Chapter 9. Navigating the Legal Minefield

In this lesson, you learn how to conduct a job interview without subjecting yourself and your organization to potential legal problems.

Taking Off the Blindfold

I'm always taken aback when I come across managers who haven't a clue about the legal aspects of interviewing. Interviewing without any knowledge of legalities is a little like insisting upon navigating a minefield blindfolded when the exact location of each mine has been marked with a big red flag.

The simple fact is that if you're going to be involved in the hiring process, you need to know where the legal mines have been planted. Their location has been well identified, but it's up to you to take off the blindfold and see them. Leave the blindfolds for the amateurs.

Remember that effective interviewing and legal interviewing are not mutually exclusive terms. It's both possible and desirable to plan interviews that not only are effective, but also avoid the legal pitfalls that abound.

Caution

Be advised that the author is not a practicing attorney, nor does he purport to give legal advice. Information concerning state and federal laws regulating employment practices as well as major court decisions is believed to be correct as of the date of publication. The law changes frequently, and every employment situation has its own unique legal concerns. Consult an employment attorney whenever questions arise, and review your organization's general hiring practices at regular intervals.

Hiring and The Law

Numerous federal, state, and local equal opportunity and antidiscrimination laws regulate the application and interview process. Each of these laws was enacted to offer individuals and groups of protected persons legal protection against employment discrimination.

While state and local laws do not supersede federal legislation, they often are more restrictive or broader in scope. Managers must be aware of all laws affecting employment practices to prevent costly discrimination claims by unsuccessful applicants.

Here are just some of the federal laws that affect the hiring process:

  • Title VII of the Civil Rights Act of 1964

  • The Civil Rights Act of 1991

  • The Americans with Disabilities Act

  • The Immigration Reform Control Act of 1986

  • Age Discrimination in Employment Act

  • The Vietnam Era Veterans Readjustment Assistance Act

  • The Rehabilitation Act of 1973

  • The Equal Pay Act

  • The National Labor Relations Act

  • Executive Order 11242

  • The Family and Medical Leave Act

This is just a sampling of the laws that determine what is appropriate and legal in the hiring process. In addition to federal law, each state has laws that also apply. To avoid problems involving legal liability, be sure to involve your corporate attorney in a regular review of your hiring practices and procedures.

Tip

For complete information about state laws affecting the hiring process, Nolo.com has a Web site that allows you to search the statutes of each state. Their address is http://www.nolo.com/statutes/state.html.

Disparate Treatment and Disparate Impact

"Disparate treatment" and "disparate impact" are the two basic legal concepts at the heart of Title VII of the Civil Rights Act of 1964, as well as similar civil rights legislation. It's important to understand what these terms mean to avoid the consequences that come with breaking the law, knowingly or in ignorance.

In a landmark 1977 case, the Supreme Court defined these two concepts in this manner:

  • Disparate treatment … is the most easily understood type of discrimination. The employer simply treats some people less favorably than others because of their race, color, religion, sex, or national origin. Proof of discriminatory motive is critical, although it can in some situations be inferred from the mere fact of differences in treatment.

  • Disparate impact … involves employment practices that are facially neutral in their treatment of different groups but that in fact fall more harshly on one group than another, and cannot be justified by business necessity …. Proof of discriminatory motive, we have held, is not required under disparate impact theory.

In layman's terms, here's what the court said:

  • Disparate treatment occurs whenever a double standard is used in a selection process. Treating one candidate appreciably different than another is considered discriminatory. For example, asking women, but not men, whether their responsibilities at home might interfere with their employment is disparate treatment. So is asking someone whether church activities might keep that person from fulfilling the duties of the job for which they're applying.

  • Disparate impact takes place when one group of candidates is affected by a question more harshly than another. For example, asking whether candidates would mind working as part of an all-male workforce would have disparate impact on female applicants.

Tip

The best way to avoid becoming ensnared in nasty and expensive litigation is to make sure that every interview question you ask a candidate has a clear and direct business-related purpose.

Inappropriate Questions

A number of subject areas ought to be avoided in every job interview. These are the landmines that we talked about earlier. Some of them are always problematic; some can be rephrased in ways that make them legally palatable; some can be asked only after an offer of employment has been made.

Most of the subjects listed are not only inappropriate (or downright illegal) to include in interviews, but they also should not appear on your organization's formal employment application.

Caution

You could be held liable for obtaining potentially discriminatory information even if the applicant gives it voluntarily. If that occurs, it's best to change the subject immediately without making any notation whatsoever of the voluntary information.

