Hr audit presentation Dec 2013
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Hr audit presentation Dec 2013 Presentation Transcript

  • 1. The  HR  Audit:  A  Periodic  Review   of  Your  HR  Prac6ces   Nancy  Edwards  
  • 2. Before  we  get  started…   •  I  am  not  an  aAorney   •  This  material  is  not  legal  advice   •  This  presenta6on  is  not  a  subs6tute  for   experienced  legal  counsel  
  • 3. Why  An  HR  Audit  
  • 4. Why  Do  a  Compliance  HR  Audit   •  Proac6ve  -­‐  Catch  errors  before  a   governmental  agency  does  (i.e.  DOL,  EEOC)   •  Poten6ally  reduce  the  risk  of  lawsuits  
  • 5. What  is  an  HR  Audit?   •  A  means  of  assessing  the  level  of  compliance  with   federal  and  state  laws.   •  A   means   of   measuring   the   effec6veness   of   your   HR   policies  and  prac6ces.   •  The  key  to  an  audit  is  to  remember  it  is  a  learning   or  discovery  tool,  not  a  test.     •  There   will   always   be   room   for   improvement   in   every  organiza6on.  
  • 6. What  does  HR  Audit  Include   •  •  •  •  •  •  •  •  •  Compliance  and  Recordkeeping   Compensa6on/Salary  Administra6on     Employment/Recrui6ng     Termina6ons     Files/Record  Maintenance/Technology     Employee  Rela6ons     Training  and  Development     Communica6ons       Policies  and  procedures  (including  employee  handbook)  
  • 7. The  HR  Audit  Process  Includes:   •  Management  Interviews  (informal)   •  Issues  that  require  immediate  aAen6on   •  Management  skill  levels   •  Resistance  level   •  Employee  Interviews  (informal)   •  Cross  sec6on  of  all  employees   •  Employee  issues  (i.e.  morale,  reten6on)   •  Company  has  no  obliga6on  to  adopt  all  sugges6ons  
  • 8. The  HR  Audit  Process  Includes:   •  Document  Review     •  Legal  compliance   •  Recordkeeping  requirements   •  Efficiency  and  effec6veness   •  Consistency   •  Employee  Handbook  Review   •  Legally  compliant   •  Clear  communica6on   •  Nondiscriminatory  and  appropriate   •  Viola6ons  properly  documented  
  • 9. The  HR  Audit  Process  Includes:   •  Review  Current  and  Poten6al  Legal  Ac6ons   •  Mee6ng  legal  requirements   •  Improved  management  training   •  Revision  of  policies  and  prac6ces  
  • 10. Problems  Iden6fied  and  Correc6ve  Ac6on   •  Findings   •  Applicable  laws  and  prac6ces   •  Penal6es  and  risks   •  Recommenda6ons  
  • 11. Ac6on  Plan   •  Must  be  realis6c  and  achievable   •  Desired  results  must  be  iden6fied   •  Assign  accountability   •  Target  dates  
  • 12. Wage  &  Hour  
  • 13. Exempt  Employees   •  Execu6ve   •  Administra6ve   •  Professional   •  Outside  sales   •  Some  computer  professionals   •  Salary  of  $455  per  week  
  • 14. Exempt  Employees  cont’d   •  Fewer  rights  under  FLSA   •  Receive  full  amount  of  base  salary  in  work   period  (less  any  permissible  deduc6ons)   •  May  be  required  to  punch  a  clock   •  May  be  required  to  make  up  missed  6me   •  May  work  unlimited  number  of  hours  
  • 15. Non-­‐Exempt  Employees   •  Must  be  paid  at  least  $7.25  for  the  first  40   hours  worked  in  a  week  (check  specific  state   law  for  higher  minimum  wage)   •  Must  receive  over6me  rate  of  at  least  6me   and  one-­‐half  their  regular  rate  of  pay  for  all   hours  worked  over  40  in  a  workweek  (check   specific  state  law  for  more  stringent   requirements)   •  Cannot  waive  their  rights  to  over6me  
  • 16. Non-­‐Exempt  Employees   •  May   be   paid   on   an   hourly   basis,   a   salary   basis,   or   piece   rate   basis   as   long   as   they   receive  at  least  minimum  wage  for  all  hours   worked  and  the  appropriate  over6me   •  Must  have  a  6mekeeping  mechanism   •  Private  sector  –  NO  COMP  TIME!  
