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Contributors

Please add your name and details if you have contributed to this AUDIT

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 relati
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 f
Skills Development Act similar to New Zealand, UK and Australian National (Vocational) Qualification structure
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 jurisdic

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)
has brought into SA jurisdiction USA concepts of quid pro quo harassment etc), Maternity, Retrenchment etc. Developed by leading labour s

e.g. overtime pay etc


eloped by leading labour specialists in SA and based on latest international thinking e.g. EEC Codes and Best Practices
No Question Answer
1 When the applicant has had supervisory experience and the position in question also entails supervision/management: H
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: H
6 In conducting your human resources audit, an employment policy or practice includes, but isrecruitment
not limitedprocedures,
to- adver
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.
7 Does your Company unfairly discriminate, directly or indirectly, against an employee, in anyrace,
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
10 Does your Company implement psychological testing and other similar assessments of an employee,
shown to be andscientifically
if so, have valid
suc
applied fairly to all employees
not biased against any employ
11 Do or have you supplied your employee, when the employee commences employment, withyour the full
following
name particulars
and address; in w
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

12 When any term or condition of employment of an employee changes do you change the written an employee
particulars
is to
notreflect
able to
theunc
13 Have you made provision for keeping written particulars of employment of your employees for a period of three years afte
14 Do you display at the workplace where it can be read by employees a summary in the prescribed your employees
form of thename
employee's
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
16 Do you provide your employees with the following information in writing on each day the employee
your name is paid
and 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
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 ca
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 Does your application ask for any of the following information that may be considered discriminatory?
Applicant’s sex, or sexual pref
Applicant’s weight or height, u
Whether the applicant is singl
Whether the applicant is pregn
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 immed
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
ails supervision/management: How would you describe your management style?
ails supervision/management: How many people do/did you supervise in your present/previous job?
ails supervision/management: How do you think your subordinates perceived(d) you? How does their perception compare with you’re the w

ails 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

inherent requirement of a job. If so, are such inherent requirements legitimate, objective and easily ascertainable to a third party, such as a
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 re
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 termina
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 termina
a list of any other documents that form part of the contract of employment, indicating a place that is reasonably accessible to the employe

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
s 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
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 h

umes, or hazardous materials, and space restrictions listed?

umes, or hazardous materials, and space restrictions listed?


nd 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.

on only, is not a contract, and can be modified at any time?


d the handbook and understand it?

pline policy and result in immediate termination?

hiring decision?

information they provide?


compare with you’re the way you

you handle the situations

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

benefits or the inherent requirements of a job?


employment is to terminate;

employment is to terminate;
accessible to the employee where a copy of each may be obtained.

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

an account designated by the employee.


es of the commencement or conclusion of those hours; and in a sealed envelope which becomes the property of the employee.
tion of the contract of employment?

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

nt or conclusion of those hours.


orting agencies.
he employee.
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 Dismis
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 harassme
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 off
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 p
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 resignati
11 Have you considered all possible alternatives to discharge, including reassignment, early retirement, or voluntary resignati
12 Does the employee have any pending litigation against the company? If so, could the termination be considered a form of

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 an
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 ex

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 red
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?
aliatory weapon?
nation lawsuit?

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

re training would increase your promotion pool?

r promotion for discriminatory reasons?

etaliatory 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?


or behaviour?
ompany policy manual as an offence warranting discharge?

of time and help to remedy the problem?


ns to the company?
etirement, or voluntary resignation?
etirement, or voluntary resignation?
mination be considered a form of retaliation?

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

ion claim or a lawsuit?

onest 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
measures to identify and eliminate employment barriers, including unfair discrimination, which adversely affect people from de
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 a
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?
cupational categories and levels in the workforce?
sely affect people from designated groups;

njoy equal opportunities and are equitably represented in the workforce of a designated employer;

ployment 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 deve
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 dete
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 wh
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 discus

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 effec
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

tails. 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
Family Responsibility
Yes 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
Company Total
White 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
ght and to stimulate discussion. Consult with others in your organisation. They will help you to identify the critical human resource issues fac

nefit to themselves?
here a strong team spirit?

ere they occur?

e clear goals and objectives?


for the future?

d control) encourage effective performance among your staff?


