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An HR Audit

January 23, 2003
Related Topics: HR Services and Administration, Strategic Planning, Featured Article

Department Organization Questionnaire
    The Human Resources Department is structured, organized and equipped toprovide overall strategy, direction and effective management of the organization’shuman resources function to accomplish organizational objectives.

  1. Is there one department or function within the organization that isresponsible and accountable for planning, establishing, overseeing andcoordinating all human resource policies, systems and services for all 11 majorcategories?

  2. Does the senior-level human resources manager report to the same levelposition as all other major staff and line departments within the organization?

  3. Does the senior human resources manager participate in addressing theorganization’s strategic, tactical and policy issues?

  4. Does the senior human resources manager integrate all HR activities withthe organization’s strategic business plan.

  5. Does the Human Resources department demonstrate a clear understanding oforganizational and customer needs?

  6. Are HR services and functions aligned and prioritized to organizationaland customer needs?

  7. Has a department mission statement been developed explaining its purposewithin the organization?

    Has this mission statement been communicated to all management personnel?

    Has this mission statement been communicated to other customers throughoutthe organization?

    If so, to whom?


  1. Does the Human Resources department take a lead in striving for a moreempowered and participative work force (productivity improvement, costreduction, quality improvement and improved quality of work life programs?)

  2. Has a Human Resources department organization chart been published anddistributed?

    If so, to whom?

    Does the organization chart clearly define functional responsibilities andwhom customers can contact for service?

  1. Are job descriptions established for all HR personnel stating major jobobjectives, responsibilities and accountabilities?

  2. Do all HR personnel understand their respective roles and relationshipsto others in the department?

  3. Are department personnel cross-trained to perform duties outside theirmajor areas of responsibility?

  4. Do they work on team and department task force projects?

  5. Are departmental personnel professionally and technically competent?

  6. Do they serve as internal consultants to management as well as counselorsto employees?

  7. Does the department staff work well as a team?

  8. Are they readily accessible to all customers?

  9. Are department personnel provided adequate training and professionaldevelopment to meet organizational challenges and demands?

  10. Is involvement in professional and technical groups encouraged?

    Does the department subscribe to major technical and professional journals?

  1. Is there a credible performance appraisal in place clearly statingmutually established goals and objectives for department personnel?

  2. Are human resources staff compensated according to market standards?

    Are they compensated based on comparable positions within the organization?

  1. Does department staff effectively balance organizational with employeeneeds and act as an intermediate for both?

  2. Is the Human Resources department results-oriented (i.e., measuringcost-effectiveness and the bottom line results of human resources programs)?

    If so, is it attentive to the bottom line and does it demonstrate a businessorientation?

  1. What is the span of control of the top position within the departments(i.e., how many and which positions report to it)?

    Are supervisors or managers reporting to other mid-level managers?

    How many employees are in the Human Resources department?

    What is the ratio of HR department staff to all employees served?

    How does this compare to the staffing levels of other comparableorganizations offering similar services?

  1. Are HR needs and programs accounted for in the organization’s budgetingprocess?

  2. Does the organization make plans for ensuring that HR’s future needsare met?

  3. On a scale of one to seven (seven being the highest and four beingadequate), how would the Human Resources team rate the overall effectiveness andstructure of your Human Resources department?

  4. On the same one-to-seven scale, how do you think other department headswould rate the overall effectiveness and structure of the HR department?

    On the same one-to-seven scale, how do you think the employees would ratethe overall effectiveness and structure of the HR department?

 Explanation of Department Organization Questionnaire
    For each of the 11 categories, the Self-Audit questions are designed to ratehow well the HR department achieves the purpose of the category definitionstated at the top of the questionnaire: Is the HR department structured,organized and equipped to provide overall strategy, direction and effectivemanagement of the organization’s human resources function to accomplish theorganization’s objectives?

    Questions one through nine explore how department leaders achieveorganization objectives, are part of management’s strategic planning effortand assist in making decisions that affect bottom-line results. These questionsboth help ensure that HR’s efforts are in accord with customer needs andsuggest ways HR teams can take the lead in helping customers get the most out ofthe organization’s human resources.

    Questions 10 through 26 address communicating department functions andservices to all customers, staff objectives and internal relationships, staff’sdual role as internal consultants to management and counselors to employees,staff competence and flexibility, cross-training, balancing employee needs withbusiness needs and a bottom-line results orientation.

    The components of question 24 also relate to staff size, structure and spanof control. Industry-specific standards for staff size are available from avariety of professional publications, such as the Saratoga Institute’s "HREffectiveness Survey" and national and regional statistics compiled by theBureau of National Affairs (BNA). Any surveys that relate specifically to yourtype of organization will make that benchmark more credible.

    Questions 25 and 26 address resources and planning to ensure the delivery ofrequired services.


Human Resources Planning/Organizational Development Questionnaire
    The process of identifying and providing ways to fulfill the organization’sdevelopmental and human resource needs.

