how to conduct a human resource risk audit · wrap up – hr risk audit • hr risk audit is a...
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How to Conduct a Human Resource Risk Audit
Michele Arseneau, PHR, SHRM-CPTAC Human Resource Consultant
andDiana Cecil, SPHR, SHRM-SCP
TAC Senior Human Resource Consultant
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Course Objectives
• What are HR Risk Audits• Benefits of an HR Risk Audits• Types of HR Risk Audits• Tools to conduct HR Risk Audits
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What is an HR Risk Audit
A METHOD TO REVIEW HR RISKS FOR IMPROVEMENT
Policies ProceduresProcesses/Practices
Documentation Compliance
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Purpose of HR Risk Audit
Reveal Strengths Find Weaknesses
Find Areas of Non-Compliance
Determine Areas of Risk or Liability
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Objectives of HR Risk Audit
Communicate Findings
QuestioningSeek Answers
Review and Modify
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Benefits of HR Risk Audit
Identify Contributions of HR
Identify Gaps
Encourages Greater Responsibility
Ensures Timely Compliance
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General HR Risk Audit Method• Develop an understanding of proper policies,
practices, processes, procedures• Develop an understanding of all federal and state
regulations regarding area of audit• Create a plan for how audit will be completed and
who will be informed of outcome• Audit and review documents, policies, procedures• Create a plan for correction of any deficiencies
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HR Risk Audit Process:
Determine the Scope of Audit
Develop a Plan
Gather and
Analyze
Create Action Plan to Correct
Evaluate Correction Progress
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Frequency of HR Risk Audit
*Ideally Conducted at least every 2 years!
Conduct Continuous &
Regular Reviews
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Types of HR Risk Audits
Compliance•Federal Laws•State Laws
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Types of HR Risk Audits
Functions
•Payroll•Policy•Record Retention
•Benefits •Hiring Process•Termination Process
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HR Risk Audits – Best Practices
I-9’s
FMLA
FLSA
Workers Comp
Benefits
Posters
Policies
Software Employees
RecordRetention
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Example: I-9 Audit
Create Audit Checklist
List of current employees
List of Employees TerminatedPast 3 Years
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I-9 Audit – Continued
Check Each Section for Compliance
Names Dates
Citizenship Status Signatures
Proper Documents
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I-9 Audit – Continued
Missing I-9
Contact Employee
Complete I-9
Incomplete or Incorrect
Follow I-9 Self Audit
Rules
Make Appropriate Corrections
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Example – FMLA Audit
Create Audit ChecklistPolicy
Reviewed and Updated last two years
Provided to all employees during last two years
Employees
List of Employees who Requested FMLA during past 2 yearsCopies of each FMLA Form on each employee requesting FMLA last 2 years
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FMLA Audit - Continued
What is required
• Review Notice of Eligibility on Each Employee
• Review Medical Certifications
• Review Designation Notice on Each Employee
• Required Benefits Continued
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FMLA Audit - Continued
Reinstatement
• Review Fitness for Duty• Review proper Job
Reinstatement• Review Benefits
restarted properly for dependents if employee chose not to continue
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Example – FLSA Audit
Create Audit ChecklistPolicy
Reviewed and Updated last two years
Provided to all employees during last two years
Employees
List of Employees who terminated during past 2 years
List of all current employees
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FLSA Audit - Continued
Policy Audit
• Overtime Policy • Salary Structure or
Compensation• FLSA Status, including
partial exemptions• FLSA Safe Harbor Policy
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FLSA Audit - Continued
Proper Wage Payment
• Hourly Salary correct with Budget
• Salary correct with Budget
• Regular Rate Calculation Correct
• Overtime Payment Correct
• Comp Balance Correct
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FLSA Audit - Continued
Record Keeping
• Timesheets properly completed
• Accurate calculations• Signatures • Leave balances correct• Comp balances correct
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Wrap Up – HR Risk Audit
• HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems
• Purpose is to reveal strengths and weaknesses of county HR Risks
• HR Risk Audit works best when the focus in on analyzing and improving the county HR functions.
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HR Risk Audit Tools
• Links to Federal Websites• Check List Audit Samples
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Questions?
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Northwest• Michele Arseneau• 512-461-1667• [email protected]
Northeast• Diana Cecil• 512-924-6360• [email protected]
Southeast• Mary Ann Saenz-
Thompson• 512-921-9056• [email protected]
Southwest• Rollie Ford• 512-680-1994• [email protected]