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Name                                   Company                  Email
Gary Watkins                           Workinfo.com             info@caselaw.co.za




The audit questions have been collated from various sources and specifically in terms of South African legislation.

South African Employment Legislation Overview:_

Labour Relations Act                   modelled on UK and Germany's labour legislation, address collective employment relatio
Basic Conditions of Employment Act     as title of Act says, addresses leave, remuneration, and other statutory rights. Language
Employment Equity Act                  modelled on second generation Canadian Legislation (also statutory structures initially fu
Skills Development Act                 similar to New Zealand, UK and Australian National (Vocational) Qualification structure w
Unemployment Insurance Act             res ipsa loquitur
Income Tax Act                         infra
Codes of Good Practice                 modelled on current international trends,promulgated in terms of various Acts, addresse
Bill of Rights
Disclosure of Information Act          similar to Whistleblower legislation elsewhere
Medical Aid legislation
Pension Funds Act
etc

Statutory Structures
Constitutional Court
Labour Appeal Court
Labour Court
CCMA                                   similar to UK ACAS tribunals and USA NLRB

Employment Equity Commission     similar to UK Race Relations Board and USA EEOC
Gender Commission
Human Rights Commission
Employment Conditions Commission
etc.

Some clarifications
Exempt / Non-exempt employees          In SA, distinctions are made based on annual earnings. Those employees earning abov
Termination at will                    As in the rest of the world, other than USA, this concept is foreign to local jurisprudence
              Tel                          Fax                         URL
              27 [0]12 6690524             27 [0]12 669 0524           http://www.workinfo.com http://www.caselaw.co.za




y in terms of South African legislation.



ur legislation, address collective employment relationships and termination procedures
remuneration, and other statutory rights. Language is very similar to UK laws
 dian Legislation (also statutory structures initially funded by Canadians)
 alian National (Vocational) Qualification structure with Standards Generating Bodies and Qualifications Authorities


ds,promulgated in terms of various Acts, addresses specific issues such as AIDS, Equity, Sexual Harassment (has brought into SA jurisdicti




nd USA EEOC




n annual earnings. Those employees earning above earnings threshold are not entitled to rank and file benefits e.g. overtime pay etc
 USA, this concept is foreign to local jurisprudence (thankfully)
as brought into SA jurisdiction USA concepts of quid pro quo harassment etc), Maternity, Retrenchment etc. Developed by leading labour sp




g. overtime pay etc
etc. Developed by leading labour specialists in SA and based on latest international thinking e.g. EEC Codes and Best Practices
Codes and Best Practices
No Question                                                                                      Answer
  1 When the applicant has had supervisory experience and the position in question also entails supervision/management: Ho
  2 When the applicant has had supervisory experience and the position in question also entails supervision/management: H
  3 When the applicant has had supervisory experience and the position in question also entails supervision/management: H
  4 When the position entails supervision/management: What would you look for when hiring people?
  5 When the applicant has had supervisory experience and the position in question also entails supervision/management: Ha
                                                                                                   not limited procedures, adve
  6 In conducting your human resources audit, an employment policy or practice includes, but isrecruitment to-
                                                                                                 appointments and the appoint
                                                                                                 job classification and grading;
                                                                                                 remuneration, employment be
                                                                                                 job assignments;
                                                                                                 the working environment and
                                                                                                 training and development;
                                                                                                 performance evaluation syste
                                                                                                 promotion
                                                                                                 transfer;
                                                                                                 demotion;
                                                                                                 disciplinary measures other th
                                                                                                 dismissal.
                                                                                                 race,
  7 Does your Company unfairly discriminate, directly or indirectly, against an employee, in any employment policy or practice
                                                                                                 gender,
                                                                                                 sex,
                                                                                                 pregnancy,
                                                                                                 marital status,
                                                                                                 family responsibility,
                                                                                                 ethnic or social origin,
                                                                                                 conscience,
                                                                                                 belief,
                                                                                                 political opinion,
                                                                                                 sexual orientation,
                                                                                                 age,
                                                                                                 disability,
                                                                                                 religion,
                                                                                                 HIV status,
                                                                                                 culture,
                                                                                                 Trade Union membership
                                                                                                 language and
                                                                                                 birth
  8 Do your employment policies distinguish, exclude or prefer any person on the basis of an inherent requirement of a job. If
  9 Does your Company have requirements for medical testing of employees, and if so,             Is it permitted in terms of any
                                                                                                 is it justifiable in the light of me
                                                                                                 shown to and if so, have valid
 10 Does your Company implement psychological testing and other similar assessments of an employee, be scientifically such
                                                                                                 applied fairly to all employees
                                                                                                 not biased against any employ
                                                                                                  the full name and address;
 11 Do or have you supplied your employee, when the employee commences employment, with yourfollowing particulars in wr
                                                                                                 the name and occupation of th
                                                                                                 the place of work, and, where
                                                                                                 the date on which the employm
                                                                                                 the employee's ordinary hours
                                                                                                 the employee's wage or the ra
                                                                                                 the rate of pay for overtime wo
                                                                                                 any other cash payments that
                                                                                                  any payment in kind that the e
                                                                                                  how frequently remuneration w
                                                                                                  any deductions to be made fro
                                                                                                  the leave to which the employ
                                                                                                  the period of notice required to
                                                                                                  a description of any council or
                                                                                                  the period of notice required to
                                                                                                  a list of any other documents