  1. Is there one position accountable for reviewing the organization’s humanresources requirements?

  2. How is this review carried out?

    Formally/informally? (please describe)

  1. How often is this analysis updated (e.g., yearly, every two years, threeyears or more)?

  2. Do your projected needs include the following considerations?

    Availability of outside workforce demographics (age, sex, minorityclassification, education, skills level, occupations, etc.)

    Anticipated changed in your organizations technology, processes,products/services and markets.

    Personnel needs these changes will require (e.g. new skills, education,knowledge and abilities).

  1. Which sources outside the organization provide these demographics?

  2. What sources within the organization provided this information?

  3. To whom are these projections communicated?

    How often?

    How far into the future?

  1. Is there one position accountable for reviewing and assessing the HRdepartment’s skills, education, interests and needs?

  2. How is this assessment carried out (formally or informally)? (Pleasedescribe.)

  3. How often is this assessment updated (e.g. yearly, every two years, threeor more years)?

  4. To whom are this assessment and any projections communicated?

    How often?

    How far into the future?

  1. Are this assessment and projections used for training and development?

  2. Are this assessment and projections (workforce requirements) used forcareer planning (matching organizational and individual skills, abilities andneeds)?

  3. Is there a formal career planning process in place?

  4. Is there a career counseling system to identify individual skills,interests and needs, and which offers inplacement and/or developmentalassistance?

  5. Are high-potential employees identified for key positions?

    If yes, is there a succession plan to target high potential employees?

  1. Are human resource projections (i.e., numbers, job classifications,skills, knowledge, ability and education levels) identified in the recruitmentplan?

    How far into the future?

  1. If the human resources plan calls for restructuring or downsizing, arethere strategies set to deal with displaced employees?

    Is outplacement assistance offered?

    Are there strategies to support remaining employees?

  1. Are the human resources projections a part of the organization’sbudgeting process?

  2. Does the organization have plans for ensuring its development and humanresource needs are met?

  3. On a scale of one to seven (seven being high and four being adequate),how do you think the HR staff rates the human resources planning/organizationaldevelopment process?

  4. On the same one-to seven scale, how do you think other departments wouldrate the human resources planning and organizational development process now inplace?

 Explanation of Human Resources Planning/Organizational DevelopmentQuestionnaire
    Affirmative answers to all the questions in this section means theorganization’s development and human resource needs are being met. Theemphasis is on connecting organizational development and workforce needprojections with internal and external workforce skills.

    Questions one through seven deal with influences on the planning process)changing workforce, markets and customers, products, services, technology/skillsbase and identification of external supply).

    Questions eight through 17 deal with internal assessment and availability ofthese same considerations: organizational development activities in managementdevelopment, training, career and succession planning to satisfy workforcedemands within the organizations. If the internal labor supply is greater thanthe need, then the tougher issues of resource reallocation have to be addressed(questions 18 and 19).

    Human resources planning is particularly important for emerging, rapid-growthand high tech businesses. Mature businesses in need of new products, services,markets, acquisitions or divestitures must also plan to identify, attract orreallocate the talent necessary for revitalization and continued competition.

    Here’s a little piece of information about that technological revolution, aheadline from an article reporting on a study by Worldwatch Institute back in1980: Micro Electronics Seen Producing Sweeping Industrial Change. That’scertainly old news about the future, but there’s a reason to go back to thisstory to remind us they told us what was going to happen. Most of us just didn’tpay attention.


Recruitment and Selection Questionnaire
    The process providing timely recruitment, selection and placement ofhigh-quality employees to satisfy the organization’s staffing requirements.

  1. Is there a policy in place stating the organization’s philosophy onrecruitment and selection?

    Does the policy contain procedures to guide managers through the recruitmentand selection process and describe how to get help?

  1. Is there one position within the organization accountable for overseeingand coordinating recruitment and placement?


  1. Is there a formal process in place for identifying job vacancies?

  2. Briefly describe the process from needs identification through finalapproval authorization.

  3. Is recruitment done proactively from a planning mode (i.e., projectedworkforce plan) as well as reactively to immediate replacement and new jobopenings?

    Is recruitment linked to human resources planning (projected workforcerequirements)?

  1. Is a job analysis conducted for each position?

    Does the job analysis accompany the hiring authorization?

    Does the job analysis accurately identify the key objectives andresponsibilities of the position?

    Does the job analysis accurately identify the essential ‘can do’ skillsneeded (i.e., skills, abilities, knowledge, education and experience)?

    Does the job analysis accurately identify the essential ‘will do’ skillsneeded (e.g., leadership, interpersonal, entrepreneurial, communication and goodattitude)?

  1. Is consideration given to internal candidates for all or some job openingsbefore outside recruitment begins?

    If some positions are determined to be filled from within, how is thisdetermination made?

  1. Is there a formal job posting procedure in place?

    If so, does the job posting contain the job objectives, needs andrequirements cited in the job analysis (#6 above)?

  1. Are recruitment strategies (methods to obtain qualified candidates) setbefore active recruitment begins?

    Who participates in the strategy development?

    Does this strategy include affirmative action and diversity needs?