Maiden Name

Examples of inappropriate questions include these: "What was your maiden name?" "What was your father's surname?" "What was the last name you were born with?"

Asking an applicant to furnish a maiden name can be considered discriminatory in that it forces a female applicant to disclose her marital status.

Consider asking the candidate whether she is known by any other name by her former employers so that her work record can be obtained. This attaches a clear and direct business purpose to the question and makes it legal.

Age

Examples of inappropriate questions include these: "What's your date of birth?"; "How old are you?"; "What year did you graduate from high school?"; "Are you near retirement age?"; "Aren't you too old to be applying for this kind of job?"; "Aren't you too young to be applying for a job that requires a good deal of experience?"

Asking an applicant to provide his or her date of birth, or asking how old that person is, focuses the interview on age rather than the qualifications of the applicant. Asking when an applicant graduated from high school enables the interviewer to calculate an approximate date of birth.

Although questions of this type are not expressly forbidden in Title VII, they could present formidable problems with candidates who are over 40 years of age and are thereby members of a protected class under the terms of the Age Discrimination in Employment Act.

If your purpose is to determine whether someone is of legal age for employment, ask if that person is 18 years of age or older. If you have any other purpose in asking the question, forget it. More than half the discrimination lawsuits filed in the United States each year are based on age discrimination. Don't become a statistic.

Place of Birth/National Origin

Examples of inappropriate questions include these: "Where were you born?"; "What's your nationality?"; "What language do you speak in your home?"; "What languages do your parents speak?"; "Where did your family originally reside before coming to the United States?"; "How long have you lived at your present address?"

Title VII of the Civil Rights Act of 1964 prohibits discrimination in the workplace on the basis of national origin. In 1986, federal legislation known as the Immigration Reform and Control Act imposed the restrictions of the law on businesses with as few as four employees. Questions relating to one's place of birth invite claims of discrimination by unsuccessful applicants. So do questions regarding the birthplace of an applicant's family. Also taboo is asking an applicant to furnish a copy of a birth certificate or other papers demonstrating citizenship naturalization.

If your primary concern is whether a candidate has the legal right to hold a job in the United States, you could ask, "If you were hired, could you provide us with verification of your right to work in the United States?" If you need information as part of the federal I-9 process, you may legally request the applicant for the information required for that purpose.

Plain English

The I-9 Form . Section 274a of the Immigration and Nationality Act requires that employers verify that every employee hired after November 6, 1986, is authorized to work in the United States. This obligation applies to citizens and alien job applicants alike. Immigration and Naturalization Form I-9 outlines a formal process by which employers verify that candidates are legally able to work in the United States.

Also, employers may ask what languages a candidate speaks or writes fluently if there is a clear job-related purpose.

Religion

Examples of inappropriate questions include these: "What church do you attend?"; "We often require our employees to work weekends—would that be a problem for you?"; "What's the name of your pastor, priest, or rabbi?"; "Do you observe any special religious holidays?"

Title VII of the Civil Rights Act of 1964 prohibits any form of discrimination against employees or candidates for employment on the basis of religion. In fact, the Equal Employment Opportunity Commission states that Title VII "creates an obligation to provide reasonable accommodation for the religious practices of an employee or prospective employee unless to do so would create an undue hardship."

Plain English

Reasonable accommodation . For religious practices, reasonable accommodation (without limitation) may include special work schedules designed to enable the employee to attend religious services or participate in religious observances. It may even include the possibility of transferring the employee to another job if that becomes necessary to accommodate the religious needs of the employee or candidate.

Several years ago, when I applied for a professional job in state government, I was told that I was "ruled out" as a viable candidate because I was an ordained Lutheran minister "who belonged in church work, not government." I didn't pursue the matter, but I could easily have done so.

It's frightening how many employers can't seem to understand that how employees (or potential employees) practice their religion is simply none of the employer's business unless the employer is asked to provide a reasonable accommodation. Not only does Title VII make that clear, but so does the First Amendment to the Constitution of the United States: "Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof."

If you make it a practice to discriminate on the basis of religion, you eventually will be sued—and you'll lose.

Periodically, I've read the work of some consultants who recommend making it a condition of employment when weekend work is mandatory. I suggest caution, however. Unless you've discussed the matter with your legal counsel, who is absolutely convinced that you can demonstrate that any other alternative would present an undue hardship on the organization, you're inviting litigation for discrimination.

I think it's preferable in situations in which weekend work is occasionally necessary for an employer to make it clear that a reasonable effort will be made to accommodate the religious needs of employees. This kind of language is certainly less offensive and is more in keeping with the spirit and letter of the law.

