Introduction

HR compliance and risk management are foundational to any organization’s success. As businesses operate in an increasingly complex legal environment, HR professionals must be proactive in managing compliance risks and ensuring that their organizations adhere to labor laws, safety regulations, anti-discrimination laws, and other relevant frameworks. This course equips HR professionals with the knowledge and tools required to navigate the challenges of HR compliance, mitigate potential risks, and foster a compliant workplace culture. Participants will learn to identify, manage, and reduce HR-related risks while ensuring that their organizations remain compliant with national and international regulations.

Objectives

By the end of this 5-day course, participants will:

1. Understand the fundamental concepts of HR compliance and risk management in the workplace.
2. Gain an in-depth knowledge of employment laws and regulations, including labor laws, anti-discrimination laws, and workplace safety standards.
3. Learn how to assess, identify, and mitigate HR-related risks.
4. Develop strategies for creating a culture of compliance and risk awareness in the organization.
5. Gain practical tools for managing HR compliance audits, reporting, and investigations.
6. Understand the role of HR in crisis management and business continuity planning related to HR risks.

Who Should Attend?

• HR managers, directors, and professionals responsible for ensuring organizational compliance.
• Compliance officers and legal advisors working with HR teams.
• Risk managers and professionals in charge of identifying, assessing, and mitigating risks in HR operations.
• Senior HR executives and leaders responsible for overseeing corporate risk management strategies.
• Legal and policy teams focused on labor law, employment rights, and HR-related risk mitigation.
• Administrative and operational managers involved in maintaining compliant HR practices.

5-Day Course Outline

Day 1: Introduction to HR Compliance and Risk Management

• What is HR Compliance and Risk Management?
  • Defining HR compliance and risk management: scope and importance in business operations.
  • The relationship between HR and organizational risk: impact on reputation, legal standing, and financial health.
  • Key concepts: legal compliance, risk mitigation, audit readiness, and employee protection.
• Understanding Compliance Requirements
  • Overview of major compliance areas: labor laws, occupational safety, workplace discrimination, data protection.
  • The global landscape: understanding international regulations and cross-border compliance issues.
  • The role of HR in ensuring compliance with employment laws and workplace regulations.
• Risk Management Frameworks and Methodologies
  • Identifying types of HR risks: legal, financial, reputational, and operational.
  • Risk management frameworks and methodologies: risk assessment, mitigation strategies, and monitoring.
  • The importance of risk-based decision-making in HR practices.
• Workshop: Discussing key compliance and risk challenges in participants’ organizations and analyzing how they are addressed.

Day 2: Employment Laws and Regulations

• Key Employment Laws and Regulations
  • Overview of core labor laws: Fair Labor Standards Act (FLSA), Equal Employment Opportunity (EEO), and Family and Medical Leave Act (FMLA).
  • Anti-discrimination laws: Title VII of the Civil Rights Act, ADA, ADEA, and more.
  • Understanding global employment law and key differences across countries.
  • Occupational health and safety regulations (OSHA) and employer responsibilities.
• Wage and Hour Compliance
  • Understanding exempt vs. non-exempt employees under FLSA.
  • Overtime rules, minimum wage laws, and pay equity issues.
  • Compliance with wage garnishment laws and payroll reporting requirements.
• Employee Benefits and Compliance
  • Benefits laws: Affordable Care Act (ACA), COBRA, retirement plan regulations, and workers’ compensation.
  • Compliance with benefits enrollment, communication, and reporting obligations.
  • Understanding leave policies and accommodations under ADA and FMLA.
• Workshop: Case study analysis on managing complex compliance scenarios (e.g., wage and hour audits, employee classification).

Day 3: Risk Assessment and Mitigation Strategies

• Identifying HR Risks
  • Methods for identifying potential HR risks in the workplace: employee complaints, investigations, audits, and employee turnover.
  • Risk mapping and categorizing risks based on severity and likelihood.
  • Internal audits and surveys to identify compliance gaps.
• Mitigating Legal and Financial Risks
  • Strategies for mitigating legal risks related to hiring, firing, promotions, and terminations.
  • Addressing financial risks: payroll errors, misclassification, benefits violations.
  • Implementing effective policies and practices to reduce risks of litigation.
• HR Policies and Procedures for Risk Management
  • Creating, reviewing, and updating HR policies to ensure compliance with current laws and regulations.
  • Best practices for maintaining an employee handbook that reflects legal compliance and corporate values.
  • Ensuring consistency in the enforcement of policies to mitigate discrimination and harassment claims.
• Workshop: Developing a risk management plan for an HR-related compliance issue within your organization.

Day 4: HR Compliance Audits and Investigations

• HR Compliance Audits
  • The role of audits in maintaining HR compliance: internal vs. external audits.
  • Key areas for HR audits: hiring practices, employee records, wage and hour compliance, employee benefits.
  • Preparing for HR compliance audits: documentation, processes, and corrective actions.
• Investigations and Reporting
  • Conducting effective investigations into complaints of harassment, discrimination, and misconduct.
  • Ensuring confidentiality, impartiality, and fairness during investigations.
  • Reporting and documenting findings: how to create thorough investigation reports that hold up in legal situations.
• Managing Employee Complaints and Litigation
  • Steps for managing and resolving employee complaints before they escalate to litigation.
  • Best practices for handling workplace harassment, discrimination, and retaliation claims.
  • Working with legal teams to handle litigation and settlement negotiations.
• Workshop: Role-playing a compliance audit or an employee misconduct investigation to apply practical skills.

Day 5: Building a Culture of Compliance and Risk Awareness

• Creating a Culture of Compliance
  • The role of leadership in promoting HR compliance and ethical behavior across the organization.
  • Engaging employees in compliance efforts: training, awareness programs, and clear communication.
  • Encouraging a speak-up culture: reporting mechanisms and anti-retaliation policies.
• Training and Education for HR Compliance
  • Designing effective compliance training programs for HR staff, managers, and employees.
  • Ongoing education on new and changing laws and regulations.
  • Measuring the effectiveness of training programs and adjusting them as needed.
• Crisis Management and Business Continuity Planning
  • Preparing for HR crises: handling sudden legal challenges, employee health and safety emergencies, and other HR risks.
  • Developing a business continuity plan that integrates HR compliance and risk management strategies.
  • Lessons learned from HR crises: case studies of organizations that managed or failed to manage HR-related risks.
• Workshop: Building a plan for fostering a culture of compliance and risk awareness within your organization.

Final Assessment and Certification

• Assessment: A comprehensive exam covering all aspects of HR compliance, risk management frameworks, legal regulations, and audits.
• Certification.