Hi all
I am new member of CiteHR, Just passed out from JBIMS Mumbai.
I want some help.
If you are HR head about to take charge of manufacturing unit of chemical firm, what data you would like to know so that you would be in position to have every detail about plant's Human resources which will result in efficient planning, handling of HR function in turn of plant.
data may be like
employee details in terms of demography, qualification, organogram.
apart from this various statutory compliances.
Awaiting responses
Thank you!
Sushil Patly
From India, Mumbai
2I am new member of CiteHR, Just passed out from JBIMS Mumbai.
I want some help.
If you are HR head about to take charge of manufacturing unit of chemical firm, what data you would like to know so that you would be in position to have every detail about plant's Human resources which will result in efficient planning, handling of HR function in turn of plant.
data may be like
employee details in terms of demography, qualification, organogram.
apart from this various statutory compliances.
Awaiting responses
Thank you!
Sushil Patly
From India, Mumbai
THE ANSWERS TO THESE AUDIT QUESTIONS WITH
REFERENCE TO YOUR OPERATION SHOULD GIVE
YOU THE BASE INFORMATIONS.
understand the organization
-understand the vision statement
-understand the mission statement
-understand the company plans
-understand the planning process
-understand the company objectives
-understand the company strategy
-understand the organization structure
-understand the organization systms
-understand the organization politics/influential people
-understand the organization / individual roles
-understand the organization / positions
-understand the individual job descriptions
-understand the job/ job specifications
etc
understand the manufacturing
-the products
-the process
-the planning
-the applications
-the R&D
-the procurement
etc etc
-------------------------------------------------
AUDITING THE HR FUNCTION [[ current situation ]]
Like any other function, the performance and contribution of HR should be audited
regularly. The questions to which answers should be obtained are:
1. What strategic contribution is being made by HR to the achievement of business/corporate objectives?
2. To what extent are there well‑articulated and agreed HR strategies which are aligned to the business strategy and which are integrated with one another?
3. What role does HR currently play? Is this role appropriate in the context of the organization?
4. To what extent has the responsibility for HR issues been devolved to the management?
5. How well does HR reconcile the need for devolution with the need to ensure that organizational, ethical and legal obligations and requirements are being mf consistently?
6. What evidence exists that HR is being innovative in a practical and business way, based on an analysis of the business and people needs of the organizational and benchmarking?
7. How well is HR performing by reference to quantitative measures such as added value per employee, absenteeism and attrition?
8. How well is HR performing in terms of service delivery in fields such as recruitment, training, reward management, health and safety, the management of equal opportunity and diversity, advice on employment law and legal obligations, the provision of employee assistance programmes and the maintenance and use of personnel information systems?
9. To what extent does HR express proper concern for ethical considerations, the interests of all stakeholders (employees as well as management), enhancing the quality of working life and achieving a satisfactory work/life balance?
10. What ' contribution has HR made to the improvement of the employee relations climate?
11. How well is HR regarded by its customers ‑ management, line managers, employees generally, employee representatives, as measured by formal assessments or opinion surveys?
12. Is the HR function well‑organized and properly staffed with qualified professionals who are actively concerned with continuous professional development?
================================================== ==============
================================================== ===========
The Human Resources (HR) Audit is a process of examining policies, procedures, documentation,
systems, and practices with respect to an organization’s HR functions. The purpose of the audit is to
reveal the strengths and weaknesses in the human resources system, and any issues needing
resolution. The audit works best when the focus is on analyzing and improving the HR function in the
organization.
The audit itself is a diagnostic tool, not a prescriptive instrument. It will help you identify what you are
missing or need to improve, but it can’t tell you what you need to do to address these issues. It is most
useful when an organization is ready to act on the findings, and to evolve its HR function to a level where
its full potential to support the organization’s mission and objectives can be realized.
Who should conduct the audit?
The team that is responsible for the audit should represent a cross-section of the organization’s staff,
including line staff, middle and upper management, and those responsible for HR functions.
or you may use an external consultant to assist.
How should it be conducted?
The audit process consists of a series of questions covering the eight primary components of the HR
function:
1. Roles, head count, and HR information systems (HRIS)
2. Recruitment
3. Documentation
4. Training, development, and career management
5. Compensation and benefits
6. Performance measurement and evaluation
7. Termination and transition
8. Legal issues and personnel policies
9. Health / Welfare systems
10.Employee Relations
11. Safety
12. Resourcing
PLUS ANY OTHER ITEMS PERTAINING TO YOUR ORGANIZATION
The team works to collect information to answer the HR audit questions in each of these categories. The
focus is on how these activities and tasks are actually performed in the organization. The first step is to
collect all the pertinent information. The process of getting information, in and of itself, can be quite
informative.