                                                                                                  an particulars not able to ch
12 When any term or condition of employment of an employee changes do you change the writtenemployee isto reflect theund
13 Have you made provision for keeping written particulars of employment of your employees for a period of three years after
                                                                                                  your form of the employee's r
14 Do you display at the workplace where it can be read by employees a summary in the prescribedemployees name and oc
                                                                                                  the time worked by each emp
                                                                                                  the remuneration paid to each
                                                                                                  the date of birth of any employ
                                                                                                  Are such records kept for a pe
15 Do you pay your employees any remuneration that is paid in money                               in South African currency; dai
                                                                                                  the workplace or at a place ag
                                                                                                  no later than seven days after
                                                                                                  your name and
16 Do you provide your employees with the following information in writing on each day the employee is paid address;
                                                                                                  your employees name and oc
                                                                                                  the period for which the paym
                                                                                                  your employees remuneration
                                                                                                  the amount and purpose of an
                                                                                                  the actual amount paid to you
                                                                                                  if relevant to the calculation of
                                                                                                  the employee's rate of remune
                                                                                                  the number of ordinary and ov
                                                                                                  the number of hours worked b
                                                                                                  if an agreement to average wo
17 12 of the Basic Conditions of Employment Act, the total number of ordinary and overtime hours worked by the employee in
18 Is such written information given to each employee at the workplace or at a place agreed to by the employee; and during
19 Do they avoid generalities, vague terms, and professional jargon?
20 Are there physical requirements that don’t have a direct correlation to the job you’re describing?
21 Is there any language that could be considered sexist?
22 Do they consolidate job responsibilities and list the most important ones first?
23 Is there any language that discriminates against older employees?
24 Are unessential requirements listed that could block the hiring of a person with a disability?
25 Do they describe what is to be accomplished, rather than the method for performing the job?
26 Are undesirable working conditions, such as worksite temperatures, noise levels, gases, fumes, or hazardous materials, a
27 Are required interpersonal skills explained?
28 Do they avoid generalities, vague terms, and professional jargon?
29 Are there physical requirements that don’t have a direct correlation to the job you’re describing?
30 Is there any language that could be considered sexist?
31 Do they consolidate job responsibilities and list the most important ones first?
32 Is there any language that discriminates against older employees?
33 Are unessential requirements listed that could block the hiring of a person with a disability?
34 Do they describe what is to be accomplished, rather than the method for performing the job?
35 Are undesirable working conditions, such as worksite temperatures, noise levels, gases, fumes, or hazardous materials, a
36 Are required interpersonal skills explained?
37 Do you have a written policy explaining how long applications will be considered active, and when and how applicants can
38 Do you purge your files on a regular basis in accordance with your policy?
39 Does your application have the following disclaimers?                                         Falsification or omission of inf
                                                                                                 Applicant gives employer cons
40                                                                                               Applicant’s
     Does your application ask for any of the following information that may be considered discriminatory? sex, or sexual pref
                                                                                                 Applicant’s weight or height, u
                                                                                                 Whether the applicant is singl
                                                                                                 Whether the applicant is preg
                                                                                                 Applicant’s age, other than to
                                                                                                 Dates applicant attended high
                                                                                                 Applicant’s military status, unl
                                                                                                 Applicant’s memberships.
                                                                                                 General questions about arres
                                                                                                 Applicant’s religious affiliation
                                                                                                 Applicant’s general state of he
                                                                                                 If the applicant is a citizen of a
                                                                                                 Applicant’s attitude about trad
41   Does your employee handbook contain a general disclaimer?
42   Does your handbook contain a statement indicating that it is intended to provide information only, is not a contract, and ca
43   Do you have employees sign acknowledgement forms recognizing that they have received the handbook and understand
44   Are your disclaimers printed in large type and placed in prominent positions?
45   Does your handbook indicate that serious offences can circumvent your progressive discipline policy and result in immedi
46   Does your handbook contain statements promising a promotion-from-within policy?


     REFERENCES
 1   Does your application state that references will be checked carefully and will influence the hiring decision?
 2   Do you avoid recording discriminatory information even if it is given in a reference check?
 3   Does the person who is conducting the reference check understand the job requirements?
 4   Do you keep written documentation on every reference check?
 5   Do you ask applicants to sign a release absolving previous employers from liability for the information they provide?
 6   Do you understand the restrictions on gathering medical information on applicants?
 7   Do you apply the results of your reference checks consistently to all applicants?
 8   Do you ask employees who are resigning or being terminated to sign a reference request form?
 9   Do you authorize only a few individuals to respond to reference requests?
10   Do you refuse to give oral references?
11   Do you require prospective employers to furnish consent forms before giving out references?
12   Do you screen prospective employers by taking a telephone number and calling back?
13   Are your references based on both positive and negative factors?
              Yes      No
ils supervision/management: How would you describe your management style?
ils supervision/management: How many people do/did you supervise in your present/previous job?
ils supervision/management: How do you think your subordinates perceived(d) you? How does their perception compare with you’re the wa

ils supervision/management: Have you ever had to fire anyone? If so, what were the circumstances and how did you handle the situations
   recruitment procedures, advertising and selection criteria;
   appointments and the appointment process;
   job classification and grading;
   remuneration, employment benefits and terms and conditions of employment;
   job assignments;
   the working environment and facilities;
   training and development;
   performance evaluation system;



 disciplinary measures other than dismissal; and




 pregnancy,
 marital status,
 family responsibility,
 ethnic or social origin,
 conscience,

            colour,
 sexual orientation,



 HIV status,

 Trade Union membership
 language and

nherent requirement of a job. If so, are such inherent requirements legitimate, objective and easily ascertainable to a third party, such as a C
 Is it permitted in terms of any legislation; or
 is it justifiable in the light of medical facts, employment conditions, social policy, the fair distribution of employee benefits or the inherent req
 shown to be scientifically valid and reliable;
 applied fairly to all employees; and
 not biased against any employee or group?
 your full name and address;
 the name and occupation of the employee, or a brief description of the work for which the employee is employed;
 the place of work, and, where the employee is required or permitted to work at various places, an indication of this;
 the date on which the employment began;
 the employee's ordinary hours of work and days of work;
 the employee's wage or the rate and method of calculating wages;
 the rate of pay for overtime work;
 any other cash payments that the employee is entitled to;
  any payment in kind that the employee is entitled to and the value of the payment in kind;
  how frequently remuneration will be paid;
  any deductions to be made from the employee's remuneration;
  the leave to which the employee is entitled;
  the period of notice required to terminate employment, or if employment is for a specified period, the date when employment is to terminate
  a description of any council or sectoral determination (Wage Determination) which covers the employer's business;
  the period of notice required to terminate employment, or if employment is for a specified period, the date when employment is to terminate
  a list of any other documents that form part of the contract of employment, indicating a place that is reasonably accessible to the employee

