(人力资源)自查体系(英文PPT).docx 74页

（人力资源管理）2020年人力资源管理自查体系（英文PPT）20XX年XX月多年的企业涔询顾诩遢,经过实战脸证可以落地抑亍的卓越管理方案，值得您下戟用M AnHRAuditDepartmentOrganizationQuestionnaireTheHumanResourcesDepartmentisstructured,organizedandequippedtoprovideoverallstrategy,directionandeffectivemanagementoftheorganizationshreusmoaurcesfunctiontoaccomplishorganizationalobjectives.1.Isthereonedepartmentorfunctionwithintheorganizationthatisresponsibleandaccountableforplanning,establishing,overseeingandcoordinatingallhumanresourcepolicies,systemsandservicesforall11majorcategories?2.Doesthesenior-levelhumanresourcesmanagerreporttothesamelevelpositionasallothermajorstaffandlinedepartmentswithintheorganization?3.Doestheseniorhumanresourcesmanagerparticipateinaddressingtheorganization’sstrategic,tacticalandpolicyissues? 1.DoestheseniorhumanresourcesmanagerintegrateallHRactivitieswiththeorganization’sstrategicbusinessplan.2.DoestheHumanResourcesdepartmentdemonstrateaclearunderstandingoforganizationalandcustomerneeds?3.AreHRservicesandfunctionsalignedandprioritizedtoorganizationalandcustomerneeds?4.Hasadepartmentmissionstatementbeendevelopedexplainingitspurposewithintheorganization?Hasthismissionstatementbeencommunicatedtoallmanagementpersonnel?Hasthismissionstatementbeencommunicatedtoothercustomersthroughouttheorganization?Ifso,towhom?How? 1.DoestheHumanResourcesdepartmenttakealeadinstrivingforamoreempoweredandparticipativeworkforce(productivityimprovement,costreduction,qualityimprovementandimprovedqualityofworklifeprograms?)2.HasaHumanResourcesdepartmentorganizationchartbeenpublishedanddistributed?Ifso,towhom?Doestheorganizationchartclearlydefinefunctionalresponsibilitiesandwhomcustomerscancontactforservice?3.ArejobdescriptionsestablishedforallHRpersonnelstatingmajorjobobjectives,responsibilitiesandaccountabilities?4.DoallHRpersonnelunderstandtheirrespectiverolesandrelationshipstoothersinthedepartment?5.Aredepartmentpersonnelcross-trainedtoperformdutiesoutsidetheirmajorareasofresponsibility?6.Dotheyworkonteamanddepartmenttaskforceprojects? 1.Aredepartmentalpersonnelprofessionallyandtechnicallycompetent?2.Dotheyserveasinternalconsultantstomanagementaswellascounselorstoemployees?3.Doesthedepartmentstaffworkwellasateam?4.Aretheyreadilyaccessibletoallcustomers?5.Aredepartmentpersonnelprovidedadequatetrainingandprofessionaldevelopmenttomeetorganizationalchallengesanddemands?6.Isinvolvementinprofessionalandtechnicalgroupsencouraged?Doesthedepartmentsubscribetomajortechnicalandprofessionaljournals?7.Isthereacredibleperformanceappraisalinplaceclearlystatingmutuallyestablishedgoalsandobjectivesfordepartmentpersonnel?8.Arehumanresourcesstaffcompensatedaccordingtomarketstandards?Aretheycompensatedbasedoncomparablepositionswithintheorganization?9.Doesdepartmentstaffeffectivelybalanceorganizationalwithemployeeneedsandactasanintermediateforboth?10.IstheHumanResourcesdepartmentresults-oriented(i.e.,measuring cost-effectivenessandthebottomlineresultsofhumanresourcesprograms)?Ifso,isitattentivetothebottomlineanddoesitdemonstrateabusinessorientation?1.Whatisthespanofcontrolofthetoppositionwithinthedepartments(i.e.,howmanyandwhichpositionsreporttoit)?Aresupervisorsormanagersreportingtoothermid-levelmanagers?HowmanyemployeesareintheHumanResourcesdepartment?WhatistheratioofHRdepartmentstafftoallemployeesserved?Howdoesthiscomparetothestaffinglevelsofothercomparableorganizationsofferingsimilarservices? sfuture1.AreHRneedsandprogramsaccountedforintheorganizationbudgetingprocess?2.DoestheorganizationmakeplansforensuringthatHRneedsaremet?3.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howwouldtheHumanResourcesteamratetheoveralleffectivenessandstructureofyourHumanResourcesdepartment?4.Onthesameone-to-sevenscale,howdoyouthinkotherdepartmentheadswouldratetheoveralleffectivenessandstructureoftheHRdepartment?Onthesameone-to-sevenscale,howdoyouthinktheemployeeswouldratetheoveralleffectivenessandstructureoftheHRdepartment?ExplanationofDepartmentOrganizationQuestionnaireForeachofthe11categories,theSelf-AuditquestionsaredesignedtoratehowwelltheHRdepartmentachievesthepurposeofthecategorydefinitionstatedatthetopofthequestionnaire:IstheHRdepartmentstructured,organizedandequippedtoprovideoverallstrategy,directionandeffectivemanagementoftheorganizationhumanresourcesfunctiontoaccomplishtheorganization’sobjectives?Questionsonethroughnineexplorehowdepartmentleadersachieveorganizationobjectives,arepartofmanagement’ansnsintrgategicpleffortandassistinmakingdecisionsthataffectbottom-lineresults. ThesequestionsbothhelpensurethatHR’seffortsareinaccordwithcustomerneedsandsuggestwaysHRteamscantaketheleadinhelpingcustomersgetthemostoutoftheorganization’shumanresources.Questions10through26addresscommunicatingdepartmentfunctionsandservicestoallcustomers,staffobjectivesandinternalrelationships,staff’sdualroleasinternalconsultantstomanagementandcounselorstoemployees,staffcompetenceandflexibility,crosstraining,balancingemployeeneedswithbusinessneedsandabottomlineresultsorientation.Thecomponentsofquestion24alsorelatetostaffsize,structureandspanofcontrol.Industry-specificstandardsforstaffsizeareavailablefromavarietyofprofessionalpublications,suchastheSaratogaInstitute’s"HREffectivenessSurvey"andnationalandregionalstatisticscompiledbytheBureauofNationalAffairs(BNA).Anysurveysthatrelatespecificallytoyourtypeoforganizationwillmakethatbenchmarkmorecredible.Questions25and26addressresourcesandplanningtoensurethedeliveryofrequiredservices.HumanResourcesPlanning/OrganizationalDevelopmentQuestionnaire Theprocessofidentifyingandprovidingwaystofulfilltheorganization’sdevelopmentalandhumanresourceneeds.1.Isthereonepositionaccountableforreviewingtheorganization’shumanresourcesrequirements?2.Howisthisreviewcarriedout?Formally/informally?(pleasedescribe)3.Howoftenisthisanalysisupdated(e.g.,yearly,everytwoyears,threeyearsormore)?4.Doyourprojectedneedsincludethefollowingconsiderations? Availabilityofoutsideworkforcedemographics(age,sex,minorityclassification,education,skillslevel,occupations,etc.)Anticipatedchangedinyourorganizationstechnology,processes,products/servicesandmarkets.Personnelneedsthesechangeswillrequire(e.g.newskills,education,knowledgeandabilities).1.Whichsourcesoutsidetheorganizationprovidethesedemographics?2.Whatsourceswithintheorganizationprovidedthisinformation?3.Towhomaretheseprojectionscommunicated?Howoften?Howfarintothefuture?4.IsthereonepositionaccountableforreviewingandassessingtheHRdepartment’sskills,education,interestsandneeds?5.Howisthisassessmentcarriedout(formallyorinformally)?(Pleasedescribe.) 