occurs
Defense attorney, law frm
Claimant attorney, law frm
Identify judge
Costs of litigation (spending more than paying?)
History of dispute
Settlement
CHECKLIST:
WORKERS COMPENSATION FRAUD
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You may not discriminate against a worker who has fled previous workers
compensation claims. However, when you have several of the following suspect
behaviors present or you observe an emerging pattern, dont be afraid to investigate
further for possible fraud or to forward your suspicions to the appropriate authority.
About the worker
The injured worker has an unstable work history; i.e., an employee who often
changes jobs
The claimant has a history of reporting subjective injuries which may include
workers compensation or liability claims
The claimant is consistently uncooperative
The injured worker has been recently terminated, demoted, or passed over for a
promotion
The injured worker is in line for early retirement
The injured worker is making excessive demands
The injured worker calls soon after the injury and presses for a quick settlement
of the case
The injured worker moves out of state soon after the injury
The injured worker changes his address to a post offce box or receives mail via
friend or relative
About the workplace
The injured workers workplace is experiencing labor diffculties
The accident occurs just prior to job termination, layoff, after formal discipline of
the employee, or near the end of the employees probationary period
About the workplace
The injured workers workplace is experiencing labor diffculties
The accident occurs just prior to job termination, layoff, after formal discipline
ofthe employee, or near the end of the employees probationary period
About the injury
The injured worker was not injured in the presence ofwitnesses
CHECKLIST:
WORKERS COMPENSATION CLAIMS
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The injury is a subjective one, like stress, emotional trauma, or is hard to prove,
like back pain, headache, insomnia, etc.
The accident is not promptly reported by the employee to the employer
The employers frst notice of the injury is from an attorney or a medical clinic,
and not from the injured worker
Physicians who have examined the injured worker have vastly differing opinions
regarding the injured workers disability
There is no sound medical basis for the disability; all physicians reports indicate a
full recovery
The injured worker is claiming disability exceeding that which is normally
consistent with such an injury
The accident occurs late Friday afternoon or shortly after the employee reported
on Monday
The claimant has the accident at an odd time, such as at lunch hour
The accident occurs in an area where the injured employee would not normally
be
The task that caused the accident is not the type that the employee should be
involved in; i.e., an offce worker who is lifting heavy objects on a loading dock
The details ofthe accident are vague or contradictory
About the medical relationship
The claimant frequently changes physicians or medical providers
The claimant changes physicians when a release for work has been issued
A review of medical reports provides information that is inconsistent with the
appearance or behavior of an injured person; i.e., a rehabilitation report describes
the claimant as being muscular, with callused hands and grease under the
fngernails
The employers frst report of injury contrasts with the description of the accident
set forth in the medical history
The injured worker develops a pattern of missing physicians appointments
About the claim itself or the claimants attorney
The injured workers attorney requests that all checks and correspondence be
sent to the attorneys offce
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The claimants attorney is known for handling suspicious claims
The attorney lien or representation letter is dated the day of the reported
accident
The same doctor/lawyer combination previously known to handle the same kind
of injury is handling this claim
The claimant is unusually familiar with workers compensation claims procedures
and laws
The claimant initially wants to settle with the insurer but later retains an attorney
and fles increasingly subjective complaints
The claimants attorney threatens further legal action unless a quick settlement is
made
There is a high number of applications from a specifc frm
The claimants attorney inquires about a settlement or buyout early in the life of
the claim
The claimant writes unsolicited statements about how much better he/she is, but
treatment continues and the claimant doesnt return to work
About outside activities
There are tips from flow employees, friends, or relatives suggesting that the
injured worker is either working or is active in sports
The injured workers rehabilitation report shows evidence of other activity
The injured worker is in a trade that would make it possible to otherwise work
while collecting compensation
The injured worker is exaggerating an injury in order to get time offto work
on personal interests; i.e., the injured worker is remodeling or building a home
concurrently with the injury
The injured worker is in a seasonal business that would make it attractive to
be injured during the off-season; i.e., occupations in felds such as roofng,
landscaping, plumbing, farming, masonry. etc.
The injured worker leaves different daytime and evening telephone numbers
The injured worker is never home when called or is always sleeping and cant be
disturbed (especially during work hours)
Return calls to the claimants residence have strange or unexpected background
noises that indicate it may not be a residence
The claimant has several other family members also receiving workers
compensation benefts or other social insurance benefts, such as
unemployment
CHECKLIST:
HOME BASED WORKER
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The advent of computers, network software, electronic mail, modems and faxes has
boosted the popularity of telecommuting or home based working and remote work-
sites. In addition to the principles and strategies suggestedelsewhere in this program,
when employing home based or off-site workers you should:
Test the workers technical skills,including ability to use a computer.
Train in the use of network software and electronic mail.
Give detailed assignments, hours of work and time for completion.
Have workers keep their time separatelyfor each assignment.
Use performance agreements and benchmarking standards.
Make sure workers have a separate work area and a way to manage young
children or elders in need of care.
Have them come into the offce at least once every otherweek.
