Why and How to Conduct a Human Resources Audit

Transcription

1 Why and How to Conduct a Human Resources Audit Parts One and Two ACHRO Fall Training Institute - S. Lake Tahoe October 25, :00 p.m. - 3:15 p.m. & 3:30 p.m. - 4:45 p.m. Presented by: Barbara J. Ginsberg, Esq. Victor R. Collins, CHRO Consultant Atkinson, Andelson, Loya, Ruud & Romo Center Court Drive, Suite 300 Cerritos, CA main fax direct direct fax BGinsberg@aalrr.com Copyright 2012 Cerritos Fresno Irvine Pleasanton Riverside Sacramento San Diego

2 Cerritos Office Center Court Drive Suite 300 Cerritos, California (562) Phone (562) Fax BARBARA J. GINSBERG, Esq. Senior Associate AALRR Cerritos Office Center Court Drive, Suite 300 Cerritos, CA Main Ph.: Direct Ph.: Main Fax: Direct Fax: Experience Barbara J. Ginsberg is a senior associate attorney in the Cerritos and Irvine offices of Atkinson, Andelson, Loya, Ruud & Romo in California. She represents school and community college districts in all aspects of labor and employment matters, and education law. She is experienced in the areas of: classified and certificated employee evaluation and discipline; statutory leaves; investigating charges of harassment and discrimination; campus police and safety matters; certificated and classified reductions in force; disability accommodation issues; student and employee privacy, search and seizure, and other constitutional issues; drafting board policies; Public Employment Relations Board, Equal Employment Opportunity Commission, California Department of Fair Employment and Housing, Department of Education Office for Civil Rights, California Office of Administrative Hearings, and personnel commission matters, federal and state civil litigation, and negotiations. She regularly provides training on a variety of subjects to management teams, administrators, supervisors, and staff within districts. Prior to joining AALRR in 2000, Ms. Ginsberg spent seven years as a legal advocate for public and private employee unions, including the Association of Orange County Deputy Sheriffs, Riverside Sheriffs Association, Orange County Firefighters Association, Santa Ana Firefighters, and San Bernardino Public Employees Association, and eight years as an advocate for school and community college districts. She additionally served as Deputy City Attorney for the City of Victorville. Education Ms. Ginsberg earned her Bachelor s degree from the University of California, Irvine and her Juris Doctor from Thomas Jefferson School of Law. Ms. Ginsberg also attended the United States Naval Academy in Annapolis, Maryland. Court admissions 1995, State of California (all courts) United States District Court, Central District and Southern District Memberships State Bar of California Member, California Bar Association, Labor & Employment Law Section Member, Labor & Employment Relations Research Association, Orange County Chapter Member, California Council of School Attorneys Cerritos Fresno Irvine Pleasanton Riverside Sacramento San Diego

3 Cerritos Office Center Court Drive Suite 300 Cerritos, California (562) Phone (562) Fax VICTOR R. COLLINS CHRO Consultant Mt. San Antonio College 1100 N. Grand Avenue, Admin Bldg. 4 Walnut, CA Ph.: vcollins@mtsac.edu Experience Victor R. Collins is presently the Chief Human Resources Officer Consultant at Mt. San Antonio College. Since retiring as Executive Vice President of Human Resources from Long Beach Community College in 2004, Mr. Collins has served as a Human Resources Consultant to FCMAT in the evaluation of human resources administration at Compton Community College; as Interim Executive Dean (Vice President) of Human Resources at Pasadena Area Community College; as Interim Vice Chancellor of Human Resources at Kern Community College; as Interim Dean of Human Resources at Ohlone Community College; and most recently as Interim Vice President of Human Resources at Cerritos College. Prior to his retirement in 2004, after seven years as the human resources executive at Long Beach Community College, Mr. Collins served for ten years as the Director of Personnel Services and Affirmative Action at College of the Sequoias Community College District; eleven years as Coordinator of Personnel and Evaluation Services at Corona-Norco Unified School District; and four years as the Program Administrator for Personnel at Riverside Unified School District. He additionally served as the Personnel Supervisor for the Los Angeles Olympic Organizing Committee for the 1984 Olympics. Mr. Collins is greatly experienced in the area of evaluating, planning, organizing, and directing personnel operations, equal employment opportunity, employee benefit programs, workers compensation, disability management, training and development, and payroll operations and procedures. He is a skilled negotiator and regularly provides advice and counsel to District executives, Boards of Trustees, and District management teams on all matters pertaining to human resources administration, employee/employer relations, policy and procedure development and maintenance, and the interpretation and application of collective bargaining agreements between the District and its employee organizations. He has effectively led the redesign of the human resources structure at each of the Colleges at which he has served, in an effort to create a human resources environment that is efficient, customer-oriented, and supportive of the District s strategic plan. Education Mr. Collins earned his Bachelor of Arts degree in Political Science and his Master of Public Administration degree (with an emphasis in public personnel administration and organizational management) from California State University, Fullerton, and additionally completed units toward his Doctorate in Higher Education at the University of Southern California. Cerritos Fresno Irvine Pleasanton Riverside Sacramento San Diego

4 Why and How to Conduct a Human Resources Audit Parts One and Two ACHRO 2012 Fall Institute South Lake Tahoe October 25, :00 p.m. - 3:15 p.m. & 3:30 p.m. - 4:45 p.m. Presented by: Barbara J. Ginsberg, Esq. Victor R. Collins, Retired CHRO Copyright 2012 Cerritos Fresno Irvine Riverside Pleasanton Sacramento San Diego

5 HUMAN RESOURCES AUDIT AGENDA WHAT IS AN HR AUDIT? WHY DO AN HR AUDIT? WHAT AREAS SHOULD BE ADDRESSED? WHAT ARE THE STEPS? WHAT DO I DO WITH THE INFORMATION?