1.Howoftenisthisassessmentupdated(e.g.yearly,everytwoyears,threeormoreyears)?2.Towhomarethisassessmentandanyprojectionscommunicated?Howoften?Howfarintothefuture?3.Arethisassessmentandprojectionsusedfortraininganddevelopment?4.Arethisassessmentandprojections(workforcerequirements)usedforcareerplanning(matchingorganizationalandindividualskills,abilitiesandneeds)?5.Isthereaformalcareerplanningprocessinplace?6.Isthereacareercounselingsystemtoidentifyindividualskills,interestsandneeds,andwhichoffersinplacementand/ordevelopmentalassistance?7.Arehigh-potentialemployeesidentifiedforkeypositions?Ifyes,isthereasuccessionplantotargethighpotentialemployees? 1.Arehumanresourceprojections(i.e.,numbers,jobclassifications,skills,knowledge,abilityandeducationlevels)identifiedintherecruitmentplan?Howfarintothefuture?2.Ifthehumanresourcesplancallsforrestructuringordownsizing,aretherestrategiessettodealwithdisplacedemployees?Isoutplacementassistanceoffered?Aretherestrategiestosupportremainingemployees?3.Arethehumanresourcesprojectionsapartoftheorganization’sbudgetingprocess?4.Doestheorganizationhaveplansforensuringitsdevelopmentandhumanresourceneedsaremet?5.Onascaleofonetoseven(sevenbeinghighandfourbeingadequate),howdoyouthinktheHRstaffratesthehumanresourcesplanning/organizationaldevelopmentprocess? 1.Onthesameone-tosevenscale,howdoyouthinkotherdepartmentswouldratethehumanresourcesplanningandorganizationaldevelopmentprocessnowinplace?ExplanationofHumanResourcesPlanning/OrganizationalDevelopmentQuestionnaireAffirmativeanswerstoallthequestionsinthissectionmeanstheorganization’sdevelopmentandhumanresourceneedsarebeingmet.Theemphasisisonconnectingorganizationaldevelopmentandworkforceneedprojectionswithinternalandexternalworkforceskills.Questionsonethroughsevendealwithinfluencesontheplanningprocess)changingworkforce,marketsandcustomers,products,services,technology/skillsbaseandidentificationofexternalsupply).Questionseightthrough17dealwithinternalassessmentandavailabilityofthesesameconsiderations:organizationaldevelopmentactivitiesinmanagementdevelopment,training,careerandsuccessionplanningtosatisfyworkforcedemandswithintheorganizations.Iftheinternallaborsupplyisgreaterthantheneed,thenthetougherissuesofresourcereallocationhavetobeaddressed(questions18and19). Humanresourcesplanningisparticularlyimportantforemerging,rapid-growthandhightechbusinesses.Maturebusinessesinneedofnewproducts,services,markets,acquisitionsordivestituresmustalsoplantoidentify,attractorreallocatethetalentnecessaryforrevitalizationandcontinuedcompetition.Here’salittlepieceofinformationaboutthattechnologicalrevolution,aheadlinefromanarticlereportingonastudybyWorldwatchInstitutebackin1980:MicroElectronicsSeenProducingSweepingIndustrialChange.That’scertainlyoldnewsaboutthefuture,butthere’sareasontogobacktothisstorytoremindustheytolduswhatwasgoingtohappen.Mostofusjustdidn’tpayattention.RecruitmentandSelectionQuestionnaireTheprocessprovidingtimelyrecruitment,selectionandplacementofhigh-qualityemployeestosatisfytheorganization’sstaffingrequirements.1.Isthereapolicyinplacestatingtheorganization’sphilosophyonrecruitmentandselection? Doesthepolicycontainprocedurestoguidemanagersthroughtherecruitmentandselectionprocessanddescribehowtogethelp?1.Isthereonepositionwithintheorganizationaccountableforoverseeingandcoordinatingrecruitmentandplacement?RECRUITMENT2.Isthereaformalprocessinplaceforidentifyingjobvacancies?3.Brieflydescribetheprocessfromneedsidentificationthroughfinalapprovalauthorization.4.Isrecruitmentdoneproactivelyfromaplanningmode(i.e.,projectedworkforceplan)aswellasreactivelytoimmediatereplacementandnewjobopenings?Isrecruitmentlinkedtohumanresourcesplanning(projectedworkforcerequirements)?5.Isajobanalysisconductedforeachposition?Doesthejobanalysisaccompanythehiringauthorization?Doesthejobanalysisaccuratelyidentifythekeyobjectivesandresponsibilitiesoftheposition?candoDoesthejobanalysisaccuratelyidentifytheessentialskillsneeded(i.e.,skills,abilities,knowledge,educationandexperience)?Doesthejobanalysisaccuratelyidentifytheessential‘willdoskillsneeded(e.g.,leadership,interpersonal,entrepreneurial,communicationandgoodattitude)?6.Isconsiderationgiventointernalcandidatesforallorsomejobopeningsbeforeoutside recruitmentbegins?Ifsomepositionsaredeterminedtobefilledfromwithin,howisthisdeterminationmade?1.Isthereaformaljobpostingprocedureinplace?Ifso,doesthejobpostingcontainthejobobjectives,needsandrequirementscitedinthejobanalysis(#6above)?2.Arerecruitmentstrategies(methodstoobtainqualifiedcandidates)setbeforeactiverecruitmentbegins?Whoparticipatesinthestrategydevelopment?Doesthisstrategyincludeaffirmativeactionanddiversityneeds? 1.Whatkindofrecruitingsourcesdoesyourorganizationuseandforwhatpositions:Newspapersources?Professionaljournals/periodicals?Collegerecruiting?Specialeventsrecruitment(e.g.,jobfairsandexpos)?Communityreferralagencies(e.g.,stateemploymentandtrainingoffices)?"Quasi-search"methods(e.g.,hourlyratepaidtorecruitingprofessionalsfortargetingcandidatesourcingoruseofprofessionalcandidateresearchers)?Employeereferral?Internalcomputerizedapplicantdatabase?Professionalnetworking(e.g.,associations)?Directmailrecruitment?Personalnetworks(e.g.,localcompetitors,customers,suppliers,outplacementfirmsorindustryresearch)?Ifso,pleasegiveexamples: 1.Doesyourorganizationmeasuretheeffectivenessaswellasthecostsoftheserecruitingsources?2.Towhomaretheseperformancemeasuresandrecruitingcostscommunicated?SELECTION3.DoestheHRdepartmentperformallinitialscreeningofcandidates?4.Arecandidatetelephoneinterviews,teleconferencingorvideoscreeningconductedbeforepersonalinterviews?5.Howmanycandidatesaretypicallyinterviewedbeforefillingapositionandatwhatlevels?6.Whoparticipatesintheinterviewandatwhatintervals?Howmanypeoplearetypicallyinvolvedintheinterviewingprocess?Arepanelinterviewsused?Whomakesthefinalhiringdecision? 1.Arehiringmanagerstrainedinobjectiveselection(e.g.,interviewingtechniques,position-relatedquestionsandlegalimplications)?2.Arereferencechecksconductedonallcandidates?Whoperformsthereferencechecks?3.Aretestsorpersonalityprofilesusedintheselectionprocess?Aretheyprofessionallyvalidated?4.Aredrugtestsadministeredtoallnewemployeesasaconditionforhire?srecruitment5.DoestheorganizationcomparethenumberofjobopeningsandworkforceprojectionswiththeHRdepartmentandselectioncapacity?Arepeakandlowhiringcyclesidentified?6.Hastheorganizationexaminedorevaluatedanyofthefollowingalternativestosatisfyingworkforcerequirements:Projectorcontractoutsourcing? Temporaryplacement?Internaltemporaryplacementpool?Part-timeemploymentandjobsharing?1.Areallemploymentcostsaccountedforintheorganization’sbudget?2.