   an employee is not able to understand the written particulars, do you ensure that they are explained to the employee in a language and in a
  for a period of three years after the termination of employment.
   your employees name and occupation;
   the time worked by each employee;
   the remuneration paid to each employee;
   the date of birth of any employee under 18 years of age.
   Are such records kept for a period of three years from the date of the last entry in the record.
   in South African currency; daily, weekly, fortnightly or monthly; and in cash, by cheque or by direct deposit into an account designated by th
   the workplace or at a place agreed to by the employee; during the employee's working hours or within 15 minutes of the commencement o
   no later than seven days after the completion of the period for which the remuneration is payable; or the termination of the contract of emp
   your name and address;
   your employees name and occupation;
   the period for which the payment is made;
   your employees remuneration in money;
   the amount and purpose of any deduction made from the remuneration;
   the actual amount paid to your employees; and
   if relevant to the calculation of any employee's remuneration-
   the employee's rate of remuneration and overtime rate;
   the number of ordinary and overtime hours worked by the employee during the period for which the payment is made;
   the number of hours worked by the employee on a Sunday or public holiday during that period; and
   if an agreement to average working time has been concluded in terms of section 12 of the Basic Conditions of Employment Act, the total n
hours worked by the employee in the period of averaging.
 o by the employee; and during the employee's ordinary working hours or within 15 minutes of the commencement or conclusion of those ho




umes, or hazardous materials, and space restrictions listed?




umes, or hazardous materials, and space restrictions listed?

d when and how applicants can update them?
  Falsification or omission of information can lead to refusal to hire or to discharge.
  Applicant gives employer consent to check references, verify information, and obtain reports from consumer reporting agencies.
  Applicant’s sex, or sexual preference, practices, or orientation.
  Applicant’s weight or height, unless a bona fide occupational qualification exists.
  Whether the applicant is single, married, or divorced.
  Whether the applicant is pregnant, has children, or must make arrangements for child care.
  Applicant’s age, other than to determine that the applicant meets minimum state requirements.
  Dates applicant attended high school.
  Applicant’s military status, unless military status is related to his/her ability to perform the work.
  Applicant’s memberships.
  General questions about arrest records.
  Applicant’s religious affiliation.
  Applicant’s general state of health.
  If the applicant is a citizen of another country.
  Applicant’s attitude about trade union organisations.

 n only, is not a contract, and can be modified at any time?
  the handbook and understand it?

pline policy and result in immediate termination?




hiring decision?



information they provide?
erception compare with you’re the way you

d how did you handle the situations




rtainable to a third party, such as a Commissioner or Arbitrator?

employee benefits or the inherent requirements of a job?




cation of this;
 ate when employment is to terminate;
er's business;
 ate when employment is to terminate;
asonably accessible to the employee where a copy of each may be obtained.

  the employee in a language and in a manner that the employee understands.




 osit into an account designated by the employee.
 15 minutes of the commencement or conclusion of those hours; and in a sealed envelope which becomes the property of the employee.
he termination of the contract of employment?




 yment is made;

 itions of Employment Act, the total number of ordinary and overtime hours worked by the employee in the period of averaging.

mencement or conclusion of those hours.
sumer reporting agencies.
es the property of the employee.




he period of averaging.
No Question
   Employee Evaluations: Performance Appraisals
 1 Do all evaluations follow the written schedule described in your employee handbook and company policy manual?
 2 Do all evaluations follow the written schedule described in your employee handbook and company policy manual?
 3 Are your evaluators aware of the danger of using the performance appraisal form as a retaliatory weapon?
 4 Do appraisers understand how a lowered performance rating could trigger an age discrimination lawsuit?
 5 Do you require managers to explain sudden drops in performance appraisal ratings?
 6 Do you have an appeals process for employees who are not satisfied with their ratings?
 7 Are evaluators aware of the type of statements made in a performance appraisal that might be considered defamatory?
 8 Do appraisers understand why the results of performance appraisals should be given only to those with a need to know?

     Employee Evaluations: Promotions
 1   Do you have objective guidelines on which to base promotion decisions?
 2   Do you consider all promotion candidates equally, without regard to sex, race, age, or disability?
 3   Do you regularly review job requirements to see if requiring less experience or offering more training would increase your p
 4   Are all aspects of your promotion process completely up to date?
 5   Do you keep records of all interview notes which enter into promotion decisions?
 6   Do you publicise requirements necessary for promotion?
 7   Do you check out all complaints from employees who claim they are being passed over for promotion for discriminatory rea
 8   Do you question managers who never seem to recommend women or minorities for promotion?
 9   Is there any evidence that a manager may be passing over employees for promotion for retaliatory reasons?

     Employee Discipline: Rule Infractions (Misconduct)
 1   Are you familiar with and does your codes of conduct procedures comply with the Code of Good Practice on Unfair Dismiss
 2   Is the rule which was violated a reasonable one?
 3   Was the employee aware of the rule?
 4   Was the employee aware of the consequences for violating the rule?
 5   Does the discipline follow your progressive discipline system?
 6   Did the employee offer an excuse for the rule violation?
 7   Could the employee have been harmed by obeying the rule?
 8   Does the rule violate safety or state regulations?
 9   Does the rule serve a useful purpose, or is it frivolous?
10   Could the employee have been trapped into a rule violation?
11   Is there sufficient proof to show that the employee broke the rule?
12   Are there extenuating circumstances that should be taken into account?
13   Have you considered the employee’s past disciplinary record in selecting the penalty?

     Employee Discipline: Poor Performance
 1   Are you familiar with and does your performance management procedures comply with the Code of Good Practice on Unfa
 2   Has the employee been properly warned about his/her performance?
 3   as the employee given adequate training and reasonable improvement goals?
 4   Have you carefully reviewed the employee’s prior disciplinary history?
 5   How have you handled similar performance problems in the past?
 6   Have you considered any new information that may be related to the problem?
 7   Have you checked company policy to ensure consistency and fairness?
 8   do you plan to involve the employee in helping to set improvement goals?
 9   Does the employee understand what can happen if improvement goals are not met?
10   Could a basic review or additional training improve performance?

