HR Assessment Tool-Sample

HUMAN RESOURCES
ASSESSMENT
Company Name
Executive Contact
Address
HR Contact
Phone
Other Key Contacts
Fax
Date of Assessment
Auditor
Crawford Consulting Group, Inc., 2010
Human Resources Assessment

Sample of materials typically reviewed/discussed:
Organizational Chart/Reporting Structure

Employment Application
New Hire Processing Forms
Materials used in the New Employee Orientation process (whether formal or informal)
Employee Handbook/Policy and Procedure Memos
Job Descriptions
Listing of employees positions/titles, work status, FLSA classification, (Exempt/Non-Exempt,
hourly or salaried), and wages
Wage/salary grades and/or ranges
Performance Appraisal Forms
Benefit Communication Pieces
Benefit Administration Processes/Tools
COBRA Documents
HIPAA Documents
Counseling/Disciplinary forms
FMLA forms (Employee Request, Employer Response, Medical Certification Statement)
Ads for open positions (previously placed in newspapers)
OSHA 300 Logs
Employee Files
Includes files of active and terminated employees, as well as, one or two of employees who
have had a disciplinary problem, or been terminated for cause.
Exit interview reports
I-9s
Bulletin board(s) where State and Federal notices are posted
DESCRIPTION OF
ORGANIZATION
# of Employees
# of Management Staff
# of Locations
(addresses)
Briefly describe your

business
Describe your typical

client
How long has your

organization been in
business?
Is the organization
unionized or do you
believe there is any
threat of unionization?
Can you describe the
culture you have or
want to have in your
organization (Your
leadership style)?
How would you describe
the current state of
Human Resources?
How would you describe

current morale? If poor,
what are the reasons?
How strong is your
management staff on a
scale of 1 to 10?
What are your most
pressing business issues
right now?
Any specific HR issues or
problems or pending
litigation?
BUSINESS and/or
STRATEGIC PLAN
(MISSION, ETC.)
If you have a plan is it
written or informal? How
was it developed? How
is it used on a day-today basis
What timeframe does it
cover?
How and how widely is it

communicated?
Does it include any

specific goals relative to
HR?
Does your organization
have a HR Strategic
Plan? Has the
organization done
workforce planning,
etc?
COMMUNICATION
Describe the most

common method of
communicating
amongst the staff
Do you consider your
organization to have an
open door policy?
Does the company hold
all employee meetings?
If yes, are they
mandatory?
Is there a formal
suggestion process?
Do you have/maintain
bulletin boards?
Is there a Company
Newsletter?
When information needs
to get to all employees,
how does this happen?
On a scale of 1 to 10
how open is your
communication to staff
about business issues?
Have you ever done an
employee attitude
survey? If yes, when and
what were the results?
SUCCESSION PLANNING
Has the organization

done succession
planning or discussed
the need for it?
Are there several key

people in same age
bracket?
If the owner/president of
the organization would
die suddenly, is the
organization in a
position to continue to
operate?
Is there a formal career
development process
for management or
employees in general?
EMPLOYMENT PROCESS
Describe your normal
recruiting process for
me.
Do you allow applicants
to put SEE RESUME on
their application?
Are all employees
required to complete an
employment application
When was your
application last revised?
By whom?
How long do you retain
applications?
If retained, how are they
stored? Do they include
reference checks,
interview notes, etc.
Do you accept resumes
at any time or only when
openings are available?
RECRUITING
Who approves new hires
(additions to staff and/or
replacements)?
Does a job requisition

form exist?
What recruiting sources
are typically used?
(Agencies, head hunters, direct
recruit, employee referrals,
networking)
How effective are these