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinktheHRteamwouldratetheeffectivenessoftherecruitmentandselectionprocess?3.Onthesameone-to-sevenscale,howdoyouthinkdepartmentswouldratetheeffectivenessoftherecruitmentandselectionprocess?ExplanationofRecruitmentandSelectionQuestionnaireThepurposeoftheRecruitmentandSelectionquestionsistoimprovecriticalstaffingneedsinatimelymannerandwithqualitycandidates.Questionsthreethrough12examinehowthecompanyattractsjobcandidates.Questiontendealswithfindingcandidates.Cost-benefit analysesofallhiringsources(questions11and12)willtellyouwheretoplaceyourrecruitingenergiesandfinancialresources.Questionsontheselectionprocess(13to20)maybemoreimportanttogovernmentagenciesandcontractorsbecauseofhighlyregulatedselectioncriteria,affirmativeactionanddiversityimplications.Fiscalconstraintsandregionalpreferencesmayalsorestrictgovernmentstaffingprofessionalstothemostinexpensivesources,regardlessoftheirresults.Whatmakesasuccessfulmanageristheabilitytoinfluencepositivebehaviorandtohirethebesttalent.HRprofessionalcounseling,guidanceandtrainingoneffectiveinterviewingandselectionareessentialtohelpmanagersmaketherighthiringdecisions.Itisalsoessentialthattheselectioncriteriabeequallyandconsistentlyappliedtoallapplicants.Companies’effortstoreduceboththeirworkforceandtheirfixedlaborcostshaveresultedinlesscostlywaystosatisfyworkforcerequirements.Theseincludeoutsourcingandtemporaryworkers,whichtransfercostsonavariablebasis.ThisiswhyManpower,Inc.hasbecomethelargestemployerintheU.S.today.Ifyourorganizationusesthesemethods,beawareofpossiblelong-termqualityproblemsresultingfromreducedcommitmentandlackofcompanypride.CompensationQuestionnaireAsystemofevaluatingjobsandcompensatingemployeestoensurethattheorganization attracts,retainsandmotivatesemployeestoaccomplishorganizationalobjectives.1.Doestheorganizationhaveapolicyclearlystatingitspositiononemployeecompensation?Isthispolicylinkedtotheorganization’smanagementphilosophyoncompensatingemployees,anddoesitreinforcethevaluesoftheorganization?Istheorganization’scompensationphilosophyclearlycommunicatedtoallemployees?Isitclearlysupportedandmonitoredbymanagement?2.Doesthecompensationpolicycontainprocedurestoguidemanagersonhowtoimplementthecompensationsystem? 1.Isthereonepositionwithintheorganizationaccountableforoverseeingandcoordinatingallcompensation-relatedactivities(jobevaluation,jobclassifications,jobdescriptions,salaryadministration,performanceappraisalandcompliancewithallgovernmentalpayregulations,includingFSLA,ADA,compensabletimeandEEOregulations)?2.Isthereaprocessforkeepingtheorganizationawareofcompensationpaidforcomparablejobfunctionsintheregion?Compensationpaidtocomparableexemptjobfunctionsnationwide?Compensationpaidtocomparableexemptjobfunctionsindustrywide?Howfrequentlyaretheremarketstudiesperformed?3.Isyourpayplaninagreementwiththecompensationphilosophyoftheorganization?Arepayrangeswideenoughsoasnottoforceverticalpaygrowth?Arepayrangeswideenoughandproceduresavailabletorewardadditionalknowledge,skills,abilitiesandresponsibilitiesandencouragelateralcareergrowth?Dotheintervalsbetweenrangesclearlydefinethedifferencesinpositionsassignedtothosepayranges?Arepaydifferencesgreatenoughtoensurethatasubordinateisnotpaidmorethanhisorhersupervisor,includingovertimepayments? 1.Arealljobsclassifiedusingaconsistentjobanalysis?2.Arealljobclassificationsreviewedforgenderandminorityequity?Areallcomparablejobsreviewedforpossibleevidenceofuneventreatmentforfemalesorminorities?3.Doesyourorganizationhaveanemployeeperformanceappraisalsystem?Doestheperformanceappraisalestablishclearobjectives,expectationsandperformancemeasurementcriterialinkedtothatspecificjob?Doestheperformanceappraisalprovideobjective,interactiveandmeaningfulfeedbackonperformance?Doperformanceobjectivesclearlysupportdepartmentalandorganizationalobjectives? Aretheseobjectivesandmeasurementcriteriadiscussedwiththeindividualbeingappraised?Dotheemployeeshaveclearanddirectcontrolovertheoutcomeoftheirappraisals?Doperformanceappraisalsreflectanemployee’ehsavpiosr,itivebaswellasresults?Doperformanceappraisalsincludeawrittenplantoimproveemployees’knowledgeandskills?Arepayplanslinkedtorewardsformeasuredperformance?Istheperformancerating/payadjustmentreviewedbysomeoneinapositionhigherthanthatoftheraterbeforediscussionwiththeemployeeandimplementation?1.Doesyourorganizationhaveapay-for-performance(merit-based)system?Doesitworkasintended,orisitatoolforcompensationadjustment?Doesanoutstandingperformancemeritanoutstandingreward? 1.Arecompensationincreasesbudgetedthroughouttheorganizationandareguidelinesfordistributionclearlycommunicated?Arerangesandlimitsclearlydefined(e.g.,payincrementslinkedtoperformancemeasures)?Isdistributionofcompensationamongdepartmentsreviewedbymanagementforconsistencyandequitybeforeawardingincreases?2.Areotherperformancecompensationawards(resultssharing)appropriateandinplace?Profit-sharingawardsbasedonorganization-wideprofitability.Specialrecognitionawards,e.g.,bonusesformeetingacombinationofresultscriteria,includingdepartmentcontributionperformance,majorproductivityincreases,salesandprofitincreases,andcostsavings.Grouporteamproductivitybasedonteamperformanceanddistributedbyteammembers.Gain-sharingawardsbasedonlocalperformance.Aspecialpay-for-knowledgesystem,e.g.,paymentforincreaseddevelopmentofemployeeknowledge,skills,abilitiesand/orresponsibility(allowingabroaderjobdesignwithoutchangingassignments). 15.Doesyourorganizationhavethecapacityforacompensationstrategytoattract,retainandmotivateemployees?16.Arecompensationadministrationcostsincludedinthebudget?17.Onascaleofonetoseven(sevenbeinghighestandfourbeingadequate),howdoyouthinktheHumanResourcesdepartmentwouldratetheeffectivenessofthecompensationsystem?18.Onthesameone-to-sevenscale,howdoyouthinkyourinternalclients(otherdepartmentsandemployees)wouldratetheeffectivenessofthecompensationsystem?ExplanationofCompensationQuestionnaireItisimportantfortheorganizationtodistributeaclearpolicystatementonitscompensationphilosophytoitsemployees.Guidelinesareimportanttoensureconsistencyandequityintherewardsystems.CompensationisprobablythemostobjectiveaspectofHRmanagement.Youshouldbeawareofthiswhenscoringquestionsonethroughseven. Compensationmethodscanhelpmotivatethefulfillmentoforganizationalobjectives.Forthisreason,compensationexpertsreceivehigherpaythanotherHRprofessionals.Majorconsultingfirmsspecializeinthisareabecausecompensationaffectstheorganizationbottomline.tthecaseIfcompensationalonedroveperformance,companieswithbigpayrollswouldalwaysbethemostprofitable,butthatisnfact,eliminatinghigherpaidpositionsisthetrend.Compensationprogramsshouldmotivateandrewardpeopleforaccomplishingorganizationalobjectives.Companiesneedtofindnewwaystorewardindividual,teamandothergroupperformance.Rewardsystemsshouldtakeintoconsiderationself-directedworkteams,cross-functionalproblemsolvingteams,matrixmanagement,takingonaddedworkresponsibilitiesandmorerisktaking.Iftheorganizationwantsaclosercorrelationbetweencompensationandqualitywork,thentherecognitionofteamperformanceiscritical.Questionseightthrough11dealwiththeseincentiveissues. EmployeeBenefitsQuestionnaireProgramsbywhichemployeesreceivenoncashcompensationtoensurethattheorganizationattracts,retainsandmotivatesemployeestoaccomplishorganizationobjectives.1.Doestheorganizationhaveaclearpolicyregardingemployeebenefits?2.Isthereonepositionwithintheorganizationaccountableforfairlyandconsistentlyimplementingemployeebenefitprogramsandensuringcompliancewithgovernmentalregulations,suchasERISA,COBRA,EEOandtheFamilyandMedicalLeaveAct?3.Istheorganizationcurrentoncompetitiveemployeebenefitpractices,suchaschildcare,flextime,jobsharing,vacation/sicktime,time-offprovisionsandhealthplanalternatives?HEALTHCARECOSTCONTAINMENT4.Isthereaprocessinplacetocontainmedicalcostswhileofferingqualityhealthcaretoemployees? 