HR Audit (Part 6 & Final)

Training and Development Questionnaire
    Programs, processes and strategies that will enable organizations to develop and improve their internal human resources in order to optimize their contributions to organizational objectives.

1. Is there a policy that states the organization’s philosophy on employee training and development?
2. Is there a position within the organization accountable for overseeing and coordinating training and development activities?
3. Is there a process for assessing the organization’s immediate training needs and individual development needs?

    If yes, how is this assessment carried out?

    How often is the assessment updated?

    Who participates in the assessment?

1. Is there a process to assess the organization’s future training needs?

    If yes, how is this assessment carried out?

    Who participates?

    How far into the future are the needs projected?

1. Are job skills, knowledge and ability considered in assessing training needs?
2. Are new technologies, processes, products, services, market changes and community needs considered in assessing training needs?
3. Are organizational issues, such as mission, objectives, cultural changes and customer orientation, considered in training needs?
4. Are the organization’s social responsibilities and respect for diversity reflected in training needs?
5. Are legal requirements considered in training needs?
6. Is remedial training in literacy and basic computation skills offered?
7. Are employee development plans addressed in performance appraisals or other formal settings?
8. To whom are the organization’s immediate and future training and development needs communicated?

    How often?

1. How are all training programs and opportunities communicated to employees?
2. Are subscriptions to professional training and development journals maintained and circulated among department members?

    Is there a reference library of training and development material for employee use?

    Is there coordination of professional development material?

1. Do all training and development programs have clear objectives (For example, in a workshop on WordPerfect, a clear objective would be: At the end of this training, participants will be able to use the Merge/Sort feature.)?
2. How are training resources identified internally and externally?

    Who is involved in the determination?

    How are all training resources coordinated?

1. Are the results of training programs monitored and evaluated?
2. Is cost considered in the selection of training resources?
3. Is there a method to track training costs in terms of lost work time?
4. Does your organization measure a return on investment in training?

    How do you know training is used back in the job?

1. Does the organization provide adequate capacity to meet chosen training and development needs?

    Are employees availing themselves of training opportunities?

1. Are training and development needs reflected in the organization’s budget?
2. On a scale of one to seven (seven being the highest and four being adequate), how do you think your Human Resources department team would rate the organization’s training and development activities and performance?
3. On the same one-to-seven scale, how do you think your customers (other departments) would rate the training and development activities and performance.

Explanation of Training and Development Questionnaire
    The purpose of training and development is to optimize HR contributions to organization objectives. The questions in this section focus on training needs and objectives, address organizational issues (new products, technology, work methods and changing skill requirements) and gauge what impact training has on the organization’s profitability.

    A needs assessment should be conducted before embarking on any training program. Many businesses offer wonderful training programs. Attendees usually leave invigorated and excited. Then there may be a few complaints from managers about overtime costs and slowdowns in operating efficiency because of "unproductive" training time. Analysis of training costs may reveal that departments are using more expensive outside resources because their needs are not addressed by in-house programs. Training may be seen as too expensive both in time and money. Budgets may be cut.

    To gain credibility with the customer and assume the status of business contributor, the training and development function of the HR department must (a) clearly address customer needs, (b) formulate training programs in collaboration with users, (c) set training objectives, (d) perform a cost-benefit analysis of all programs and (e) measure results. Once credibility is established, department managers will see that their training budgets are necessary and well used.

    The choice of training resources should be cost-effective. In some cases a training curriculum can be developed by in-house experts. For other topics it will be more cost-effective to go outside the organization than to train someone in-house. There are many freelance trainers with detailed subject manuals using well-developed modules and techniques. Contract trainers have proven to be very cost-effective.

Labor Relations Questionnaire
    The process that ensures and oversees fair and effective collective bargaining with those unions representing employees and fosters positive labor relations designed to achieve organization objectives.

1. Does the organization clearly state its philosophy on labor relations and implement guiding procedures for managers who deal with contract and labor relation issues?
2. Is there a position within the organization that oversees and coordinates labor relation activities?
3. Do labor relations strategies support the organization’s business plan?
4. Is top management informed and supportive of labor management strategies and goals?
5. Is there an atmosphere of management respect for union representation?
6. Are negotiation strategies and objectives formulated in advance of contract negotiations?
7. Does management understand the laws that govern collective bargaining?
8. Is your labor management team educated and trained in private- or government-sector bargaining techniques?
9. Does your labor relations staff network with professionals from other organizations?
10. Are union officials involved in workshops, educational forums or other interactive sessions with management to address topics of mutual concern, such as business competition, health care costs, compensation and organization change issues?
11. Is there a formal labor/management group to discuss issues of mutual concern outside of the bargaining process?

    If yes, does this group have a charter and regularly scheduled meetings?

    Is the group trained in effective meeting skills (e.g., agenda, ground rules, timekeeping, facilitation and action plans)?

1. Is adequate assistance provided to managers in contract administration and handling grievances?
2. Are managers trained in handling discipline matters, recordkeeping, counseling skills, precedent-setting issues, etc.?
3. Are efforts made to analyze root causes of grievances and take corrective/preventative measures to reduce them?
4. When grievances are submitted, are they resolved in a timely fashion?
5. Are there credible efforts made to gain labor’s input and participation in finding better ways for the organization to survive?
6. Has the organization made plans to meet its future labor relations needs?
7. On a scale of one to seven (seven being the highest and four being adequate), how do you think your Human Resources department would rate the effectiveness of labor relation’s performance?
8. On the same one-to-seven scale, how do you think other departments would rate labor relations performance?
9. On the same one-to-seven scale, how do you think union officials would rate labor relations performance?