10. What kind of recruiting sources does your organization use and for whatpositions:

    Newspaper sources?

    Professional journals/periodicals?

    College recruiting?

    Special events recruitment (e.g., job fairs and expos)?

    Community referral agencies (e.g., state employment and training offices)?

    "Quasi-search" methods (e.g., hourly rate paid to recruitingprofessionals for targeting candidate sourcing or use of professional candidateresearchers)?

    Employee referral?

    Internal computerized applicant database?

    Professional networking (e.g., associations)?

    Direct mail recruitment?

    Personal networks (e.g., local competitors, customers, suppliers,outplacement firms or industry research)?

    If so, please give examples:

  1. Does your organization measure the effectiveness as well as the costs ofthese recruiting sources?

  2. To whom are these performance measures and recruiting costs communicated?


  1. Does the HR department perform all initial screening of candidates?

  2. Are candidate telephone interviews, teleconferencing or video screeningconducted before personal interviews?

  3. How many candidates are typically interviewed before filling a positionand at what levels?

  4. Who participates in the interview and at what intervals?

    How many people are typically involved in the interviewing process?

    Are panel interviews used?

    Who makes the final hiring decision?

  1. Are hiring managers trained in objective selection (e.g., interviewingtechniques, position-related questions and legal implications)?

  2. Are reference checks conducted on all candidates?

    Who performs the reference checks?

  1. Are tests or personality profiles used in the selection process?

    Are they professionally validated?

  1. Are drug tests administered to all new employees as a condition for hire?

  2. Does the organization compare the number of job openings and workforceprojections with the HR department’s recruitment and selection capacity?

    Are peak and low hiring cycles identified?

  1. Has the organization examined or evaluated any of the followingalternatives to satisfying workforce requirements:

    Project or contract outsourcing?

    Temporary placement?

    Internal temporary placement pool?

    Part-time employment and job sharing?

  1. Are all employment costs accounted for in the organization’s budget?

  2. On a scale of one to seven (seven being the highest and four beingadequate), how do you think the HR team would rate the effectiveness of therecruitment and selection process?

  3. On the same one-to-seven scale, how do you think departments would ratethe effectiveness of the recruitment and selection process?

Explanation of Recruitment and Selection Questionnaire
    The purpose of the Recruitment and Selection questions is to improve criticalstaffing needs in a timely manner and with quality candidates.

    Questions three through 12 examine how the company attracts job candidates.Question ten deals with finding candidates. Cost-benefit analyses of all hiringsources (questions 11 and 12) will tell you where to place your recruitingenergies and financial resources.

    Questions on the selection process (13 to 20) may be more important togovernment agencies and contractors because of highly regulated selectioncriteria, affirmative action and diversity implications. Fiscal constraints andregional preferences may also restrict government staffing professionals to themost inexpensive sources, regardless of their results.

    What makes a successful manager is the ability to influence positive behaviorand to hire the best talent. HR professional counseling, guidance and trainingon effective interviewing and selection are essential to help managers make theright hiring decisions. It is also essential that the selection criteria beequally and consistently applied to all applicants.

    Companies’ efforts to reduce both their workforce and their fixed laborcosts have resulted in less costly ways to satisfy workforce requirements. Theseinclude outsourcing and temporary workers, which transfer costs on a variablebasis. This is why Manpower, Inc. has become the largest employer in the If your organization uses these methods, be aware of possible long-termquality problems resulting from reduced commitment and lack of company pride.


Compensation Questionnaire
    A system of evaluating jobs and compensating employees to ensure that theorganization attracts, retains and motivates employees to accomplishorganizational objectives.

  1. Does the organization have a policy clearly stating its position onemployee compensation?

    Is this policy linked to the organization’s management philosophy oncompensating employees, and does it reinforce the values of the organization?

    Is the organization’s compensation philosophy clearly communicated to allemployees?

    Is it clearly supported and monitored by management?

  1. Does the compensation policy contain procedures to guide managers on howto implement the compensation system?

  2. Is there one position within the organization accountable for overseeingand coordinating all compensation-related activities (job evaluation, jobclassifications, job descriptions, salary administration, performance appraisaland compliance with all governmental pay regulations, including FSLA, ADA,compensable time and EEO regulations)?

  3. Is there a process for keeping the organization aware of compensation paidfor comparable job functions in the region?

    Compensation paid to comparable exempt job functions nationwide?

    Compensation paid to comparable exempt job functions industry-wide?

    How frequently are there market studies performed?

  1. Is your pay plan in agreement with the compensation philosophy of theorganization?

    Are pay ranges wide enough so as not to force vertical pay growth?

    Are pay ranges wide enough and procedures available to reward additionalknowledge, skills, abilities and responsibilities and encourage lateral careergrowth?

    Do the intervals between ranges clearly define the differences in positionsassigned to those pay ranges?

    Are pay differences great enough to ensure that a subordinate is not paidmore than his or her supervisor, including overtime payments?

