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Page 1: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •
Page 2: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 3: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Course Objectives

• What are HR Risk Audits• Benefits of an HR Risk Audits• Types of HR Risk Audits• Tools to conduct HR Risk Audits

Page 4: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

What is an HR Risk Audit

A METHOD TO REVIEW HR RISKS FOR IMPROVEMENT

Policies ProceduresProcesses/Practices

Documentation Compliance

Page 5: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Purpose of HR Risk Audit

Reveal Strengths Find Weaknesses

Find Areas of Non-Compliance

Determine Areas of Risk or Liability

Page 6: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Objectives of HR Risk Audit

Communicate Findings

QuestioningSeek Answers

Review and Modify

Page 7: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Benefits of HR Risk Audit

Identify Contributions of HR

Identify Gaps

Encourages Greater Responsibility

Ensures Timely Compliance

Page 8: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 9: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

HR Risk Audit Process:

Determine the Scope of Audit

Develop a Plan

Gather and

Analyze

Create Action Plan to Correct

Evaluate Correction Progress

Page 10: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Frequency of HR Risk Audit

*Ideally Conducted at least every 2 years!

Conduct Continuous &

Regular Reviews

Page 11: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Types of HR Risk Audits

Compliance•Federal Laws•State Laws

Page 12: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Types of HR Risk Audits

Functions

•Payroll•Policy•Record Retention

•Benefits •Hiring Process•Termination Process

Page 13: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

HR Risk Audits – Best Practices

I-9’s

FMLA

FLSA

Workers Comp

Benefits

Posters

Policies

Software Employees

RecordRetention

Page 14: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Example: I-9 Audit

Create Audit Checklist

List of current employees

List of Employees TerminatedPast 3 Years

Page 15: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

I-9 Audit – Continued

Check Each Section for Compliance

Names Dates

Citizenship Status Signatures

Proper Documents

Page 16: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

I-9 Audit – Continued

Missing I-9

Contact Employee

Complete I-9

Incomplete or Incorrect

Follow I-9 Self Audit

Rules

Make Appropriate Corrections

Page 17: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 18: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 19: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

FMLA Audit - Continued

Reinstatement

• Review Fitness for Duty• Review proper Job

Reinstatement• Review Benefits

restarted properly for dependents if employee chose not to continue

Page 20: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 21: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

FLSA Audit - Continued

Policy Audit

• Overtime Policy • Salary Structure or

Compensation• FLSA Status, including

partial exemptions• FLSA Safe Harbor Policy

Page 22: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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

Page 23: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

FLSA Audit - Continued

Record Keeping

• Timesheets properly completed

• Accurate calculations• Signatures • Leave balances correct• Comp balances correct

Page 24: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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.

Page 25: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

HR Risk Audit Tools

• Links to Federal Websites• Check List Audit Samples

Page 26: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

Questions?

Page 27: How to Conduct a Human Resource Risk Audit · Wrap Up – HR Risk Audit • HR Risk Audit is a process of examining Policies, Procedures, Practices, documentation and systems •

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]


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