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Assessments That Deliver Results: Aligning Compliance With Strategy


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Assessing your HR function can be a painful and time draining task... but it doesn't have to be.

You may spend countless hours focused on compliance and at the end of the day, what have you really learned? The key to a productive assessment is to outline meaningful goals and publicize your expected deliverables to leadership.

The assessment process can be used to create internal relationships and move your HR career forward. A customized process can help align assesments with strategic goals, allowing you to create meaningful new initiatives on the findings.

Creation of action plans that address the concerns of top stakeholders is critical to a successful program, as is selling the initiatives within the organization.

In this webinar, you'll learn:

The true value of an HR assessment
How to align assessments with your organizational strategic plan
How to build connections with other leaders in your organization
An action plan to ensure your assessment has internal value
How to deal with compliance issues uncovered during the assessment

Published in: Recruiting & HR
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Assessments That Deliver Results: Aligning Compliance With Strategy

  1. 1. Presenting Today Lori Kleiman Speaker, Author, Consultant HR Topics @LoriKleiman Follow along on Twitter: #BizWebinar @BizLibrary Erin Boettge Content Marketing Manager, BizLibrary
  2. 2. BizLibrary helps organizations succeed by improving the way employees learn.
  3. 3. 4 What we’ll Cover What is an assessment/audit Why bother Conducting an audit Legal risks Deliverables Keeping it alive!
  4. 4. 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 objective evidence, 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.
  5. 5. 6 Types of Audits Compliance Best Practices Strategic Functional Complete Audit
  6. 6. 7 Why bother? Continual improvement Compliance Needs of Constituents Streamline processes Early warning signals Basis for investment Strategic High Performing HR Team Best practices
  7. 7. 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.
  8. 8. 9 Steps in an Assessment Purpose Define the scope Develop the process Collect the data Analyze and benchmark Create Action Plans Evaluate 1 2 3 4 5 6 7
  9. 9. 10 What’s the purpose Prevent legal action Educate yourself and managers Get to know the HR function Integrate HR with another location Baseline for future evaluation Standardize practices across business units Diagnostic tool
  10. 10. 11 What do you see as the primary reason to conduct an assessment in your organization? A)Compliance B)Educate yourself and managers C)Baseline for future evaluation D)Standardize practices across business units E)Not sure we will do an assessment F)Other
  11. 11. 12 Define the Scope… Recordkeeping Compliance Functional area • Recruiting, compensation, performance, safety etc. Equity among team or departments Engagement … or All of it!
  12. 12. 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?
  13. 13. 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
  14. 14. 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
  15. 15. 16 Kick Off Meeting Share your vision Goals Deliverables What you need from them
  16. 16. 17 Set Criteria for Success Deliverable to stakeholders Benchmarking Action Plans You must have the credibility within the organization to drive actions
  17. 17. 18 Data Collection Devise questionnaire Assign tasks to project team members Invite participants Request documents Access benchmarking sources Determine importance of items unavailable
  18. 18. 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 completed Section 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
  19. 19. 20 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
  20. 20. 21 Tell us a bit about your employee handbook: a) Our policies reflect our culture and strategic plan b) Policies are aligned with our programs and budget c) Safety is included in our employee handbook d) Most is on target – but some policies are out of date e) What handbook?
  21. 21. 22 Fair Labor Standards Act Exempt/Non-exempt Status Overtime Compliance Timesheets properly retained Other paid time Independent contractors
  22. 22. 23 Working with your IT department Payroll data BYOD Tracking of emails Web site monitoring
  23. 23. 24 Analyze and Benchmark (bothtimeandbudget) Low High Proper FLSA classification and I9 audit Employee newsletter Update handbook Implementation of webinars on demand Impact on Organizational Effectiveness Costofimplementation Low High
  24. 24. Consider deliverable needed Create plans appropriate for constituent Remember SMART goals! Create Action Plans
  25. 25. 26 Create Action Plans Action Assigned to Completion Date Comments Update Employee Handbook Susie Smith July 31, 2014 Review internally as well as legal Complete I-9 Updates John Jones June 15, 2014 Create training guide for future
  26. 26. 27 Getting it funded! Understand the expenditure How can you get the information you need Presenting a case Business person first
  27. 27. 28 Keeping it Alive! Immediately 3 months after delivery 6 months after delivery Annually
  28. 28. 29 Consider external resources Set realistic expectations Create action items with realistic goals Download the checklist Consider taking this slowly at first!
  29. 29. Pulling the pieces together Thank you! Lori Kleiman, SPHR @lorikleiman Linked in
  30. 30. HR Strategy and Management video series 8-part HR Strategy and Management series 1. HR Strategy and Management 2. HR Dashboard of Metrics and Analytics 3. Managing Recruitment Effectively 4. Implementing Successful Training 5. Reward and Remuneration 6. Performance Appraisals 7. Confidentiality Obligations by HR 8. The Induction Promise
  31. 31. Performance Excellence - Using Surveys to Get Feedback video course 8-part Performance Excellence video course 1. Deciding on the Process 2. Identifying Survey Elements 3. Selecting the Response Method 4. Turning Elements into Survey Items 5. Evaluating Numeric Survey Data 6. The Importance of Importance 7. Conducting a Sharing Meeting 8. Questions and Tips
  32. 32. Try out these video lessons and more! Let us know through the poll if you’d like a free trial of BizLibrary’s online course collection.