Strategic Human Resources [2022]
with Catherine Mattice
HR Audit
Compliance Driven Solution-Focused HR
Offering services as the Following best practices
need arises
Role
• Is there an HR resource for the • Is HR relied upon for advice
organization’s HR needs? related to personnel issues?
• Does HR conduct a salary
survey each year?
• Does HR have a focus on risk
management?
• Does HR participate in labor
relations and negotiations?
• Does HR have basic systems in
place to ensure talent
management practices are
manageable?
Strategic Human Resources [2022] with Catherine Mattice
Strategic HR
Aligning with business and
seeing employees as assets
• Is HR seen as a champion for
employees?
• Does HR conduct an annual or
biannual employee engagement
survey?
• Does HR participate in creating
plans to build engagement?
• Do employees understand how
their job contributes to
organizational success?
• Does HR have business partners
with dedicated support for
functional work units/divisions?
• Does HR play a role in proactively
managing risk for the organization?
• Does HR actively provide leadership
for labor relations and negotiations?
• Does HR follow industry trends in
HR, as well as in specific industry?
• Does HR have an integrated
technology infrastructure?
Integrated HR
Driving decisions with data
and insight
• Is a member of the HR team part of
the executive team?
• Does at least one member of HR
attend strategic planning meetings
with top leadership?
• Is HR seen as an agent who drives
change?
• Is HR part of developing and carrying
out key business processes?
• Do functional business units rely
on and trust HR to lead the people
strategy?
• Does the organization tap into
and leverage people management
technology infrastructure?
• Does the organization focus on and
give HR resources to be an “employer
of choice” or a great place to work?
• Are talent management practices
well integrated (hiring, onboarding,
developing, retaining, promoting,
retiring) into functional work units/
divisions?
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 Recruiting
• Does HR support development
of job descriptions and job
requisitions?
• Does HR screen candidates?
• Does HR provide guidance on
safeguarding against accusations
of harassment or discrimination in
the interview and hiring process?
• Is there a method for interviews
that is followed by all involved in
hiring?
• Is the recruitment, screening, and
selection process documented?
• Does HR assist the final authority
to decide who is hired?
• Is pay fair and consistent, and is it
on par with industry standards?
• Are references checked?
• Are conversations documented?
• Once the decision for hiring is
made, does HR contact the
candidate and how?
New Hire Process
Strategic Human Resources [2022] with Catherine Mattice
• Does HR use recruiting best
practices instead of simply posting
job postings?
• Are we posting marketing-like
job ads (that is, instead of job
descriptions)?
• Do we consider job restructuring or
other options before recruiting?
• Do we train interviewers on how to
best conduct an interview?
• What is the turnover rate? Are some
departments higher than others?
Why? Is it in line with industry
standards? If not, why? How can it
be improved?
• Do recruiting methods encourage a
diverse pool of applicants?
• Do we ask interview questions that
address culture fit?
• Does HR use metrics (for example, • Are metrics used to make business
percentage of jobs filled from decisions?
within, percentage of jobs filled
• To what extent have we adopted a
from different recruiting avenues,
competency model as a basis for
time to fill)?
hiring, promoting, and developing
employees?
• Does HR know future staffing
needs based on the organization’s
• What future staffing needs did we
strategic plan?
discover as we participated in
• What are the gaps hindering creating the business’ strategic plan?
organizational growth?
• Is there a succession planning
• Do we have a strategic plan for program in place?
recruitment?
• What are the gaps hindering
• Do we have and execute a strategy organizational growth and how
for employer branding? do we solve them?
• What is our employer brand? • What is the ROI on our recruiting
automation programs and
• What recruiting automation do we
processes?
have in place?
• Do we have an employer branding
• How do we measure the success of
program in place, and do we
our recruiting processes?
measure ROI in terms of turnover
• Do we offer career pathing in order and employee satisfaction?
to promote from within?
• Do core competencies include core
values, and do we ask questions
about those competencies turned
values in interviews?
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 • Who generates new hire paperwork?
Are new hire forms and brochures
provided in compliance with federal
and state laws?
• Is there a new hire probationary
period?
• Is the contact person for questions
clearly defined for new hires?
• Are we making all proper notifications
of new hires (for example, state
departments, payroll, IT)? Is this
process streamlined?
Compensation, Benefits, and Total Rewards
• Are salary ranges established? How?
• Is sick and vacation time offered
and in compliance with federal
and state laws?
• Are required insurance benefits
provided and explained to
employees?
• Are the eligibility requirements for
benefits programs communicated to
employees in a timely manner?
• Do we offer retirement plans?
Strategic Human Resources [2022] with Catherine Mattice
• What is the orientation process
and agenda?
• Do we include more welcoming
information than just a new hire
letter? What else is included to
enculturate a new employee?
• What kind of training do new hires
go through? Who provides it? Who
documents it?
• What could we do to make easing
into the job better?
• Are merit increases tied to
performance evaluations?