e to this document).
human resource issues facing your organisation. The aim is to begin to explore how a considered and planned approach to people manage
proach 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 merge

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 terminatio
6 Describe the climate in each of the firms during the pre-merger phase - i.e., co-operate, adversarial, logical, emotiona
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 follo
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
11 What special provisions (e.g. golden parachutes or handcuffs, management contracts, new titles, roles, special stock
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 wi
18 Has a single corporate calendar been developed which identifies all target dates affecting the merger? If yes, who is
19 Has a corporate orientation program for the acquired firm's employees been developed? How much should be alloca
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
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 own
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 commun
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 spokesperso
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,
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 d

2 Conduct an analysis of key managements' salaries. If they are not competitive, externally or internally. calculate the
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? Exp
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 c
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 e
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 co
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?
d and planned for so that the merger process can be effectively managed. These check sheets are designed to help identify the importa

s, shutdowns cutbacks etc.?

n all personnel, selective terminations, major layoffs, etc.?


erate, adversarial, logical, emotional etc.
. prior to the closing date)?
prior to the closing date)?
he acquired firm for each of the following levels:

ffected (positively or negatively) as a result of the merger/acquisition?


acts, new titles, roles, special stock options, compensation, etc.) have been agreed upon with key personnel?
this point in the merger process?
cquired firm?

man resource issues associated with the merger process?


affecting the merger? If yes, who is responsible for maintaining this information?
loped? How much should be allocated for expenses? When will the sessions be conducted? By Whom?

or acquisition can be directed to the appropriate manager?


ate to the merger?
n the acquired firm?

l job responsibilities also?

ommunications?
this person possess?

s responsible for them?


Yes No

he acquired firm?

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

y issues, workforce relocations, etc.?


employees? When do the communications need to be ready? On what dates must they be communicated? Who needs to know?
ions which affect the organisation?
e authorised corporate spokespersons for outside communications concerning the merger or acquisition?
suppliers, clients/customers, etc.
scheduled? Who should attend?
? (staff meetings, informal groups, memos, etc.)

ofile 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
xternally or internally. calculate the cost of make them competitive.

e retention of key management? Explain,

on any forthcoming organisational changes or structure? Explain.


nations or terminations?

y by name and title.


essary to ensure that the affected employees stay on the job until such time as the company is ready to relocate the work?
are to be let go,

sions will be made?

o is used and what is the average cost?


signed to help identify the important considerations basic to the design and timing of an action plan for merger.
cated? Who needs to know?
o 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 un

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
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.

nd 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 compensa

s it allowed?
nstances 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 f
Copyright
The material on this site may be reproduced, in whole or in part and by any means, without further permission from Human Re
No such reproduction shall indicate that Human Resources Development Canada is in any way responsible for the accuracy o

Internal Recruitment Issues

 Is information on deployment opportunities available to all employees?


 Is the participation rate of designated group members tracked?
 Do designated group members and other employees have access to a redress mechanism if they feel that they have been
 Is deployment used simply as a means of moving designated group members out of a work unit?

Recruitment system checklist

 Are recruiters representative of and include members of the designated groups?