  • 17. Independent  Contractors   •  Self-­‐employed   •  Not  just  one  customer/has  customer  base   •  Responsible  for  own  taxes  and  expenses   •  No  employer  direct  control   •  No  benefits  
  • 18. FLSA  -­‐Liability   •  WHD  review  prior  2  years   •  3  years  if  willful   •  Possible  criminal  prosecu6on   •  Li6ga6on  
  • 19. Recordkeeping/Non-­‐Exempt   •  •  •  •  •  •  •  •  •  Name   Address   Social  Security  Number   DOB   Gender   Job  6tle   Time  and  day  of  week  when  employee’s  workweek  begins   Hours  worked  each  day   Total  hours  for  each  workweek  
  • 20. Recordkeeping/  Non-­‐Exempt   •  Basis  on  which  employee’s  wages  are  paid   (e.g.  “$10  per  hour”)   •  Total  daily  or  weekly  straight-­‐6me  earnings   •  Over6me  worked  and  paid   •  Deduc6ons   •  Wages  for  each  pay  period   •  Date  of  payment  and  pay  period  covered  by   payment  
  • 21. Recordkeeping  /  Exempt   •  Name   •  Address   •  Social  Security  Number   •  Date  of  Birth   •  Gender   •  Occupa6on   •  Time  of  day  and  day  of  week  on  which  the  employees   workweek  begins   •  Total  wages  paid  for  each  pay  period   •  Date  of  payment  and  the  pay  period  by  each  payment   •  PTO  
  • 22. Personnel  Files  
  • 23. Personnel  Files   •  What  should  be  in  a  personnel  file     •  Employment   •  •  •  •  •  •  •  •  Employment  Applica6on  /  Employment  Offer   Handbook  Acknowledgment   Resume   Performance  Reviews   Training  and  Development  Documents   Termina6on  Form   Job  Descrip6on   Exit  Interview  
  • 24. Personnel  Files   •  What  should  be  in  a  personnel  file   •   Benefits   •  Vaca6on  Request   •  Request  for  Non-­‐Medical  Leave  of  Absence   •  Tui6on  Reimbursement  Documents  
  • 25. Personnel  Files   •  What  should  be  in  a  personnel  file   •  Payroll   •  •  •  •  •  •  •  W-­‐4  Form   Timesheets   AAendance  Records   Garnishment  Orders   Authoriza6on  for  Payroll  Deduc6ons   Compensa6on  History  Records   Status  Change  Documents  
  • 26. Personnel  Files   •  What  should  be  in  a  personnel  file   •  Employee  Rela6ons   •  Report  of  Coaching/Counseling  Sessions   •  Commenda6ons  and  Awards   •  Disciplinary  Documents  
  • 27. Personnel  Files   •  What  should  NOT  be  in  a  personnel  file   •  Medical  Records   •  •  •  •  •  Physical  Examina6on   Diagnos6c  Records   Lab  Results   Drug  Tes6ng  Results   Any  other  medical  records  with  personally  iden6fiable   informa6on  about  the  employee  
  • 28. Personnel  Files   •  What  should  NOT  be  in  a  personnel  file   cont’d   •  Inves6ga6on  Records   •  Accusa6ons  of  legal  and/or  policy  viola6ons   •  Discrimina6on  complaints  and  inves6ga6on   •  Clearance  Inves6ga6on  Records   •  Background  check  informa6on  (including  criminal   history,  credit  history)   •  Opinions   •  Notes  on  documents  indica6ng  management  bias  or   discrimina6on.    For  example,  “He  is  too  old  for  the  job.”  
  • 29. Reten6on  and  Storage   •  Varies  depending  on  document   •  Follow  Federal  Record  Reten6on  Guidelines   •  Hardcopy  storage   •  Paperless  storage   •  Destroying  documents  
  • 30. Pos6ng  Requirements  
  • 31. Pos6ng  Requirements   •  Federal  Requirements   •  •  •  •  •  •  Fair  Labor  Standards  Act  (FLSA)   Occupa6onal  Safety  and  Health  Administra6on  (OSHA)   Polygraph  Protec6on  Act   Equal  Employment  Opportunity  (EEO)   Family  and  Medical  Leave  Act  (FMLA)   Uniform  Services  Employment  and  Reemployment   Rights  Act  (USERRA)  
  • 32. Pos6ng  Requirements   •  State  of  Texas  Requirements   •  Texas  Workers  Compensa6on  No6ce   •  Texas  Payday  Law   •  Employer  No6ce  of  Ombudsman  Program   •  Texas  Child  Labor  Laws   •  Texas  Equal  Employment  Opportunity  
  • 33. Pos6ng  Requirements   •  Compare  federal  and  state  laws  to  your   company  policies.   •  Use  as  guide  when  crea6ng  company   policies.   •  Place  posters  in  a  conspicuous  loca6on.   •  Remember  your  non-­‐English  speaking   employees.  
  • 34. Conclusion   •  Learning  and  discovery  tool,  not  a  test.   •  There  will  always  be  room  for  improvement   in  every  organiza6on.   •  Contact   G&A   Partners   if   you’d   like   more   informa6on  on  an  HR  audit.  
  • 35. Contact  info   Nancy  Edwards,  SPHR   G&A  Partners     713-­‐784-­‐1181   info@gnapartners.com       *  Today’s  recording  and  slides  will  be  posted  on  the   G&A  website  by  Friday.