   Employee Discipline: Suspension
 1 Does the suspension follow the progressive discipline policy spelled out in your handbook or policy manual?
 2 Is the suspension decision the result of a fair, proper procedure?
 3   Was the employee properly warned about the possibility of a suspension?
 4   Does the documentation provide a factual basis that justifies the suspension?
 5   Could the suspension be seen as a form of retaliation?
 6   Is the employee being suspended a member of a protected class or has he/she filed a discrimination complaint?

     Employee Discipline: Termination
 1   Are you familiar with and does your termination procedures comply with the Code of Good Practice on Unfair Dismissals?
 2   Has the termination decision been compared to other penalties imposed on other employees for similar infractions?
 3   Is the termination consistent with the employee’s discipline record?
 4   Are there any potential legal problems, such as age, race, or sex discrimination; wrongful termination; or sexual harassmen
 5   as the employee been properly warned and given sufficient time to improve performance or behaviour?
 6   Is the offence for which the employee is being terminated spelled out in the handbook or company policy manual as an offe
 7   Was the terminated employee given the right to use the company’s complaint or review procedure?
 8   Do you have the documentation to show that the employee was given a sufficient amount of time and help to remedy the pr
 9   Have you given full consideration to the employee’s length of service and past contributions to the company?
10   Have you considered all possible alternatives to discharge, including reassignment, early retirement, or voluntary resignatio
11   Have you considered all possible alternatives to discharge, including reassignment, early retirement, or voluntary resignatio
12   Does the employee have any pending litigation against the company? If so, could the termination be considered a form of r

     Post-Termination
 1   Do you conduct an exit interview with employees who quit or who are terminated?
 2   Does your documentation support your termination decision?
 3   Were you able to reduce tension and resentment by showing the employee that he/she had been given proper warning and
 4   What reasons were given by an employee who felt he/she was being treated unfairly?
 5   How did you respond to questions about providing future references?
 6   Did the employee request that he/she be allowed to resign in lieu of being terminated?
 7   Did you agree to allow the employee to give his/her own reasons for the “resignation”?
 8   Did the employee accept the termination or did he/she raise the possibility of a discrimination claim or a lawsuit?
 9   Did you obtain all keys, badges, uniforms, and other security items?
10   Do you have a clearly-written, published policy explaining that the company will provide honest and accurate references to
11   Do you understand how the laws of defamation apply to employer references?
12   Do you remind employees who are terminating, either voluntarily or involuntarily, about your reference policy during the exit

   Affirmative action measures
 1 In terms of the Employment Equity Act, are you required by law to implement an affirmative action plan?
 2 Have you implemented affirmative action measures designed to ensure that suitably qualified people from designated grou
 3 Does such a plan include



 4 Have you



   Duty to inform
 1 Do you display at the workplace where it can be read by employees a notice in the prescribed form, informing them about:


   Income differentials
 1 Are you able to compile a statement on the remuneration and benefits received in each occupational category and level of
 2 Where disproportionate income differentials are reflected in that statement, have you taken measures to progressively redu
 3 Does your recruitment or promotion policies and procedures take into account a job applicant or employees
             Answer     Yes           No

ompany policy manual?
ompany policy manual?
 liatory weapon?
nation lawsuit?


ht be considered defamatory?
 to those with a need to know?




re training would increase your promotion pool?



 promotion for discriminatory reasons?

taliatory reasons?


 Good Practice on Unfair Dismissals




e Code of Good Practice on Unfair Dismissals?




or policy manual?
crimination complaint?


Practice on Unfair Dismissals?
es for similar infractions?

ermination; or sexual harassment?
r behaviour?
ompany policy manual as an offence warranting discharge?

of time and help to remedy the problem?
s to the company?
etirement, or voluntary resignation?
etirement, or voluntary resignation?
 nation be considered a form of retaliation?




d been given proper warning and time to improve performance or behaviour?




on claim or a lawsuit?

nest and accurate references to those with a legitimate need to know?

ur reference policy during the exit interview?


e action plan?
ied people from designated groups have equal employment opportunities and are equitably represented in all occupational categories and le
              measures to identify and eliminate employment barriers, including unfair discrimination, which adversely affect people from des
              measures designed to further diversity in the workplace based on equal dignity and respect of all people;
              making reasonable accommodation for people from designated groups in order to ensure that they enjoy equal opportunities an
              preferential treatment and numerical goals for employees from designated groups?
              assigned one or more senior managers to take responsibility for monitoring and implementing an employment equity plan;
              provided the managers with the authority and means to perform their functions; and
              taken reasonable steps to ensure that the managers perform their functions?


              The provisions of the Employment Equity Act?
              The most recent employment equity plan prepared by your Company?


cupational category and level of your workforce?
n measures to progressively reduce such differentials?
             formal qualifications;
prior learning:
relevant experience; or
capacity to acquire, within a reasonable time, the ability to do the job.
when determining whether the employee or applicant may be suitably qualified for a job?
  in all occupational categories and levels in the workforce?
hich adversely affect people from designated groups;
 t of all people;
that they enjoy equal opportunities and are equitably represented in the workforce of a designated employer;

 ing an employment equity plan;
No Question
   Organisational Development Audit
   The following check-lists present some questions which may prove helpful for you to think about when planning your develo
 1 General Considerations:-
   Your organisation is more than likely in trouble if any of the following holds true:




  2 Culture




  3 Organisation




  4 People




  5 Systems



  6 Now consider and write down:
  INTERNAL HUMAN RESOURCE AUDIT
1 Example of an internal Human Resources Audit. Please amend using questions from the comprehensive HR Audit to deter
  Does the company have comprehensive job descriptions for all said positions?
  Employee Headcount



  Does the Company have a formal HR Manual?
  Does the Company have a formal HR Filing System?
  Does the Company have a computerised HR/Payroll System?
  HR:
  Brand Name:
  Payroll :
  Brand Name:
  What Records and Control Measures are in place?
2 Employment Details
  (For each category, please indicate if applicable to all employees. If not, please supply details. Further, please indicate whe
  Working Hours
  Working Hours Policy
  Overtime
  Overtime Policy in Place
  Annual Leave
  Sick Leave
  Maternity Leave
  Family Responsibility Leave
  Study Leave
  Unpaid Leave
  Leave Policy in Place




3 Remuneration and Benefit Details
  (Please indicate whether a policy in regard to each specific category is in place or not and attach same to this document).
  If available, please supply a copy of the following




