Thursday, July 24, 2008

Human Resource Audit Questionnaire

Roles, Head Count, & Human Resource Information Systems (HRIS)

§ How many employees are currently on staff?

§ How many positions are open?

§ How many employees are:

- Regular

- Temporary

- Full Time

- Part Time

- Exempt

- Non-Exempt


§ What is the definition of a part-time employee (i.e., the maximum number of hours an employee may work to be considered part-time)?

§ What is the minimum number of hours an employee has to work to be considered full-time?

§ Is there a probationary period and if so, how long is the probationary period?

§ Are employees aware of their status/classification?

§ How long may an employee be temporary?

§ How many employees have supervisory responsibility?

§ Are there currently up-to-date job descriptions for all employees? If not, which ones don’t have descriptions?

§ Are independent contractors used? If so, how many are being used? And, for what functions?

§ Is the 21 point test for Independent Consultants being used for classification?

§ Have issues related to classification of employees been raised?

§ Is there an HRIS System / how are employee records kept?

[Recommend that you perform an employee file audit. Evaluate whether records are kept properly and if there are special agreements that have been made with individuals (e.g. policy exceptions: additional vacation time, expense reimbursement, auto allowances, bonuses, pay increases, performance appraisal frequency, etc.).]


§ How did the work force get to be the current size?

§ What are the procedures for hiring in your organization?

§ What are some of your organization’s future needs for personnel?

§ What recruitment sources are used?

§ Are current employees given appropriate consideration for promotion or lateral position changes?

§ If your organization has several divisions/locations are employees allowed to transfer? If so, is relocation is involved, will the company provide assistance?

§ Who does the preliminary screening of candidates?

§ Who selects candidates for interviews?

§ Is training provided for those who conduct interviews?

§ How is the recruitment, screening, and selection process documented?

§ What is the interview process that is used (e.g., individual, sequential, panel)?

§ Are there standardized questions that are asked of every candidate?

§ Is testing used for any positions? If yes, what position and what sort of testing?

§ Is pre-employment drug testing utilized?

§ Are other pre-screening instruments used (i.e., financial, criminal background checking, certification or licensure verification)?

§ Who is responsible for other pre-screening or pre-employment drug testing?

§ Who holds final authority to hire?

§ Who checks references?

§ How are the reference checks documented?

§ Who makes the offer of employment?

§ If the final offer is in writing, who prepares and reviews the letter?

§ Are new employees required to sign non-compete, non-disclosure agreements?

§ Where is the hiring paperwork generated?

§ Who negotiates compensation packages?

§ List the practices you believe are unique to your organization.

§ What is the turnover rate (percent of employees leaving each year) in your organization? Has this changed over time?

§ Who gives references for former employees?

§ Do you offer any employee referral incentives?


§ Where and with whom are the personnel files currently held?

§ What documents are held in personnel files?

§ How are the following documented by your organization?

- Hiring

- Compensation and Benefits

- Transitions

- Paid Time Off

- Training

- Discipline

- Work History

- Work Assignments

- Significant accomplishments

- Emergency contact information

- Performance evaluation and performance management

- Termination

§ How long are files held and where are they stored after employees leave?

§ What is the interface between HR and Finance?

§ Has the work week been defined and posted / made available to employees?

§ Is a payroll service used, and if so, which one?

§ Does the payroll service provide all governmental employment filings?

§ Is there training of managers and employees about personnel files, and policies and procedures for accessing them?

§ How is Paid Time Off documented?

§ When requests for information are made to your organization, who fills the request?

§ Is an HRIS system being used, and if so, which one? Is this a single-user system?

§ Are there situations where you pay travel time, on-call time, shift differentials, lead premiums, incentive pay, incentive bonus and training time?

§ Do you provide compensatory time for your hourly employees in lieu of paying overtime?

§ For hourly employees, what is time excluded from the computation of overtime?

Training, Development and Career Management

§ Who is responsible for new employee orientation?

§ What are the elements of the new employee orientation program?

§ Where and to whom do new employees go when they have questions about your organization or their jobs?

§ Is there a formal training program for employees and managers? If so, please describe it.

§ What training and development initiatives have occurred in your organization?

§ How are managers and supervisors trained and prepared for their roles?

§ What is the average length of time an employee stays with your organization? Does this vary by position type?

§ How much does your organization spend annually (in total and per employee) on employee training and development? Does this vary by position type?

Compensation and Benefits

Basic Compensation Questions

§ Is there a formal compensation program?

§ How are wages set? Somewhat against market

§ Are formal salary ranges set?

§ Are pay rates assigned to jobs reflecting the organizational hierarchy as well is industry and hiring area?

§ If formal salary ranges are set, are they made public to employees?

§ How are jobs rated?

§ How frequently are jobs re-evaluated or updated?

§ Are any salary surveys used? If so, which ones?

§ Are pay ranges revised as a result of these surveys? How frequently?

§ Who in your organization (what position) administers the compensation program?

§ Are COLA’s given, and if so what is the basis for the COLA?

§ Are merit increases given, and if so, are they integrated with performance evaluation?

§ Is there a bonus system, and if so how is it structured?

§ How is the compensation program and total compensation package communicated to employees?

§ What are the “cultural issues” or beliefs related to compensation in your organization?

§ How is employee communication regarding compensation and benefits delivered in your organization?

Health and Welfare Benefits

§ Describe the health insurance program provided by your organization.

§ Are dependents covered, and if so, in part or in full?

§ Are domestic partners covered?

§ What are the eligibility requirements for health insurance and other benefits?

§ Which of the following health and wellness benefits are offered, and what are the limits and requirements for coverage?

