Personnel Policies and Procedures Auditing

Copyright 1995-2007 by Winning Associates


 

 

Personnel Policies and Procedures Auditing Checklist

Used by Winning Associates Usually for "Internal" Purposes, Auditing Client Handbooks, and development of Bulletproof Employee Handbook Policies. The most current checklist is sent with every hard copy of handbooks.

(Not All-inclusive. Some vary by state law. Links provided are primarily for subscribers.)

Ethan A. Winning Associates, Inc. 1-800-823-6366

 

Acceptance of Gifts Job Classifications - Exempt, N/E, Independent Contractor, CE, Sales
Access to Company Premises Job Descriptions (and ADA)
Adjustments to Salary Jury Duty (CO, CT, MA, NY, NJ, IA)
Affirmative Action (100+ w/contracts) Layoffs
Alcoholism (CA special regs) Leaves of Absence
Anniversary Dates vs. Employment Years
Sick Leave/Sick Time Off (Special CA Provisions)
Attendance - Absenteeism and Tardiness
Emergency and Bereavement
At-Will Employment Policies (Special Policies = CA, SC)

Maternity Leave (CA 5 ees, 120 days, MA 8 wks, CT = 16 workweeks, DC = 6)

Breaks and Meal Periods (17 states, no fed)
Paternity Leave (MN)
Company Property - Use of; return at termination
Family Leave (50+) See CA, WA, NJ, NY provisions
Cash Shortage and Breakage (Note bank codes)
Short-term Disability
COBRA - 20 employees (CA, NJ = 2+ employees)
Military Leave
Code of Conduct
Compensation during leaves
Code of Ethics Management of Personal Finances (Banks...)
Administration of the code
 Media Contacts
Confidentiality
 Merit Increases
Conflicts of Interest
 Moonlighting
Lending Practices & Personal Finances (Banks)
 Noncompete & Nondisclosure Agreements
Compensation - equity issues On-Call Time and Pay (TX, MA, ID specifically)
Comp Time (1999, 2001 Labor Code regs) Overtime (8 hour premium CA, AK, NV)
Credit Checks (FCRA) Paychecks and Paydays - Direct Deposit (by state)
Disciplinary Procedures - Progressive Discipline Payroll Deductions
Domestic Partners and Benefits Performance Appraisals
Dress Code (industry/client dependent)
Frequency
Drug Testing
Probation based on performance
Pre-employment
Merit increases
After-accident
 Permanent Employee
Random
 Personal Phone Calls and Mail
Education Assistance Program Personnel Files - Access to
E-mail and Internet Access Policy and Practices Probationary Period
Employee Loans - Pay Advances
Introductory or Orientation Period
Employee Registration Act
Performance Probation Distinction
Equal Employment Opportunity and EEO-1 Progressive Discipline -- Noncontractual
ADA
 Promotions
Sexual Orientation (19 states)
 Proprietary Information
Harassment and Hostile Work Environment (DFEH requirement)
 Reference Checks
Employee Status Resignations and Terminations
Exempt and Nonexempt
 Salary/Wage Increases
Part- and Full-time
Merit
Temporary
Adjustments
Regular
Out-of-patterm
Commissioned and Outside Sales
 School Participation Days Off (CA, IL, MA, RI, SC)
Family & Medical Rights and Leave Acts (fed+ 6) Smoking policy
Forms Telecommuting and Flex Time
Application - Orientation
 Terminations and Resignations - Exit Interviews
Counseling - Occurrence Memo
 Time Cards, Time Sheets, Time Clocks
Termination - COBRA - SDI (CA, NJ, NY, RI, HI)
Trade Secrets
Giving Notice and Severance - Made Contractual? Travel Expense Policy
Harassment and Hostile Work Environment Tuition Reimbursement Program
Holidays Use of Corporate Letterhead
Immigration (I-9) Form and Policy Vacations
Injury Prevention Program (CA, WA)
Eligibility
Insurance Benefits
Accrual
Premiums
Capping and Carryover
HMO - PPO
No "Use It or Lose It" Policy
Major Medical
 Workers' Compensation Insurance
Dental-Vision Care
Reporting Accidents
LTD and Other
 Workplace Safety & Anti-Violence Policies
Internet and E-Mail Policies 401(k) and Other Retirement Plans


While there are some industry specific policies listed in the following auditing checklist, almost all would pertain to any company. Normally we have checklists for 34 states, but they have been combined here for readers in all states.

Note: the above checklist is used only for Employee Handbooks, not administrative or general personnel manuals which cover many more specific actions and guidelines for supervisors and managers, and often contain explanations as to the existence of certain policies. (In management handbooks that Winning Associates has designed, we often describe court cases which brought about policies and procedures.) Further note that the checklist reflects codes and regs for private employers only.

Further, while policies and procedures may be in compliance, they should also be examined to ensure that they are written in the best interests of the company. A policy may comply with the law, but contain implied contracts which can have a negative effect upon the goals of the organization.

If you would like Winning Associates to audit your employee handbook (or forms or any other HR materials), we would be happy to do so at our normal hourly fee. The time such audits take are, of course, dependent upon how much you would like done, whether you want rewriting, suggestions for corrections, deletions, etc., and whether or not you want a full report. A 40-page handbook will usually take between three and nine hours with a report.

You may email* your handbook as an attachment to ewinning@ewin.com, or send the handbook to us at:

E. A. Winning Associates, Inc.
1618 Candelero Drive
Walnut Creek, California 94598-1008

(925) 944-1034, (800) 823-63-66 or email me at ewinning@ewin.com

*You might want to call or email a brief note telling us that you are sending your handbook as an attachment. Many programs will "junk" any email with attachments. You might also want to add our primary email address to your address book to be certain to receive return mail. Such is the state of communications in 2006...and it's actually getting worse.

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All Rights Reserved. Copyright 2006. E. A. Winning Associates.