• Are compensation levels fair and
consistent and internally equitable
across the organization?
• Are salary allocations periodically
reviewed for competitiveness and
appropriateness?
• Is paid time off or vacation time
consistent with industry standards?
• Do we have metrics in place for
time to proficiency, self-efficacy,
retention rate, etc.?
• Do we have a mentor program in
place that includes training for
mentors?
• What is the onboarding process?
Is it clear and defined?
• Does the onboarding process last
at a minimum six months?
• Do managers and HR partners work
together to ensure a positive
onboarding experience?
• Do we measure new hire, manager,
and team satisfaction with
onboarding?
• How many hours do new hires
spend in training?
• Do we have metrics in place to
measure how compensation,
benefits, and total rewards affects
recruitment, turnover, and
satisfaction?
• Do we have a total rewards
communication/marketing plan
that is measured for success?
• Are benefits and other perks for
employees periodically evaluated
for recruitment and retention
purposes?
• Are metrics used to make
business decisions?
• Do we measure training
effectiveness and ROI?
• Are staff and managers made
aware of the onboarding program
and their accountability to its
success?
• Are department heads rewarded
for meeting set new hire goals (for
example, training, production)
• Is onboarding measured against
turnover?
• Is a new hire seen as cause for
celebration or stress?
• Are expectations for job
performance clear upon hiring?
• Are metrics used to make business
decisions?
• How is compensation tied into our
company culture, mission, vision,
and values?
• Are merit increases and incentives
tied to performance?
• Is HR facilitating employee
competencies that are rewarded
and that result in organization’s
ability to achieve its objectives?
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 • Do we offer paid holidays?
• Is time off calculated and managed
(for example, sick, PTO, vacation
time)?
• Are there eligibility requirements for
PTO or vacation time?
• Is there a cap to PTO or vacation? If
so, do we have a process in place for
monitoring it?
• How do we handle PTO or vacation
time at the end of the year (for
example, roll over or must use)?
How is this process managed?
• What is the process for requesting
time off? Who approves the request?
Is it documented?
• Does HR manage retirement
accounts and other benefits after
an employee leaves?
• Do we offer bonuses and, if so, does
HR play a role in managing them?
• Are nonexempt employees
receiving the right breaks and
mealtimes? How is this managed?
• Do we contribute toward health
insurance coverage and, if so, what
percentage?
Training, Development, and Motivation
Strategic Human Resources [2022] with Catherine Mattice
• Are procedures and technology in
place to track and monitor leave
usage and time off?
• Does HR communicate intentionally
about compensation, merit increases,
and bonuses across the organization?
• Is our health insurance contribution
in line with industry standards? Or
standards from within our local
community?
• Do we have an employee portal to
give employees access to pay and
benefit information?
• Are benefits in line with employee • Do employees take accountability
needs? Do we measure that? What for managing and understanding
else can we provide that they can their benefits packages?
get excited about?
• Can employees contribute their
time off to other employees who
need it?
• What proportion of merit pay is
based on formal performance
appraisals?
• What is our current percentile
ranking for total compensation
and rewards?
• Are employees aware of and
understanding about their
compensation package?
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 • Are employees provided with
enough training to perform their
jobs effectively?
• Do job relevant training
opportunities exist for
employees?
• Do we keep track of training
attendance records?
• What is the average length of time
someone works in the organization
before being given the opportunity
to move up, or at least to achieve
stretch goals?
• How much do we spend annually on
training and performance?
• Are formal training and development
programs made available to all
levels? If so, what are they?
• Do we measure employee response
to training programs?
• Do programs promoting employee
wellness exist?
• Do programs recognizing employee
accomplishments or milestones exist?
• Do advancement opportunities and
promotional pathways exist for
employees?
• Are training learning objectives tied
to performance-based rewards?
• Do we measure behavior change
after training programs? Can the
impact on the business, or return on
investment (ROI), be demonstrated
for learning events?
• Do we ensure managers and
supervisors know how to create
an environment that supports
learning events?
• Are managers trained to follow
through on learning objectives and
carry out additional training as
needed?
• How do we excel in our health
benefits and wellness programs?
What areas could we improve upon?
• How can employees become more
involved in building our wellness
programs? Has it become part of
the organizational culture?
• Do we use metrics to make business
decisions?
• Do we have a talent management
strategy in place? Does it incorporate
succession planning and are
competencies embedded in talent
development?
• Are career paths clear and navigable
by all staff (including managers)?
• Do we measure and know ROI of
training and development programs?
Do we measure programs against
business outcomes?
• Are employee engagement survey
results tied to organizational
performance?
• Are we a learning organization?
• Do employees understand our
competitive strategy and
operational goals?
• Do evaluation and compensation
practices seek out and reward
knowledge creation and sharing?