Have them sign all agreements and handbooks normally signed by regular
employees. Make sure they have automobile insurance and homeowners or
rental property insurance.
Make sure your insurance policies cover these workers.
Spot-checkemployee availabilty.
Make sure all home equipment and furniture is ergonomicallydesigned and in
compliance with OSHA standards.
Investigate all accidents immeclately and completely.
Involve your union in any home basedworker programs.
If independent contractors,make sure theyhave a business license and sign an
independent contractors agreement.
CHECKLIST: HOW TO APPLY
FOR GOVERNMENT GRANTS
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When applying for government grants there are a few simple things to remember so the
proposal isnt rejected. Make sure they arent late, make sure they are on the appropriate
forms, and make sure that they comply with the stated guidelines.
To ensure your proposal gets full consideration:
Make sure the projects ft the guidelines and intent.
Specify categories of costs to refect the areas that funding can cover. In some
cases, only actual costs are allowed. Keep accurate records of expenditures and
receipts. 0 Submit the required number of application copies.
Submit the application on time.
Consider payment procedures, schedules, and partial payment schedules. Evaluation
reports are often essential to fnal funding.
Check on copyrights and credits. Make sure you know if the funding organization
requires credit. Check where copyright of materials is necessary and whose
responsibility it is to get it.
Not the decision date, so you can follow up if necessary. If you are rejected, try
other funding sources.
There are seven steps when preparing a funding proposal:
1. Identify your organization
Name
How many people belong
When it was established
Where it is located
Purpose
2. Explain how your organization operates.
Is it a registered charity? What is its number?
Is it incorporated? What is its number?
Who is eligible for membership?
What is the procedure for becoming a member?
Is the organization democratically run? Are elections held annually?
What groups are affliated with your organization?
3. Describe how responsibilities are distributed within the organization.
List the names and titles ofthe executive.
Provide the name, title, address and telephone number of the person to whom
CHECKLIST: HOW TO APPLY
FOR GOVERNMENT GRANTS
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correspondence should be directed.
Name the people who will take on the major responsibilities of the project and
describe their responsibilities.
4. Describe what your project will do.
Outline the project, how it meets a demonstrated need and what it hopes to
accomplish.
Explain your objectives in concrete rather than general terms.
Explain the methods for evaluating the projects progress. State the objectives in
such a way so observers can see what you have accomplished what you set out to
do.
Defne the scope: local community, provincials or national.
5. Explain why your project will succeed.
Explain how your project is different. How does the project avoid duplicating similar
projects or programs run by other organizations?
Give the qualifcations and experience of key people involved with the project to
provide reasonable assurance your organization is capable of undertaking the
project.
Name projects you have completed in the past, and indicate why they were
successful.
6. Describe what additional resources you will require.
Name people outside of the organization who will act as references.
List other individuals or organizations supporting this or similar projects.
Name other whose support has been requested.
State any previous contact with the funding bodies being approached, including
previous fnancial assistance.
7. Provide a budget.
Provide a detailed operating budget for the project showing how the money will
be spent and the amount coming form all sources.
Include the organizations latest audited fnancial statement.
Explain any defcits in your organizations budget. List the specifc sources offunding
to cover the defcits.
Explain where you will get funding if your project continues beyond the proposed
grant period.
CHECKLIST:
MANUFACTURER ANALYSIS
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When planning the layout of your manufacturing site, you must be able to move raw
material into the plant and route it through the manufacturing process as effciently as
possible.
Keep these questions in mind:
Is your receiving area easily accessible to large trucks?
Is there enough equipment in the receiving area to unload incoming shipments
effciently?
Do you have enough space to adequately warehouse your inventory of raw
materials?
Are your raw materials properly labeled in the warehouse area for easy retrieval?
Is your warehouse space for raw material near the frst station used in the
manufacturing process?
Have you planned each step in the manufacturing process and accounted for
space on the manufacturing foor for the necessary equipment so the materials
can be processed smoothly?
Have you analyzed each station in the manufacturing process to ensure that
equipment is arranged effciently?
Are you maximizing the potential of each station in the manufacturing process
by having as manytasks as possible performed in that area without creating a
bottleneck?
Is your fnished product warehouse area located near the last station in the
manufacturing process?
Are there proper storage materials and equipment, such as foor racks, slip
sheets, and pallets to handle the fnished product?
Is there enough equipmentto move the fnished product into storage and out
once it is ready to ship?
Is your shipping area near the warehouse area for the fnished product?
Is your shipping area easily accessible to large trucks?
1. Name of Partnership
2. Names of Partners, Contribution to Capital and Distribution of Proft
3. Description of Business
4. Commencement Date
5. Term of Partnership (if any)
6. Place of Business (if any)
7. Fiscal Year End
8. Accounting/Valuation Principles (seek professional advice)
CHECKLIST:
PARTNERSHIP AGREEMENT
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9. Banking Arrangements
10. Management Duties/Decisions
11. Restrictions on Partners
12. Signing Authority
13. Drawing Arrangements
14. Retirement/Death Arrangements
15. Non-Competition Clause?
16. Admission/Expulsion of Partners
17. Voluntary Dissolution of Partnership
18. Dispute Arbitration Clause?
CHECKLIST:
PARTNERSHIP AGREEMENT
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CHECKLIST:
ROUTINE MANAGERIAL DUTIES
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Analyze, on a periodic basis, workload and personnel needs of an organizational
unit.
