Why and How to Conduct a Human Resources...

C e r r i t o s • F r e s n o • I r v i n e • P l e a s a n t o n • R i v e r s i d e • S a c r a m e n t o • S a n D i e g o

Why and How to Conduct a Human Resources Audit

Parts One and Two

ACHRO Fall Training Institute - S. Lake TahoeOctober 25, 2012 2:00 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 12800 Center Court Drive, Suite 300 Cerritos, CA 90703 main 562-653-3200 • fax 562-653-3333 direct 562-653-3847 • direct fax 562-653-3980 [email protected]

© Copyright 2012

Cerritos Office 12800 Center Court Drive Suite 300 Cerritos, California 90703

(562) 653-3200 Phone(562) 653-3333 Fax www.aalrr.com


BARBARA J. GINSBERG, Esq. Senior Associate AALRR Cerritos Office 12800 Center Court Drive, Suite 300 Cerritos, CA 90703 Main Ph.: 562-653-3200 Direct Ph.: 562-653-3847 Main Fax: 562-653-3333 Direct Fax: 562-653-3980 [email protected] www.aalrr.com 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 Office 12800 Center Court Drive Suite 300 Cerritos, California 90703

(562) 653-3200 Phone(562) 653-3333 Fax www.aalrr.com


VICTOR R. COLLINS CHRO Consultant Mt. San Antonio College 1100 N. Grand Avenue, Admin Bldg. 4 Walnut, CA 91789 Ph.: 909-274-4225 [email protected] www.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 • Riverside • Pleasanton • Sacramento • San Diego

Why and How to Conduct a Human Resources Audit

Presented by:

Barbara J. Ginsberg, Esq.

Victor R. Collins, Retired CHRO

© Copyright 2012

ACHRO 2012 Fall Institute – South Lake TahoeOctober 25, 2012 2:00 p.m. - 3:15 p.m. & 3:30 p.m. - 4:45 p.m.

Parts One and Two

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?

• 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

WHAT IS A HUMAN

RESOURCES 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

WHY DO AN HR AUDIT?

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 being utilized within the College? What are the District’s hiring procedures? Is training provided to those who conduct interviews? How is the recruitment, screening, and selection process documented? Where are personnel files currently held? What documents are held in personnel files? How long are files held and where are they stored? Who is responsible for new employee orientation? How are supervisors and managers 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?

Gain valuable information regarding current HR systems and procedures and

determine adequacy to meet current and

projected needs of College

• 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

HOW OFTEN SHOULD AN HR AUDIT BE CONDUCTED?

• External Consultant

• HR Administrator

• Cross section of staff

• Consider completing with legal counsel (attorney-client privilege)

WHO SHOULD

CONDUCT AN HR AUDIT?

• 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

Before you start

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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

WHAT AREAS SHOULD BE ADDRESSED IN AN HR AUDIT?

McConnell: pgs. xxiii-xxiv

9

Communications

Technology

Termination

Specific Legal Issues

Performance Measurement

Benchmarking Information

OTHER CUSTOMIZED AREAS FOR CONSIDERATION

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

WHAT ARE THE STEPS FOR CONDUCTING AN HR AUDIT?

Collecting Information

1 HR Strategic Management

McConnell: pgs. 3-12

• 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”


Workforce Planning & Selection2


• 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



Training and Organizational Development3


• 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



Total Rewards4


• 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



Employee and Labor Relations5


• 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



Safety and Security6


• 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



Human Resources Information Systems (HRIS)7


• 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.)



Diversity and Equal Employment Opportunity8


• 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



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, e-mail)

• Protocols for handling calls/e-mails & for computer use

• Adequate supplies; adequate security



HR Organization10


• 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



HR Staff11


• 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


• AUDIT QUESTIONS

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WHAT DO I DO WITH THE INFORMATION?

Understand what the ideal answer would be for each question asked

Assign a numerical value between 1 & 9 to each answer (be extreme)

Evaluate

Note your disagreements with any results

Compare total points for each category against a standard

Carefully consider perceptions

Analyze

Re-analyze data in a useful manner: (i.e. department management, strategic activities, operational activities)

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Determine which three categories need the most immediate attention or further development

Get input where needed

For each of the three categories, develop an overall, specific improvement objective

For each of the three categories, identify three areas requiring the most improvement and describe what is required to improve the area

Develop and Implement an Action Plan

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

• STANDARDS AND ACTION FORMS

• Discuss results and analysis

• Seek legal advice where necessary

• Implement plan

• FOLLOW UP

• Document maintenance?

After the Audit Process is Over

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QuestionAnswer

Session

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ResourcesUnited States Department of Justicewww.usdoj.gov

Provides information relating to federal discrimination laws, employer obligations relating to military leave, technical assistance regarding ADA compliance

United States Department of Laborwww.dol.gov

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 Housingwww.dfeh.ca.gov

Provides information relating to employment discrimination in California, including pregnancy discrimination

California Department of Industrial Relationswww.dir.ca.gov

Provides information and guidance regarding California OSHA, Workers Compensation, and wage and hours laws

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Notes of CreditThe 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 (2nd ed. 2011).

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For questions or comments, please contact:

Thank YouBarbara J. Ginsberg, [email protected]

562-653-3847

Victor R. [email protected]

909-274-4225

mailto:[email protected]

mailto:[email protected]

Why and How to Conduct a Human Resources...

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