Race or Color

Issues of race and color normally do not arise as a result of questions posed in an interview. However, because unsuccessful candidates can raise claims of racial discrimination, I have included it here for your review.

Title VII of the Civil Rights Act of 1964 makes it unlawful for employers (or prospective employers) to discriminate on the basis of race, complexion, or color. There are no exceptions.

Those who feel that they have been discriminated against because of their race or color not only have the right to sue, but, under the provisions of The Civil Rights Act of 1991, they also have the right to a jury trial as well as the right to collect punitive and compensatory damages if the claim of discrimination is found to be valid.

Do not allow race or color to enter into the evaluation process. To the contrary, make it a practice to actively recruit minority applicants for positions within your organization. Make sure that you have a written plan to correct any areas of serious racial underrepresentation through an ongoing process of recruiting, hiring, training, and promoting minorities. (If your organization participates in federal contracts either as a primary contractor or a subcontractor, Executive Order 11242 mandates that such a plan be in effect.)

Marital Status

Examples of inappropriate questions include these: "Are you single or married?"; "Have you ever been married, divorced, separated, or widowed?"; "Do you prefer being called Ms., Mrs., or Miss?"; "What is your spouse's name?"; "Do you have any children?"; "Are you planning to have children within the next few years?"; "If you were to be employed, would locating suitable childcare be a problem?"

Title VII of the Civil Rights Act of 1964, along with a number of state antidiscrimination laws, make this area of employer inquiry a dangerous one. Unless there is a clear work-related reason for questions of this nature, it's best to avoid them altogether. Historically, questions about marital status have been used to discriminate against women.

Even when a candidate is obviously pregnant, it's best to avoid commenting on the fact in the pre-employment phase of the selection process. In 1978, Title VII was amended to include protection for women who are pregnant. Questions such as those indicated previously invite charges of sex discrimination by an unsuccessful job candidate.

Unless there is a clear job-related purpose, it's best to completely avoid questions of this nature. If a candidate mentions her pregnancy, it is advisable to simply change the subject. Do not make note of what she has told you concerning her pregnancy or her plans for subsequent childcare.

However, employers may inquire whether a candidate would be willing to relocate, if necessary. And, if travel is an essential function of the job, inquiries concerning the candidate's willingness to travel are appropriate as long as all candidates are asked the same questions.

Health and Disability

Examples of inappropriate questions include these: "Are you disabled?"; "How many days of sick leave did you use last year?"; "Do you have any significant health problems?"; "Do you take prescription drugs regularly?"; "Have you ever filed a workman's compensation claim?"; "Do you have AIDS?"

The Americans with Disabilities Act of 1992 prohibits discrimination against qualified applicants whose disabilities would not prevent them from performing the essential functions of a job with or without a reasonable accommodation. This law applies to every business that employs 15 or more people, unless the business can demonstrate to the satisfaction of the Equal Employment Opportunity Commission that compliance with the law would present an undue hardship on the employer.

If you're concerned about whether a handicapped candidate can actually do the job, ask, "Are you capable of performing the essential functions of the job with or without an accommodation?"

After a conditional job offer has been made, an employer may require candidates to undergo a medical examination to determine their fitness for the job. Examination results can assist employers in determining specific accommodations that will enable the candidate to perform the essential functions of the job.

Sexual Orientation

Examples of inappropriate questions include these: "Are you gay?"; "Are you lesbian?"; "Do you date other women (or men)?"

Although no specific federal laws prohibit employment discrimination on the basis of sexual orientation, several states offer legal protection for gays and lesbians. California, Massachusetts, Hawaii, Wisconsin, Vermont, Connecticut, New Jersey, and Minnesota have led the way.

Judge Sidney Asch of the New York State Supreme Court, Appellate Division, commenting on employment discrimination based on sexual orientation, said, "Where sexual proclivity does not relate to job function, it seems clearly unconstitutional to penalize an individual in one of the most imperative of life's endeavors, the right to earn one's daily bread."

It is only a matter of time before federal legislation makes this form of discrimination illegal. Unless you are prepared to demonstrate that being gay or lesbian adversely affects someone's ability to perform the essential functions of a job, don't inquire about sexual orientation.

Arrests

This is one example of an inappropriate question: "Have you ever been arrested?"

Although no specific federal laws prohibit inquiries about arrest records, several states have enacted legislation that would make this kind of question unlawful. Questions concerning a candidate's arrest record have been held to have an adverse discriminatory impact upon certain segments of the population. Under the disparate impact theory, questions about a candidate's arrest record could become the basis of a lawsuit for discrimination under Title VII of the Civil Rights Act of 1964.