1.Doyouperiodicallygaugeemployeesatisfactionwiththebenefitplanintermsofcustomerservice,timeliness,claimmanagementandaccuracy?2.Ifemployeedissatisfactionishighorcostsareoutofcontrolornoncompetitive,doyouputyourbenefitplansouttobid?Howoftendoesthisoccur?3.Doesyourmedicalcostcontainmentreviewcoverthefollowing:A.Haveyouanalyzedbothofthefollowingalternativehealthcareprogramsfortheircostcontainmentprocesses,includingservicesoffered,accessibility,qualityofcareandcost?HEALTHMAINTENANCEORGANIZATONS(HMOS):Whatareenrollmentnumbersforthepastthreeyears.(Rapidenrollmentratesmaresultinpoorerservice.)IstheHMOaccreditedbytheNationalCommitteeforQualityAssurance(NCQA)?Wereanyconditionsattachedtotheaccreditation?WhatisthepublicperceptionoftheHMO(hasitreceivedbadpress)?HaveorganizationssimilartoyoursfaredwellunderthisHMO?(Askforalistofclientsandcallsomeofthem.)Whataretheexclusionsorlimitationsonprocedures,suchastransplants,rehabilitative proceduresandmentalandnervousdisorders?PREFERREDPROVIDEDORGANIZATIONS(PPOS):InadditiontoallthequestionsforHMOsabove,whatistheratioofnetworkvs.non-networkcharges?Doemployeesacceptthenetworkdoctors?A.HasHRreviewedthefollowingadministrativecontrols:In-housecompanydataonpremiumspaidandclaimsprocessed?Retentionprovisionsofcarriers,suchasrebatesorfavorablerateconsiderationforretentionofcompanyfunds?Morefavorablestop-lossarrangementswithacarrier?Encouragingemployeestoreporterrorsinmedicalbills?Health-carespendingaccountsandchangingrules?Nonduplicationofbenefitsinsteadoftraditionalcoordinationofbenefits?Initiatingaprobationaryperiodbeforehealthcoveragebegins?B.HasHRreviewedbasiccostmanagementprograms,includingthefollowing:Increasingdeductibles,coinsuranceresponsibilityorcopaymentamounts? Requiringsecondopinionsforsurgery?Institutingpre-admissiontestingandcertification?Concurrenthospitalstayreviews?Closelymanagingchronicorcostlyillnesses?Patientauditingofhospitalbills?Requiringemployeeplanusagedatafromhealthcarecarriers/administrators? A.HasHRreviewedemployeehealthpromotionandeducationprograms?B.HasHRcommunicatedwithhealthcareproviderstoreviewcustomizedplanoptionsandcostcontainmentmeasures?1.Arethecostsofemployeebenefitsregularlycalculatedandcomparedtonational,industryandlocaldata?2.Arevacationandsickleaveaccrualsanalyzedforpurposeaswellascostconsideration?3.Arethereprogramstocontrolabsenteecosts?4.Arethereprogramstocurbsickleaveabuse?5.Areunemploymentcompensationcostsanalyzedforcostsavings?6.Arepensionplansreviewedandemployeescounseledonwin-winpensionoptionsthatwillsavetheorganizationmoney?7.Doesyourorganizationofferretirementcounselingtoemployees?8.Aretherebenefitstoextendingtheretirementage?9.Shouldchangesinlong-termdisabilitypaymentsbeconsidered?10.Doesyourorganizationregularlycommunicatethebenefitsitprovidesaswellasemphasizethecompany’scontributiontoemployeebenefits? 1.Doesyourorganizationhavethecapacitytoprovidenecessaryemployeebenefitsandaddresscost-containmentissuesthataffectprofitability?2.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinktheHumanResourcesdepartmentwouldratetheeffectivenessofemployeebenefitsprograms?3.Onthesameone-to-sevenscale,howdoyouthinkinternalclients(departmentheadsandemployees)wouldratetheeffectivenessoftheemployeebenefitsprograms?ExplanationofEmployeeBenefitsQuestionnaireEmployeebenefitsarenecessarytoattractandretainqualityemployees.Feworganizations,howeverareabletofindnewwaystocontaincostsandusebenefitsasanincentivetoimproveemployeeproductivity.Healthcarecostcontainmentiscoveredinquestionsfourtoseven.Aggressivenegotiationswithcarriers,acloserlookatadministrativecontrolsandcost-benefitanalysesmustberoutinelycarriedoutifanorganizationwantstoconverthighcostsintoincreasedprofits.Anannualreviewofbenefitplanvendorsshouldbeconducted,especiallyforhealthcareserviceswhichconsumealargeportionofexpenses.Theremarketingofabenefitprogram,however,shouldtakeplacenomore frequentlythaneverythreetofiveyears,unlessthereareseriousconcernsaboutrates,serviceoraccessibility.Morefrequentremarketingofabenefitplandamagesthecredibilityoftheemployer,intermsofseemingdisinterestedinalong-termrelationship.Inaninsuredarrangement,thevendorwillbeleft‘holdingthebag’onrunoutclaims.Payparticularattentiontocost-managementprogramsunderquestionseven.Spendingmoretimeonthesedetailswillresultinbetterclaimsmanagement.Question7Cshouldanswerthefollowingquestions:1.Howwerechargesdistributedbetweenemployees,theemployerandotherpayers?2.Whattypesofserviceswereused:hospital(inpatient,outpatient,emergencyroom),physician’sservices(inpatient,outpatient),lab,x-ray,durablemedicalequipment,supplies,surgicalcenter,etc.Anycategorylabeled‘other’onareportshouldaccountfornomorethan5%ofthetotalorrequireadetailedexplanation.3.Whattypesofillnessesdidemployeesexperience?Thereshouldbeatleast15majordiagnosiscategoriesusedonthereport. 1.Whatareemployees’demographics?Youareentitledtothisinformation.Bymonitoringhowthehealthcareplanisused,itispossibletodecreaseclaimcosts.Somenegotiationwiththecarrier/administratormaybenecessarytoobtainreportsinameaningfulformat.Becausehealthcareaccountsforthelargestportionofmostbenefitpackagesyoushouldstrivetoraiseyourperformancestandardsasanemployerbyapplyingyourbusinessstrategiestohealthcaremanagement.AccordingtoDavidW.Kempken,ExecutiveDirectorofBenefitsforChryslerCorporation,youshouldre-examineyourstandardsforplandesign,administration,communicationandproviderrelationshipswiththegoalof"bestpractices."Nonhealth-relatedemployeebenefits,suchasvacationtime,sickleave,pensionformulas,retirementincentives,holidaysandunemploymentcompensationtendtoremainuntouched.Thereisliteraturewhichaddressestheseissues.Theycouldsaveyourorganizationquiteabitofmoney.Benefitscanincreaseproductivitybymeetinglifestyleandfamilydemandsinadiverseandchangingworkforce.Daycarecenters,flextime,work-at-homeoptions,alternateleaveprovisions,cashoptionsandotherbenefitbarteringarrangementsmayimproveworkerproductivity.Theprinciplethatahappyworkerisamoreproductiveworkerstillholds.Likewise,fundingbenefitsthatdonotmeettheneedsoftheworkforcearebothcounterproductiveandunprofitable.AU.S.ChamberofCommercesurvey(March31,1995)citesusefulbenefitcostbenchmarks:totalbenefitcostsasapercentageofpayrollaverage41.3%nationwide.Medicalbenefitsaccountfor11.1%ofthetotal.EmployeeRelationsandCommunicationsQuestionnaire Thissectionauditsprogramsthatgovernemployeetreatment,communications,supportsystemsandservicesthatencouragegreateremployeesatisfaction,motivationandproductivity. 