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The AMA Handbook of Due Diligence by Andrew J. Sherman, William M. Crilly

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19-06 DUE DILIGENCE HANDBOOK
Forms 19-18 Through 19-24
Human resources must be examined at three distinct levels: (a) operational culture; (b) legal and compliance;
(c) compensation and reward. These forms will assist in the evaluation of policies, systems and practices that
facilitate all three types of HR-related due diligence.
512
HUMAN RESOURCES ORGANIZATION
ENTITY Form 19-01
513
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
ORGANIZATION CHART
Organization Reports To: ____________________________________ Total Personnel: ______
COMPENSATION OF KEY HUMAN RESOURCES DEPARTMENT PERSONNEL
NAME / POSITION
(1)
ANNUAL
SALARY
OTHER
COMPENSATION
(2)
BASIS FOR OTHER
COMPENSATION
(3)
$
Notes: (1) Place an asterisk after the name of individuals having employment contracts.
(2) Includes cash bonuses, stock awards, etc. for the most recent annual period.
(3) For example: Total entity profits, departmental or personal goal achievement, etc.
RESUMES OF KEY HUMAN RESOURCES DEPARTMENT PERSONNEL
ENTITY Form 19-02
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
514
NAME TITLE
TREND IN HUMAN RESOURCES DEPARTMENT STAFFING
ENTITY Form 19-03
515
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
TREND IN BEGINNING OF YEAR STAFFING LEVELS
POSITION 20 20 20 20 20
Administrative Staff
Secretary/Clerical
Total Human Resources Department
FUTURE STAFFING PLANS
What are the current plans for changes in the near term (i.e., next 12 months) staffing level?
[ ] Maintain the current level. [ ] Increase by ____ . [ ] Decrease by ____ .
OUTSIDE SERVICES
Does the entity employ outside services? If so, please provide the following information.
SERVICES
PROVIDED
(1)
FIRM EMPLOYED PRIMARY
REPRESENTATIVE
BILLINGS FOR MOST
RECENT TWELVE
MONTHS (2)
$
Notes: (1) Examples: recruiting, physical examinations, aptitude testing, training, etc.
(2) Twelve months ending ______________________ .
TREND IN HUMAN RESOURCES DEPARTMENT EXPENSES
ENTITY Form 19-04
REF.
PREPARED BY REVIEWED BY
REVISION DATE SECTION PAGE
516
EXPENSE CATEGORY 20 20 20 20 YTD
(Thousands Of Dollars)
Payroll Expense
Administrative Staff
Secretarial/Clerical
$ $ $ $
Total Payroll Expense $ $ $ $
Payroll Related Expense
Total Payroll & Related Expense $ $ $ $
Nonpayroll Expenses
Outside Services $ $ $ $
Other
Total Department Expense $ $ $ $
Change From Previous Year % % % %
As A Percent Of Revenues % % % %

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