sources? What are the
criteria used to judge
effectiveness?
Do you have an internal
posting process (formal
or informal)?
How effective is the
posting process?
Do you contact
colleges, technical
schools?
Do you utilize the
internet as a recruiting
tool?
Who is involved in
typically involved in the
interview process?
Have they been
trained?
Do you document
interviewers ratings?
How many openings do
you have currently?
How long have these
positions been open?
What is the average
time to fill a position?
Overall how effective
and timely is the
process?
Do you conduct any
pre-employment skill
tests? If yes, for what
skills?
Reference Checking
&Job Offers
Does the organization
do background and/or
credit checks? If yes,

are the proper releases
obtained?
Do you confirm degrees
and/or professional
certifications?
Do you check former
employer references?
If yes, what info do you
solicit? (Dates, compensation,
position, reason left)
Are offer letters used to

confirm employment
offers? If yes, for what
positions? (Request a copy to
review later)
provide reference
information previous
employees? If yes, is a
signed release required?
enter into employment
agreements? If yes, with
whom?
PRE-EMPLOYMENT
TESTING (Drug, physical, skills
testing)

require pre-employment
drug tests and/or
physicals?
If yes, are they
scheduled before or
after the offer is
accepted?
Are they required for all
new employees? If not,
who is?
require any other type of
testing? (job skills,
psychological profile, honesty test,
etc.)
Are the results of any

these tests used to deny
employment? If yes,
which?
Have the tests been
validated? If yes, how
and by whom?
Do you drug test if you
are suspicious an
employee is under the
influence? If yes, do you
have a written policy?
Do you drug test
following a work-related
accident?
Where are results of
these tests kept and who
is informed of results?
have a Random Drug
Testing program?
NEW EMPLOYEE
ORIENTATION
Is there a formal process
and is it documented?
Is it customized to the
organization?
When was the last time it
was updated?
Do all employees
participate?
Is it a single occurrence
or more than one
phase?
Are job descriptions &
performance appraisal
forms parts of the
process?
Has feedback ever

been solicited to assess
the effectiveness of the
process?
Is a new employee
checklist utilized and
signed?
NEW HIRE REPORTING
ADP does this basics separate tools for tracking

Performance
Who is responsible?
How soon after hire are

new hires reported?
Is the information faxed
or mailed?
Is this documentation
retained?
Where?
INDEPENDENT
CONTRACTORS
Do you have
independent
contractors doing
something similar to
what your other
employees do? (MIS staff,
but also have an Independent
Contractor that is an MIS person)
If yes, does the individual

make independent
decisions
10
Does the individual have

other clients?
Does the individual have

a tax I.D. number?
Does the individual set

his/her own schedule?
Do you provide office

space and office
equipment to the
individual?
Is the company aware
of the implications of
utilizing independent
contractors who do not
meet the IRS guidelines?
JOB DESCRIPTIONS
Do all positions have

current job descriptions?
Do you believe they are
an accurate
representation of job
responsibilities?
Do all employees have
a copy of their own
description?
Is the incumbent asked
to sign the job
description?
How are the descriptions
developed? Is there
input from the
incumbent?
11
How and when are

descriptions updated?
Do they contain revision
dates?
Are job descriptions
included in the
process?
Are the descriptions ADA
compliant? Do they include
the essential functions, physical
requirements, working conditions,
etc.?
Are job descriptions

utilized in recruitment
process?
EMPLOYEE HANDBOOK

have an employee
handbook?
If yes, whom was it
written by?
When was the last

revision date?
Does it include standard

provisions (Harassment,
benefits, COBRA, work hours,
compensation, etc.)
Do all employees sign an

acknowledgement?
Where is it retained? Are
new policies also
acknowledged?
ever solicited feedback
from employees on the
handbook?
12
On a scale of 1 to 10,
how happy are you with
your current handbook?
SUPERVISORS
HANDBOOK
have a Supervisors
Handbook?
If yes, when was it last
revised and by whom?
HR POLICY MANUAL
YES
NO