How are needed improvements identified?
Once information is gathered, the audit team reviews each major section and notes disparities between
paper (what we think or say we do) and practice (what we actually do, as revealed by the answers to the
audit questions). This can then be compared to best practice (what we should do to best support our
organization’s mission).
How is follow-up and correction done?
Improving the HR system takes some time. A workplan — with a timeline, accountability, and
deliverables — should be created after the team reviews the completed audit and identifies areas where
improvement is needed. Follow-up and review should be a regular management function, performed on
an ongoing basis.
Developing Questions? EXAMPLES .
You can tailor as many questions as you wish, as per your organization.
====================================
1.Roles, Head Count, & Human Resource Information Systems (HRIS)
§ How many employees are currently on staff?
§ How many employees are:
- Regular
- Probationary
- Temporary
- Full Time
- Part Time
- Exempt
- Non-Exempt
§ What is the definition of a part-time employee? (i.e., What is the maximum number of hours an
employee can work to be considered part-time?)
§ What is the minimum number of hours an employee has to work to be considered full-time?
§ How long is the probationary period?
§ Are employees aware of their status?
§ How long can 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 point test for Independent Consultants being used for classification?
§ Have issues related to classification of employees been raised?
----------------------------------------------
2.Recruitment
§ How did the work force get to be the current size?
§ What are some of your organization’s future needs for personnel?
§ What are the procedures for hiring in your organization?
§ What recruitment sources are used? (e.g., advertisements, referrals from other agencies, personal
contacts)
§ Are current employees given appropriate consideration for promotion or lateral position changes?
§ 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)?
§ Who holds final authority to hire?
§ Who checks references?
§ How are the reference checks documented?
§ Who makes the offer of employment?
§ 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?
-------------------------------------------------------------
3.Documentation
§ 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: Application, Interviewing,
and Reference Checks
- Compensation and Benefits
- Transitions
- Paid Time Off
- Training
- Discipline
- Work History
- Work Assignments
- Significant accomplishments
- Emergency contact informdation
- 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?
§ 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?
------------------------------------------------------------------
4.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?
----------------------------------------------------
5.Compensation and Benefits
5a.Basic Compensation Questions
§ Is there a formal compensation program?
§ How are wages set?
§ Are formal salary ranges set?
§ 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?
5bHealth 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?
requirements for coverage?
- Dental
- Vision
- Disability
- Employee Assistance Program
- Life Insurance
- Other wellness benefits
- Flex benefit plan
- Other benefits
5 c.Pension and Retirement
§ What is the pension or retirement plan?
§ What is the vesting period?
§ Can employees contribute?
§ Can pretax dollars be put into some form of deferment plan?
5 d.Paid Time Off [ PTO]
§ What holidays are paid and who is eligible for them?
§ Is there a PTO system, or is it split between vacation and sick leave? If it is straight PTO, what
are the rates of accrual and caps?
§ 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?
§ Can employees contribute sick leave to other employees, and if so, what are the limits?
------------------------------------------------------------------------------
6.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. (If the instrument differs by
position, please attach all instruments.)
§ 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?
------------------------------------------------------------------------
7.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 can occur?
§ Is there any 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.)
---------------------------------------------------------------
8.Legal Issues / Personnel Policies
§ To your knowledge, are all employees appropriately classified?
§ What personnel policies are currently being used? (Please attach a copy)
§ When was the last time these policies were reviewed and updated?
§ Is there a 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?
-----------------------------------------------------------
9. Health / Welfare systems
10.Employee Relations
11. Safety
12. Resourcing
--------------------------------------------------
PLUS OTHERS AS PER YOUR ORGANIZATION.
=======================================
CHECK THE FOLLOWING
STEP 1
- the values/ beliefs of selected senior management/CEO
and the need for HR department.
-discuss the expectations from HR department -short/medium/longterm.
-discuss with CEO, the organization's corporate objectives/strategies
and how HR can contribute to the corporate objectives.
-discuss / seek concensus on organization structure / management
process.
-discuss the current organization culture with senior management.