Recommend changes in the staff level of the work unit.
Review documentation for new positions and positions that have been revised.
Obtain approval to modify positions.
Interview candidates for employment and make hiring decision or recommendations.
Orient new subordinates concerning policy and procedures, work rules, and
performance expectation levels. Review position responsibilities.
Plan, delegate, communicate and control work assignments and special projects
concering subordinates.
Establish and maintain specifc work goals and objectives or quantitative and
qualitative work standards to be achieved by subordinates.
Train, develop, and motivate subordinates to improve current performance and to
prepare for higher-level jobs.
Determine signifcant changes in responsibilities and major duties of subordinates
by reviewing their responsibilities on a regular basis.
Evaluate the performance of subordinates. Document and discuss present and past
performance with each direct report. Keep supervisor informed of results.
Review salaries of subordinates and recommend changes according to policy and
procedures.
Recommend personnel actions such as promotions, performance awards,
demotions, etc., according to budget guidance and policy.
Advise superiors and subordinates of developments that impact job duties. Ensure
proper communications.
Maintain discipline, recommend and administer corrective action according to
policy and procedures.
Communicate and administer personnel programs in accordance with design and
objectives.
Maintain proper documentation on all subordinates.
There are a lot of experienced business people that are still asking themselves what their
response is supposed to look like when they receive a request for proposal (RFP). Here
is a proposal template format that you can use to respond to RFPs. The content changes
each time based on what the RFP requires so you can fll in that part after fguring out
how you will solve the clients requirements:
Background
Briefy go over their general requirements. Example: ABC Company would like a
local area network installed to connect all ofthe computers in their offce to share
disk space and printers and automatically do tape backups.
Scope
Discuss in detail each item in the RFP and how you intend to tackle it. Use diagrams
to illustrate your confguration. This will be the longest section ofyour proposal
and will probably have several subsections.
Schedule
When do you anticipate starting? How long will each task take? Make a table of
your expected
schedule for completing the project.
Staff
This is an optional section. Some frms like to see who will be working on the
project. This is more important for government projects. Put the resumes here.
CHECKLIST: SAMPLE PROPOSAL
FORMAT FOR RESPONDING TO RFPS
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A strategic planning meeting should be held at least once a year and should include
all executive managers as well as any key supervisors with front-line knowledge and
experience. Bring a copy of your companys business plan to the meeting so it can be
referred to when needed. Keep in mind the purpose of the meeting, which is to evaluate
past projects and goals and to develop new strategies based on opportunities discovered
through market research and analysis.
The following list can help create a more effective strategic planning
meeting:
The meeting should be held off-site in a casual setting so participants will feel
relaxed but away from distractions.
Make sure everyone knows that each person will be treated as an equal and
everyone will have an equal voice in terms of suggestions and criticisms.
To promote a more comfortable atmosphere, have everyone dress in casual
clothing.
Encourage discussion of subjects mentioned in the meeting. This will not only
encourage more brainstorming as the meeting progresses, but it will also serve
to fully defne the subject and determine its merits.
Dont let the meeting digress into endless criticism. Point out areas that merit
praise, and when discussing areas of weakness, explain how certain suggestions
may not ft into the overall scope of the companys strategy.
Dont try to prioritize items brought up in the meeting. The strategic planning
meeting is mainly a brainstorming session where ideas are explored in relation
to their strategic impact on the business.
Dont assume that everyone will come with a notepad and pen. Make sure you
provide both.
Make sure you cover each topic thoroughly before progressing to the next
Keep in mind that you are exploring strategic solutions. When discussing
each subject, apply timelines for specifc actions after the meeting has been
adjourned.
Write a summary of the meeting and circulate it to everyone who is part ofthe
strategic planning team. Then, make sure you have follow-up meetings to
review each persons progress.
CHECKLIST:
STRATEGIC PLANNING
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CHECKLIST:
VENDOR/SUPPLIER FILE
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Maintain a fle for each of your vendors and potential suppliers.
Keep the following items in each fle:
Current catalog or price list, complete with product descriptions
Business cards from any sales or support personnel with whom you have dealt
A list of all distribution facilities
Discount schedules, including minimum purchase requirements
Delivery options, including estimated delivery time
Technical assistance and other services available
Return policy
Warranty information
Information on any co-op advertising plans offered by the supplier, including
special promotional and grand opening programs
Any request for quotations
Copies of all invoices
Telephone numbers, including toll-free numbers, for all appropriate contacts
Discount terms for prompt payment
All shipping methods available and their terms
Information on terms forlong-term contracts
Any special terms for seasonal items
Lease options
Information on all other services offered by the vendor/supplier
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