ComplianceOnline
Course "Auditing and Administrating Human Resource Policies and Practices" has been pre-approved by HRCI as eligible for 12 credits towards a participant's recertification upon full completion.

“The use of this seal is not an endorsement by the HR Certification Institute of the quality of the program”.

Course Description:

Human resource administration is complex today. Much information must be gathered and kept for each employee and human resource departments must know what is required, how to handle the information, how to protect the privacy and rights of its employees, how to follow proper record-keeping procedures and how to assure policies are up-to-date, viable, understood and followed by management and employees. The execution of these policies and practices is equally important to establishing them.

Beginning with an overall audit of human resources practices, this seminar covers best practices and legal requirements of human resource management. Each section will give proactive practices to minimize risk for each major area of human resource administration to assure one’s organization has equitable, legal and safe human resource practices. This seminar will examine the relationship between employee and employer, standards of conduct, how legal requirements must be met and how human resources can assure they are administered fairly and impartially.



Learning Objectives:

After completing the course participants will be able to:

  • Assess the effectiveness of human resource policies and practices
  • Understand employee record management, retention and destruction of records
  • Understand one’s role in emergency preparedness
  • Assure compliance with applicable labor laws
  • Select, design and administer employee policies
  • Conduct legal and effective hiring
  • Perform essential reference and background checks
  • Select and administer performance management programs which add value
  • Handle counseling, discipline and terminations fairly and professionally


Course Syllabus:

Day One Day Two

Module 1: Human Resource Risk Assessment: Auditing Your Human Resources Practices

This session covers auditing human resources practices for compliance and identifying and addressing areas that may not comply with applicable laws and/or company policy.

  • Staffing the organization
  • Legal postings
  • Employment
  • Salary administration
  • Payroll and taxes
  • Orientation, training and development
  • Terminations
  • Employee relations and communications
  • Employee records

Module 2: Human Resources Recordkeeping

This session gives an overview of how employee records should be kept and considerations of proper content.

  • Placing employee information in appropriate files
  • Protecting privacy of employee files
  • Access to employee files and information
  • Hiring forms and information
  • Termination forms and records

Module 3: Retention and Destruction of Records

This session reviews where and how long records should be kept and when and how they should be destroyed in order to stay in compliance.

  • where records should be kept
  • Legal records
  • Payroll and taxes
  • Back- up systems
  • Documenting oral and electronic communications
  • Critical incidence files
  • Record maintenance
  • Security of files
  • Archive methods

Module 4: Hiring and Termination Forms and Records

This session covers employment and termination forms and setting up and closing employee records.

  • Forms pre-hire and at time of hire
  • Signed acknowledgements
  • Forms at termination
  • Hire Checklist and Termination Checklist
  • Archiving records

Module 5: Reference and Background Checks

This session covers the importance of performing reference and background checks to avoid the pitfalls of finding out too late that you have made the wrong hire which can be costly and, in some cases, subject to liability.

  • Applications and obtaining permission to check references
  • Complying with legal requirements of references and background checks
  • Selecting appropriate references
  • Verbal and written references: tailoring your questions to fit the job
  • How to proceed if the company refuses to give information requested
  • Verifying position, dates of hire and salary for a company that is no longer in business
  • Selecting kinds of background checks, including mandatory screening
  • What background checks are illegal or ill-advised: controversies over credit and criminal checks
  • Verifying education and college transcripts
  • Drug and Alcohol policies and drug and alcohol tests
  • Access to references

Module 6: Emergency Preparedness and Crisis Management

This session will cover emergency preparedness and planning for disasters and crises is an important obligation of all employers today.

  • Selecting your crisis team; defining and assigning responsibilities
  • Essential policies and procedures to address emergencies
  • Employee training programs
  • Emergency call lists
  • Emergency medical services
  • Reporting accidents and incidents
  • Evacuation plans
  • Disaster recovery plans and backup systems
  • Interruptions in customer service and business
  • Communications and media coverage
  • Briefing and debriefing
  • Violence or threats in the workplace
  • Natural disasters and severe weather policies
  • Emergency preparedness for individuals with disabilities
  • Payroll recovery
  • Employee assistance programs
  • Complying with applicable laws

Module 1: Understanding and Complying with Applicable Labor Laws

This session will concentrate on basic labor laws based on size and industry as well as addressing new and/or controversial laws to be sure they are addressed.

  • Determining responsibilities for areas in human resources
  • Selection and hiring; preventing adverse impact
  • The business case for diversity
  • Legal pitfalls of labor law
  • Avoiding discrimination cases
  • Managing FMLA, ADA, workers compensation, HIPAA and GINA
  • Linking performance with compensation
  • Management succession planning
  • Training and development
  • Promotions, transfers, layoffs and terminations
  • Unemployment compensation
  • Employee relations and transparency

Module 2: Selecting, Designing and Administrating Employment Policies

This session gives an overview of what policies should be included in a company policy manual and how they are communicated and updated.