  Medical Aid

  Pension/Provident Fund



  Employment Policy
  How are employees’ salary packages structured?
  Company Vehicle Policy
  Transfer and Relocation Policy
  Retrenchment Policy
  What is the Official Retirement Age of the Company?
    Early Retirement Policy
    Does the Company offer Educational Assistance?
    If yes, to whom


    Does the Company offer any Loan Facilities
    If yes, please indicate:
    What Category:..(e.g. welfare, home)
4   Other
    (Please indicate whether a policy in regard to each specific category is in place or not and attach same to this document).
    Aids & Life Threatening Diseases Policy
    Disciplinary and Grievance Procedures
    Harassment & non-discrimination Policies
    Smoking Policy
    What are the Company’s ratios of employees?
    Senior Management
    Middle Management
    Supervisory
    General Staff
    No. of Disabled Employees
    Employment Equity Policy
5   Information Systems
    What computer software programmes do you use
    Do your employees have their own email addresses
    Do you have a Corporate Website
    If yes, please specify URL
    How many employees have access to e-mail facilities within your
    Do any employees work on a contract basis
    Do any employees work from home
6   Restructuring
    Is it likely that your organisation or the terms and conditions of employees may be restructured?
7   Are you familiar with the requirements of
    The new Basic Conditions of Employment Act
    Employment Equity Act
    Code of Good Practice on Sexual Harassment in the Workplace
    Labour Relations Act 66 of 1995 (as amended):
    Skills Development Act:
    Code of Good Practice on the Regulation of Working Hours
    Code of Good Practice on Maternity Leave
    Do you participate in any Corporate Social Investment schemes
    If yes, please specify which organisation:
            Answer     Yes         No

about when planning your development programs for the people in your organisation. Use them to provoke thought and to stimulate discuss

            chronic industrial relations problems
            no means of resolving employee grievances
            increasing /erratic employee turnover
            increasing number of customer complaints
            no pride in the organisation
            inter—group conflicts
            no career paths for ambitious talented employees
            dissatisfaction with pay and conditions
            unclear job roles
            no clear performance measures
            quality is unimportant
            bad product service /delivery records
            poor recruitment standards /practices
            no management development programs
            no induction training for new employees
            critical skill shortages
            inter-departmental warfare
            you do not know if any of the above are applicable
            you ignore any of the above
            Do your staff identify with the organisation and 'the success of the organisation' as being of direct benefit to themselves?
            Do your staff see themselves as having common interests with their work colleagues and group? Is there a strong team spirit?
            Is work allocated on the basis of individual expertise rather than position in the organisation?
            Are there sufficient skills/ power bases in the organisation?
            Are there appropriate leadership skills within the organisation?
            Are your staff encouraged to say what they think about the organisation?
            Does your organisation encourage innovation and creativity amongst staff?
            Do your staff feel a sense of personal responsibility for their work?
            Is quality emphasised in all aspects of the organisation?
            Does the structure of your organisation encourage effective performance?
            Is the organisation structure flexible in the face of changing demands?
            Is the structure too complex? If so in what areas?
            Do your staff have clear roles and responsibilities?
            Does your organisation structure tend to push problems up rather than resolve them at the point where they occur?
            Do your procedures and management practices facilitate the accomplishment of tasks?
            Do you constantly seek to challenge your organisation structure?

            Do your staff have the necessary skills and knowledge to perform their jobs in the most effective manner?
            Do your staff understand their jobs and how they contribute to overall business performance i.e. have clear goals and objective
            Do your staff have a customer service orientation? Are people with potential spotted and developed for the future?
            Are your staff encouraged to perform well through the giving of recognition, feedback, etc?
            Do your people know what their expected performance standards are?
            Do your organisation's systems (e.g. recruitment, promotion, planning, management, information and control) encourage effect
            Are these systems consistent across the organisation?
            Are there clear rewards for effective performance within your work group?
            Does the organisation review its systems frequently and ensure they mutually support each other?
            (1) What are the three critical people issues facing your business?
            (2) What plans/actions are you taking to address them?
comprehensive HR Audit to determine the content of your Human Resources Audit.

             Permanent Employees
             Permanent Part-Time Employees:
             Contract Employees
             Casual Staff
                                 Yes        No
                                 Yes        No

                         Yes         No

                         Yes         No



ails. Further, please indicate whether a policy in regard to that specific category is in place or not and attach same to this document).
               Hours per day: Days per week.
                           Yes       No
               Hour per day: Days per week
                           Yes       No
                working days leave per annum
                days per year/36 month cycle
                months per occasion
                per occasion
                per examination

             Annual    Yes           No
             Maternity Yes           No
                       Yes
             Family Responsibility   No
             Study     Yes           No
             Unpaid    Yes           No

attach same to this document).
            1. Letter of Employment or Contract
            2. Payslip
            3. Induction Programme
            4. Employee Handbook
            5. Certificate of Service
            Name of Fund:
            Company Contribution Details:
            Fund Type: ….Pension/Provident………………………….
            Name of Fund:
            Company Contribution Details:

                         Yes         No

                        Yes          No
                        Yes          No
                        Yes          No
             Male . years
             Female years
                       Yes         No
                       Yes         No
            Employees Only
            Employees and Employees Immediate children
            Other (please specify)
                       Yes         No
            To whom


attach same to this document).
                        Yes      No
                        Yes      No
                        Yes      No
                        Yes      No
                        White
            Company Total        Black    Male      Female




                       Yes       No


                       Yes       No
                       Yes       No
            http://www
            Company /department?
                       Yes     No
                       Yes     No

                       Yes       No

                       Yes       No
                       Yes       No
                       Yes       No
                       Yes       No
                       Yes       No
                       Yes       No
                       Yes       No
                       Yes       No
oke thought and to stimulate discussion. Consult with others in your organisation. They will help you to identify the critical human resource iss




f direct benefit to themselves?
group? Is there a strong team spirit?




 point where they occur?



 ective manner?
ce i.e. have clear goals and objectives?
 eveloped for the future?


mation and control) encourage effective performance among your staff?
ach same to this document).
dentify the critical human resource issues facing your organisation. The aim is to begin to explore how a considered and planned approach to
considered and planned approach to people management can improve business performance, to the benefit of all.
No Question
   EMPLOYEE BENEFITS COMPLIANCE QUESTIONS
   Does your employer offer?
   Pension Fund
   Provident Fund
   Medical Aid - Traditional
   Medical Aid - Nengen
   Deferred Compensation
   Share Scheme Participation
   Other

     PENSION / PROVIDENT FUNDS:
 1   Are your employees aware of the benefits?
 2   Do they get annual benefits statements?
 3   Are benefits competitive with other companies operating in your industry?
 4   Are contribution levels industry competitive?
 5   Are your risk rates competitive, when last was this reviewed?
 6   Are your administrators proactive in providing comparative information?
 7   Are they proactive in implementing improvements/changes?
 8   Do they provide adequate communication/education to member, trustees and the company?
 9   Are rules Revenue and Labour Equity compliant?
10   Does letter of appointment align itself with the rules?

