Disclaimer
Instructions
Human Resources Audit
Organization Information
Full Name of Organization
Mailing Address
City
State
Zip Code
Nature of Business
SIC Code
Company Representative Completing Audit
Company Representative’s Email Address
Company Representative’s Phone Number
Number of Employees
If your organization has other facilities in or outside of North Carolina please state as
such providing localities (Cities, States) and the approximate number of employees
at each facility
Approximate Number of Employees Exempt from overtime pay regulations
Approximate % of Exempt Employees in Management Positions
Annual Turnover (%)
Voluntary Turnover (%)
Involuntary Turnover (%)
Organization has a federal contract or subcontract exceeding $50K
Yes
No
Organization is a depository of government funds in any amount
Yes
No
Organization is a financial institution that issues or redeems US Savings Bonds and
notes in any amount
Yes
No
Organization has received government agency charges of discrimination in the last
24 months
Yes
No
Organization has been sued by an employee (other than Worker’s Compensation)
in the last 24 months
Yes
No
Training programs are conducted regularly for managers/supervisors on legal
compliance issues
Yes
No
Organization has EPLI (Employment Practices Liability Insurance) coverage
Yes
No
Organization’s stock is publicly traded
Yes
No
Organizations Heath Plan is:
Insured
Self-Insured
I. Employment Process
A. Recruitment and Selection
1. Recruitment ads are coordinated and/or monitored by Human Resources to ensure ad
integrity and compliance with state and federal employment regulations.
Agree
Disagree
NA
2. Employment application forms do not contain questions that solicit information
regarding an applicant’s sex, marital status, race, age (except “are you 18 years
of age or older?”) national origin, disability, medical history, workers’ compensation
claim history, veteran or citizenship status.
Agree
Disagree
NA
3. Human Resources conducts initial screening interview and refers applicant to
appropriate manager/supervisor.
Agree
Disagree
NA
4. Management/Supervision involved in the employment interviewing and selection
process receive periodic training to ensure that the process is conducted in accordance
with the organization’s procedure as well as applicable state and federal regulations.
Agree
Disagree
NA
5. Human Resources ensures that necessary background checks are conducted on
employment prospects.
Agree
Disagree
NA
6. Primary candidates are assessed with tools to provide objective insights into their
attitudes regarding integrity, responsibility, and work ethic.
Agree
Disagree
NA
7. Offers of employment are extended and/or are monitored by Human Resources to
ensure that selections are made in a nondiscriminatory fashion.
Agree
Disagree
NA
8. Offers of employment to non-exempt employees are made quoting an hourly
compensation amount.
Agree
Disagree
NA
9. Offers of employment to exempt employees are made quoting a weekly compensation
amount.
Agree
Disagree
NA
10. If medical information is required, all offers of employment are conditional upon
a successful completion of a medical exam and/or a medical questionnaire.
Agree
Disagree
NA
11. Where required, no prospective employee will begin employment with the
organization until all medical exam results, medical history results and drug test
results have been received and deemed satisfactory.
Agree
Disagree
NA
12. Conditional job offers based upon the results of a medical examination are not
revoked unless the medical examination reveals a medical condition that would prevent
the individual from performing the essential functions of the job with or without
reasonable accommodation.
Agree
Disagree
NA
13. The organization’s procedures are in place to identify what reasonable
accommodations are necessary for individuals with disabilities to perform essential job
functions.*
Agree
Disagree
NA
14. The organization’s procedures are in place to determine when accommodations
cause “undue hardship” and are deemed to be unreasonable.*
Agree
Disagree
NA
15. All decisions made regarding steps taken to determine reasonable accommodations
and “undue hardship” situations are thoroughly documented.*
Agree
Disagree
NA
*Applicable to both prospective and current employees
B. Employee Orientation
1. Orientation packets are issued containing benefit booklets, employee handbooks, tax
and insurance deduction authorization and I-9 forms.
Agree
Disagree
NA
2. Presentations are made regarding organizational history, product or service, benefits
and major policies affecting the employment relationship using the employee handbooks
as a reference guide and with the aid of audio visuals.
Agree
Disagree
NA
3. Employment forms are completed including I-9 forms and employee handbook tearout
sheets.
Agree
Disagree
NA
4. Photocopies of employment authorization and personal identification documents are
made and attached to I-9 forms which are later placed in INS files.
Agree
Disagree
NA
5. New employees not providing identification and employment authorization documents
are required to do so within 3 days of hire or provide documentation attesting that they
have applied for such. (Actual documentation and employment authorization documents
must be presented within 90 days of the employment date.)
