One effective way to manage compliance obligations and confirm alignment with human resource best practices is to conduct periodic audits of key HR processes. While the idea of an audit can feel daunting, breaking the task into focused areas makes the process far more manageable. This article examines four core areas that law firm administrators should regularly review as part of an HR audit strategy.
Recordkeeping Compliance
Employment recordkeeping is governed by detailed retention rules that vary depending on the type of document. The Society for Human Resource Management (SHRM) is a reliable resource for understanding applicable retention requirements and timelines as well as consultation with outside counsel.
A good starting point is Form I-9 compliance. Ensure that I-9s for terminated employees are maintained separately from those of active employees and review active I-9s for expiring work authorization documents. Using calendar reminders to track upcoming expirations can help ensure timely follow-up well before documentation lapses.
Next, turn to personnel files. Confirm that policy acknowledgements are signed and part of the personnel files, and that documents related to medical issues or leave are stored separately to protect confidentiality.
An employee’s personnel file should reflect their work life. It should track promotions and job changes and include performance evaluations, disciplinary actions or kudos. Certifications of completion of mandatory training such as harassment prevention or workplace violence programs should also be maintained there. If documentation is missing, corrective action — such as obtaining a belated acknowledgement — can often be taken to bring the file up to date.
An employee’s personnel file should reflect their work life.
Employee Handbook Review
An employee handbook that is not reviewed regularly can quickly fall out of compliance with new or amended employment laws. Annual reviews are strongly recommended to ensure policies remain accurate and enforceable.
Outside employment counsel should play a key role in this process. Some firms may also use secure artificial intelligence tools to assist with identifying potential gaps or outdated provisions. While such tools can be useful for efficiency, they should be viewed strictly as a supplement and not the definitive answer. All proposed changes and your final handbook draft must be carefully reviewed and validated to ensure accuracy and legal compliance before implementation.