Explanation of Labor Relations Questionnaire
    The section on labor relations is important for organizations with unions. The brevity of this section is not intended to minimize its importance. There are fewer questions simply because fair and effective collective bargaining practices are usually already in place. In fact, labor relations may be one of the most important categories for the many organizations which deal with unions, such as local government and public sector agencies and heavily unionized manufacturing companies. Most Fortune 500 manufacturing companies are unionized, and there may be good reasons why other working environments need unions.

    Management should link overall labor relations and collective bargaining strategies to the organization’s business planning process well before company representatives go the bargaining table. Equally important are issues of workforce flexibility and work redesign.

    Company managers should foster cooperative relations with their unions and draw on the skills and knowledge of union leaders to achieve the organization’s objectives. Both employer and union depend on the organization’s success and ability to compete in the global economy.

    The theme of these questions is the need to gain labor cooperation for continuous improvement and to foster union leadership awareness and involvement in critical cost issues. Answers should reveal mutual interests rather than adversarial positions that have not paid off for either party over the years.

Safety, Health and Wellness Questionnaire
    Programs that provide a work environment that contributes to and demonstrates concern for employee safety, health and well-being, and that produce the economic benefits derived from a safer work environment and healthier workforce.

1. Does the organization have a policy stating its philosophy on employee safety, health and wellness?

    Is this policy clearly supported and monitored by management?

    Are there policies and procedures that demonstrate compliance with federal, state and local regulations?

    Does the policy provide guidance to managers on implementation of related programs?

1. Does one position within the organization oversee and coordinate safety, health and wellness activities?

    Is there a process that ensures organizational compliance with current governmental regulations?

1. Are all aspects of OSHA regulations adhered to, such as:

The general duty clause?

General industry and vertical standards?

Recordkeeping requirements?

The right-to-know clause?

1. Does your organization have a wellness program in place?

    Does it include:

A qualified wellness coordinator?

Voluntary free biennial physicals?

A health risk assessment?

A health risk assessment follow-up?

Counseling and feedback on health and lifestyle improvements?

Discussions/training on health-related topics?

Access to exercise and fitness facilities?

An evaluation of program effectiveness (measurable by reduced absenteeism, increased productivity, reduced healthcare costs, fewer claims, and progress against major risk factors measured in health exams)?

Does the evaluation include a cost/benefit analysis?

1. Does your organization have an Employee Assistance Program (EAP)?

Does it include:

An analysis of problems employees exhibit that, if assisted, would improve the organization’s bottom line (this could be determined by an examination of company records of accidents, benefits usage, absences, performance, as well as by interviews with employees, supervisors and medical personnel)?

An evaluation of the program’s effectiveness to reduce absenteeism and accident and health insurance claims and improve performance?

A cost/benefit analysis?

1. Does your organization have formal accident prevention programs?

If so, do they include:

An analysis of work-related injuries by category, department and location?

Formal workplace inspections?

A process to address biomechanics and ergonomics in the workplace?

Inspections that address accident causes, unsafe conditions and unsafe behaviors?

Employee training in accident prevention and good safety practices?

Reinforcement and recognition of safe behaviors?

1. Does your organization measure the cost/benefit ratio of safety programs?
2. Does your organization engage in workplace evacuation drills?

    If so, how often?

1. On a scale of one to seven (seven being the highest and four being adequate), how do you think your Human Resources team would rate the effectiveness of the organization’s safety, health and wellness programs?
2. On the same one-to-seven scale, how do you think your internal clients and employees would rate your safety, health and wellness programs?

Explanation of Safety, Health and Wellness Questionnaire
    This section provides a thorough review of employee safety, health and wellness programs and methods to produce and measure the economic benefits of a safer work environment and healthier workforce.

    Questions 4 and 5 deal with the importance of employee medical surveillance, wellness programs and Employee Assistance Programs. These programs improve attendance, productivity and employee wellness while decreasing health care costs. Provider promotion information emphasizes the obvious benefits of these programs. However, by tracking your own measurements and performing cost-benefit analyses, you can manage the return investment in safety, health and wellness more deliberately.

    Question 6 deals with accident prevention and should receive 50% of the overall scoring weight, particularly considering those parts of the question dealing with safe behaviors.

    The Human Side, a safety consulting firm cited under Associations and Journals has codeveloped with Behavioral Solutions a concept called "Safety in Numbers"(©1991), a behaviorally based approach to workplace safety. Their amazing success stories are based on the application of three principles: (1) breaking away from the traditional approach of reacting to statistics, e.g., waiting for an accident to happen, and instead measuring safe behavior on a daily basis; (2) positive reinforcement by rewarding safe behaviors; and (3) creating a new safety "culture" focused on safe behaviors and their causes. If safety is a major concern to your organization you might explore this rewarding concept.

Compliance with OSHA regulations is a prerequisite to all other actions. Preventing unsafe behaviors and unhealthy habits and even exceeding OSHA standards will reduce the organization’s exposure to liability and risk. Over 80 percent of reported injuries are a result of unsafe acts and behaviors that can and should be addressed.

Reprinted with permission of the HR Center at the International Personnel Management Association (IPMA), 1617 Duke St., Alexandria, VA 22314; (703) 549-7100.