1.Isthereonepositionwithintheorganizationaccountableforoverseeingandcoordinatingallemployeerelationsandcommunicationsactivities?COMMUNICATIONS2.Aretherepoliciesthatstatetheorganizationoyee’semplrelationsphilosophygoverningallconditionsaffectiveemployees?3.Dothesepoliciesstateexpectedbehaviorsofemployees?4.Arethesepoliciescondensedintoanemployeehandbook?5.Howandtowhomistheemployeehandbookdistributed?6.Istheemployeehandbookinformationreviewedbylegalcounseltosatisfyalllawsaffectingemployment,personnelrelations,workingconditions,employmentatwill,impliedemploymentcontractsanddisclaimerissues?7.Howfrequentlyisitupdated?8.Isthereaformalorientationfornewemployees?Arefollow-upemployeeorientationsscheduled?9.Areemployeesgiventheopportunitytoexchangeinformationwithsuperiorsaswellasassimilateinformationbeingtransmittedfromthetopdown?10.Arethereforumsthatallowforregularinteractionandinformation exchangesbetweenemployeesandmanagement?Ifso,brieflydescribe:3.Arethereforumsinwhichracialandethnicminorityconcernsareconveyedtomanagementwiththeintentofaffectingpositivechanges?4.Doesyourorganizationengageinemployeeopinionsurveys?Ifyes,howfrequently?Doyoucommunicatesurveyresultstoemployees?Isthereademonstratedcommitmenttointroducingchangesbasedonsurveydata?EMPLOYEETREATMENT5.Areemployeesaffordedaprocesswherebothsidesofacomplaintareheardandadecisionisrenderedfairly?6.Aredisciplinaryproceduresandrulesofconductexplainedinanemployeehandbookorotherformofnotice?(Remember,thepurposeofdisciplineistohavepeoplebehaveinanacceptableway.)7.Areprogressiveformsofdisciplineexpresslycited?Aretheyconsistentlyapplied? 3.Arefairlycompetitiveemployeebenefitprogramsinplace?4.Isthereaprogramthatprovidesformanagementandemployeeparticipationinthedisciplineprocess?5.Arethereopportunitiesforemployeeprofessionalgrowth?6.Doestheorganizationdemonstrate,emphasizeandrewardleadershiptoensuresuccessandsatisfactionintheorganization?7.Usingaone-to-sevenscalehowdoimmediatemanagerpracticesrateintermsofdailysupervisionandmanagementofemployees?8.Hastheorganizationdemonstratedreasonableemploymentsecurity?9.Isdirectcompensation/payreasonable,equitableandcompetitive?10.Areemployeeandteamaccomplishments,specialeffortsandcontributionsrecognizedinadditiontodirectpay?11.Doestheorganizationencourageteamworkandemployeeinvolvement?STATISTICS12.Whatistheorganization’smonthlyabsenteerate? Doyouconsiderthishighorlow?Inwhatdepartments/areasareabsencesparticularlyhighandwhy?3.Whatistheannualturnoverrate(averagepositionreplacementsperyear)?Doyouconsiderthishighorlow?4.Areexitinterviewsconducted?Bywhom?Whoisgivenfeedbackfromtheexitinterviewandhowisitused?5.Aredemographicsofturnoverdataanalyzed?Howisthisanalysisused?Whathasmanagementdoneinthepasttwoyearstoreduceturnover?6.Hastheorganizationattemptedtoprojectfutureneedsintermsofanincreaseinworkingmothers,childcare,singleparents,elderworkers,amorediverseworkforce,etc.?7.Hastheorganizationmadeplanstomeetitsfutureemployeerelationsneeds? 3.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesdepartmentwouldratetheeffectivenessoftheorganizationemployeerelationsandcommunicationsprograms?4.Onthesameone-to-sevenscale,howdoyouthinkyourinternalclients(otherdepartmentsandemployees)wouldratetheeffectivenessoftheemployeerelationsandcommunicationsprograms?ExplanationofEmployeeRelationsandCommunicationsQuestionnaireThissectioncoversemployeesatisfaction.Thiscriticalaspectofhumanresourcesmanagementisbroadinscope,complicatedanddifficulttomeasure.Sincealmosthalfofourwakinghoursarespentatwork,aninterestingandpleasantworkenvironmentisessentialtoretainqualityemployees.Thequestionsinthissectionaredesignedtohelpyouunderstandanddealwithintangibleemployeerelationissues.Theseincludecommunication,howemployeesaretreated,supportsystemsandthoseconditionsofemploymentconducivetoemployeesatisfaction,motivationandproductivity.Threemajorissuesarecoveredhere:(1)communication,(2)employeetreatmentand(3)statisticsasagaugeofemployeesatisfaction.Policystatements,newsletters,bulletins,messagesandinformation handbookshelptheemployercommunicatewiththeemployee.Theemployer’swillingnesstocommittoitsphilosophyinwritingsetsthestageforacandiddialogue.Astandardofopennessdisplaysasenseoftrust.Whileemployeesmaynotreadeveryword,thesecommunicationshelptheemployeeidentifywiththecompanyanditssuccess. Mostimportantinthissectionaretheresponsestoquestionsnineandten.Itisimportantforyourorganizationtohavescheduledaninteractionwithemployeegroupsandrepresentativesfordiscussionofissuesofmutualconcern.Howthecompanytreatsemployeesiscertainlyimportanttothem.Itisalsocrucialtotheorganization-being.’Basdwoerlilnconsistenttreatmentisthenumberonecauseofvoluntaryturnover.Moneycancompensateifbasichumanneeds,suchasdignity,respect,justiceandsocialinteraction,arelacking.Anincreaseinworkhours,coupledwithadecreaseinthequalityofworklife,loyaltyandsecurityissues,isresponsibleforaresurgenceinunionmembership.Theunionizationofwhite-collaremployeesandfrontlineworkersisincreasing,particularlyinservices,suchasgovernment,hospitals,insuranceandfinancialfirms.Howtheemployeesaretreatedshouldbeofutmostconcerntoyou.Policyguidelineshelpmanagersmakedecisionsconcerningspecificworkplaceissues.Fromtheemployer’spointofview,personnelpoliciesandprocedureswhichguidemanagerstodotheirjobsbetterareextremelyvaluableandhelptheorganizationachieveitsobjectives. PersonnelPolicies/WorkplaceRulesQuestionnaireStatementsofguidingprinciplesintendedtotranslateorganizationalobjectivesandmeansintooperationaltermsandhelpmanagersmakedecisions.1.Aretherewrittenproceduresgoverningallconditionsofemploymentandpoliciesclearlystatingtheorganization’shumanresourcesphilosophy?2.Arethereproceduresformonitoringtheorganization’scompliancewithpersonnellawsandregulations?3.Aretherepoliciesandprocedurespublishedandadequatelycommunicated?How?(pleasedescribe)4.Isthereonepositionwithintheorganizationaccountableforoverseeingthedevelopment,coordinationanddistributionofthesepoliciesandprocedures?5.Dothesepoliciesreflecttheorganization’sdesiretobeanemployerofchoice"? 1.Dothesepoliciesandprocedurescontributetowardtheorganization’smissionandobjectives?2.Dotheybalanceempowermentofstaffwithsufficientcontrolstoensureachievementoftheorganization’smissionandobjectives?3.Aremanagersguidedbypolicyastheymakedecisionsfromhirethroughseparationofemployment?sstatedpolicies,4.Aremanagersgiventheopportunitytoprovideinputtopolicydraftsbeforetheyareformalized?5.IfthereareotherrulesoutsidetheorganizationsuchasCivilServicerules,aretheycommunicatedtoandunderstoodbythemanagers?Ifyes,doesmanagementperiodicallyreviewsuchoutsiderulestoseeiftheyreflecttheorganization’scurrentneeds?6.Ispolicyconsistentinpurpose,backgroundandproceduresforimplementation? 