6 WHAT IS A HUMAN RESOURCES AUDIT? Systematic review of all aspects of human resources so that an organization can measure where it currently stands and determine what it has to accomplish to improve its human resources function Reveal strengths and weaknesses (and where both areas can improve) Discovery/Diagnostic tool, not a test

7 WHY DO AN HR AUDIT? Ensure effective utilization of District s human resources Review and ensure legal compliance and fairness of processes Instill confidence in management that human resources is well managed Improve reputation amongst employees and others who utilize HR functions that HR is prepared, responsive, and able to grow into the future Establish a baseline for future improvement of the functions reviewed Compare to organizational objectives Benchmark against other organizations

8 Ultimate Goal of an HR Audit What are the definitions of the various categories of employees? Are there up to date job descriptions for all employees? How are the various categories of employees Gain valuable being utilized within the College? What are the information regarding District s hiring procedures? Is training provided to those who conduct current HR systems interviews? How is the recruitment, screening, and selection process and procedures and documented? determine Where are adequacy personnel to files currently held? What documents are held in personnel meet current files? and How long are files held and where are they stored? Who is projected responsible needs for of new employee orientation? How are supervisors and managers College trained for their roles? How frequently are jobs re-evaluated or updated? How is the compensation program and total compensation package communicated to employees? What type of training is used in relation to conducting performance evaluations? When were personnel policies last updated? How are grievances dealt with?

9 HOW OFTEN SHOULD AN HR AUDIT BE CONDUCTED? Regular review Failure to regularly review could result in functions/policies/practices being out of legal compliance Could result in stiff fines and penalties, lawsuits, or staff turnover Insert Image Here & Crop to Fit

10 WHO SHOULD CONDUCT AN HR AUDIT? External Consultant HR Administrator Cross section of staff Consider completing with legal counsel (attorney-client privilege)

11 Before you start Determine the scope of the audit Select the audit team Develop an audit plan Consider issues of communication CUSTOMIZE THE PROCESS TO YOUR ORGANIZATIONAL NEEDS

12 WHAT AREAS SHOULD BE ADDRESSED IN AN HR AUDIT? HR Strategic Management Workforce Planning and Selection Training and Organizational Development Total Rewards Employee and Labor Relations Safety and Security Human Resources Information Systems (HRIS) Diversity and Equal Employment Opportunity Human Resources Facilities and Equipment Human Resources Organization Human Resources Staff McConnell: pgs. xxiii-xxiv 8

13 OTHER CUSTOMIZED AREAS FOR CONSIDERATION Communications Technology Termination Specific Legal Issues Performance Measurement Benchmarking Information 9

14 WHAT ARE THE STEPS FOR CONDUCTING AN HR AUDIT? 1 Collect information» Generally: Independent data & perception data (your view, HR employees view, outside view) 2 Evaluate» Give objective, numerical ratings to data 3 Analyze Data» Compare perceptions and determine what data means 4 Develop an Action Plan» Customize a plan for capitalizing on strengths and correcting weaknesses» Timeline, accountability, deliverables, FOLLOW UP

15 Collecting Information 1 HR Strategic Management Mission, values, and vision statement for HR and for District Short-term and long-term strategic plans for HR and for District Identifying responsibilities for alignment and review of such plans Budget and whether HR performs within it Policies and Procedures: whether aligned with law, District objectives, how frequently they are reviewed and distributed Succession planning Identifying, implementing and managing changes Perceptions of this category: yours, HR employees, clients McConnell: pgs. 3-12

16 Collecting Information 2 Workforce Planning & Selection Who reviews/communicates legislation impacting HR? How regularly are employment procedures reviewed Workforce requirements, authorization & selection criteria/process Recruiting procedures: internal, external Selection procedures: screening, interview, reference checks, testing, communication, documenting Hiring procedures: decisions, notifications, documenting Orientation and new hire procedures Perceptions of this category: yours, HR employees, clients McConnell: pgs

17 Collecting Information 3 Training and Organizational Development Who reviews/communicates legislation/regs that impact training Who monitors/updates training methods/techniques How are training needs determined and aligned with District objectives & how are managers involved How are internal/external trainers selected & monitored How are available training topics communicated to managers How are career development opportunities reviewed and communicated to employees & are there incentives How is organizational development/structuring handled Perceptions of this category: yours, HR employees, clients McConnell: pgs