-discuss with CEO/senior management the core activities/competences
and business drivers of the organization.
TO GET A GOOD START AND HOLD YOUR CREDIBILITY, YOU NEED
THESE INFORMATIONS TO START YOUR WORK ON HR DEPT.
HR dept. is a support unit and hence must work closely
with other depts.
================================================== =========
REGARDS
LEO LINGHAM
From India, Mumbai
REFERENCE TO YOUR OPERATION SHOULD GIVE
YOU THE BASE INFORMATIONS.
understand the organization
-understand the vision statement
-understand the mission statement
-understand the company plans
-understand the planning process
-understand the company objectives
-understand the company strategy
-understand the organization structure
-understand the organization systms
-understand the organization politics/influential people
-understand the organization / individual roles
-understand the organization / positions
-understand the individual job descriptions
-understand the job/ job specifications
etc
understand the manufacturing
-the products
-the process
-the planning
-the applications
-the R&D
-the procurement
etc etc
-------------------------------------------------
AUDITING THE HR FUNCTION [[ current situation ]]
Like any other function, the performance and contribution of HR should be audited
regularly. The questions to which answers should be obtained are:
1. What strategic contribution is being made by HR to the achievement of business/corporate objectives?
2. To what extent are there well‑articulated and agreed HR strategies which are aligned to the business strategy and which are integrated with one another?
3. What role does HR currently play? Is this role appropriate in the context of the organization?
4. To what extent has the responsibility for HR issues been devolved to the management?
5. How well does HR reconcile the need for devolution with the need to ensure that organizational, ethical and legal obligations and requirements are being mf consistently?
6. What evidence exists that HR is being innovative in a practical and business way, based on an analysis of the business and people needs of the organizational and benchmarking?
7. How well is HR performing by reference to quantitative measures such as added value per employee, absenteeism and attrition?
8. How well is HR performing in terms of service delivery in fields such as recruitment, training, reward management, health and safety, the management of equal opportunity and diversity, advice on employment law and legal obligations, the provision of employee assistance programmes and the maintenance and use of personnel information systems?
9. To what extent does HR express proper concern for ethical considerations, the interests of all stakeholders (employees as well as management), enhancing the quality of working life and achieving a satisfactory work/life balance?
10. What ' contribution has HR made to the improvement of the employee relations climate?
11. How well is HR regarded by its customers ‑ management, line managers, employees generally, employee representatives, as measured by formal assessments or opinion surveys?
12. Is the HR function well‑organized and properly staffed with qualified professionals who are actively concerned with continuous professional development?
================================================== ==============
================================================== ===========
The Human Resources (HR) Audit is a process of examining policies, procedures, documentation,
systems, and practices with respect to an organization’s HR functions. The purpose of the audit is to
reveal the strengths and weaknesses in the human resources system, and any issues needing
resolution. The audit works best when the focus is on analyzing and improving the HR function in the
organization.
The audit itself is a diagnostic tool, not a prescriptive instrument. It will help you identify what you are
missing or need to improve, but it can’t tell you what you need to do to address these issues. It is most
useful when an organization is ready to act on the findings, and to evolve its HR function to a level where
its full potential to support the organization’s mission and objectives can be realized.
Who should conduct the audit?
The team that is responsible for the audit should represent a cross-section of the organization’s staff,
including line staff, middle and upper management, and those responsible for HR functions.
or you may use an external consultant to assist.
How should it be conducted?
The audit process consists of a series of questions covering the eight primary components of the HR
function:
1. Roles, head count, and HR information systems (HRIS)
2. Recruitment
3. Documentation
4. Training, development, and career management
5. Compensation and benefits
6. Performance measurement and evaluation
7. Termination and transition
8. Legal issues and personnel policies
9. Health / Welfare systems
10.Employee Relations
11. Safety
12. Resourcing
PLUS ANY OTHER ITEMS PERTAINING TO YOUR ORGANIZATION
The team works to collect information to answer the HR audit questions in each of these categories. The
focus is on how these activities and tasks are actually performed in the organization. The first step is to
collect all the pertinent information. The process of getting information, in and of itself, can be quite
informative.
How are needed improvements identified?
Once information is gathered, the audit team reviews each major section and notes disparities between
paper (what we think or say we do) and practice (what we actually do, as revealed by the answers to the
audit questions). This can then be compared to best practice (what we should do to best support our
organization’s mission).
How is follow-up and correction done?