Agree
Disagree
NA
II. Employee Relations
A. Policy Guide
1. Policies regarding the employee-employer relationship are in place and have been
effectively communicated to ensure that employees know what the organization expects
from them and what they can expect from the organization.
Agree
Disagree
NA
2. Policy terminology is clear.
Agree
Disagree
NA
3. Policies are fair and reasonable.
Agree
Disagree
NA
4. Major policies are prominently displayed where they can be readily seen by
employees.
Agree
Disagree
NA
5. Employees are told of your position on equal employment opportunity.
Agree
Disagree
NA
6. Employees are told how to get help or complain when workplace events appear
discriminatory, unfair, limiting, or offensive.
Agree
Disagree
NA
B. Attendance
1. The attendance policy is effectively communicated to employees and contained in the
employee handbook.
Agree
Disagree
NA
2. This policy specifies what is considered by the organization as excused and
unexcused absences.
Agree
Disagree
NA
3. If the attendance policy is a “no fault” policy, provisions are made so that absences
due to emergency situations are not counted against employee attendance records.
Absences due to intermittent leave under the Family Medical Leave Act are
not counted against employee attendance records.
Agree
Disagree
NA
4. This policy states how infractions due to poor attendance are dealt with in accordance
with the organization’s disciplinary policy/procedure.
Agree
Disagree
NA
C. Disciplinary Policy & Performance Management
1. The disciplinary policy is effectively communicated to employees and contained in the
employee handbook.
Agree
Disagree
NA
2. This policy is designed to ensure that the level of discipline administered is
commensurate with the frequency and severity of the infraction.
Agree
Disagree
NA
3. Employees are informed of the organization’s work rules/regulations and the
consequences of the violations of such including termination.
Agree
Disagree
NA
4. If the policy is progressive, management (by stated policy) retains the right to invoke
discipline at any step of the procedure-including termination-depending upon the
infraction’s frequency and severity.
Agree
Disagree
NA
5. Written warnings/disciplinary actions state what the infraction is and why it cannot be
tolerated, the nature of the disciplinary action being taken, what is necessary by the
employee to correct the situation and the specific consequences if the employee fails to
do so.
Agree
Disagree
NA
6. Disciplinary actions are administered by employee’s immediate managers.
Agree
Disagree
NA
7. Employee terminations are conducted by employees’ immediate supervisors with a
Human Resources representative present.
Agree
Disagree
NA
8. Managers/ supervisors receive periodic training on how to effectively conduct
disciplinary action meetings and terminations.
Agree
Disagree
NA
9. Exit interviews are conducted for terminated employees.
Agree
Disagree
NA
10. Job expectations are clearly identified.
Agree
Disagree
NA
11. Written performance goals are discussed and measured with each employee.
Agree
Disagree
NA
12. Failure to meet performance objectives leads to another clear communication
between the employee and manager.
Agree
Disagree
NA
13. Continued failure to perform results in additional training, new goals/ timelines, other
counseling or discharge. All steps are thoroughly and clearly documented.
Agree
Disagree
NA
D. Leaves of Absence
1. Leaves of absence policies are effectively communicated to employees and contained
in the employee handbook. Differences – if any – regarding FMLA leaves and non-
FMLA leaves are clearly stated and communicated.
Agree
Disagree
NA
2. Employees who fail to return from medical and/or personal leaves of absence on the
established return date are terminated from payroll unless an extension has been
approved. (This provision is clearly stated in the organization’s policy and communicated
both orally and in writing to the employee prior to the beginning of the leave.)
Agree
Disagree
NA
3. Military leaves of absence are granted in accordance with government regulations.
Agree
Disagree
NA
4. Employees returning from military leaves of absence who satisfy reinstatement
eligibility requirements are reinstated to their former positions or to positions of “like
seniority status and pay”.
Agree
Disagree
NA
5. All leaves of absence are reviewed and monitored by the Human Resources
Department to ensure consistent policy administration and compliance with applicable
state and federal regulations.
Agree
Disagree
NA
E. Drug Testing
1. The organization’s drug testing policy is effectively communicated to all employees
and is included in employee orientation.
Agree
Disagree
NA
2. The policy specifies the organization’s right to conduct searches of lockers, employee
personal items, employee persons and employee automobiles, with or without the use of
canines, and that employees refusing to cooperate with the search may be subject to
immediate disciplinary measures.
Agree
Disagree
NA
3. This policy provides for necessary acknowledgment and consent forms that are
signed by employees acknowledging their understanding of the policy and giving their
consent to submit to drug testing as directed by the employer, and that refusal to submit
to a drug test is grounds for termination.