  1. Are all jobs classified using a consistent job analysis?

  2. Are all job classifications reviewed for gender and minority equity?

    Are all comparable jobs reviewed for possible evidence of uneven treatmentfor females or minorities?

  1. Does your organization have an employee performance appraisal system?

    Does the performance appraisal establish clear objectives, expectations andperformance measurement criteria linked to that specific job?

    Does the performance appraisal provide objective, interactive and meaningfulfeedback on performance?

    Do performance objectives clearly support departmental and organizationalobjectives?

    Are these objectives and measurement criteria discussed with the individualbeing appraised?

    Do the employees have clear and direct control over the outcome of theirappraisals?

    Do performance appraisals reflect an employee’s positive behavior, as wellas results?

    Do performance appraisals include a written plan to improve employees’knowledge and skills?

    Are pay plans linked to rewards for measured performance?

    Is the performance rating/pay adjustment reviewed by someone in a positionhigher than that of the rater before discussion with the employee andimplementation?

  1. Does your organization have a pay-for-performance (merit-based) system?

    Does it work as intended, or is it a tool for compensation adjustment?

    Does an outstanding performance merit an outstanding reward?

  1. Are compensation increases budgeted throughout the organization and areguidelines for distribution clearly communicated?

    Are ranges and limits clearly defined (e.g., pay increments linked toperformance measures)?

    Is distribution of compensation among departments reviewed by management forconsistency and equity before awarding increases?

  1. Are other performance compensation awards (results sharing) appropriateand in place?

    Profit-sharing awards based on organization-wide profitability.

    Special recognition awards, e.g., bonuses for meeting a combination ofresults criteria, including department contribution performance, majorproductivity increases, sales and profit increases, and cost savings.

    Group or team productivity based on team performance and distributed by teammembers.

    Gain-sharing awards based on local performance.

    A special pay-for-knowledge system, e.g., payment for increased developmentof employee knowledge, skills, abilities and/or responsibility (allowing abroader job design without changing assignments).

  1. Does your organization have the capacity for a compensation strategy toattract, retain and motivate employees?

  2. Are compensation administration costs included in the budget?

  3. On a scale of one to seven (seven being highest and four being adequate),how do you think the Human Resources department would rate the effectiveness ofthe compensation system?

  4. On the same one-to-seven scale, how do you think your internal clients(other departments and employees) would rate the effectiveness of thecompensation system?

Explanation of Compensation Questionnaire
    It is important for the organization to distribute a clear policy statementon its compensation philosophy to its employees. Guidelines are important toensure consistency and equity in the reward systems. Compensation is probablythe most objective aspect of HR management. You should be aware of this whenscoring questions one through seven.

    Compensation methods can help motivate the fulfillment of organizationalobjectives. For this reason, compensation experts receive higher pay than otherHR professionals. Major consulting firms specialize in this area becausecompensation affects the organization’s bottom line.

    If compensation alone drove performance, companies with big payrolls wouldalways be the most profitable, but that isn’t the case. In fact, eliminatinghigher paid positions is the trend. Compensation programs should motivate andreward people for accomplishing organizational objectives.

    Companies need to find new ways to reward individual, team and other groupperformance. Reward systems should take into consideration self-directed workteams, cross-functional problem-solving teams, matrix management, taking onadded work responsibilities and more risk taking. If the organization wants acloser correlation between compensation and quality work, then the recognitionof team performance is critical. Questions eight through 11 deal with theseincentive issues.


Employee Benefits Questionnaire
    Programs by which employees receive noncash compensation to ensure that theorganization attracts, retains and motivates employees to accomplishorganization objectives.

  1. Does the organization have a clear policy regarding employee benefits?

  2. Is there one position within the organization accountable for fairly andconsistently implementing employee benefit programs and ensuring compliance withgovernmental regulations, such as ERISA, COBRA, EEO and the Family and MedicalLeave Act?

  3. Is the organization current on competitive employee benefit practices,such as childcare, flextime, job sharing, vacation/sick time, time-offprovisions and health plan alternatives?


  1. Is there a process in place to contain medical costs while offeringquality health care to employees?

  2. Do you periodically gauge employee satisfaction with the benefit plan interms of customer service, timeliness, claim management and accuracy?

  3. If employee dissatisfaction is high or costs are out of control ornoncompetitive, do you put your benefit plans out to bid?

    How often does this occur?

  1. Does your medical cost containment review cover the following:

A. Have you analyzed both of the following alternative health care programsfor their cost containment processes, including services offered, accessibility,quality of care and cost?


    What are enrollment numbers for the past three years. (Rapid enrollment ratesma result in poorer service.)

    Is the HMO accredited by the National Committee for Quality Assurance (NCQA)?

    Were any conditions attached to the accreditation?

    What is the public perception of the HMO (has it received bad press)?

    Have organizations similar to yours fared well under this HMO? (Ask for alist of clients and call some of them.)

    What are the exclusions or limitations on procedures, such as transplants,rehabilitative procedures and mental and nervous disorders?


    In addition to all the questions for HMOs above, what is the ratio of networkvs. non-network charges?

    Do employees accept the network doctors?

