Employment Compliance & Audit Services


An HR audit involves devoting time and resources to taking an intensely objective look at your organization’s HR strategies to protect the organization, establish best practices and identify opportunities for improvement. 

An objective review of your “current state” can help you evaluate whether specific practice areas are adequate, legal and effective. The results can provide you or other decision makers with the information necessary to decide what areas need improvement.

A full HR audit consists of two main parts:

  • Functional. Focuses on a specific area in the HR function (e.g., an evaluation of the organization’s functional HR policies, practices and processes with a focus on the HR disciplines of Staffing, Human Resource Development/Training, Administration, Planning, Safety & Security, Employee Relations, Recruitment & Selection, and Performance Management.)
  • Compliance. Focuses on how well the organization is complying with current federal, state and local laws and regulations (e.g., an evaluation of the organization’s HR compliance, practices, policies, and processes with a focus on DFEH/EEOC, ADAAA, DLSE/DOL, Workers Comp, Cal/OSHA, FLSA, CA Labor Code, DIR, IWC.)


Our audit team scrutinizes all critical areas of an organization’s HR policies. We solicit feedback from selected staff to learn whether certain policies and procedures are understood, practiced and accepted.

There are certain areas in which organizations are particularly vulnerable. Most lawsuits can be traced to issues related to policies and practices involving hiring, performance management, discipline or termination. In addition to policies, we examine practices like:

Misclassification of exempt and nonexempt jobs. Almost every organization has job positions that have been misclassified as exempt from overtime eligibility. The complexity of wage and hour laws and regulations makes it easy to err in classifying a job as exempt, thereby exposing the employer to liability for past overtime.

Prohibited attendance policies. Controlling excessive absenteeism is a big concern for most employers. However, the complexity of family and medical leave laws, with sometimes conflicting state and federal protections, has made many formerly acceptable absence control policies unacceptable. Absences affect workers' compensation, family and medical leave, disability accommodations and pregnancy laws. Organizations often have attendance policies that do not comply with relevant laws and regulations or that grant employees more protections than required.


Insufficient documentation. Reviews of employer hiring practices often uncover inadequate documentation, such as missing or incomplete I-9 Forms. Employers can be fined between $100 and $1,000 for each failure to accurately complete an I-9 Form. Fines for these violations can easily add up, with reported cases of repayment totaling over $100,000.

Inadequate personnel files. A review of sample personnel files often reveals inadequate documentation of performance—for example, informal, vague or inconsistent disciplinary warnings. Performance evaluations may be ambiguous, inaccurate or outdated. Personal health information is often found in personnel files, despite medical privacy laws requiring such data to be kept separate. Accurate and detailed records are essential for employers to defend any type of employee claim, particularly unemployment compensation or wrongful termination claims.

Inaccurate time records. Employers typically require nonexempt employees to punch a time clock or complete time sheets reflecting their time worked each week. The records generated by these systems typically are the employer’s primary means of defense against wage and hour claims, so timekeeping policies and practices must be clearly communicated and consistently administered.


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Information & 

Hours of Operation

Mike Letizia, SHRM-SCP


Cell: 209-608-6712

Toll Free: 866-631-4711 x101

Fax: 209-425-4131

Email: [email protected]

General Inquiries

Email: [email protected]


Monday - Friday 9am-5pm

Saturday By Appointment Only

Sunday Closed

Postal Mailing Address

Letizia HR Solutions

2972 W Swain Rd., PMB123

Stockton, CA


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