HUMAN RESOURCES COMPLIANCE AUDIT

Company
Employees:
RECRUITING & INTERVIEWING PROCEDURES
Recruiting
1 Review Job Descriptions for all categories of employees
2 Update descriptions over 2 years old
3 Review for exemption status
4 Review for ADA/FEHA status
5 Review language in marketing of job openings & postings
6 Review of all recruiting procedures
7 Provide sample job descriptions, as necessary
Employment Application Review
8 Compliance with Federal & State Discrimination Laws
9 At-Will Statement
10 Compliance with Disability Issues (ADA & FEHA)
11 Authorization for Background Check, Drug Test, References Check
12 Provide employment application, as necessary
Interviewing Process
13 Consistency in Interviewing (who interviews)
14 Review of Interviewing Questions
15 Selection Process
16 Review of how hiring decisions are made
17 How/When Background Checks are administered
18 How/When Drug Screens administered
19 Review skill/aptitude test procedures
Reference Checks
20 Review questions asked
21 Ensure compliance with California Labor Code
HIRING PROCEDURES
Job Offer
22 Review Job Offer Letter
23 Provide Checklist of things to do prior to employee start date
24 Provide sample Job Offer Letter, as necessary
New Employee Orientation Checklist
25 Employment Eligibility Verification (I-9)
26 Review Procedures, Timing & Compliance
27 Employees Withholding Allowance Certificate (W-4)
28 Sexual Harassment Brochure
29 Paid Family Leave Brochure
30 Employee Information Form
31 Change in Personal Data Form
32 Receipt of Employee Handbook
33 Provide sample orientation checklist, as necessary
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HUMAN RESOURCES COMPLIANCE AUDIT
Company
Employees:
Procedures for New Employees
33 Ridealongs/Visits with existing employees
34 Office Orientation
35 Assignment of mentor/buddy
36 Daily Supervisor Review
37 Compliance With Applicable Federal & State Laws
38 At-will statement
39 Ensure all forms are completed and filed properly
40 I-9/IRCA Compliance
41 HIPAA Compliance
42 ADEA Compliance
43 Civil Rights Act Compliance
44 FEHA Compliance
POLICIES & PROCEDURES
Review of Business Non-Harassment Policies & Procedures
45 Grievance Procedure - Review
46 Harassment Policy - Review
47 Make policy recommendations for non-harassment
48 Make recommendations on how to prevent harassment
49 Non-Retaliation Policy - Review
50 Review of Employee Training
Compliance with California Laws
51 DFEH Requirements
52 Protected Classes in California
53 Ancestry
54 Color
55 Disability (including HIV/AIDS diagnosis)
56 National Origin
57 Race
58 Religion
59 Sex
60 Sexual Orientation
61 Transgender
62 Employment At-Will
63 California Discrimination Guidelines
64 Cal-COBRA
65 California Family Rights Act
66 Cal-OSHA
67 Domestic Violence Leave
68 Pregnancy Disability Leave
69 Rehabilitation Leave
70 School Visitation
71 Child Labor Laws
72 Employee Polygraph Protection Act
73 Fair Credit Reporting Act
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HUMAN RESOURCES COMPLIANCE AUDIT
Company
Employees:
74 Garnishments
75 Harassment
76 Military Duty Leave
77 State & Federal Poster Requirements
78 Ensure up-to-date status
79 Ensure conspicuously displayed
80 Unemployment Insurance Coverage
81 Age Discrimination
82 Agriculture Labor Relations Act
83 Applicant Identification Records
84 Cal-COBRA
85 California Family Rights Act
86 California Layoff Law
87 Cal-OSHA
88 Car Pooling
89 Change of Status Notification Requirement
90 COBRA Extension Rights
91 Confidentiality of Medical Information Act
92 Disability Insurance Coverage
93 Discrimination
94 Domestic Violence (employee restraining orders)
95 Dress Code Requirements
96 Drug Free Workplace
97 Drug Rehabilitation Leave