B. Has HR reviewed the following administrative controls:

    In-house company data on premiums paid and claims processed?

    Retention provisions of carriers, such as rebates or favorable rateconsideration for retention of company funds?

    More favorable stop-loss arrangements with a carrier?

    Encouraging employees to report errors in medical bills?

    Health-care spending accounts and changing rules?

    Nonduplication of benefits instead of traditional coordination of benefits?

    Initiating a probationary period before health coverage begins?

C. Has HR reviewed basic cost management programs, including the following:

    Increasing deductibles, coinsurance responsibility or copayment amounts?

    Requiring second opinions for surgery?

    Instituting pre-admission testing and certification?

    Concurrent hospital stay reviews?

    Closely managing chronic or costly illnesses?

    Patient auditing of hospital bills?

    Requiring employee plan usage data from health care carriers/administrators?

D. Has HR reviewed employee health promotion and education programs?

E. Has HR communicated with health care providers to review customized planoptions and cost containment measures?

  1. Are the costs of employee benefits regularly calculated and compared tonational, industry and local data?

  2. Are vacation and sick leave accruals analyzed for purpose as well as costconsideration?

  3. Are there programs to control absentee costs?

  4. Are there programs to curb sick leave abuse?

  5. Are unemployment compensation costs analyzed for cost savings?

  6. Are pension plans reviewed and employees counseled on win-win pensionoptions that will save the organization money?

  7. Does your organization offer retirement counseling to employees?

  8. Are there benefits to extending the retirement age?

  9. Should changes in long-term disability payments be considered?

  10. Does your organization regularly communicate the benefits it provides aswell as emphasize the company’s contribution to employee benefits?

  11. Does your organization have the capacity to provide necessary employeebenefits and address cost-containment issues that affect profitability?

  12. On a scale of one to seven (seven being the highest and four beingadequate), how do you think the Human Resources department would rate theeffectiveness of employee benefits programs?

  13. On the same one-to-seven scale, how do you think internal clients(department heads and employees) would rate the effectiveness of the employeebenefits programs?

Explanation of Employee Benefits Questionnaire
    Employee benefits are necessary to attract and retain quality employees. Feworganizations, however are able to find new ways to contain costs and usebenefits as an incentive to improve employee productivity.

    Health care cost containment is covered in questions four to seven.Aggressive negotiations with carriers, a closer look at administrative controlsand cost-benefit analyses must be routinely carried out if an organization wantsto convert high costs into increased profits. An annual review of benefit planvendors should be conducted, especially for health care services which consume alarge portion of expenses. The remarketing of a benefit program, however, shouldtake place no more frequently than every three to five years, unless there areserious concerns about rates, service or accessibility. More frequentremarketing of a benefit plan damages the credibility of the employer, in termsof seeming disinterested in a long-term relationship. In an insured arrangement,the vendor will be left ‘holding the bag’ on runout claims.

    Pay particular attention to cost-management programs under question seven.Spending more time on these details will result in better claims management.Question 7C should answer the following questions:

  1. How were charges distributed between employees, the employer and otherpayers?

  2. What types of services were used: hospital (inpatient, outpatient,emergency room), physician’s services (inpatient, outpatient), lab, x-ray,durable medical equipment, supplies, surgical center, etc. Any category labeled‘other’ on a report should account for no more than 5% of the total orrequire a detailed explanation.

  3. What types of illnesses did employees experience? There should be at least15 major diagnosis categories used on the report.

  4. What are employees’ demographics?

    You are entitled to this information. By monitoring how the healthcare planis used, it is possible to decrease claim costs. Some negotiation with thecarrier/administrator may be necessary to obtain reports in a meaningful format.

    Because health care accounts for the largest portion of most benefit packagesyou should strive to raise your performance standards as an employer by applyingyour business strategies to health care management. According to David W.Kempken, Executive Director of Benefits for Chrysler Corporation, you shouldre-examine your standards for plan design, administration, communication andprovider relationships with the goal of "best practices." Nonhealth-relatedemployee benefits, such as vacation time, sick leave, pension formulas,retirement incentives, holidays and unemployment compensation tend to remainuntouched. There is literature which addresses these issues. They could saveyour organization quite a bit of money.

    Benefits can increase productivity by meeting lifestyle and family demands ina diverse and changing work force. Daycare centers, flextime, work-at-homeoptions, alternate leave provisions, cash options and other benefit barteringarrangements may improve worker productivity. The principle that a happy workeris a more productive worker still holds. Likewise, funding benefits that do notmeet the needs of the workforce are both counterproductive and unprofitable. AU.S. Chamber of Commerce survey (March 31, 1995) cites useful benefit costbenchmarks: total benefit costs as a percentage of payroll average 41.3%nationwide. Medical benefits account for 11.1% of the total.

Employee Relations and Communications Questionnaire
    This section audits programs that govern employee treatment, communications,support systems and services that encourage greater employee satisfaction,motivation and productivity.

  1. Is there one position within the organization accountable for overseeingand coordinating all employee relations and communications activities?