Agree
Disagree
NA
4. This policy states clearly that the policy and procedures are in compliance with state
and federal statutes regarding collection of samples, approved labs, retention of
samples, chain of custody, and retest rights.
Agree
Disagree
NA
5. This policy provides for periodic supervisory training regarding drug/alcohol
awareness and their responsibilities as members of management toward helping to
maintain a drug free environment.
Agree
Disagree
NA
F. Harassment
1. The organization’s harassment policy is effectively communicated to all employees
and is included in employee orientation, contained in the employee handbook and
prominently displayed in the workplace where it can be readily seen by employees.
Agree
Disagree
NA
2. This policy states that the organization is committed to creating and maintaining a
work environment free of harassment.
Agree
Disagree
NA
3. Employees are informed of the disciplinary actions that result from the violations of
this policy and that the level of disciplinary actions taken will be commensurate with the
nature and severity of the offenses.
Agree
Disagree
NA
4. Supervisors and managers receive periodic training on harassment and their
responsibilities as members of management.
Agree
Disagree
NA
G. Union Avoidance
1. The organization’s policy regarding its position to remain union free is effectively
communicated to employees and is included in employee orientation and contained
in the employee handbook.
Agree
Disagree
NA
2. All management personnel regularly receive training in positive employee-employer
relations as well as the “How’s and Why’s” of Union Free.
Agree
Disagree
NA
3. The organization has in place specific procedures to be followed in the event of a
union organizing attempt.
Agree
Disagree
NA
4. A relationship with professional counsel is already in place should union activity occur
unexpectedly.
Agree
Disagree
NA
H. Communications
1. Employees are encouraged to express their thoughts, problems and opinions
to supervisors or to other members of management as deemed necessary.
Agree
Disagree
NA
2. Employee complaints, problems and concerns receive immediate attention and
prompt feedback.
Agree
Disagree
NA
3. Management keeps employees informed regarding the organization’s plans and
objectives.
Agree
Disagree
NA
4. Current methods of communication mediums are utilized such as PowerPoint and/or
video to ensure that the message conveyed maintains the attention of the employee
audience by being informative and credible.
Agree
Disagree
NA
5. Policy is in place and well communicated regarding appropriate and inappropriate
uses of electronic communication including the company’s right to monitor and have
access to such.
Agree
Disagree
NA
6. Managers and supervisors receive periodic training on effective supervisory/employee
communications.
Agree
Disagree
NA
III. Compensation
A. Job Descriptions / Evaluations
1. Job titles are assigned for all positions and the use of titles is consistent throughout
the organization.
Agree
Disagree
NA
2. Job descriptions accurately describe all of the essential functions of each job.
Agree
Disagree
NA
3. Job descriptions are periodically reviewed and updated to reflect the actual work
being performed.
Agree
Disagree
NA
4. If a formal job evaluation plan exists, the plan is documented so that management can
review the plan and support/defend the evaluations.
Agree
Disagree
NA
5. The plan evaluations reflect nondiscriminatory internal pay level relationships.
Agree
Disagree
NA
B. Direct Compensation
1. Pay levels are periodically reviewed and compared with market survey data.
Agree
Disagree
NA
2. Realistic wage and salary ranges are established for each pay level.
Agree
Disagree
NA
3. Wage and salary ranges are periodically adjusted to maintain a desired competitive
position within the marketplace.
Agree
Disagree
NA
C. Benefits
1. The organization’s benefits are competitive within the marketplace with reference to:
a. Paid Holidays
Agree
Disagree
NA
b. Paid Vacations
Agree
Disagree
NA
c. Shift Premiums
Agree
Disagree
NA
d. Funeral Pay
Agree
Disagree
NA
e. Sick Pay
Agree
Disagree
NA
f. Group Insurance
Agree
Disagree
NA
g. Life Insurance
Agree
Disagree
NA
h. Hospital/Medical Insurance
Agree
Disagree
NA
i. Dental Insurance
Agree
Disagree
NA
j. Retirement Plan
Agree
Disagree
NA
k. Flexible spending accounts are available under section 125.
Agree
Disagree
NA
l. Other coverages
Agree
Disagree
NA
2. COBRA
a. All new employees and their dependents are notified of their rights under COBRA
via first-class mail to their home address.
Agree
Disagree
NA
b. Timely written notices are forwarded to homes of qualified beneficiaries and their
dependents via first-class mail advising them of COBRA continuation rights in the event
of loss of coverage due to a qualifying event.
Agree
Disagree
NA
3. HIPAA - Certifications of coverage are issued on each of the following occasions:
a. Plan participant ceases to be covered under the plan or otherwise becomes covered
under COBRA.
