Self Audit: Unemployment Management Audit 

Questionnaire (some questions may have more than one answer)

____ 1. Have you calculated the financial impact of turnover costs and UI taxes on the organization

____ 2. Have there been significant changes (either up or down) in turnover costs and UI liabilities over the last 5 years?

____ 3. If yes, have you identified the causes for these changes? 

____ 4. Who has overall responsibility for (UI) management in your organization?

a. senior executive

b. the controller's office

c. payroll

d. the organization's administrator

e. the human resources department

f. a plant or location manager

g. the risk management department

h. an outside consultant

i. other 

____ 5. How is accountability for UI taxes and costs assigned to employing units, plants, job sites, and departments?

a. proportionally, based on size of payroll

b. proportionally, based on number of employees

c. through internalized experience rating

d. other

e. not assigned 

____ 6. Are department heads, managers, and supervisors informed about UI issues, about the financial implications of UI, and about the role they play in helping your firm control UI costs? 

____ 7. Have your managers been trained in the following UI management areas:

a. proper hiring and firing techniques?

b. performance appraisal management?

c. positive employee relations?

d. separation management?

e. exit interviews?

f. UI claims administration?

g. UI case management and hearing attendance? 

____ 8. Are managers and supervisors evaluated for their efforts and successes:

a. in stabilizing employment?

b. in reducing turnover?

c. in UI claims management?

d. in controlling UI benefit charges?

e. in reducing the organization's exposure to other types of employment-related claims? 

____ 9. Do you have multiple employing units, offices, or plants? 

____ 10. If yes, are employees transferred among these locations? 

____ 11. What criteria are used in determining the state to which UI wages are reported?

a. the state where the worker performs his/her job

b. the state of the worker's base of operations

c. the state from which the worker receives direction or control

d. the state where the worker resides 

____ 12. Have you taken advantage of the following tax saving provisions in the law:

a. voluntary contributions?

b. joint accounts?

c. transfers of experience?

d. relief from charges? 

____ 13. Do you review, verify, and appeal, when necessary, information on the following forms:

a. UI tax rate notices?

b. state quarterly UI tax returns?

c. Federal Form 940, the Employer's Annual Federal UI Tax Return ?d. benefit charge statements? 

____ 14. Have you reviewed your job application and hiring process to insure that you recruit and select qualified job applicants? 

____ 15. Do you have up-to-date job descriptions for each job? 

____ 16. Have you communicated in your employment handbook, statement of rules and regulations, or personnel action forms your firm's goals, expectations, and job security policies? 

____ 17. Do you review the requirements of the job, job performance standards, rules of conduct, and other essential elements of the job with new hires? 

____ 18. Do you have an initial period of employment when a newly hired or transferred employee's job performance and conduct are monitored and evaluated? 

____ 19. When an employee's performance or conduct is unsatisfactory, which of the following disciplinary procedures do you use:

a. oral warnings?

b. written warnings?

c. disciplinary suspensions?

d. termination? 

____ 20. When an employee notifies you that he/she is quitting, do you conduct an exit interview and/or obtain a resignation statement ? 

____ 21. Which of the following employment-stabilization techniques do you use to reduce separations and UI benefit liability:

a. temporary, part-time, and other contingent workers?

b. flextime?

c. job sharing?

d. training workers for multiple jobs?

e. adjustments to vacation schedules to correspond with predictable economic or seasonal cycles, retooling, or plant-wide shutdowns?

f. reduced work schedules?

g. work sharing?

h. grievance procedures, internal dispute resolution, or a separation ombudsman? 

____ 22. When a UI claim is received, is one department or individual responsible for claims response, administration, and processing? 

____ 23. Do you receive and monitor each of the following UI forms:

a. initial claim forms?

b. base period claim forms?

c. local office determinations?

d. hearing notices?

e. administrative law judge decisions?

f. Board of Appeal decisions? 

____ 24. Do you have a reporting system that tracks and reports:

a. the type and number of separations?

b. the type, disposition and number of UI claims?

c. UI hearing activity?

d. UI benefit charging activity?

e. multiple claims, that is, UI claims that concurrently or subsequently become other types of employment-related claims, such as a wrongful discharge lawsuit, a sexual harassment claim, or a discrimination claim? 

____ 25. Does your reporting system analyze separation, UI claims, and benefit charging data:

a. by employer registration number?

b. by employing unit?

c. by supervisor?

d. by position?

e. by tax year? 

____ 26. Have you posted your state's UI posters in a conspicuous place?