 Are job openings posted on bulletin boards (electronic and paper version) accessible to all employees, including those who
 Are managers aware of recruiting under special measures and are they encouraged to use them?
 Do all job advertisements accurately reflect bona fide qualifications and skill requirements for the job?
 Are you creating a pool of qualified designated group members that possess the types of skills needed by departments?
 Do you take these into consideration when discussing the job requirements with the manager and formulating the essential
 Would the selection profile eliminate designated group members in the organization or tend to discourage them from applyin
 Are departmental human resources professionals contacted and given the opportunity to brief the staffing officer by providin
 If it is apparent that there are no designated group members in the competitive process, do you re-think your criteria and mo
 Are you aware of the special programs for designated group members both in departments and central agencies that might
 Do you know the numbers of designated group members that are retained in each stage of the competitive process?
 Is the participation rate of designated groups tracked?
 Do job advertisements indicate that you are an equal opportunity employer?
 Are all jobs free of credentialism barriers? In other words, is formal academic training required only where safety and/or effic
 Are all job advertisements written in easy-to-read, non-bureaucratic, and inclusive language designed to attract a wider poo
 Can you demonstrate that your recruitment practices are up-to-date, and consistently reflect your written policy and procedu
 Have your recruitment policy and practices been communicated to unions, managers, and employees?
 Are you developing mechanisms to carry out consultation and collaboration with employee representatives under the EEA?
 Do you advertise employment opportunities through a wide variety of mechanisms and media including ethnocultural, "black
 Do you distribute job bulletins to communities where large numbers of designated groups reside e.g. black communities?
 Do you canvass schools, colleges and universities with a high representation of designated groups?
 When conducting recruitment at educational institutions, do you seek advice from employment equity officers and designate
 If you hold a staffing inventory, does it consistently have a representative pool of qualified candidates at all job levels?
 Do you consider employees of your department who are not at work due to injury? Can accommodation or job redesign ass
 Are the rates of referral of designated group members monitored for fair share of employment opportunities?
 Are designated group members obtaining their fair share of longer-tenured appointments for an indeterminate period?
 Are participation rates tracked from beginning to end of the recruitment process in order to identify potential barriers?
 Are job postings and bulletin boards accessible to all employees, including those who may work in branch offices or are disa
 Does the job poster accurately emphasize the qualifications and duties most central to the job?
 Are skill components broken down to reflect actual job requirements (e.g., a receptionist position described as follows: rece
 Is someone who is familiar with the day-to-day functions of the job available to provide prospective applicants with informati
 Do advertisements for jobs indicate that you are an employment equity employer?
 Is the language used in Job postings and advertisements checked for gender and cultural biases? For example, is "drafts p
 Is "experience" asked for instead of "South African / Gauteng experience", or "university education" rather than "degree from
 Is illustrated material used in recruiting checked for gender and cultural biases?
 Have personnel staff received training with respect to human rights and other employment-related legislation?
 Have up-to-date human rights and other relevant legislation and information been used in preparing your company's job app
 Is the personnel department accessible to people with physical disabilities?
 Are provisions made in the interviewing process to accommodate people with physical disabilities?
 Do job descriptions/advertisements specify the physical requirements of the job, based on a physical demands analysis?

Selection systems checklist

If you are unable to answer yes to the following questions, you are encouraged to develop appropriate solutions to remedy the
 Are frontline staff, i.e. assessors, interviewers and staffing specialists knowledgeable about human rights and employment e
 Does the area of selection include a representative pool of designated group members?
 Are managers and interviewers aware of their individual and collective responsibilities to support their organisation’s employ
 Is the selection process, including interviews, fully documented and monitored for adverse effects on designated groups?
 Does your organisation include designated group members on selection teams, especially where designated group membe
 Are job requirements reviewed: (a) initially, to ensure that they are bona fide, and do not constitute barriers to designated gr
 Are tests validated for job-relatedness?
 Are tests and other screening tools examined for cultural, gender and racial biases?
 Are tests administered by personnel with the right skills and training to avoid biased assessments of designated group mem
 Are testing and interview locations accessible in physical and geographical terms?
 Are selection test materials made available in various media to accommodate applicant's needs (e.g. Braille, tapes, translat
 Are selection tools adapted to meet candidates' needs and do they support the principles of reasonable accommodation?
 Does the selection process have an unusually high factor for "personal suitability"?
 Are selection methods reviewed and updated periodically and in keeping with new or revised employment equity policies?
 Are managers and interviewers aware of the organization's employment equity philosophy and goals?
 Is the selection process, including interviews, fully documented?
 Are efforts made to include designated group members on the interviewing teams?
 Are tests validated for job-relatedness?
 Are tests examined for gender and racial biases?
 Are tests administered by trained personnel?
 Are testing conditions standardized?
 Is the testing facility accessible to wheelchair users?
 Are test materials available in various media to accommodate applicants' needs (e.g., Braille, tapes, translation services for
 Are procedures for reference checks standardized?