  • Basic policies
  • Legal policies
  • Company Mission/Vision/Values
  • Specific Policies For Type of Business/Organization
  • Relationships – Employer, Employees, Public
  • Communicating and Administering Policy Fairly and Consistently
  • Sign-Off Statements
  • Rights of Employer and Employee

Module 3: Writing Sample Policies

Attendees will practice writing policy and covering all necessary components in writing one.

Module 4: Legal and Successful Interviewing and Hiring Practices

This session covers the interviewing and selection process from the perspective of compliance to applicable employment laws as well as making the best choices for your organization.

  • Writing legal employment ads
  • Setting specifications and competencies required for positions
  • Questions you may ask and questions that are illegal
  • Behavior-based and competency-based interviewing techniques
  • Candidate evaluation
  • Affirmative action plan goals and measuring “adverse impact”
  • References and background checks
  • Additional information obtained after the employment offer

Module 5: Performance Management: Types of Evaluations and Writing Reviews

This session covers different performance evaluation methods and techniques to assess employee performance, and tips how to write a meaningful and fair evaluation, set performance standards and goals.

  • Setting performance criteria and standards
  • Legally writing and conducting performance reviews
  • Coaching the best performance from employees
  • Setting goals and plans for improvement
  • Adding value to both employer and employee through performance evaluation

Module 6: Documenting and Handling Disciplinary Actions and Terminations

This session covers discipline policies, standards of conduct, and the process of counseling and progressive discipline, up to and including termination. It will also cover performance improvement plans and monitoring progress and the legal aspects of discipline and discharge.

  • Effective counseling and discipline policies
  • Objectives of discipline
  • Documentation of substandard performance and inappropriate behavior.
  • Standards of conduct and consequences of not following them.
  • Tracking performance and documenting results.
  • Coaching and counseling employees
  • Performance improvement plans
  • Determining when termination is necessary and handling terminations


Who will benefit:

This course is a refresher for the senior HR officer, an overview for various HR specialists and supervisors who administer policies on a day-to-day basis as well as those responsible for assuring compliance and minimizing and/or eliminating risk. The following job titles will benefit:

  • Vice Presidents, Directors, & Managers of Human Resources
  • Employment Managers
  • Employee Relations Professionals
  • Chief Talent Officers
  • HR Coordinators/Supervisors
  • Recruiters
  • HR Administrators
  • HR Analysts
  • Compliance Officers
  • Auditors




Course Outline:

Day One (8:30 AM – 4:30 PM) Day Two (8:30 AM – 4:30 PM)

Registration Process: 8:30 AM – 9:00 AM

Session Start Time: 9:00 AM

Human Resources Administration

  • 9:00 a.m. – 9:15 a.m. - Welcome and Introductions
  • 9:15 a.m. – 10:15 a.m. - Human Resource Risk Assessment: Auditing Your Human Resources Practices
  • 10:15 a.m. – 10:30 a.m. - Break
  • 10:30 a.m. 11:15 a.m. – Human Resources Recordkeeping
  • 11:15 a.m. – 12:00 noon - Retention and Destruction of Records
  • 12:00 noon – 1:00 p.m. - Lunch
  • 1:00 p.m. – 1:45 p.m. –Hiring and Termination Forms and Records
  • 1:45 p.m. – 2:30 p.m. – Reference and Background Checks
  • 2:30 p.m. – 2:45 p.m. - Break
  • 2:45 p.m. 3:45 p.m. – Emergency Preparedness and Crisis Management
  • 3:45 p.m. to 4:30 p.m. - Conclusion and Summary: Q & A

Human Resources Policies and Practices

  • 8:30 a.m. – 9:15 a.m. – Review and Assignments
  • 9:15 a.m. – 10:15 a.m. - Understanding and Complying with Applicable Labor Laws
  • 10:15 a.m. – 10:30 a.m. - Break
  • 10:30 a.m. 11:30 a.m. - Selecting, Designing and Administering Employment Policies
  • 11:30 a.m. – 12:00 noon - Writing Policy
  • 12:00 noon – 1:00 p.m. – Lunch
  • 1:00 p.m. – 2:00 p.m. – Legal and Successful Interviewing and Hiring Practices
  • 2:00 p.m. – 3:00 p.m. – Performance Management: Types of Evaluations and Writing Reviews
  • 3:00 p.m. – 3:15 p.m. - Break
  • 3:15 p.m. 4:15 p.m. – Documenting and Handling Disciplinary Actions and Terminations
  • 4:15 p.m. - 4:30 p.m. - Conclusion and Summary: Q & A




Meet Your Instructor

Marna Hayden
Founder and President, Hayden Resources Inc

Marna Hayden is founder and president of Hayden Resources Inc. She has 30+ years in the field of human resource management and is certified as a senior professional in human resources (SPHR). Hayden Resources Inc. provides management and human resources consulting and outsourcing services to small businesses and nonprofits, and specialized services and training to larger organizations. Hayden has held senior offices in the banking, retail, and service industries as well as having been an adjunct faculty member for area universities and colleges.





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