1.Areeffectivedatesofpoliciescited,anddotheyspecifyanypreviouspolicystatementstheysupersede?2.Areallpoliciesapprovedatthehighestappropriateleveloftheorganizationbeforebeingadopted?3.Arepersonnelpoliciescondensedintoanemployeehandbook?4.Isthecurrentpersonnelpolicymanualperiodicallyreviewedbylegalcounseltoreflectnewlawsaffectingemployment,personnelrelations,workingconditions,employmentatwill,impliedcontractanddisclaimerissues?5.Arenewpoliciesthatmayhavelegalimplicationsalsoreviewedbylegalcounsel?6.Doestheorganizationregularlyassessexistingpoliciesfornecessaryreplacementoramendment?7.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesdepartmentteamwouldratetheeffectivenessoftheorganizationspoliciesandprocedures? 1.Onthesameone-to-sevenscale,howdoyouthinkyourinternalcustomers(otherdepartments)wouldratetheeffectivenessoftheorganization’spoliciesandpreodcures?ExplanationofPersonnelPolicies/WorkplaceRulesQuestionnairePersonnelpoliciesandworkplacerulesareintendedtomakeorganizationalobjectivesreality.Theyshouldguidemanagerstodotheirjobsbetterandhelpthemmakedecisionsconcerningworkplaceissues.Policiesandproceduresshouldcitetheirbasesandresourcestohelpmanagersmakeinformeddecisions.Personnelpoliciesshouldalsobeflexibleenoughformanagerstoexercisediscretion.Inaflatteningorganizationalstructure,policiesandprocedurescansupportdelegatingdecisions.Theyshouldserveasabasisformanagerialdirection,accountability,consistentandeffectivebehaviorandcompliancemonitoring.smissiodrecognitionofemployeesThepolicymanualshouldserveasaguideforthedepartmenttomaintainaccountabilityformanaginganddeliveringhumanresourceserviceseffectively.Abalancebetweenstaffandmanagerialcontrolswillensurethemostlikelyachievementoftheorganizationandobjectives.Principlesofteamworkaninputshouldbeemphasizedasthemostimportantcomponentsofaneffectivehumanresourcephilosophy.Hereisasamplehumanresourcephilosophy. TheXYZCompanyrecognizesthatemployeesareitsmostvaluableresource.Thesuccessfulevolutionoftheorganizationdependsonthesupportandperformanceofallemployeesinachievingitsstatedmission.Accordingly,theXYZCompanywillstrivetobecomeanemployerofchoicebyprovidingthoseprogramsandserviceswhichsupportemployeesintheperformanceoftheirjobs,enhancethespiritofteamworkandqualityoflife,andprovideforemployeewell-beingfromhirethroughseparationfromXYZCompany.EqualEmploymentOpportunityandRegulatoryComplianceQuestionnairePoliciesandpracticestoensurecompliancewithequalemploymentopportunitylawsandothergovernmentalregulationsastheyrelatetorecruitment,selection,placement,compensationandtreatmentofemployeeswhileenhancingthevalidityandeffectivenessofrelatedpersonnelsystems.1.Doesyourorganizationhaveastatedpolicycoveringequalemploymentopportunityaswellasitscompliancewithallapplicablediscriminationlaws?2.Doesyourorganizationexplicitlystateitspositionagainstdiscriminationbecauseof:Race? Color?Sex?Religion?Sexualorientation?Physical/mentalhandicapordisability?Age?Nationalorigin?Ancestry?Maritalstatus?Howisthispolicycommunicatedinsideandoutsidetheorganization?1.IsthereonepositionwithintheorganizationaccountableforoverseeingandcoordinatingEEOpoliciesandprocedures?2.Isthereareviewprocesstokeeptheorganizationup-to-dateregardingregulatoryissuesandcompliance?3.Arejobopeningsanalyzedforjob-relatedskills,education,knowledgeandabilityrequirements? 1.Areselectioncriteriabasedonthesejob-relatedrequirements?Canallhiringdecisionsbedefendedagainstthesecriteria?2.Arealltestsusedinthehiringprocessvalid?3.Areallhiringmanagerstrainedinnondiscriminatoryhiringpractices?4.Hastheemploymentapplicationbeenreviewedtoensurethatitmeetsallequalemploymentopportunityrequirements?5.Isthereaninternalprocessforemployeestoregistercomplaintsconcerningdiscriminationandharassment? 1.Doesyourorganizationhaveanexplicitpolicyagainstsexualharassment?Hasaproceduretoresolvesexualharassmentclaimsbeenimplemented?2.Doyouoffertrainingtomanagementonsexualharassmentawarenessandlegalrequirements?3.DoesyourorganizationconformtoallprovisionsoftheAmericanswithDisabilitiesAct(ADA)?Doesyourorganizationhaveapolicystatementthatprohibitsdiscriminationagainstqualifiedhandicappedordisabledindividuals?Doyourorganization’sejsocbridptionsdistinguishbetweenthosequalifications,physicalrequirements,dutiesandresponsibilitieswhichareessentialandthosewhicharenonessential?Arepolicymanuals,handbooks,recruitmentnotices,jobpostingsandadvertisementsconsistentregardingqualifiedindividualswithaphysicalormentalimpairmentofamajorlifeactivity?Candisabledindividualsapplyforjobopeningsandgainaccesstothepremises?Isthereareviewprocessforemployeerestrictionsandreasonableaccommodationrequests?4.IfyouareaFederalorStategovernmentagency,doesyourorganizationconform totherequirementoftheVeteransPreferenceAct?1.Doesyourorganizationhaveagovernmentsupplies/servicecontractorsubcontractof$50,000ormoreinany12-monthperiod?Ifyes,doesithaveanAffirmativeActionPlan(AAP)inplaceforeachoftheorganization’sestablishments?2.AreallAAPsdevelopedaccordingtotheOfficeofFederalContractsCompliancePrograms(OFCCP)guidelines,including:AffirmativeActionPlanNarrative?WorkforceAnalysis?JobGroupAnalysis?AvailabilityAnalysis? UtilizationAnalysis?GoalsandTimetables?1.Doesyourorganizationconductaself-EEO/AAPauditonaperiodicbasis?2.DoesyourorganizationhaveahiringprocedureregardingtheexaminationofdocumentstoverifyapplicantidentityandauthorizationtoworkintheUnitedStatesasspelledoutintheImmigrationReformandControlAct(IRCA)?3.DoesyourorganizationhaveaFederalcontractorsubcontractof$25,000ormore?4.Ifyes,doesyourorganizationfulfillthefollowingrequirementsoftheDrug-FreeWorkplaceActof1988?:Publishapolicystatementprohibitingtheunlawfulmanufacture,distribution,possessionoruseofacontrolledsubstanceintheworkplaceandspecifyingwhatactionswillbetakenagainstemployeeswhoviolatethepolicy? Provideacopyofthepolicytoemployeesworkingunderthecontract?Provideguidance/trainingonpolicyrequirements?Haveadrug/alcohol-freeawarenessprogram?Notifyemployeestheymust,asaconditionofemployment,notifytheemployeriftheyareconvictedofacriminaloffenseoccurringintheworkplacewithinfivedaysaftertheconviction?1.DoesyourorganizationcomplywiththerequirementsoftheOmnibusTransportationEmployeeTestingActof1991?2.Doesyourorganizationprovideprogramsfordrug/alcoholrehabilitation?3.DoesyourorganizationconformtotheFamilyLeaveAct?4.DoesyourorganizationcomplywithrequirementssetforthintheOccupationalSafetyandHealthAct(OSHA)?5.DoesyourorganizationconformtotheprovisionsofEmployeeRetirementIncomeSecurityActof1974(ERISA)? 1.Hastheorganizationassessedormetcurrentandemerginglegalissuesrelatingtoequalemploymentandothergovernmentalregulations?2.