     MEDICAL BENEFITS COMPLIANCE QUESTIONS

 1   Are the rules and benefits simple, user friendly or complicated?
2a   Are benefits adequate or too restrictive
2b   Are members aware of benefits?
 3   Does your scheme offer value for money?
 4   Are contribution and benefits stable or do they change often?
 5   Does fund administrator communicate adequately with members?
 6   Does rules allow for contribution to be address in a tax efficient manner?
 7   Does your scheme provide for pre-funding to accommodate increased expenditure in later years?
 8   Are claims handled efficiently?
 9   Does the scheme allow flexibility and choice?
10   Are the scheme rules aligned to remuneration policy?

     REMUNERATION COMPLIANCE QUESTIONS:
 1   Do you have a Remuneration Policy?
 2   Does your Remuneration Policy accommodate all levels of employees?
 3   Does it allow for:
 4   Do you have elements of salary sacrifice(I.e. Provident Fund or Medical Aid)?
     Specify :
 5   Do you use:
     TOTAL COST OF EMPLOYMENT
     BASIC SALARY PLUS BENEFITS
6a   How often are letters of appointment reviewed?
6b   Does the job description align itself with structure selected?
7a   Does your policy address formalised recording of all remuneration related changes?
7b   Are these changes minuted at Board Level?
 8   Does it address and record issues on a top downward basis or as and when?
9a   Is there adequate communication to employees of your policy/are they aware(I.e. access to policy manual and updates?
      Do you have a manual?
 9b   Does your company provide assistance in structuring package/tax information?
 10   Are you aware whether you are industry competitive?
11a   Are your employees aware of their total cost to employer?
11b   Can the employee structure package in tax efficient way?
 12   Does the policy clearly demonstrate it's way true intention - can this supported (e.g. to attract and retain employee)?
13a   Does your payroll system address ALC Revenue compliance issues?
13b   Is it user friendly, easy to understand?
13c   Does it provide adequate detail?
 14   Do you have a problem with IRP5 issuing?
 15   What payment system is in use?
      CHEQUE
      CASH
16a   When last did you review your remuneration policy?
16b   Are the benefit offered up to date?
17a   Do you handle each appointment as a separate exercise?
17b   Does your policy cover all appointment issues?
in later years?




ccess to policy manual and updates?
to attract and retain employee)?
No Question
   Planning and Managing the Merger Process
   Focuses on those critical issues or activities that need to be understood, analysed and planned for so that the merger process

     1. Integration Strategy Issues
 1   Would this acquisition be described as a raid, rescue, contested situation or collaboration?
 2   To what extent will the two firms be merged or integrated?
 3   What time schedules have been established regarding consolidations, divestitures, shutdowns cutbacks etc.?
 4   What are the obvious areas of overlap or duplication of activities?
 5   What sort of global staffing strategy is planned vis-à-vis the acquisition - e.g. retain all personnel, selective terminations, major
 6   Describe the climate in each of the firms during the pre-merger phase - i.e., co-operate, adversarial, logical, emotional etc.
 7   What major issues surfaced in the acquired firm during the pre-merger stage? (i.e. prior to the closing date)?
 8   What major issues surfaced in the acquiring firm during the pre-merger stage (i.e. prior to the closing date)?
 9   How would you describe the current attitudes and feelings among employees in the acquired firm for each of the following leve
     Senior management?
     Middle management & supervisory?
     Professionals?
     Clerical?
     Others?
10   What departments or employee groups (in either company) are most likely to be affected (positively or negatively) as a result o
11   What special provisions (e.g. golden parachutes or handcuffs, management contracts, new titles, roles, special stock options,
12   What problems are already starting to develop as a result of the steps taken up to this point in the merger process?
13   What sort of standstill (no changes) agreements have been negotiated with the acquired firm?
14   What has been the prior experience of the acquired firm with mergers?
15   What is the acquiring company's reputation in acquiring and merging firms?
16   What are people's expectations in the acquired firm?
17   What plans have been developed to coach/instruct senior management on the human resource issues associated with the me
18   Has a single corporate calendar been developed which identifies all target dates affecting the merger? If yes, who is responsi
19   Has a corporate orientation program for the acquired firm's employees been developed? How much should be allocated for ex
20   What type of team-building interventions should be implemented? Why?
21   How will intergroup conflict be handled?
22   What steps are planned to preserve or improve employee morale in the acquired firm?
23   Is there a clearly defined process by which planning issues related to the merger or acquisition can be directed to the appropri
24   Have budget dollars been allocated or approved for necessary changes which relate to the merger?
25   What employees attitude surveys (formal or informal) are planned for employees in the acquired firm?

     2. The Merger Integration Team
 1   What key talents/strengths must members of the merger team possess?
 2   What functions should be represented?
 3   Who should be involved in the selection process of the team members?
 4   Will special compensation of bonuses be given to the Integration Task Force Members?
 5   How long will each Task Force team member be assigned to the project?
 6   Will this be a full-time commitment, or will they be required to carry on their normal job responsibilities also?
 7   What company knowledge and technical skills will be necessary to make the team effective?
 8   By what date should selection of the team be completed?
 9   How frequently should the team meet?
10   Should all the team be housed at one location so as to enhance synergism and communications?
11   Who should be the Task Force Leader? What qualifications, skills, or title should this person possess?