  1. Are there policies that state the organization’s employee relationsphilosophy governing all conditions affective employees?

  2. Do these policies state expected behaviors of employees?

  3. Are these policies condensed into an employee handbook?

  4. How and to whom is the employee handbook distributed?

  5. Is the employee handbook information reviewed by legal counsel to satisfyall laws affecting employment, personnel relations, working conditions,employment at will, implied employment contracts and disclaimer issues?

  6. How frequently is it updated?

  7. Is there a formal orientation for new employees?

    Are follow-up employee orientations scheduled?

  1. Are employees given the opportunity to exchange information with superiorsas well as assimilate information being transmitted from the top down?
  2. Are there forums that allow for regular interaction and informationexchanges between employees and management?

    If so, briefly describe:

  1. Are there forums in which racial and ethnic minority concerns areconveyed to management with the intent of affecting positive changes? 

  2. Does your organization engage in employee opinion surveys?

    If yes, how frequently?

    Do you communicate survey results to employees?

    Is there a demonstrated commitment to introducing changes based on surveydata?


  1. Are employees afforded a process where both sides of a complaint areheard and a decision is rendered fairly?

  2. Are disciplinary procedures and rules of conduct explained in an employeehandbook or other form of notice? (Remember, the purpose of discipline is tohave people behave in an acceptable way.)

  3. Are progressive forms of discipline expressly cited?

    Are they consistently applied?

  1. Are fairly competitive employee benefit programs in place?

  2. Is there a program that provides for management and employeeparticipation in the discipline process?

  3. Are there opportunities for employee professional growth?

  4. Does the organization demonstrate, emphasize and reward leadership toensure success and satisfaction in the organization?

  5. Using a one-to-seven scale how do immediate manager practices rate interms of daily supervision and management of employees?

  6. Has the organization demonstrated reasonable employment security?

  7. Is direct compensation/pay reasonable, equitable and competitive?

  8. Are employee and team accomplishments, special efforts and contributionsrecognized in addition to direct pay?

  9. Does the organization encourage teamwork and employee involvement?


  1. What is the organization’s monthly absentee rate?

    Do you consider this high or low?

    In what departments/areas are absences particularly high and why?

  1. What is the annual turnover rate (average position replacements peryear)?

    Do you consider this high or low?

  1. Are exit interviews conducted?

    By whom?

    Who is given feedback from the exit interview and how is it used?

  1. Are demographics of turnover data analyzed?

    How is this analysis used?

    What has management done in the past two years to reduce turnover?

  1. Has the organization attempted to project future needs in terms of anincrease in working mothers, child care, single parents, elder workers, a morediverse work force, etc.?

  2. Has the organization made plans to meet its future employee relationsneeds?

  3. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department would rate theeffectiveness of the organization’s employee relations and communicationsprograms?

  4. On the same one-to-seven scale, how do you think your internal clients(other departments and employees) would rate the effectiveness of the employeerelations and communications programs?

Explanation of Employee Relations and Communications Questionnaire
    This section covers employee satisfaction. This critical aspect of humanresources management is broad in scope, complicated and difficult to measure.Since almost half of our waking hours are spent at work, an interesting andpleasant work environment is essential to retain quality employees.

    The questions in this section are designed to help you understand and dealwith intangible employee relation issues. These include communication, howemployees are treated, support systems and those conditions of employmentconducive to employee satisfaction, motivation and productivity. Three majorissues are covered here: (1) communication, (2) employee treatment and (3)statistics as a gauge of employee satisfaction.

    Policy statements, newsletters, bulletins, messages and information handbookshelp the employer communicate with the employee. The employer’s willingness tocommit to its philosophy in writing sets the stage for a candid dialogue. Astandard of openness displays a sense of trust. While employees may not readevery word, these communications help the employee identify with the company andits success.

    Most important in this section are the responses to questions nine and ten.It is important for your organization to have scheduled an interaction withemployee groups and representatives for discussion of issues of mutual concern.

    How the company treats employees is certainly important to them. It is alsocrucial to the organization’s well-being. Bad or inconsistent treatment is thenumber one cause of voluntary turnover. Money can’t compensate if basic humanneeds, such as dignity, respect, justice and social interaction, are lacking. Anincrease in work hours, coupled with a decrease in the quality of work life,loyalty and security issues, is responsible for a resurgence in unionmembership. The unionization of white-collar employees and frontline workers isincreasing, particularly in services, such as government, hospitals, insuranceand financial firms. How the employees are treated should be of utmost concernto you.

    Policy guidelines help managers make decisions concerning specific workplaceissues. From the employer’s point of view, personnel policies and procedureswhich guide managers to do their jobs better are extremely valuable and help theorganization achieve its objectives.


Personnel Policies/Workplace Rules Questionnaire
    Statements of guiding principles intended to translate organizationalobjectives and means into operational terms and help managers make decisions.

  1. Are there written procedures governing all conditions of employment andpolicies clearly stating the organization’s human resources philosophy?