have a HR Policy
Manual?
If yes, is it current and
have previous versions
been collected and/or
destroyed?
Does it include a specific
harassment complaint
procedure?
Does it include an
electronic
communication policy?
Does it include an
employment policy?
Recruiting policy?
Attendance policy?
Performance Appraisal
Policy?
Drug/Alcohol policy?
Violence in the
Workplace policy?
Work Rules or Code of
Conduct?
Progressive Discipline
policy?
Wage/Salary
Administration policy?
13
Promotion, transfer and

posting policy?
Leaves of Absence
policy?
Severance policy?
Pregnancy/Disability
policy?
Privacy policy?
Smoking policy?
Attire and/or
professional dress
policy?
Complaint Resolution
policy?
Employment of Relatives
policy?
Conflict of Interest
and/or Confidentiality
policy?
PERFORMANCE
APPRAISAL SYSTEM
Is there a formal
process and is it
documented?
Are appraisals
scheduled on a regular
basis? If yes, what is the
timeframe?
have a stated
Introductory
(probationary) period?
If yes, what is its length?
Have supervisors been
trained in providing
performance feedback?
Are there standardized
forms utilized? If yes, are
all employees evaluated
using the same form?
Are performance
factors/criteria the same
for all employees?
14
Do employees receive a
review following or
during their introductory
period?
Do you believe your
evaluations are
objective and do they
reap the desired results?
Does your system
evaluate the specific
behaviors your
organization needs to
be successful?
Are appraisals
completed on time?
How and where are
appraisals retained?
ever analyzed it rating
experience? (i.e., are all
employees rated similarly
regardless of performance )
Is there any check for

rater bias or accuracy of
appraisals?
Are supervisors held
accountability for ontime and constructive
handling of the process?
DISCIPLINE, DISCHARGE
& TERMINATION
have a formal
progressive discipline
process?
What are the most
common reasons for
discipline within your
organization?
In the past two years,
how many terminations
have been involuntary?
Are performance
standards
communicated to
15
employees? If so, how?

Are supervisors trained
on conducting
disciplinary actions and
terminating employees?
Does any other member
of management or
Human Resources
review disciplinary
action before it is taken?
Does any other member
of management or
Human Resources
witness terminations?
Are employees allowed
to resign rather than
being terminated?
Are terminations
conducted in private?
Typically, how are
benefits and unused
vacation handled in a
termination situation?
Is a termination checklist
utilized?
ever presented an early
retirement program or
provided incentives for
voluntary terminations?
TRAINING

budget specific dollars
for employee training?
conducted a training
needs analysis?
16
How are decisions made

about training?
Are training needs or
career development
addressed in an
individuals performance
appraisal?
Does the company offer
programs in-house?
If yes, are the programs
presented by outside
providers?
support attendance at
off-site workshops,
conferences and
seminars?
have a tuition
reimbursement
program? If yes, please
describe.
Are attendees asked to
evaluate the program?
Is a training record
maintained on each
employee? If yes, what
is the process?
COMPENSATION
have a formal
compensation system or
structure?
Does the system include
salary grades? If yes,
how are they
developed?
If external salary data is
utilized, what criterion
does the organization
17
focus on, size, location,

sales/revenue, etc.? Is
competitor data
available? Is it
pertinent?
budget annually for
merit increases? If yes,
how is amount
determined?
How are hiring wages
determined and by
whom?
How are increases
determined and by
whom?
How often is the system
reviewed or updated?
pay overtime? On what
basis and who is
eligible? How is eligibility
determined?
If an employee works on
a Sunday or Holiday,
how is overtime paid?
How much salary
information is shared
with employees? Why?
How do you decide if an
employee is exempt or
non-exempt?
If an employee is
promoted, how is a
salary decision made for
the individual? What is
the decision based on?
Are excellent performers
rewarded at a
significantly higher level
than average
performers?
18
What was the range of

increases in the last
year? (1 to 5% or 1 to 20%, etc.)
have a bonus or
incentive plan? If yes,
how does it work?
provide comp time? If
yes, on what basis?
How does the
organization track
vacation and time off
for exempt staff?
BENEFITS
What is the waiting