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesdepartmentwouldratetheorganization’sperformanceintheareaofequalopportunityandregulatorycompliancecitedabove?3.Onthesameone-to-sevenscale,howdoyouthinkemployeeswouldratetheorganization’scomplianceperformance?ExplanationofEqualEmploymentOpportunityandRegulatoryComplianceQuestionnaireGovernmentalregulationsaffecteveryaspectofpersonnelmanagement.Regulatorycomplianceisoneoftheforemostconcernsinhumanresourcesmanagement.KnowledgeofemploymentlawprovidesjobsecuritytotheHRprofessionalswhospecializeinthisarea.Humanresourcesmanagementliterature,seminarsandgovernmentpublicationscovertheselegalissues.ManyHRprofessionals--nomatterwhattheirspecialty--haveofnecessitybecomeparalegals.Questionsinthissectionhavebeendesignedtohighlightpressingregulatoryissues.Emphasishasbeenplacedoncomplexissues,suchastheAmericanwithDisabilitiesAct andtheDrug-FreeWorkplaceAct.TheHRdepartmentshouldreviewinternalproceduresthatbothaddressdueprocessinhandlingcomplaintsofdiscriminationandharassmentandencouragetrainingandawarenesstoensureaharassment-freenondiscriminatoryworkplace.Aqualifiedsenior-levelindividualshouldoverseetheseeffortsandkeeptopmanagementinformedofprogress.OrganizationsthatdemonstrategenuineconcernforEEO,affirmativeactionanddiversityissuesalsoresolvemostclaimsin-house.Legalfeesand‘nofault’settlementawardshavereachedoutlandishproportions.Therapidincreaseinclaims,particularlyinthesexanddisabilitycategories,hascreatedabacklogintheEEOCommissionandforcedclaimantstoinitiatecivilsuits.Agingbabyboomerswhoarebeingrapidlytrimmedfromlargecorporationsareexpectedtolaunchanewwaveoflegalsuits.Theyaremorelikelytohavethefinancialresourcestoencouragethelegalcommunitytoaggressivelypursueagediscriminationclaims.Increasedattentiontocomplianceissuesnecessarilymustincludeself-auditspatternedaftertheOfficeofFederalContractsCompliancePrograms(OFCCP)aspublishedintheFederalRegistrarandBureauofNationalAffairs.Allorganizationsshouldfindwaystopreventdiscriminationandharassmentclaims.Thissectionoftheself-auditiscriticaltounderstandingandusingregulationstoenhancebothpreventionandin-houseresolutionofclaims.Properjobspecificationsand requirements,validtestingandscreeningtechniques,equalopportunitiesforallemployees,consistencyinemployeetreatmentandvaluingdiversitydemonstrategoodbusinessmanagement.TrainingandDevelopmentQuestionnairePrograms,processesandstrategiesthatwillenableorganizationstodevelopandimprovetheirinternalhumanresourcesinordertooptimizetheircontributionstoorganizationalobjectives.1.Isthereapolicythatstatestheorganization’sphilosophyonemployeetraininganddevelopment?2.Isthereapositionwithintheorganizationaccountableforoverseeingandcoordinatingtraininganddevelopmentactivities? 3.Isthereaprocessforassessingtheorganizationmediatesimtrainingneedsandindividualdevelopmentneeds?Ifyes,howisthisassessmentcarriedout?Howoftenistheassessmentupdated?sfuturetrainingWhoparticipatesintheassessment?4.Isthereaprocesstoassesstheorganizationneeds?Ifyes,howisthisassessmentcarriedout?Whoparticipates?Howfarintothefuturearetheneedsprojected?5.Arejobskills,knowledgeandabilityconsideredinassessingtrainingneeds?6.Arenewtechnologies,processes,products,services,marketchangesandcommunityneedsconsideredinassessingtrainingneeds?7.Areorganizationalissues,suchasmission,objectives,culturalchangesandcustomerorientation,consideredintrainingneeds?8.Aretheorganization’ssocialresponsibilitiensdarespectfordiversityreflectedintrainingneeds?9.Arelegalrequirementsconsideredintrainingneeds? 4.Isremedialtraininginliteracyandbasiccomputationskillsoffered?5.Areemployeedevelopmentplansaddressedinperformanceappraisalsorotherformalsettings?6.Towhomaretheorganization’simmediateandfuturetraininganddevelopmentneedscommunicated?Howoften?7.Howarealltrainingprogramsandopportunitiescommunicatedtoemployees?8.Aresubscriptionstoprofessionaltraininganddevelopmentjournalsmaintainedandcirculatedamongdepartmentmembers?Isthereareferencelibraryoftraininganddevelopmentmaterialforemployeeuse?Istherecoordinationofprofessionaldevelopmentmaterial?9.Doalltraininganddevelopmentprogramshaveclearobjectives(Forexample,inaworkshoponWordPerfect,aclearobjectivewouldbe:Attheendofthistraining,participantswillbeabletousetheMerge/Sortfeature.)?10.Howaretrainingresourcesidentifiedinternallyandexternally?Whoisinvolvedinthedetermination?Howarealltrainingresourcescoordinated? 4.Aretheresultsoftrainingprogramsmonitoredandevaluated?5.Iscostconsideredintheselectionoftrainingresources?6.Isthereamethodtotracktrainingcostsintermsoflostworktime?7.Doesyourorganizationmeasureareturnoninvestmentintraining?Howdoyouknowtrainingisusedbackinthejob?8.Doestheorganizationprovideadequatecapacitytomeetchosentraininganddevelopmentneeds?Areemployeesavailingthemselvesoftrainingopportunities?9.Aretraininganddevelopmentneedsreflectedintheorganization’sbudget?10.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesdepartmentteamwouldratetheorganization’straininganddevelopmentactivitiesandperformance?11.Onthesameone-to-sevenscale,howdoyouthinkyourcustomers(otherdepartments)wouldratethetraininganddevelopmentactivitiesandperformance.ExplanationofTrainingandDevelopmentQuestionnaireThepurposeoftraininganddevelopmentistooptimizeHRcontributionstoorganization objectives.Thequestionsinthissectionfocusontrainingneedsandobjectives,addressorganizationalissues(newproducts,technology,workmethodsandchangingskillrequirements)andgaugewhatimpacttraininghasontheorganization’sprofitability.Aneedsassessmentshouldbeconductedbeforeembarkingonanytrainingprogram.Manybusinessesofferwonderfultrainingprograms. Attendeesusuallyleaveinvigoratedandexcited.Thentheremaybeafewcomplaintsfrommanagersaboutovertimecostsandslowdownsinoperatingefficiencybecauseof"unproductive"trainingtime.Analysisoftrainingcostsmayrevealthatdepartmentsareusingmoreexpensiveoutsideresourcesbecausetheirneedsarenotaddressedbyin-houseprograms.Trainingmaybeseenastooexpensivebothintimeandmoney.Budgetsmaybecut.Togaincredibilitywiththecustomerandassumethestatusofbusinesscontributor,thetraininganddevelopmentfunctionoftheHRdepartmentmust(a)clearlyaddresscustomerneeds,(b)formulatetrainingprogramsincollaborationwithusers,(c)settrainingobjectives,(d)performacost-benefitanalysisofallprogramsand(e)measureresults.Oncecredibilityisestablished,departmentmanagerswillseethattheirtrainingbudgetsarenecessaryandwellused.Thechoiceoftrainingresourcesshouldbecost-effective.Insomecasesatrainingcurriculumcanbedevelopedbyin-houseexperts.Forothertopicsitwillbemorecost-effectivetogooutsidetheorganizationthantotrainsomeonein-house.Therearemanyfreelancetrainerswith detailedsubjectmanualsusingwell-developedmodulesandtechniques.Contracttrainershaveproventobeverycost-effective.LaborRelationsQuestionnaireTheprocessthatensuresandoverseesfairandeffectivecollectivebargainingwiththoseunionsrepresentingemployeesandfosterspositivelaborrelationsdesignedtoachieveorganizationobjectives.1.Doestheorganizationclearlystateitsphilosophyonlaborrelationsandimplementguidingproceduresformanagerswhodealwithcontractandlaborrelationissues?2.Isthereapositionwithintheorganizationthatoverseesandcoordinateslaborrelationactivities?3.Dolaborrelationsstrategiessupporttheorganization’sbusineplan?4.5.Istopmanagementinformedandsupportiveoflabormanagementstrategiesandgoals?Isthereanatmosphereofmanagementrespectforunionrepresentation?6.Arenegotiationstrategiesandobjectivesformulatedinadvanceofcontractnegotiations?7.Doesmanagementunderstandthelawsthatgoverncollectivebargaining? 