Appointment systems checklist


 Are departmental staffing practitioners knowledgeable about the staffing policies and procedures, and the values that they r
 Do you monitor the proportion of designated group members versus the non-designated group population recruited from the
 Do you monitor the promotion rate of designated group members within the department versus that of non-designated grou
 Are staffing practitioners and managers who exercise delegated staffing authority adequately trained in staffing and EE mat

Executive resourcing checklist

 Is the executive resource agent aware of the representational profile and the employment equity plan, of the organisation?
 Does the selection profile eliminate designated group members in the organization or tend to discourage them from applyin
 Is the employment equity manager contacted and given the opportunity to brief the executive resource agent on the organis
 Is the organisation proactive in providing career consultation services to designated groups and provide unsuccessful candi
 Do you track reasons for elimination at the various stages and use this to identify possible barriers and develop corrective m
 Do your selection committees include representatives from the minority designated groups when there is a significant propo
 In the absence of suitable selection committee members from within the organisation, do you look outside the organisation
 Are all candidates contacted following the process and offered feedback on their performance during the selection process?
 When an executive position is going to be staffed through external advertisement, is employment equity a consideration in d

Retention Checklist

 Do persons in the designated groups leave at disproportionate rates compared to other employees?
 Does the organisation have information on why its employees are leaving?
 Do these reasons include unfair targeting of designated group members? For example, are they over-represented in term a
 Are there reports of subtle pressure on designated group members to seek alternative employment?
 Are lay-off and termination decisions based on clearly defined, job-related and objective criteria?
 Are alternative opportunities available and communicated to designated group members affected by terminations?

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

 Do designated group members participate in training and development opportunities at lower rates than other employees? I
 Do all new employees have access to orientation and other courses about the department?
 Is the selection for training and development solely at the discretion of supervisors? Do designated group members and oth
 Do employees in the designated groups have access to training and development opportunities that prepare them for more
 Has your training material been reviewed for gender, racial or other biases?
 Is diversity training available to all employees of your organization either as stand-alone modules or integrated with other tra

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

 Is training linked to seniority, job type and level, earnings, or next-in-line status, and if so, does it adversely affect designate
 Do designated group members participate in all training and development programs at the same rate as other employees. W
 Are records kept of designated group participation in training events to determine if training policies and procedures exclude
 Are members of designated groups excluded from training programmes because of stereotyping and in-group bias. For exa
 Is information on training programmes disseminated to all employees within the organisation, and they familiar with how to a
 Are training materials or notices about training produced in alternate formats, such as Braille or audio form.
 Determine whether training nominations, which are usually done solely at the discretion of supervisors, do not exclude desig
 Selection criteria for taking training should not be inflated, but should also take cognisance of prior learning, relevant experi
 Sometimes, training for employees at the lower level of the organization is given to enhance current job skills, not to prepare
 Are trainers instructed on the needs and issues of designated group members and on how to encourage them to participate
 Are contracted trainers made aware of the organization’s employment equity policies and cross-cultural issues in a training

Training and development system checklist II

Consider the following questions and evaluate your training policies:-

 Does your organization have a training and development policy based on employment equity principles? For example, is a f
 Are all employees aware of the organization's training and development opportunities?
 Do all employees have access to training and development opportunities?
 Have you ensured that there are no restrictions to training opportunities based on occupational levels and earnings?
 Are training centres accessible to disabled persons?
 Do employees have access to in-house or company-paid career counselling?
To what extent does your organisation undertake any of the following activities to reinforce anti-discrimination training?

 adopting formal policies against discrimination or in favour of diversity


 improving specific human resource management practices
 disciplining or firing employees who discriminate
 making equal opportunity part of managers' performance evaluations
 providing an accessible discrimination complaint process
 providing mentoring and similar staff development programmes
 celebrating diversity in company publications
 establishing a diversity advisory committee
 establishing numerical goals for employing protected groups
 employing full-time diversity staff
 training providers involved in pre-training organizational audits

Upward mobility system checklist


 Have you identified formal lines of progression or career paths for each occupational group?
 Has this information been made available to all employees as part of a career counselling or performance appraisal session
 Are there entry level jobs in each job category from which employees have the opportunity to advance?
 Are there established criteria to select employees for upward mobility opportunities?

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

 Are lay-off and termination decisions based on clearly defined, job-related and objective criteria?
 Have your company's employees been provided with information on the organization's policies and procedures respecting l
 Does management in your company follow an established procedure when taking disciplinary action against an employee?
 Does your company provide counselling and/or rehabilitation programs to employees?
 Do all employees have access to company employee assistance programs?
 Are formal exit interviews conducted to determine reasons for voluntary employee terminations?