period for benefits? Is it
the same for all
benefits?
Are different benefits or
level of benefits
provided to different
classes of employees? If
yes, explain
Health Insurance
Cost sharing
Deductible
General description
of coverage
Dental Insurance
Cost sharing
Deductible
General description
of coverage
Life Insurance
General description
of coverage
LTD
General description
of coverage
19
STD
General description
of coverage
Vision
General description
of coverage
offer a Profit Sharing
and/or Pension plan? If
profit sharing, what are
contributions based on?
offer a 40l(k) plan?
If yes, does the plan
include an employer
match?
offer a Section 125 plan?
Does it include
reimbursement for day
care?
Is it a Premium Only
plan?
Does it include an
account for
unreimbursed medical
expenses?
What is the
organizations vacation
policy?
Holiday policy?
Paid Sick Time policy?
offer an Employee
Assistance Program?
What is the policy on
Funeral Leave?
offer any wellness
benefits?
20

offer any type of
Recognition or Service
Awards program?
PART TIME Benefits
offer benefits to parttime employees?
If yes, how many hours
must they work to be
eligible?
What is the Time Off
policy?
What insurance benefits
do they receive?
Are they eligible to
participate in the 40l(k)
plan?
How does the
organization monitor
ERISA compliance?
(Employee Retirement Income
Security Act qualified plans only)
Overall how satisfied are

you with your benefit
package? How satisfied
do you believe your
employees are?
TURNOVER DATA
Do you know what your
turnover has been in
recent years?
What are the most
typical reasons
employees leave your
organization?
What is the average
tenure of employees
who leave the
company?
Does the company do
exit interviews?
21
Is turnover a significant
problem for your
organization?
COMPLIANCE WITH
FEDERAL AND STATE
LAWS
Do you believe that you
have all the proper State
& Federal postings
displayed in appropriate
locations?
have completed I-9s on
file for all employees?
Are I-9s completed
within 3 days of hire for
new employees?

employ any disabled
individuals or those who
have had an incidence
of cancer, AIDS,
emotional illness, etc.?
Are you aware of the
requirements of the
Americans with
Disabilities Act? (15 or more
employees)
Is the organization
familiar with its
responsibilities under the
Family & Medical Leave
Act (FMLA)? Are they
being fulfilled? (50 or more
employees)
22
Is the organization
familiar with its
responsibilities under
COBRA? Are they being
fulfilled and by whom?
(50 or more employees)
Is the facility accessible

by applicant in
wheelchair?

employee any
individuals under the
age of 18? If yes, are
you familiar with child
labor laws?
How man women
and/or minorities do you
have in management
positions?
How are you currently

handling requests for
maternity leave? Are
disability benefits provided for
other illnesses and/or accidents?
Do you believe the

organization has any
sexual harassment
issues? (Jokes, pictures,
posters, dating amongst
employees, females in traditional
male occupations, etc.)
23
What is the
organizations
philosophy about
diversity in the
workforce? Has any
training been
presented?
Have there been any
discrimination or
harassment charges
and/or lawsuits in the
past?
If yes, what were the

circumstances and/or
outcomes?
Has the Federal
government ever
audited the
organization?
If yes, what were the
circumstances and/or
outcomes?
AFFIRMATIVE ACTION
PLAN

have government
contracts in excess of
$50,000? If yes, do you
have an Affirmative
Action Plan?
Who is responsible for
AAP recordkeeping and
preparation of the
annual document?
Who is responsible for
completing and
submitting EEO-1 and
Vet-100 reports? (50 or
more employees)
24
EMPLOYEE ACTIVITIES
Does the company

sponsor employee
activities?
If yes, what are they?
What type of
participation does the
organization
experience? (numbers and
types or classes of employees)
Is the organization
familiar with liquor
liability issues? How
does the organization
limit its exposure?
UC CLAIMS
How does the company