• Are we helping to develop necessary

leadership competencies? Were
those competencies developed in
conjunction with the organization’s
strategic plan?

Performance Management

Strategic Human Resources [2022] with Catherine Mattice 5 of 7

 • Does HR play a role in evaluating
and measuring performance?
• Do managers or supervisors meet
with their employees at least once
per month to touch base?
• Do we have a step-disciplinary
procedure in place? Does it provide
an opportunity to skip steps and
move directly to termination if
needed?
• Who makes the final approval for
employee termination?
• Is the exit paperwork and final
paycheck provided to employees
compliant with federal and state laws?
• Are the circumstances surrounding
terminations kept confidential?
• Are performance evaluation forms
reviewed and updated regularly?
• Is HR involved in monitoring the
performance management of
deficient employees?
• Is the instrument used useful
and valid?
• Is discipline applied uniformly and
consistently across all levels?
• How involved in disciplinary
conversations is HR?
• How are good performance and
accomplishments acknowledged
and rewarded? Is this done by
managers or as an organization-
wide process unified across
all levels?
• Who is responsible for the
communication around an
employee termination?
• Do we perform exit interviews?
• Do we have metrics in place
(for example, absence rate per
manager, number of units
produced, voluntary turnover rate
of high and low performers)?
• Are managers trained to utilize
performance evaluation tools and
address performance deficiencies
in staff?
• Do supervisors and managers
spend appropriate amounts of
effort and time coaching their
teams for performance?
• Is the focus of performance
management what is going well,
rather than what is not working?
• When performance is suffering, do
managers and supervisors provide
resources and SMART goals for
improvement? How and where is
that documented?
• Do we have a reward system for high
performers to include incentives or
promotional pathways?
• Do we use metrics to make business
decisions?
• What is the extent to which the
average employee can describe
the organization’s strategic goals
and how their role assists in
achievement of those goals?
• What is the percentage of minority
promotions?
• What percentage of the workforce
is promotable?
• What is the percentage of retention
of high-performing employees?
• How quickly do new hires become
high-functioning team members?
• What percentage of planned
development opportunities are
accomplished?
• What is employee turnover by
performance level?
• Are rewards structured to foster
leadership behavior?

• What is the change in performance • Are people rewarded for

appraisal ratings over time? What demonstrating the core values
are the changes attributed to? of the organization?

• Are employees growing toward

competencies?

• Are employees satisfied with

advancement opportunities,
compensation, etc.?

• Do people know the core values?

• Do we perform stay interviews?

Strategic Human Resources [2022] with Catherine Mattice 6 of 7

 Documentation and Compliance
• Who manages personnel files?
Are items stored in compliance
with federal and state laws?
• Is the process for documenting
time off, vacation, sick time, etc.,
in compliance with federal and
state law?
• Does HR hold interview notes,
resumes, and personnel files for
required periods of time?
• Does HR document receipt of
updated corporate policies and
other types of communications?
• Are mandated posters updated in
all locations? Does HR ensure
updated posters are available at
all times?
• Are we compliant with all state and
federal laws (ADA, Title VII, FMLA,
OSHA, etc.)?
• Do we document injuries and
illnesses on the job?
• Do we have all of the appropriate
insurance (employment practices
liability, etc.)?
• Are we filing state and federal tax
documents?
Strategic Human Resources [2022] with Catherine Mattice
• Are job descriptions reviewed on a • Is the policy handbook written in
consistent basis? How often? a tone that matches our corporate
culture?
• How do we document training and
professional development? • Do we have an internal auditing
process for proper records
• How do we document performance
retention?
conversations?
• Do we seek competitive bids
• What is the process for updating and
for our payroll service provider
communicating corporate policies?
each year?
• Is the corporate policy handbook
up to date?
• Has an attorney reviewed and
approved our policy handbook?
• Are we in compliance with required
safety training?
• Is a cost-efficient payroll process
established?
• Are we using our payroll service
provider to the fullest extent in
terms of services they offer?
• Are documents, policies, and
procedures available to employees
online or in some type of eformat?
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