While asking about the arrest record of a candidate for employment is risky business, employers may usually ask whether a candidate has ever been convicted of a crime. But be sure to check with your organization's attorney to determine whether the laws of your state may prohibit inquiries about an individual's conviction record, or whether state law limits the period of inquiry to a fixed number of months or years from the date of application.

Credit Records

Examples of inappropriate questions include these: "Have you ever filed for bankruptcy?"; "Have you ever had your wages attached?"; "Are there any judgments against you?"

Such questions have been held to be unlawful when asked prior to a job offer being made. Employers may make an offer of employment contingent upon a credit check, as long as the employer abides by the conditions of all applicable state and federal laws, and can demonstrate that only those with good credit histories can perform the essential functions of the job.

Also, because some minority groups are economically disadvantaged, their credit histories tend to be adversely affected. Under the disparate impact theory, using credit information to make final employment decisions can be held discriminatory. Again, this is especially true when performance of the job is not affected by the poor credit history of the employee.

Be careful about using credit history. The burden of proof is clearly upon the employer to show a direct relationship between performance of the essential functions of a given job and the credit history of the employee. Be sure to consult your corporate attorney if you believe that credit checks are important to your selection process.

Union Membership

Examples of inappropriate questions include these: "Do you belong to a labor union?"; "Are you for or against labor unions?"; "Have you ever been a member of a labor union?"

The National Labor Relations Act prohibits the discrimination of employees or applicants for employment who are members of labor unions, or who favor membership in labor unions. Furthermore, the act prohibits employers from questioning employees or prospective employees about their union membership preference.

Avoid this kind of question altogether.

Military Service

Examples of inappropriate questions include these: "Have you ever served in the armed forces of another country?"; "If you've served in the U.S. military, did you receive an honorable discharge?"

Employers may ask about a candidate's U.S. military service but may not inquire about military service to another country. Questions about military service outside the United States may compel an applicant to disclose information about national origin, which may become the basis of a discrimination action.

When inquiring about a candidate's U.S. military service, frame your inquiries in such a way as to probe for skills and abilities acquired during the period that may have direct application to the job for which the applicant is being interviewed. The training that a candidate received as a member of the armed forces is usually valuable, and questions about it are always appropriate.

In Case of Emergency

Examples of inappropriate questions include these: "Please give us the name, address, and telephone number of your nearest relative whom we should notify in the event of an emergency."

Asking for the name of a relative could become the basis of a legal action for discrimination based on national origin, race, or even marital status.

The employer can't ask for a relative's name; limit this request to the name of "someone to contact in the event of an emergency." The candidate may provide the name of a relative in response to the question, of course.

Club Memberships

Examples of inappropriate questions include these: "What clubs do you participate in regularly?"; "List all the lodges, societies, and clubs to which you belong."

Unless you can demonstrate that this information is somehow related to the essential functions of the job, it's best to avoid this line of questioning completely. Club memberships may indicate the race, color, religion, national origin, or ancestry of its members; that information can become the basis of a discrimination action by an unsuccessful candidate.

Personal Information

Examples of inappropriate questions include these: "How tall are you?"; "How much do you weigh?"; "May we please have a photograph of you to attach to your application?"

Each of these questions is an example of an illegal pre-employment inquiry. Although this kind of information may have been routinely requested in applications for employment decades ago, today this is a surefire way to become embroiled in messy litigation.

Employers may inquire about the height and weight of a candidate if there are established minimum standards that have been determined to be essential for the safe performance of the job. In all other situations, personal questions of this nature should be avoided.

Hiring Without Being Sued

When managers don't ask the right questions (in interviews and in reference checks), their organizations run the risk of being sued for negligent hiring if the candidate is hired and later does something and someone gets hurt. Managers also run the risk of causing their organizations to be sued if they ask the wrong questions and learn things about a candidate that are unrelated to a candidate's qualifications and suitability for the job under discussion.

Managers must attend training seminars and workshops on hiring to help keep up-to-date with changes in employment and civil rights law. They should also work closely with their organizations' legal counsel whenever they have a question or concern about a hiring situation.

The 30-Second Recap

  • Federal and state laws, as well as rulings from the courts, often regulate questions that can be legally asked of a candidate.

  • Questions that are considered unlawful or inappropriate for interviews are similarly unlawful and inappropriate for use in employment applications.

  • Interview questions should always be related to the essential functions of the job being sought.

  • Avoiding potential legal problems involving claims of discrimination is the best strategy.

  • Structured interviewing keeps the interview focused on job-related issues, thereby avoiding unplanned questions that can become the basis of discrimination claims.

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