handle unemployment
claims? Who is
responsible?
What is a typical number
of claims?
What has been the
organizations
experience in
challenging and winning
claims?
WORKERS COMP/SAFETY
Although not
conducting a safety
audit, how are work
related injuries handled?
Is there an incident form
utilized?
25
Does an internal
investigation process
exist?
Who maintains OSHA
logs and determines if
an injury is recordable?
Are logs posted
throughout facility in
February?
offer modified or light
duty available?
have a formal safety
program? If yes, who is
responsible?
What types of safety
issues does the
organization have?
Is personal protective
equipment necessary?
If yes, what types?
utilize hazardous
materials or chemicals in
the process of business?
(Material Safety Data Sheets
MSDS)
Are there any specific

blood borne pathogens
concerns?
Are forklifts utilized? Has
training been provided?
Are there lock out / tag
out issues
Is the organization
required to comply with
Department of
Transportation
regulations?
26

have an emergency
action plan? (Fire, tornado,
medical emergency, evacuation,
etc.)

have a Chronic and Life
Threatening Disease
policy?
EMPLOYEE FILES
Number of Files
reviewed?
ACTIVE_______
TERMINATED______
DISCHARGED______
Are there individual or
multiple files for each
employee?
What are typical
contents of the files?
How are files stored?

What are retention
practices for terminated
employee files?
Is medical information
maintained separately?
(Drug screens, physical
results, work releases,
insurance information,
etc.)
Are I-9s filed separately
from all other
information? Limits liability
and exposure during an audit.
Does the company track
expiration dates of I-9
documents?
Are I-9s of terminated
employees removed
from the active file(s)?
27
Is outdated material
removed periodically?
Does a written policy

exist regarding requests
from former or current
employees to view
and/or copy their file?
Who has access to
employee files?
CLIENTS WITH MULTIPLE

LOCATIONS
Are Human Resources

functions centralized at
corporate?
Are all policies designed

and interpreted by the
corporate office?
Are location managers

trained on the
interpretation and
application of policies?
Does management at
individual locations have
the authority to modify
policies based on their
operational or geodemographic needs?
How are these
modifications
approved?
28
Does corporate have a

process by which it is
notified of any
modifications?
Does management at
individual locations have
the authority to create
local policies?
How are these policies
reviewed and
approved?
Who has the authority to

make exceptions?
29

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HUMAN RESOURCES

Other Key Contacts

Crawford Consulting Group, Inc., 2010

Human Resources Assessment

Organizational Chart/Reporting Structure

Crawford Consulting Group, Inc., 2010

Briefly describe your

Describe your typical

How long has your

Crawford Consulting Group, Inc., 2010

How would you describe

How and how widely is it

Does it include any

Describe the most

Has the organization

Crawford Consulting Group, Inc., 2010

Are there several key

Crawford Consulting Group, Inc., 2010

Does a job requisition

How effective are these

credit checks? If yes,

Are offer letters used to

Does your organization

Crawford Consulting Group, Inc., 2010

Are the results of any

Has feedback ever

ADP does this basics separate tools for tracking

How soon after hire are

If yes, does the individual

Crawford Consulting Group, Inc., 2010

Does the individual have

Does the individual have

Does the individual set

Do you provide office

Do all positions have

How and when are

Are job descriptions

Does the organization

When was the last

Does it include standard

Do all employees sign an

Crawford Consulting Group, Inc., 2010

Does the organization

Promotion, transfer and

Is there any check for

employees? If so, how?

Does the organization

Crawford Consulting Group, Inc., 2010

How are decisions made

focus on, size, location,

Crawford Consulting Group, Inc., 2010

What was the range of

What is the waiting

Crawford Consulting Group, Inc., 2010

Does the organization

Overall how satisfied are

Crawford Consulting Group, Inc., 2010

Does the organization

Crawford Consulting Group, Inc., 2010

Is the facility accessible

Does the organization

How are you currently

Do you believe the