  2. Are there procedures for monitoring the organization’s compliance withpersonnel laws and regulations?

  3. Are there policies and procedures published and adequately communicated?

    How? (please describe)

  1. Is there one position within the organization accountable for overseeingthe development, coordination and distribution of these policies and procedures?

  2. Do these policies reflect the organization’s desire to be an "employerof choice"?

  3. Do these policies and procedures contribute toward the organization’smission and objectives?

  4. Do they balance empowerment of staff with sufficient controls to ensureachievement of the organization’s mission and objectives?

  5. Are managers guided by policy as they make decisions from hire throughseparation of employment?

  6. Are managers given the opportunity to provide input to policy draftsbefore they are formalized?

  7. If there are other rules outside the organization’s stated policies,such as Civil Service rules, are they communicated to and understood by themanagers?

    If yes, does management periodically review such outside rules to see if theyreflect the organization’s current needs?

  1. Is policy consistent in purpose, background and procedures forimplementation?

  2. Are effective dates of policies cited, and do they specify any previouspolicy statements they supersede?

  3. Are all policies approved at the highest appropriate level of theorganization before being adopted?

  4. Are personnel policies condensed into an employee handbook?

  5. Is the current personnel policy manual periodically reviewed by legalcounsel to reflect new laws affecting employment, personnel relations, workingconditions, employment at will, implied contract and disclaimer issues?

  6. Are new policies that may have legal implications also reviewed by legalcounsel?

  7. Does the organization regularly assess existing policies for necessaryreplacement or amendment?

  8. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department team would rate theeffectiveness of the organization’s policies and procedures?

  9. On the same one-to-seven scale, how do you think your internal customers(other departments) would rate the effectiveness of the organization’spolicies and procedures?

Explanation of Personnel Policies/Workplace Rules Questionnaire
    Personnel policies and workplace rules are intended to make organizationalobjectives reality. They should guide managers to do their jobs better and helpthem make decisions concerning workplace issues. Policies and procedures shouldcite their bases and resources to help managers make informed decisions.Personnel policies should also be flexible enough for managers to exercisediscretion.

    In a flattening organizational structure, policies and procedures can supportdelegating decisions. They should serve as a basis for managerial direction,accountability, consistent and effective behavior and compliance monitoring.

    The policy manual should serve as a guide for the department to maintainaccountability for managing and delivering human resource services effectively.A balance between staff and managerial controls will ensure the most likelyachievement of the organization’s mission and objectives. Principles ofteamwork and recognition of employees’ input should be emphasized as the mostimportant components of an effective human resource philosophy.

    Here is a sample human resource philosophy.

    The XYZ Company recognizes that employees are its most valuable resource. Thesuccessful evolution of the organization depends on the support and performanceof all employees in achieving its stated mission. Accordingly, the XYZ Companywill strive to become an employer of choice by providing those programs andservices which support employees in the performance of their jobs, enhance thespirit of teamwork and quality of life, and provide for employee well-being fromhire through separation from XYZ Company.


Equal Employment Opportunity and Regulatory Compliance Questionnaire
    Policies and practices to ensure compliance with equal employment opportunitylaws and other governmental regulations as they relate to recruitment,selection, placement, compensation and treatment of employees while enhancingthe validity and effectiveness of related personnel systems.

  1. Does your organization have a stated policy covering equal employmentopportunity as well as its compliance with all applicable discrimination laws?

  2. Does your organization explicitly state its position againstdiscrimination because of:





Sexual orientation?

Physical/mental handicap or disability?


National origin?


Marital status?

    How is this policy communicated inside and outside the organization?

  1. Is there one position within the organization accountable for overseeingand coordinating EEO policies and procedures?

  2. Is there a review process to keep the organization up-to-date regardingregulatory issues and compliance?

  3. Are job openings analyzed for job-related skills, education, knowledge andability requirements?

  4. Are selection criteria based on these job-related requirements?

    Can all hiring decisions be defended against these criteria?

  1. Are all tests used in the hiring process valid?

  2. Are all hiring managers trained in nondiscriminatory hiring practices?

  3. Has the employment application been reviewed to ensure that it meets allequal employment opportunity requirements?

  4. Is there an internal process for employees to register complaintsconcerning discrimination and harassment?

  5. Does your organization have an explicit policy against sexual harassment?

    Has a procedure to resolve sexual harassment claims been implemented?

  1. Do you offer training to management on sexual harassment awareness andlegal requirements?

  2. Does your organization conform to all provisions of the Americans withDisabilities Act (ADA)?

    Does your organization have a policy statement that prohibits discriminationagainst qualified handicapped or disabled individuals?

    Do your organization’s job descriptions distinguish between thosequalifications, physical requirements, duties and responsibilities which areessential and those which are nonessential?

    Are policy manuals, handbooks, recruitment notices, job postings andadvertisements consistent regarding qualified individuals with a physical ormental impairment of a major life activity?

    Can disabled individuals apply for job openings and gain access to thepremises?

    Is there a review process for employee restrictions and reasonableaccommodation requests?

