The People Audit: Auditing Human Resources

Course Field: Auditing
Delivery Method: Live/Internet-Based
Prerequisite: None
Level: Basic
Advance Prepration:No
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  • Seminar Overview

    A Detailed Course on the Basics of Auditing Payroll and Human Resources

     

    Human Resources is a very unique area to review and audit.  Inherently high risk, a thorough review of HR can have numerous benefits.  Additionally, by applying best practices to the process, cost benefits can be endless.  Attendees will learn how to audit the HR function from beginning to end, applying best practices with a risk-based audit ap

  • Learning Objectives
    • Attendees will learn how to identify key risks and appropriate tools and techniques for payroll/HR
    • Attendees will learn how to apply critical thinking skills to fraud situations
    • Attendees will discover how to audit payroll and HR efficiently and effectively
  • Who Should Attend
    Auditors wanting the basics of human resources and payroll auditing.
  • Agenda
    I. Human Resources Audit Overview  

    a. Defining the Human Resources Function

    b. High-Risk Areas

    c. Risk Assessment

    d. Best Practices

        II. Preliminary Audit Work  

    a. Planning Meeting

    b. Finalize Risk Analysis

        III. New Hires

    a. Processing

    b. System Controls

        IV. Terminations

    a. Process to Delete Terminated Employees

    b. IT v. HR Ownership

    c. Elimination from Payroll System

        V. Relocation/Sign-On Expense

    a. Is this material?

    b. Approval process

        VI. Pay Rate Changes

    a. Fraud Schemes

    b. Approval Process

        VII. Performance Evaluation/Training

    a. Best Practices and Process

        VIII. Benefits

    a. Administration Process

    b. Outside Reports

        IX. Regulatory Compliance

    a. Federal

    b. State

        X. Outsourcing     XI. Other Risk Areas

    a. Ethics

    b. Fraud

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