18 Collecting Information 4 Total Rewards Who reviews/communicates legislation impacting benefits/compensation How are benefits programs managed & how are they communicated to employees Is benchmarking performed Review how base and additional compensation is determined for each group of employees and how employees rate in How are retirement procedures and benefits communicated and managed Perceptions of this category: yours, HR employees, clients McConnell: pgs

19 Collecting Information 5 Employee and Labor Relations Who reviews/communicates legislation/regs that impact employee labor relations Distribution, review, management of employee handbooks and collective bargaining agreements Informal and Formal Grievance and other complaint processing (procedures known to employees and to HR staff) in all areas Disciplinary procedures Labor relations and union organizing policies and procedures Negotiations preparation Perceptions of this category: yours, HR employees, clients McConnell: pgs

20 Collecting Information 6 Safety and Security Who reviews/communicates legislation impacting safety/security Coordination with campus police or other security entity On-the-job safety and environmental concern procedures Accident and injury protocols detailed procedures and communication OSHA and workers comp protocols Facilities, equipment and safety training Employee record security and maintenance protocols Security, identification, evacuation, emergency procedures Perceptions of this category: yours, HR employees, clients McConnell: pgs

21 Collecting Information 7 Human Resources Information Systems (HRIS) Management and accountability for HRIS and compatibility System security, record privacy Procedures for maintaining, storing, preparing, updating employee records and information Access to by individual employees to their own information Separation of information How is employee information produced by HRIS evaluated (absences, benefit costs, compensation, turnover, etc.) Perceptions of this category: yours, HR employees, clients McConnell: pgs

22 Collecting Information 8 Diversity and Equal Employment Opportunity Who reviews/communicates legislation impacting equal treatment and affirmative action issues and ensures compliance Communication of EEO policies to all employees; training regarding policies and complaint procedures Qualified investigators Whether selection devices (tests, interviews, etc.) and applications meet EEO standards Whether employment decisions are regularly reviewed to ensure no discrimination Accommodations procedures Perceptions of this category: yours, HR employees, clients McConnell: pgs

23 Collecting Information 9 HR Facilities and Equipment Whether physical facilities of HR are designed for the work HR employees must perform and an adequate size for the employees Appropriate location for internal/external clients and appropriate space for HR activities (recruitments, etc.) Whether private areas are available for HR consultations Whether appropriate environmental conditions exist Appropriate technology available to each employee (phone, computer, fax, printer, shredder, voice mail, ) Protocols for handling calls/ s & for computer use Adequate supplies; adequate security Perceptions of this category: yours, HR employees, clients McConnell: pgs

24 Collecting Information 10 HR Organization Organizational structure of HR and reporting relationships Equality of HR management position to other management positions Appropriate distribution of main HR activities to qualified HR staff Frequency of review of HR position descriptions Is there delegation How are performance standards/objectives communicated Perceptions of this category: yours, HR employees, clients McConnell: pgs

25 Collecting Information 11 HR Staff Whether HR department is appropriately staffed Longevity and technical qualifications of HR staff Professional certifications Cross-training (in office and with other departments) Competitive compensation, benefits Absences, turnover Professional affiliations and ongoing training/development Perceptions of this category: yours, HR employees, clients McConnell: pgs

26 AUDIT QUESTIONS

27 WHAT DO I DO WITH THE INFORMATION? Evaluate Understand what the ideal answer would be for each question asked Assign a numerical value between 1 & 9 to each answer (be extreme) Note your disagreements with any results Analyze Compare total points for each category against a standard Carefully consider perceptions Re-analyze data in a useful manner: (i.e. department management, strategic activities, operational activities) 23

28 Determine which three categories need the most immediate attention or further development Develop and Implement an Action Plan For each of the three categories, develop an overall, specific improvement objective Get input where needed For each of the three categories, identify three areas requiring the most improvement and describe what is required to improve the area Develop specific actions, including measures to be taken, who will be assigned to the task, and due dates Implement the plan by delegating assignments Control the process; adjust to changing conditions; be flexible 24

29 STANDARDS AND ACTION FORMS

30 After the Audit Process is Over Discuss results and analysis Seek legal advice where necessary Implement plan FOLLOW UP Document maintenance?

31 Question Answer Session 27

32 Resources United States Department of Justice Provides information relating to federal discrimination laws, employer obligations relating to military leave, technical assistance regarding ADA compliance United States Department of Labor Provides information relating to FMLA, FLSA, Drug-Free Workplace Act, HIPPA, WARN, other laws and regulations, and employment posters. California Department of Fair Employment and Housing Provides information relating to employment discrimination in California, including pregnancy discrimination California Department of Industrial Relations Provides information and guidance regarding California OSHA, Workers Compensation, and wage and hours laws 28

33 Notes of Credit The contents of this presentation are based, in great part, on the following sources: McConnell, John H., Auditing Your Human Resources Department: A Step-by- Step Guide to Assessing the Key Areas of Your Program (2 nd ed. 2011). 29

34 Thank You For questions or comments, please contact: Barbara J. Ginsberg, Esq Victor R. Collins