  1. If you are a Federal or State government agency, does your organizationconform to the requirement of the Veterans’ Preference Act?

  2. Does your organization have a government supplies/service contract orsubcontract of $50,000 or more in any 12-month period?

    If yes, does it have an Affirmative Action Plan (AAP) in place for each ofthe organization’s establishments?

  1. Are all AAPs developed according to the Office of Federal ContractsCompliance Programs (OFCCP) guidelines, including:

Affirmative Action Plan Narrative?

Workforce Analysis?

Job Group Analysis?

Availability Analysis?

Utilization Analysis?

Goals and Timetables?

  1. Does your organization conduct a self-EEO/AAP audit on a periodic basis?

  2. Does your organization have a hiring procedure regarding the examinationof documents to verify applicant identity and authorization to work in theUnited States as spelled out in the Immigration Reform and Control Act (IRCA)?

  3. Does your organization have a Federal contract or subcontract of $25,000or more?

  4. If yes, does your organization fulfill the following requirements of theDrug-Free Workplace Act of 1988?:

    Publish a policy statement prohibiting the unlawful manufacture,distribution, possession or use of a controlled substance in the workplace andspecifying what actions will be taken against employees who violate the policy?

    Provide a copy of the policy to employees working under the contract?

    Provide guidance/training on policy requirements?

    Have a drug/alcohol-free awareness program?

    Notify employees they must, as a condition of employment, notify the employerif they are convicted of a criminal offense occurring in the workplace withinfive days after the conviction?

  1. Does your organization comply with the requirements of the OmnibusTransportation Employee Testing Act of 1991?

  2. Does your organization provide programs for drug/alcohol rehabilitation?

  3. Does your organization conform to the Family Leave Act?

  4. Does your organization comply with requirements set forth in theOccupational Safety and Health Act (OSHA)?

  5. Does your organization conform to the provisions of Employee RetirementIncome Security Act of 1974 (ERISA)?

  6. Has the organization assessed or met current and emerging legal issuesrelating to equal employment and other governmental regulations?

  7. On a scale of one to seven (seven being the highest and four beingadequate), how do you think your Human Resources department would rate theorganization’s performance in the area of equal opportunity and regulatorycompliance cited above?

  8. On the same one-to-seven scale, how do you think employees would rate theorganization’s compliance performance?

Explanation of Equal Employment Opportunity and Regulatory ComplianceQuestionnaire
    Governmental regulations affect every aspect of personnel management.Regulatory compliance is one of the foremost concerns in human resourcesmanagement. Knowledge of employment law provides job security to the HRprofessionals who specialize in this area. Human resources managementliterature, seminars and government publications cover these legal issues. ManyHR professionals--no matter what their specialty--have of necessity becomeparalegals.

    Questions in this section have been designed to highlight pressing regulatoryissues. Emphasis has been placed on complex issues, such as the American withDisabilities Act and the Drug-Free Workplace Act.

    The HR department should review internal procedures that both address dueprocess in handling complaints of discrimination and harassment and encouragetraining and awareness to ensure a harassment-free nondiscriminatory workplace.A qualified senior-level individual should oversee these efforts and keep topmanagement informed of progress. Organizations that demonstrate genuine concernfor EEO, affirmative action and diversity issues also resolve most claimsin-house.

    Legal fees and ‘no fault’ settlement awards have reached outlandishproportions. The rapid increase in claims, particularly in the sex anddisability categories, has created a backlog in the EEO Commission and forcedclaimants to initiate civil suits. Aging baby boomers who are being rapidlytrimmed from large corporations are expected to launch a new wave of legalsuits. They are more likely to have the financial resources to encourage thelegal community to aggressively pursue age discrimination claims. Increasedattention to compliance issues necessarily must include self-audits patternedafter the Office of Federal Contracts Compliance Programs (OFCCP) as publishedin the Federal Registrar and Bureau of National Affairs.

    All organizations should find ways to prevent discrimination and harassmentclaims. This section of the self-audit is critical to understanding and usingregulations to enhance both prevention and in-house resolution of claims. Properjob specifications and requirements, valid testing and screening techniques,equal opportunities for all employees, consistency in employee treatment andvaluing diversity demonstrate good business management.


Training and Development Questionnaire
    Programs, processes and strategies that will enable organizations to developand improve their internal human resources in order to optimize theircontributions to organizational objectives.

  1. Is there a policy that states the organization’s philosophy on employeetraining and development?

  2. Is there a position within the organization accountable for overseeing andcoordinating training and development activities?

  3. Is there a process for assessing the organization’s immediate trainingneeds and individual development needs?

    If yes, how is this assessment carried out?

    How often is the assessment updated?

    Who participates in the assessment?

  1. Is there a process to assess the organization’s future training needs?

    If yes, how is this assessment carried out?

    Who participates?

    How far into the future are the needs projected?

  1. Are job skills, knowledge and ability considered in assessing trainingneeds?

  2. Are new technologies, processes, products, services, market changes andcommunity needs considered in assessing training needs?

  3. Are organizational issues, such as mission, objectives, cultural chan

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