Agree
Disagree
NA
b. At the time COBRA coverage ends.
Agree
Disagree
NA
c. Upon request by, or on behalf of, a plan participant made not later than 24 months
after the date of cessation of the coverage described in (1) or (2) above, whichever
is later.
Agree
Disagree
NA
d. Benefit Plan document language has been reviewed to ensure no unintended
coverage obligations are created, and that part-time or contract people are properly
classified.
Agree
Disagree
NA
D. Wage and Hour
1. All employees on the payroll receive at least the current minimum wage.
Agree
Disagree
NA
2. Employee pay deductions for requirements such as uniforms or tools furnished
by the employer do not cause the employee’s pay to fall below the minimum wage.
Agree
Disagree
NA
3. Employee signed authorizations for the employer to make payroll deductions for
tool/ equipment purchases and to cover losses such as damages and cash shortages
are maintained in employee files.
Agree
Disagree
NA
4. These deductions do not cause an employee’s pay to fall below the minimum wage
(Does not pertain to pay advances).
Agree
Disagree
NA
5. These deductions are not made from any earnings for hours worked past 40 in a
workweek (Does not pertain to pay advances).
Agree
Disagree
NA
6. The organization has a clear understanding of the term “independent contractors”.
Agree
Disagree
NA
7. Employees are being compensated for lunch/ break periods that are in duration of
twenty minutes or less.
Agree
Disagree
NA
8. All nonexempt employees receive overtime pay after 40 hours worked per week.
Agree
Disagree
NA
9. Proper controls are used to determine what jobs are exempt from overtime pay.
Agree
Disagree
NA
10. All appropriate “extras” are included in the regular rate before computing overtime
such as shift differentials, incentive pay, etc.
Agree
Disagree
NA
11. Actual hours worked by non-exempt employees are recorded daily.
Agree
Disagree
NA
12. A single workweek is used as the standard when computing overtime.
Agree
Disagree
NA
13. If the organization employs individuals under the age of 18, youth employment
certificates are required upon employment and such individuals are not permitted to work
in hazardous occupations as those specified by the Fair Labor Standards Act.
Agree
Disagree
NA
14. All employees who are separated from payroll receive their final paycheck no later
than on the regular payday for the last pay period in which they work.
Agree
Disagree
NA
IV. Safety and Health
A. Safety Policy
1. The organization’s written safety policy is effectively communicated to all employees
and is included in employee orientation, contained in the employee handbook and
permanently posted on the bulletin board.
Agree
Disagree
NA
B. Safety Administration
1. All safety programs (including the Hazard Communication Program) are in writing and
are effectively communicated and available to employees for their review.
Agree
Disagree
NA
2. Facility safety inspections are conducted periodically by the organization’s Workers’
Compensation carrier, outside safety consultant or by OSHA’s Consultative services.
Agree
Disagree
NA
3. Safety training is conducted and documented for both supervisors and employees as
an integral part of the organization’s safety program and to comply with specific OSHA
standards.
Agree
Disagree
NA
4. Safety rules and procedures are effectively communicated to employees, are included
in employee orientation, contained in the employee handbook and prominently displayed
in the workplace where they can be readily seen by employees.
Agree
Disagree
NA
5. Employee violations of safety rules and procedures result in disciplinary action that is
fair, consistent and in accordance with the organization’s disciplinary procedure.
Agree
Disagree
NA
6. Employees are required to report work-related injuries immediately to their supervisor.
Agree
Disagree
NA
7. Accident investigations are conducted promptly and are thoroughly documented.
Agree
Disagree
NA
8. Employees who are in need of medical attention are referred to the employer’s
physician in accordance with the organization’s medical referral policy.
Agree
Disagree
NA
9. The organization has an established relationship with area emergency organizations
and an area physician.
Agree
Disagree
NA
10. Emergency telephone numbers are prominently displayed at strategic locations in
the facility.
Agree
Disagree
NA
11. Human Resources has a good relationship with the organization’s Workers’
Compensation carrier.
Agree
Disagree
NA
V. Recordkeeping
A. Employment applications that are accepted by the organization are retained for one
year (two years for employers with 150 employees and a government contract of
$150,000 or more).
Agree
Disagree
NA
B. EEO-1 reports are filed in accordance with due dates established by the Joint
Reporting Committee.
Agree
Disagree
NA
C. Current EEO-1 reports are to remain on file at all times (two years required and three
recommended for government contractors who must maintain written affirmative action
plans).