Improving the HR system takes some time. A workplan — with a timeline, accountability, and
deliverables — should be created after the team reviews the completed audit and identifies areas where
improvement is needed. Follow-up and review should be a regular management function, performed on
an ongoing basis.
Developing Questions? EXAMPLES .
You can tailor as many questions as you wish, as per your organization.
====================================
1.Roles, Head Count, & Human Resource Information Systems (HRIS)
§ How many employees are currently on staff?
§ How many employees are:
- Regular
- Probationary
- Temporary
- Full Time
- Part Time
- Exempt
- Non-Exempt
§ What is the definition of a part-time employee? (i.e., What is the maximum number of hours an
employee can work to be considered part-time?)
§ What is the minimum number of hours an employee has to work to be considered full-time?
§ How long is the probationary period?
§ Are employees aware of their status?
§ How long can 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 point test for Independent Consultants being used for classification?
§ Have issues related to classification of employees been raised?
----------------------------------------------
2.Recruitment
§ How did the work force get to be the current size?
§ What are some of your organization’s future needs for personnel?
§ What are the procedures for hiring in your organization?
§ What recruitment sources are used? (e.g., advertisements, referrals from other agencies, personal
contacts)
§ Are current employees given appropriate consideration for promotion or lateral position changes?
§ 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)?
§ Who holds final authority to hire?
§ Who checks references?
§ How are the reference checks documented?
§ Who makes the offer of employment?
§ 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?
-------------------------------------------------------------
3.Documentation
§ 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: Application, Interviewing,
and Reference Checks
- Compensation and Benefits
- Transitions
- Paid Time Off
- Training
- Discipline
- Work History
- Work Assignments
- Significant accomplishments
- Emergency contact informdation
- 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?
§ 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?
------------------------------------------------------------------
4.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?
----------------------------------------------------
5.Compensation and Benefits
5a.Basic Compensation Questions
§ Is there a formal compensation program?
§ How are wages set?
§ Are formal salary ranges set?
§ 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?
5bHealth 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?
requirements for coverage?
- Dental
- Vision
- Disability
- Employee Assistance Program
- Life Insurance
- Other wellness benefits
- Flex benefit plan
- Other benefits
5 c.Pension and Retirement
§ What is the pension or retirement plan?
§ What is the vesting period?
§ Can employees contribute?
§ Can pretax dollars be put into some form of deferment plan?
5 d.Paid Time Off [ PTO]
§ What holidays are paid and who is eligible for them?
§ Is there a PTO system, or is it split between vacation and sick leave? If it is straight PTO, what
are the rates of accrual and caps?
§ 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?
§ Can employees contribute sick leave to other employees, and if so, what are the limits?
------------------------------------------------------------------------------
6.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. (If the instrument differs by
position, please attach all instruments.)
§ 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?
------------------------------------------------------------------------
7.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 can occur?
§ Is there any 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.)
---------------------------------------------------------------
8.Legal Issues / Personnel Policies
§ To your knowledge, are all employees appropriately classified?
§ What personnel policies are currently being used? (Please attach a copy)
§ When was the last time these policies were reviewed and updated?
§ Is there a 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?
-----------------------------------------------------------
9. Health / Welfare systems
10.Employee Relations
11. Safety
12. Resourcing
--------------------------------------------------
PLUS OTHERS AS PER YOUR ORGANIZATION.
=======================================
CHECK THE FOLLOWING
STEP 1
- the values/ beliefs of selected senior management/CEO
and the need for HR department.
-discuss the expectations from HR department -short/medium/longterm.
-discuss with CEO, the organization's corporate objectives/strategies
and how HR can contribute to the corporate objectives.
-discuss / seek concensus on organization structure / management
process.
-discuss the current organization culture with senior management.
-discuss with CEO/senior management the core activities/competences
and business drivers of the organization.
TO GET A GOOD START AND HOLD YOUR CREDIBILITY, YOU NEED
THESE INFORMATIONS TO START YOUR WORK ON HR DEPT.
HR dept. is a support unit and hence must work closely
with other depts.
================================================== =========
REGARDS
LEO LINGHAM
From India, Mumbai
Community Support and Knowledge-base on business, career and organisational prospects and issues - Register and Log In to CiteHR and post your query, download formats and be part of a fostered community of professionals.
HR-CORPORATE CHECKLIST.zip
HR Checklist 2008-09.xls
HR Training Checklist.docx