6.Isyourlabormanagementteameducatedandtrainedinprivate-orgovernment-sectorbargainingtechniques?7.Doesyourlaborrelationsstaffnetworkwithprofessionalsfromotherorganizations?8.Areunionofficialsinvolvedinworkshops,educationalforumsorotherinteractivesessionswithmanagementtoaddresstopicsofmutualconcern,suchasbusinesscompetition,healthcarecosts,compensationandorganizationchangeissues?9.Isthereaformallabor/managementgrouptodiscussissuesofmutualconcernoutsideofthebargainingprocess?Ifyes,doesthisgrouphaveacharterandregularlyscheduledmeetings?Isthegrouptrainedineffectivemeetingskills(e.g.,agenda,groundrules,timekeeping,facilitationandactionplans)?10.Isadequateassistanceprovidedtomanagersincontractadministrationandhandlinggrievances?11.Aremanagerstrainedinhandlingdisciplinematters,recordkeeping,counselingskills,precedent-settingissues,etc.?12.Areeffortsmadetoanalyzerootcausesofgrievancesandtakecorrective/preventativemeasurestoreducethem?13.Whengrievancesaresubmitted,aretheyresolvedinatimelyfashion? 6.Aretherecredibleeffortsmadetogainlabor’sinputandparticipationinfindingbetterwaysfortheorganizationtosurvive?7.Hastheorganizationmadeplanstomeetitsfuturelaborrelationsneeds?8.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesdepartmentwouldratetheeffectivenessoflaborrelation’sperformance?9.Onthesameone-to-sevenscale,howdoyouthinkotherdepartmentswouldratelaborrelationsperformance?10.Onthesameone-to-sevenscale,howdoyouthinkunionofficialswouldratelaborrelationsperformance?ExplanationofLaborRelationsQuestionnaireThesectiononlaborrelationsisimportantfororganizationswithunions.Thebrevityofthissectionisnotintendedtominimizeitsimportance.Therearefewerquestionssimplybecausefairandeffectivecollectivebargainingpracticesareusuallyalreadyinplace.Infact,laborrelationsmaybeoneofthemostimportantcategoriesforthemanyorganizationswhichdealwithunions,suchaslocalgovernmentandpublicsectoragenciesandheavilyunionizedmanufacturingcompanies. MostFortune500manufacturingcompaniesareunionized,andtheremaybegoodreasonswhyotherworkingenvironmentsneedunions.Managementshouldlinkoveralllaborrelationsandcollectivebargainingstrategiestotheorganization’sbusinessplanningprocesswellbeforecompanyrepresentativesgothebargainingtable.Equallyimportantareissuesofworkforceflexibilityandworkredesign.Companymanagersshouldfostercooperativerelationswiththeirunionsanddrawontheskillsandknowledgeofunionleaderstoachievetheorganization’sobjectives.Bopthloeyemranduniondependontheorganizationssuccessandabilitytocompeteintheglobaleconomy.Thethemeofthesequestionsistheneedtogainlaborcooperationforcontinuousimprovementandtofosterunionleadershipawarenessandinvolvementincriticalcostissues.Answersshouldrevealmutualinterestsratherthanadversarialpositionsthathavenotpaidoffforeitherpartyovertheyears.Safety,HealthandWellnessQuestionnaireProgramsthatprovideaworkenvironmentthatcontributestoanddemonstratesconcernforemployeesafety,healthandwell-being,andthatproducetheeconomicbenefitsderivedfromasaferworkenvironmentandhealthierworkforce. 1.Doestheorganizationhaveapolicystatingitsphilosophyonemployeesafety,healthandwellness?Isthispolicyclearlysupportedandmonitoredbymanagement?Aretherepoliciesandproceduresthatdemonstratecompliancewithfederal,stateandlocalregulations?Doesthepolicyprovideguidancetomanagersonimplementationofrelatedprograms?2.Doesonepositionwithintheorganizationoverseeandcoordinatesafety,healthandwellnessactivities?Isthereaprocessthatensuresorganizationalcompliancewithcurrentgovernmentalregulations?3.AreallaspectsofOSHAregulationsadheredto,suchas:Thegeneraldutyclause?Generalindustryandverticalstandards?Recordkeepingrequirements?Theright-to-knowclause? 1.Doesyourorganizationhaveawellnessprograminplace?Doesitinclude:Aqualifiedwellnesscoordinator?Voluntaryfreebiennialphysicals? Ahealthriskassessment?Ahealthriskassessmentfollow-up?Counselingandfeedbackonhealthandlifestyleimprovements?Discussions/trainingonhealth-relatedtopics?Accesstoexerciseandfitnessfacilities?Anevaluationofprogrameffectiveness(measurablebyreducedabsenteeism,increasedproductivity,reducedhealthcarecosts,fewerclaims,andprogressagainstmajorriskfactorsmeasuredinhealthexams)?Doestheevaluationincludeacost/benefitanalysis?1.DoesyourorganizationhaveanEmployeeAssistanceProgram(EAP)?Doesitinclude:sbottomline(thiscouldAnanalysisofproblemsemployeesexhibitthat,ifassisted,wouldimprovetheorganizationbedeterminedbyanexaminationofcompanyrecordsofaccidents,benefitsusage,absences,performance,aswellasbyinterviewswithemployees,supervisorsandmedicalpersonnel)?Anevaluationoftheprogram’seffectivenesstoreduceabsenteeismandaccidentandhealthinsuranceclaimsandimproveperformance? Acost/benefitanalysis?1.Doesyourorganizationhaveformalaccidentpreventionprograms?Ifso,dotheyinclude:Ananalysisofwork-relatedinjuriesbycategory,departmentandlocation?Formalworkplaceinspections?Aprocesstoaddressbiomechanicsandergonomicsintheworkplace? Inspectionsthataddressaccidentcauses,unsafeconditionsandunsafebehaviors?Employeetraininginaccidentpreventionandgoodsafetypractices?Reinforcementandrecognitionofsafebehaviors?1.Doesyourorganizationmeasurethecost/benefitratioofsafetyprograms?2.Doesyourorganizationengageinworkplaceevacuationdrills?Ifso,howoften?3.Onascaleofonetoseven(sevenbeingthehighestandfourbeingadequate),howdoyouthinkyourHumanResourcesteamssafety,healthwouldratetheeffectivenessoftheorganizationandwellnessprograms?4.Onthesameone-to-sevenscale,howdoyouthinkyourinternalclientsandemployeeswouldrateyoursafety,healthandwellnessprograms? ExplanationofSafety,HealthandWellnessQuestionnaireThissectionprovidesathoroughreviewofemployeesafety,healthandwellnessprogramsandmethodstoproduceandmeasuretheeconomicbenefitsofasaferworkenvironmentandhealthierworkforce.Questions4and5dealwiththeimportanceofemployeemedicalsurveillance,wellnessprogramsandEmployeeAssistancePrograms.Theseprogramsimproveattendance,productivityandemployeewellnesswhiledecreasinghealthcarecosts.Providerpromotioninformationemphasizestheobviousbenefitsoftheseprograms.However,bytrackingyourownmeasurementsandperformingcostbenefitanalyses,youcanmanagethereturninvestmentinsafety,healthandwellnessmoredeliberately.Question6dealswithaccidentpreventionandshouldreceive50%oftheoverallscoringweight,particularlyconsideringthosepartsofthequestiondealingwithsafebehaviors.