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Presenting Today
Lori KleimanSpeaker, Author, Consultant
HR Topics@LoriKleiman
Follow along on Twitter: #BizWebinar @BizLibrary
Erin BoettgeContent Marketing Manager,
www.bizlibrary.com/free-trial BizLibrary helps organizations succeed by improving the way employees learn.
4
What we’ll Cover
What is an assessment/audit
Why bother
Conducting an audit
Legal risks
Deliverables
Keeping it alive!
www.HRtopics.com
An Audit or an Assessment?
audit: an audit is a planned and documented activity performed by qualified personnel to determine by investigation, examination, or evaluation of objectiveevidence, the adequacy and compliance with established procedures, or applicable documents, and the effectiveness of implementation.
assessment: an assessment may involve an audit, its purpose is to provide a measurement rather than to express an opinion.
6
Types of Audits
Compliance Best Practices Strategic Functional
Complete Audit
7
Why bother?
Continual improvement
Compliance
Needs of Constituents
Streamline processes
Early warning signals
Basis for investment
Strategic
High Performing
HR Team
Best practices
8
And equally as Important…
From the SHRM website we know…
16% of all lawsuits named the HR leader as a personal defendant in the case!
All information uncovered in an assessment can
be discoverable in a legal
proceeding.
9
Steps in an Assessment
PurposeDefine
the scope
Develop the
process
Collect the data
Analyze and
benchmark
Create Action Plans
Evaluate
1 2 3 4 5 6 7
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What’s the purpose
Prevent legal actionEducate yourself and managersGet to know the HR functionIntegrate HR with another locationBaseline for future evaluationStandardize practices across business unitsDiagnostic tool
www.HRtopics.com 11
What do you see as the primary reason to conduct an assessment in your organization?
A)ComplianceB)Educate yourself and managersC)Baseline for future evaluationD)Standardize practices across business unitsE)Not sure we will do an assessmentF)Other
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Define the Scope…
RecordkeepingComplianceFunctional area
• Recruiting, compensation, performance, safety etc.Equity among team or departmentsEngagement
… or All of it!
13
Influence and credibility
Your level of influence in the organization may impact your ability to drive change
Be honest with yourself about your aspirations
Is the assessment a forum for you to show value?
14
Develop the Process
Who should lead the process
What will success look like?
Determine needed data points
Engage other internal partners
Your specific considerations
15
External Resources
Employment attorney
HR Consultant
Trusted Advisor
HR peers
EPLI Vendor
Internal Resources
Self Assessment
HR Team
CFO knowledgeable in HR
Quality team
Consider Resources
16
Kick Off Meeting
Share your visionGoals DeliverablesWhat you need
from them
17
Set Criteria for Success
Deliverable to stakeholders
Benchmarking
Action PlansYou must have the credibility within the organization to drive actions
18
Data Collection
Devise questionnaire
Assign tasks to project team members
Invite participants
Request documents
Access benchmarking sources
Determine importance of items unavailable
19
I-9 Audit
Completed for all current employees
Retained in Separate location
Complete within 72 hours of hire
Utilizing proper form for date of hire
Section 2 properly completedSection 3 signed by company rep
Retain only those required for terminated employees
• The later of 3 years from date of hire or 1 year following date of termination
Be sure you are using the current form!
9 pages in length Language issues
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Current Handbook
Provided to all employees• Overall language provides for flexibility by management
Contains essential policies including: • At-will employment• Pay practices• Handling of errors in pay• Anti-harassment and discrimination• Internet and email policies• Confidentiality• FMLA if over 50 employees within 75 miles
www.HRtopics.com 21
Tell us a bit about your employee handbook:
a) Our policies reflect our culture and strategic planb) Policies are aligned with our programs and budgetc) Safety is included in our employee handbookd) Most is on target – but some policies are out of
datee) What handbook?
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Fair Labor Standards Act
Exempt/Non-exempt StatusOvertime ComplianceTimesheets properly retainedOther paid time
Independent contractors
23
Working with your IT department
Payroll data BYOD Tracking of emails
Web site monitoring
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Analyze and Benchmark
(bot
h tim
e an
d bu
dget
)
Low
High
Proper FLSA classification and I9 audit
Employee newsletter
Update handbook
Implementation of webinars on
demand
Impact on Organizational Effectiveness
Cost
of i
mpl
emen
tatio
n
Low High
www.HRtopics.com
Consider deliverable needed
Create plans appropriate for constituent
Remember SMART goals!
Create Action Plans
26
Create Action Plans
Action Assigned to Completion Date Comments
Update Employee Handbook
Susie Smith July 31, 2014 Review internallyas well as legal
Complete I-9 Updates
John Jones June 15, 2014 Create training guide for future
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Getting it funded!
Understand the expenditure
How can you get the information you need
Presenting a case
Business person first
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Keeping it Alive!
Immediately
3 months after
delivery
6 months after
delivery
Annually
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Consider external
resources
Set realistic expectations
Create action items with
realistic goals
Download the checklist
Consider taking this
slowly at first!
HR Strategy and Management video series
8-part HR Strategy and Management series
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