- Dental

- Vision

- Disability

- Employee Assistance Program

- Life Insurance

- Other wellness benefits

- Flex benefit plan

- Other benefits

§ Are employees notified of their COBRA benefits?

Leave of Absence Administration

§ Do you offer leaves of absence? Describe conditions for the leave.

§ Do you treat maternity disability leave as you would any other leave?

§ Have you been consistent in granting leaves of absence (including paid vs. unpaid time off, maximum time allowed, opportunity to return to same or like position)?

§ Do you have more than 50 employees in one work location/within 75 mile radius? If so, have you had 20 weeks of payroll in the previous 12 months where you had 50 or more employees?

§ If the answer to any of the above is yes, are you in compliance with FMLA regulations?

Pension and Retirement

§ What is the pension or retirement plan?

§ What are the eligibility and vesting periods?

§ May pretax dollars be put into some form of deferment plan?

§ Will plan accept rollover contributions before eligibility?

Paid Time Off

§ What holidays are paid and who is eligible for them?

§ Is there a PTO system, or is it split between vacation and sick leave?

§ What is the vacation schedule, and how is it earned?

§ What is the eligibility requirement for vacation?

§ Is there a cap to limit the amount of vacation accrued?

§ Are employees permitted to substitute sick leave for vacation?

§ How is unused accrued vacation treated?

§ May employees contribute sick leave to other employees, and if so, what are the limits?

Performance Management and Evaluation

§ Describe the past and current performance appraisal system in your organization.

§ If a performance appraisal instrument is used, please attach a copy.

§ What type of process is used (360o–supervisor only–peer evaluation–outcome)?

§ What type of training is used in relationship to performance evaluation?

§ What is the role of the supervisor/manager in performance appraisal?

§ What is the focus of performance management in your organization?

§ How often and consistently is the process used?

§ What is your discipline policy and procedure?

§ In the absence of a state policy/procedure, do supervisors communicate the problem to the employee, coach the employee on the desired change and explain the consequences if there is not improvement?

§ Is there written communication asking for employee acknowledgement of need for change?

Termination and Transition

§ Is your organization an “at-will” employer?

§ What other causes or conditions of termination of employment exists?

§ What procedures are used for

- Termination for Cause

- Job Closure

- Resignation

§ What level of approval is needed before a termination may occur?

§ Before discharging employees do you asses the situation to determine if possible legal ramifications exist with unemployment claims, civil rights discharge, wage and hour complaints, violation of state or federal law by the discharge action, or wrongful discharge suits?

§ Is there a formal checklist or legal review prior to termination?

§ Are exit interviews performed for all employees who leave?

§ What documentation is required for all employee transitions?

§ How are references handled in your organization?

§ Who is responsible for internal communications regarding difficult terminations? (i.e., communicating the termination to other employees.)

§ Who is responsible for responding to unemployment claims?

§ Are unemployment claims handled in a timely manner?

§ Before discharging an employee is the final paycheck prepared?

Legal Issues / Personnel Policies

§ To your knowledge, are all employees appropriately classified?

§ What personnel policies are currently being used?

§ When was the last time these policies were reviewed and updated?

§ Is there disparity between policies and practices?

§ Who has organizational responsibility for legal or employment questions?

§ Is harassment training regularly provided?

§ How are employee grievances dealt with?

New Hire Reporting: If in multi-state, how is this done. If a single state how done? Who does it and by when?

Are I-9’s collected and where are they stored. When was the last audit performed?

Are all Federal and State required posting displayed in a place visible to all employees?

Has the company accepted any work from the federal government as contractor or subcontractor? If so, is the company larger than 50 employees? What is the annual value of the contract or subcontract?

§ If the company has federal contracts, are you compliant with additional posting requirements (Walsh Healey Act and Davis Bacon Act for Public construction contracts).

§ If more than 15 employees are you compliant with Title VII of the Civil Rights act and ADA (postings and policies)?

§ If you have more than 20 employees are you compliant with Age Discrimination in Employment (ADEA) and Consolidated and Omnibus Benefits Reconciliation (COBRA) provisions and postings?

§ Of you have more than 50 employees are you compliant with Executive Order 11246 (federal contracts or subcontractor) or Family and Medical Leave Act (FMLA) or Vocational Rehabilitation Act (federal contractors or subcontractors with contracts exceeding $50,000)?

§ If more than 100 employees do you comply with EEO-1 form filing annually?

Safety and Health

Are OSHA Form 200’s maintained and posted each February (related to worker injury)?

Are employees aware of the procedure for reporting all work-related injuries?

Is the Employer’s First Report of Injury form (WC-1R85) filed with the workers compensation carrier for every on-the-job injury, no matter how minor?

§ Are facilities and operations reviewed periodically to assess that a healthy and safe work environment has been maintained?

§ Are hazardous chemicals used or are employees exposed to hazardous chemicals on a work-site? If so, is there employee training regarding potential exposure and safe practices?

Company property

§ Is company property issued to employees?

§ What documentation is utilized when providing equipment?

§ Are employees advised of their responsibilities to return equipment and to keep in good use?


§ Are there regular employee surveys conducted to obtain employee feedback?

§ Are there regular team meetings conducted in each operational department?

§ Are there company-wide meetings?

§ How are announcements regarding employee issues addressed? Who is responsible for publishing them and what methods are used?

§ Is there a disaster recovery plan for the organization?

§ What employee safety measures are in place for each facility?

§ Does each manager have a list of their employee’s home numbers and contact information?

§ Is the emergency contact information for each employee up to date and refreshed each year?

§ Is emergency contact information available to management?

§ What attorneys are used for the company and in what capacity?


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