 Undertake exit interviews to determine the reasons why designated group employees and other employees are leaving and
 Analyse the information on a statistical and qualitative basis. Sometimes the results of such exit interviews reveal that desig

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

 Have you eliminated the use of market value as a key criterion in your job evaluation system(s)?
 Do your systems focus on job content, instead?
 Does your job evaluation system incorporate pay equity principles in order to eliminate gender-based pay discrimination?
 Are you confident that your company could pass a pay equity compliance review (in jurisdictions where pay equity laws app

Compensation system checklist

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

 Have pay ranges been established for all jobs?


 Are your company's pay scales publicized or accessible to employees?
 Are you confident that any existing pay differentials are based on such factors as skill. effort, responsibility and working con
 Is your organization's compensation system based on pay equity or equal pay principles, as determined by applicable provi
 Would your company be able to pass a pay equity compliance review, where pay equity legislation applies?

Reviewing your benefits system

Determine. ..

 what benefits, including perks, are offered by your organization;


 the eligibility criteria for the various benefits and perks which your organization provides. Highlight, for example, which empl
 the policy respecting the accumulation of benefits and seniority during leaves of absence, including maternity or paternity le
 what benefits are available to part-time employees;
 how information on benefits is communicated to employees;
 if any of the policies, including eligibility criteria governing your organization's benefits system, have an adverse impact on d
 ensure that bonuses are fairly distributed among qualified employees.

Benefits systems checklist

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

 Are you confident that the policies and practices governing your benefits system are equity-based and are in compliance wi
 Is there an effective communications plan in place to ensure that employees receive relevant and timely information concer
 Are benefits available to part-time employees on a pro-rata basis?
 Are requests for non-majority religious holidays accommodated?

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

 Are your workplace rules applied consistently?


 Is your working environment hospitable to designated group members?
 Do your conditions of employment allow for reasonable accommodation of differences among employees?
 Are employees informed of their protection against sexual harassment under human rights legislation?
 Does your organization have a policy on sexual and other forms of personal harassment?
 Has this anti-harassment policy been communicated to all supervisors and employees?
 Does your organization have a health and safety committee?
 Is the work site accessible to employees with disabilities?
 Are washroom and cafeteria facilities accessible to persons with disabilities?
 Does your organization supply technical aids to workers with disabilities?
 Does your organization have a policy on the health and safety aspects of Video Display Terminals (VDT's) and other potent

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 If yes, specify

 Recruitment procedures
 Advertising positions
 Selection criteria
 Appointments
 Job classification and grading
 Remuneration and benefits
 Terms and conditions of employment…………….
 Job assignments
 Work environment and facilities…………………….
 Training and development
 Performance and evaluation systems…………….
 Promotions
 Transfers
 Demotions
 Succession and experience planning…………….
 Disciplinary measures
 Dismissals
 Corporate culture
 HIV/Aids education and prevention
programme
 Other (please specify):
any reproduction derived from the materials on this site. The materials on this site have been prepared for convenience of reference only an

ermission from Human Resources Development Canada.


onsible for the accuracy or reliability of the reproduction; nor shall any such reproduction indicate that it was made with the endorsement of,

feel that they have been unfairly denied access to deployment opportunities?

yees, including those who work in remote locations and persons with disabilities?

eded by departments?
formulating the essential criteria for the job?
courage them from applying?
staffing officer by providing relevant information on designated group members at the feeder levels in the department? Are designated gro
e-think your criteria and modify them in order to expand the area of competition thereby making it more inclusive?
entral agencies that might yield candidates? If so, do you pursue this avenue if it is determined that there is an insufficient number of design
mpetitive process?

y where safety and/or efficiency and effectiveness standards would be otherwise compromised?
ned to attract a wider pool of job applicants?
written policy and procedures?

entatives under the EEA?


uding ethnocultural, "black" and alternate format media when conducting open competitions?
.g. black communities?

uity officers and designated group student associations?


ates at all job levels?
dation or job redesign assist their return to work?

determinate period?
y potential barriers?
n branch offices or are disabled (e.g., wheelchair users)?

described as follows: receiving the public, receiving applications, possessing a knowledge of company procedures and practices, etc.)?
e applicants with information?
? For example, is "drafts person" used as opposed to "draftsman"?
n" rather than "degree from a South African university"?

legislation?
ng your company's job application forms?

cal demands analysis?