Agree
Disagree
NA
D. Employment records containing employee information, payrolls, rates of pay and
compensation earned per week are maintained for five years.
Agree
Disagree
NA
E. FMLA documentation is maintained for three years including:
1. Dates of hours FMLA leave is taken.
Agree
Disagree
NA
2. Copies of leave notices furnished by the employee and all notices given to the
employee by the employer.
Agree
Disagree
NA
3. Documents describing employee benefits, and policies and practices regarding paid
and unpaid leave.
Agree
Disagree
NA
4. Records regarding premium payments of employee benefits.
Agree
Disagree
NA
5. Records of disputes, if any, regarding designation of FMLA leave.
Agree
Disagree
NA
6. Records and documents relating to medical certifications, recertifications or medical
histories of employees or their family members.
Agree
Disagree
NA
F. Youth employment certificates for employees under 18 years of age are maintained
while the youth is employed and two years after the youth is terminated from
employment.
Agree
Disagree
NA
G. The INS I-9, Employment Eligibility Verification form is maintained three years after
the date of hiring or one year after the date of the employee’s termination, whichever is
later.
Agree
Disagree
NA
H. Vets Form 100 is filed on an annual basis, usually 9/30.
Agree
Disagree
NA
I. Vets Form 100 is retained for two years.
Agree
Disagree
NA
J. Occupational illnesses and injuries are logged on the OSHA Form 300 no later than
seven calendar days after knowledge of the illness or injury.
Agree
Disagree
NA
K. OSHA Form 300 is retained for five years.
Agree
Disagree
NA
L. Individual illness and injury reports (OSHA Form 301 or Workers’ Compensation
Form 19) are filled out no later than seven calendar days after knowledge of the
illness or injury. (Note: For Workers’ Compensation purposes, the Form 19 must be filed
no later than 5 days after knowledge of the illness or injury).
Agree
Disagree
NA
M. The OSHA Form 300A is posted annually from 2/1 through 4/30 on the bulletin
board.
Agree
Disagree
NA
N. Employee exposure records as defined by OSHA are maintained for thirty years from
the date received or made by the employer.
Agree
Disagree
NA
O. Employee medical records as defined by OSHA are maintained for the duration of
employment plus thirty years.
Agree
Disagree
NA
P. Employee medical records as defined by OSHA are maintained separately from the
employee personnel file.
Agree
Disagree
NA
Q. Unemployment Insurance claims and claims history reports are maintained on file
and are responded to in a timely manner as required by the Employment Security
Commission.
Agree
Disagree
NA
R. COBRA logs are maintained to ensure that timely notification and response
requirements are met by both the organization and the qualified beneficiaries.
Agree
Disagree
NA
S. Employee personnel files contain the following:
1. Employee name
Agree
Disagree
NA
2. Employee address and telephone number
Agree
Disagree
NA
3. Name and telephone number of person to be notified in case of an emergency
Agree
Disagree
NA
4. Insurance and pension enrollment forms
Agree
Disagree
NA
5. Training recognition or correspondence regarding employee accomplishments
Agree
Disagree
NA
6. Copies of transcripts and diplomas
Agree
Disagree
NA
7. Tuition reimbursement materials
Agree
Disagree
NA
8. Completed employment application/resume
Agree
Disagree
NA
9. Employee status change documents, job title, grade, etc.
Agree
Disagree
NA
10. Performance reviews
Agree
Disagree
NA
11. Employee absenteeism records
Agree
Disagree
NA
12. Wage/salary change history records
Agree
Disagree
NA
13. Disciplinary records
Agree
Disagree
NA
14. Letters of commendation and recognition
Agree
Disagree
NA
15. State and federal tax withholding statements
Agree
Disagree
NA
16. Skill tests and written examination results
Agree
Disagree
NA
17. Employee signed authorization for payroll deductions to allow the employer to deduct
for cash shortages, property damage, etc.
Agree
Disagree
NA
T. Required employment law posters are prominently displayed in the workplace where
they can be readily seen by employees.*
Agree
Disagree
NA
*The following must be readily seen by employees and applicants:
• “Equal Opportunity & The Law”
• “Polygraph Protection Act & Notice”
• “Your Rights Under the Family and Medical Leave Act of 1993”
This concludes the CAI HR On-line Audit. The results of the HR Audit will be forwarded
to you in the near future, depending on the volume received. A CAI Associate will
phone you when the results have been reviewed. Please call if you have a specific
need for priority service. There is no charge to CAI members for this audit or follow up
discussions regarding such.
Thank you for giving CAI the opportunity to provide this valuable service to you and your organization.
Click the Submit button to record your responses.