     3. Organisational Assessment (The Culture and Climate)
 1   Is the organisation managed in a centralized or decentralized style? Describe.
 2   Are written Mission Plan Statements maintained? When are they updated? Who is responsible for them?
 3   Organisation culture and climate:
 a   How would you describe the management approach or operating style of the organisation?
 b   What type of behaviour is encouraged and rewarded?
 c   What habits of grooming, dress, etc. seem to be accepted?
 i   Does a formalised dress code exist?
d    How would you characterise or describe employee morale at this time?
e    How would you state the organizational purpose, philosophy, or central theme of the acquired firm?
f    How does that contrast with the acquiring company?
g    Is the organisation able to attract and retain the right kind of employees? If not, why not?
4    What is the history of the company - I.e., date founded, growth pattern, critical events in its development, type of ownership, re
5    Describe the company's present level of operating effectiveness and profitability.

     4. Communication Issues
 1   Describe the merger communication process up to this point in time.
 2   What communication steps still need to be taken?
 3   What existing communication channels are most effective and should be utilized?
 4   Who are the most effective communicators in the acquired firm?
 5   Who will be responsible for writing and approving communications going to the acquired firm?
 6   What information needs to be communicated to the employees - e.g. benefits, pay issues, workforce relocations, etc.?
 7   What are the dates for any changes or activities that will affect the acquired firm's employees? When do the communications
 8   Who in the acquired firm has a "need to know" regarding business activities or actions which affect the organisation?
 9   What external communications (I.e., press releases) may be necessary? Who are authorised corporate spokespersons for ou
10   Identify other "stakeholders" with whom the company should communicate - e.g., suppliers, clients/customers, etc.
11   How frequently should communication meetings regarding the merger process be scheduled? Who should attend?
12   What channels or methods of communication operate throughout the organisation? (staff meetings, informal groups, memos, e
 a   Most effective?
 b   Least effective?

  5. Key Management
1 Has strategy been developed for assessing all key management personnel? Explain.
a If so, who is responsible for implementation and administration of the assessments?
b If a plan has not been developed, it is important to do so and, in the process, a profile on each individual should be developed




2    Conduct an analysis of key managements' salaries. If they are not competitive, externally or internally. calculate the cost of m
3    Will perquisites for key management be continued, modified or eliminated? Explain.
4    What contracts or special compensation packages will be necessary to assure the retention of key management? Explain,
5    Who will be eligible for these special compensation packages or contracts?
6    Who will be responsible for managing the organisation?
7    Obtain copies of the following:
a    Current organisation charts
b    Employment contracts
c    Current job descriptions for key management
8    How will parent company management be placed into the acquired firm?
9    Has a management succession plan been developed which takes into consideration any forthcoming organisational changes o
a    Does that plan support company goals and objectives? Explain.
b    Does the management succession plan take into consideration any planned resignations or terminations?

  6. Relocation and Reassignment
1 What target dates have been or should be established for department or division relocations?
 2    What personnel may be impacted by the decision to relocate a division or department?
 3    Has a list employees been developed who may be asked to relocate? If so, identify by name and title.
 4    If departments or functions are going to be relocated, will special bonuses be necessary to ensure that the affected employees
 5    If departments or divisions are going to be relocated or displaced and employees are to be let go,
 a    May they transfer to other operations?
 b    Will seniority be recognised if they transfer?
 c    Will outplacement services be provided?
 d    Will severance pay be paid?
 e    If so, on what basis?
 6    If employees are to be transferred to a new location, what special relocation provisions will be made?
 a    Swing Loans?
 b    Home purchase equity agreement?
 c    Advance trips?
 d    Equity loss bonuses?
 e    Reimbursement for breaking a lease or apartment rental agreement?
 f    Real estate fee reimbursement?
 g    Movement of household goods?
 h    Mortgage interest differential adjustments?
 I    Temporary housing?
  j   Other?
 7    Who will be responsible for coordination and administration of employee relocations?
 8    Does the acquired company use a third party home purchase program? If so, who is used and what is the average cost?
 9    How many moves does the company average per year? What is the average cost per move?
10    What level of employees are eligible for paid relocation be the firms?
analysed and planned for so that the merger process can be effectively managed. These check sheets are designed to help identify the important consid




vestitures, shutdowns cutbacks etc.?

 e.g. retain all personnel, selective terminations, major layoffs, etc.?
 e., co-operate, adversarial, logical, emotional etc.
 tage? (i.e. prior to the closing date)?
stage (i.e. prior to the closing date)?
yees in the acquired firm for each of the following levels:




ly to be affected (positively or negatively) as a result of the merger/acquisition?
ent contracts, new titles, roles, special stock options, compensation, etc.) have been agreed upon with key personnel?
ken up to this point in the merger process?




on the human resource issues associated with the merger process?
et dates affecting the merger? If yes, who is responsible for maintaining this information?
een developed? How much should be allocated for expenses? When will the sessions be conducted? By Whom?



 merger or acquisition can be directed to the appropriate manager?
which relate to the merger?
ployees in the acquired firm?




eir normal job responsibilities also?



m and communications?
e should this person possess?



d? Who is responsible for them?
                                    Yes        No

heme of the acquired firm?


critical events in its development, type of ownership, reputation in the industry, etc.?




 efits, pay issues, workforce relocations, etc.?
 ed firm's employees? When do the communications need to be ready? On what dates must they be communicated? Who needs to know?
ies or actions which affect the organisation?
  Who are authorised corporate spokespersons for outside communications concerning the merger or acquisition?
te - e.g., suppliers, clients/customers, etc.
ocess be scheduled? Who should attend?
 anisation? (staff meetings, informal groups, memos, etc.)




ess, a profile on each individual should be developed which contains the following information:
                         NAME
                         AGE
                         POSTION/TITLE
                         LENGTH OF SERVICE
                         COMPENSATION
                         PERQUISITES
                         PERFORMANCE APPRAISALS
                         STRENGTHS
                         WEAKNESSES
                         FUTURE POTENTIAL
                         FAMILY STATUS
                         PROBABLE REACTION TO THE MERGER
etitive, externally or internally. calculate the cost of make them competitive.