98 Drug/Alcohol Rehabilitation
99 Employee Invention Rights
100 Employee Registry (New Hire Reporting)
101 Employer Information Reports
102 Equal Pay Act
103 Ergonomics
104 Fair Employment & Housing Act
105 Harassment (Reno v. Baird)
106 Hazardous Substances Information & Training Act
107 Health Insurance Premium Payments
108 Industrial Welfare Commission Orders
109 Injury & Illness Prevention Plan
110 Insurance Conversion Privileges
111 Jury Leave
112 Literacy Education for Employees Act
113 No Smoking Policy
114 Paid Family Leave Insurance
115 Pregnancy Disability Act
116 School Visitation by Parents, Guardians, Grandparents
117 School Visits for Suspended Child
118 Sick Leave Usage - for care of family
119 State WARN Act of 2002
120 Sue Your Boss Law
121 Time Off To Vote
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HUMAN RESOURCES COMPLIANCE AUDIT
Company
Employees:
122 Trade Secrets Act
123 Victims of Domestic Violence Leave Act
124 Volunteer Firefighters
125 Wage & Hour Provisions
126 Whistleblower Protection Act
127 Witness Duty Leave
128 Workers' Comp Insurance Coverage
Compliance with Federal Laws
129 Age Discrimination in Employment Act
130 Americans With Disabilities Act
131 Civil Rights Act - Title VII
132 COBRA
133 Consumer Credit Protection Act
134 Drug Testing
135 Economic Espionage Act
136 Employee Information reports
137 Equal Employment Opportunity
138 Equal Pay Act (Interstate/foreign commerce)
139 Family & Medical Leave Act
140 HIPAA
141 Immigration and Reform Control Act
142 Mental Health Parity Act
143 NLRA
144 PRORWA
145 Plant Closure Law
146 Pregnancy Discrimination Act of 1978
147 Summary Plan Descriptions
148 Trade Secrets Act
149 Veterans Re-employment Law
150 WARN Act
Wage & Hour Issues
151 Review Exempt vs. Non-Exempt Status for all employees
152 Rest & Meal Break Requirements
153 Ensure overtime pay is properly and legally administered
154 Time-And-A-Half
155 Double Time
156 Sick Leave
157 Vacation Pay Procedures
158 Independent Contractor vs. Employee Status - review and recommend
159 IRS 20 factor test
160 Minimum Wage Review
161 Reporting Time Pay
162 Frequency of employee pay periods
163 Review uniform/equipment deductions
164 Review Cash Shortages/Breakage deductions
165 Child Labor Laws
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HUMAN RESOURCES COMPLIANCE AUDIT
Company
Employees:
Employee Records
166 Ensure employee files contain only job-related information
167 Job Offer Letter
168 Performance Reviews/Appraisals
169 Job Status Letters
170 Related payroll information
171 Receipt of Employee Handbook
172 Receipt of 'at-will' statement
173 I-9 review (recommend separate location)
174 Records Retention Requirements - Review
175 HIPPA Compliance
Employee Relations
176 Review Performance Appraisals
177 Performance Appraisal Audit Checklist
178 Review of disciplinary and discharge process
179 Recommend changes/improvements to disciplinary process
180 Review or help write warning/termination letters
181 Review Progressive Discipline Procedures
182 Review of employee communication/how policies are communicated
183 Answer/Discuss employer-employee relations training
184 Answer any questions on CA & Federal compliance issues
Safety & Loss Control
185 Strategies for reduction of workers compensation claims
186 Review Illness & Injury Prevention Plan
187 Review Evacuation Procedures
188 Ensure appropriate state & federal posters/proper posting procedures
189 Ergonomics policy & procedure review
Employee Benefits
190 Medical/Dental - review and recommend procedures
191 Section 125 - present and evaluate
192 Retirement Plan - present and evaluate
193 Premium Only Plan - present and evaluate
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