How Are Regulatory Agencies Creating their Focus for Future Audits?

Recorded Webinar | Margie Faulk | From: Mar 16, 2021 - To: Dec 31, 2021

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Regulatory agencies, especially those that impact the workplace historically develop strategic plans that focus on how they will create audit plans to mitigate compliance violations. Although the regulatory agencies create strategic plans, there are many other factors that determine audit and compliance efforts. Employers should be aware of the many factors that determine an audit and prepare for mitigation.

Factors That Determine Audits

  • Regulatory Agencies Strategic Plans (usually developed for 3-5 year increments)
  • Current Presidential Administration Focus-this factor has huge implications because it will determine the direction of the regulatory agencies. Employers should prepare for several reversals of previous regulations and the development of new regulations impacting the workplace
  • Industry Targeting-Many regulatory agencies have awareness of industries that historically perpetuate compliance violations. These industries are on “a list” and therefore are monitored. For example, for Department of Homeland Security (DHS) monitors the agricultural, retail, farming, and food processing industries since they are more likely to hire legal immigrants and illegal immigrants.
  • Complaints and allegations by employees-these could be disgruntled employees, true complaints of discriminatory practices, false allegations, and other employee complaints. In this factor, it doesn’t matter if the allegations are true or not. The Employer has the obligation to dispute any allegations and prove they did not do what was alleged. These types of cases impact Employers' potential litigation exposure, reputation, fines and penalties, and budget.

Some Federal Regulatory Agencies Impacting Workplace Audit initiatives (list not exhaustive)

  • Department of Labor (DOL)
  • Department of Homeland Security (DHS)
  • Office of Federal Contract Compliance Programs (OFCCP)
  • Equal Employment Opportunity Commission (EEOC)
  • American with Disabilities Act (ADA)
  • Affordable Care Act (ACA)
  • The Health Insurance Portability and Accountability Act of 1996 (HIPAA)
  • Occupational Safety and Health Administration (OSHA)
  • National Labor Regulations Board (NLRB)

Because State Regulatory Agencies are determined by the state, we will identify those as part of the training.

Webinar Objectives:-

  • What is the difference between federal, state, and local regulations and which supersedes?
  • Learn how the regulatory agencies plan their audits
  • Learn how the new administration will focus their regulatory focus for 2021
  • Identify which regulatory agencies have more penalties
  • Learn how Employers can prepare for a potential audit
  • Learn what the Employer obligation is when employees make allegations
  • How can Employers prepare for an audit when they are informed
  • What steps can be taken by Employers if the audit is not planned
  • What are the trending regulations in multi-state locations for 2021
  • Learn how Employers can be aware of the audit trends and the resources that will assist them.

Webinar Agenda:-

  • How to prepare for regulatory audits
  • Learn the difference between federal, state, and local audits
  • How do regulatory agencies determine what company to audit?
  • What factors determine the direction of an audit
  • Learn which regulatory agencies handle compliance violations

Who should Attend?

  • All Employers
  • Business Owners
  • Company Leadership
  • Compliance professionals
  • Payroll Administrators
  • HR Professionals
  • Office Managers
  • Compliance Professionals
  • Managers/Supervisors
  • Employers in all industries
  • Small Business Owners
  • Large Business Owners

Margie Faulk

Margie Faulk, PHR, SHRM-CP is a senior level human resources professional with over 14 years of HR management and compliance experience. A former Compliance Officer for Federal Defense Contracting Industry, Margie has worked as an HR and Compliance advisor for major corporations and small businesses in the small, large, private, public and Non-profit sectors. Margie is bilingual (Spanish) fluent and Bi-cultural.

Margie’s focus is on multi-state, national, state and local workplace compliance. Additionally, Margie is working on International compliance initiatives globally which includes workplace compliance in other countries like the UK, Canada, France, Brazil, China, Africa, Mexico and India, just to name a few.

Margie has created and presented seminars/webinars for many compliance institutes. These national training providers, offer compliance training to professionals, business owners and companies interested in having their company compliant with workplace and industry regulations.

Margie holds professional human resources certification (PHR) from the HR Certification Institution (HRCI) and SHRM-CP certification from Society for Human Resources Management. Margie has completed the Certified Compliance and Ethics Professional training and is a member of the Society of Corporate Compliance & Ethics (SCCE).