ssure the retention of key management? Explain,




 nsideration any forthcoming organisational changes or structure? Explain.

ned resignations or terminations?
so, identify by name and title.
 s be necessary to ensure that the affected employees stay on the job until such time as the company is ready to relocate the work?
mployees are to be let go,




 ion provisions will be made?




 f so, who is used and what is the average cost?
are designed to help identify the important considerations basic to the design and timing of an action plan for merger.
ommunicated? Who needs to know?
ready to relocate the work?
No Question
   Appraising the Human Resource Aspects of the Acquired Company
   These questions are designed to serve as a checklist and information-gathering guide in achieving a comprehensive und

     6. Compensation
 1   What is the current corporate compensation philosophy?
 2   Does the company maintain formalized compensation programs for the following?
 a   Executive:
 b   Exempt:
 c   Non-exempt:
 d   Hourly:
 e   Other:
 3   Concerning the hourly/other wage structure, describe the following:
 a   How many job classifications?
 b   How many grades?
 c   What is the rate structure?
 d   When was the last hourly wage rate survey?
 e   What job evaluation technique is used?
 f   Is the program up-to-date?
 g   What problems does it present? Solutions?
 h   How frequent are performance appraisals and wage increases?
 4   Concerning the non-exempt salary structure, describe the following points:
 a   How many classifications?
 b   How many grades?
 c   What is the rate structure?
 d   When was the last non-exempt wage rate survey?
 e   What type of job evaluation plan is used?
 f   Is the program up-to-date?
 g   What problems does it present? Solutions?
 h   How frequent are performance appraisals and wage increases?
 5   Concerning the exempt/executive salary structure, describe the following points:
 a   How many classifications?
 b   How many grades?
 c   What is the rate structure?
 d   When was the last survey?
 e   What type of job evaluation plan is used?
 f   Is the program up-to-date?
 g   What problems does it present? Solutions?
 h   How frequent are performance appraisals and wage increases?
 I   Attach a copy of all incentive plans with a history of payments for the last three years.
 6   What type of salary increases are granted?
 a   Merit only (Frequency/Average Percent)
 b   Market adjustments (Frequency/Average Percent)
 c   Cost-of-living (Frequency/Average Percent)
 d   Automatic progression (Frequency/Average Percent)
 e   Other:
 7   When are new hires eligible for salary increases?
 8   How are wage and salary actions analysed and monitored?
 a   Are procedures for processing salary changes in place and being followed?
 9   Have any recent audits of the company been done by the federal or stage Wage and Hour Division?
 a   What were the results?
 b   Are adequate controls in place?
 c   Is there any evidence of pay discrimination?
10   Are job descriptions current on all positions?
 a   Explain:
11   Are there incentive. bonus, or other variable (current or deferred) pay plans?
 a   Plan/Eligibility
 b   How do they relate to total compensation?
12   Is financial data maintained on deferred compensation liabilities?
13   How are compensation programs communicated to employees?
14   Does the company maintain a compensation procedures manual? Explain:
 a   Who has access to it?
15   Does a formal overtime policy exist? If so, what is the policy?
 a   Does it apply to exempts? Explain:
16   How is overtime calculated when an employee works on legal or company holiday?
17   If a shift differential is paid, how is it calculated? What is the amount paid?
 a   Does it apply to supervision? Explain:
18   Is compensation or salary continuation/paid for any of the following: (NOTE: If the answer to any of the below is yes, it I i
     Jury or witness duty
     Time of for voting
     Funeral leave
     Military training
     Sick days
     Maternity leave
     Other
19   Is compensatory time allowed in lieu of overtime pay? If so, under what conditions is it allowed?
20   How are wage assignments or garnishments handled?
21   What salary surveys are conducted?
 a   Name and cost:
 b   Timing of surveys:
de in achieving a comprehensive understanding of human resource issues in the acquisition.




d Hour Division?
nswer to any of the below is yes, it I important to obtain written information or a complete understanding in such instances where compensat
in such instances where compensation is paid.)
Employment Equity / Systems Review

The following questions have been adapted from the Canadian Employment Equity Guidelines
Note: The copyright provisions relating to the Canadian legislated guidelines provide as follows:-

Disclaimer
Human Resources Development Canada assumes no responsibility for the accuracy or reliability of any reproduction derived fr
Copyright
The material on this site may be reproduced, in whole or in part and by any means, without further permission from Human Res
No such reproduction shall indicate that Human Resources Development Canada is in any way responsible for the accuracy or

Internal Recruitment Issues




Recruitment system checklist
Selection systems checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Appointment systems checklist




Executive resourcing checklist
Retention Checklist




Training and development checklist I

Training and development contributes to improving an employee’s performance in his/her current job and/or enables the emplo




Each organization, through its own review, will discover what policies and practices exclude designated group members in the w




Training and development system checklist II

Consider the following questions and evaluate your training policies:-




To what extent does your organisation undertake any of the following activities to reinforce anti-discrimination training?
Upward mobility system checklist




Lay-off, recall, disciplinary action and termination systems checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Job evaluation systems checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Compensation system checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Reviewing your benefits system
Determine. ..




Benefits systems checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Conditions of employment checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the s




Form EEA2 Section F: Qualitative Assessment

13. Analysis

Please indicate in which categories of employment policy or practices barriers to employment equity were identified:

Categories                                                           Yes        No
programme
 iability of any reproduction derived from the materials on this site. The materials on this site have been prepared for convenience of referenc

 t further permission from Human Resources Development Canada.
y way responsible for the accuracy or reliability of the reproduction; nor shall any such reproduction indicate that it was made with the endorse
appropriate solutions to remedy the situation.
current job and/or enables the employee to acquire the necessary skills and knowledge for future opportunities, influences competencies and




e designated group members in the workplace.




anti-discrimination training?
appropriate solutions to remedy the situation.




appropriate solutions to remedy the situation.




appropriate solutions to remedy the situation.
appropriate solutions to remedy the situation.




appropriate solutions to remedy the situation.




ent equity were identified:

              If yes, specify
prepared for convenience of reference only and have no official sanction.


ate that it was made with the endorsement of, or in affiliation with, Human Resources Development Canada. ]
unities, influences competencies and upward mobility.

				
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