te solutions to remedy the situation.


n rights and employment equity legislation vis-à-vis employer obligations as well as diversity issues?

heir organisation’s employment equity vision and goals?


on designated groups?
designated group members are in the candidate pool?
e barriers to designated group candidates, and (b) subsequently reviewed to determine whether they will exclude designated group candida

of designated group members?

e.g. Braille, tapes, translation services for hearing-impaired)?


onable accommodation?

loyment equity policies?

es, translation services for hearing-impaired, etc.)?

and the values that they represent, i.e. equitable access, fairness, and merit?
pulation recruited from the external labour market?
at of non-designated group members?
ned in staffing and EE matters?

plan, of the organisation?


ourage them from applying?
ource agent on the organisations employment equity plan?
rovide unsuccessful candidates with the opportunity to receive a full explanation of the reasons why they have been screened out of a sele
s and develop corrective measures?
here is a significant proportion of interviewees from these groups?
outside the organisation for committee members?
ing the selection process?
equity a consideration in deciding where and how the position will be advertised? Do you contact headhunting firms who can refer designat

over-represented in term appointments that are not renewed?

by terminations?

and/or enables the employee to acquire the necessary skills and knowledge for future opportunities, influences competencies and upward

s than other employees? Is information on training and development opportunities disseminated to all employees? Is this information acces

d group members and other employees have access to a redress mechanism if they feel that they have been unfairly denied access to train
hat prepare them for more advanced jobs in the organization?

or integrated with other training activities? Do managers and employees who are not in the designated groups participate in such training?

ed group members in the workplace.

adversely affect designated group members.


ate as other employees. What is the underlying reason for their lower participation rate.
es and procedures exclude designated group members.
and in-group bias. For example, women might be excluded from some types of training because of the assumption that they may be away f
they familiar with how to apply.

sors, do not exclude designated group members . Where possible, allow employees to nominate themselves for training.
r learning, relevant experience and reasonable ability to acquire the skills, otherwise designated group members may not apply.
nt job skills, not to prepare for different or more advanced jobs. More senior-level employees often have the option of taking courses to pre
ourage them to participate during training sessions.
ultural issues in a training context.

ciples? For example, is a fair proportion of your training plan focused on employment equity initiatives, such as diversity awareness training

vels and earnings?


imination training?

ormance appraisal session?

te solutions to remedy the situation.

d procedures respecting lay-off, recall, disciplinary action and termination?


on against an employee?

mployees are leaving and if their reasons for leaving are different from other employees. The questions need to be designed very carefully
nterviews reveal that designated group employees are leaving for exactly the same reasons as other employees.

te solutions to remedy the situation.

sed pay discrimination?


where pay equity laws apply)?

te solutions to remedy the situation.

onsibility and working conditions, and not on sex or race?


mined by applicable provincial legislation?

, for example, which employee groups are eligible and note the exclusions as well as the rationale;
g maternity or paternity leave, sabbaticals and other short- and long-term leaves;

ve an adverse impact on designated group members;

te solutions to remedy the situation.

and are in compliance with applicable legislation?


timely information concerning the organization's benefit plans?

te solutions to remedy the situation.

s (VDT's) and other potentially hazardous business equipment?

were identified:

If yes, specify
ience of reference only and have no official sanction.

e with the endorsement of, or in affiliation with, Human Resources Development Canada. ]

ment? Are designated group members encouraged to apply in the competition and provided with the required background information?

ufficient number of designated group candidates in the competitive process?

s and practices, etc.)?


designated group candidates at rates disproportionate to non-designated group candidates?
en screened out of a selection process?

ms who can refer designated group candidates?

ompetencies and upward mobility.

? Is this information accessible to persons with disabilities?

airly denied access to training and development opportunities?

rticipate in such training?

n that they may be away from work for maternity and child-rearing leave.

may not apply.


n of taking courses to prepare them for promotion. This practice could adversely affect designated group members, if they are located at th

versity awareness training, sexual harassment training etc? Does your training plan allocate a certain percentage of training to delegates fro
e designed very carefully to ensure the information sought is elicited.
kground information?
rs, if they are located at the lower levels of the organization. It can be useful to compare the kind of training extended to members of design

of training to delegates from designated groups?


ded to members of designated groups to the training given to senior staff.

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