IDM RA Checklist for HR System#

Client Information Gathering Session Questions

System #

• What is the name and version of the system you are using (i.e.: Oracle, SAP, PeopleSoft)?
• (PS only) what version of PS Tools are you on?
• (SAP only) are you currently using CUA?
• What database and version does the system reside on?
• What modules are you using? What version of each?
• What operating system and version are you running?
• What platform are the application servers?
• Are you up-to-date on patches and fixes? (Last Patch Installed)
• Are you using any type of authentication? If so, explain authentication type and process.
• Have you customized any of the core tables? Explain.

Business Data#

• Do you enter future dated transactions? If yes, when would a new hire be granted access to the system? When would a terminated employee need access revoked?
• Do you make corrections to historical transactions?
• What is the unique identifier in your system for employees and how is it created? (i.e.: employee number, system generated)
• Is this unique identifier ever deleted or reused?
• Can an employee have more than one unique identifier? (i.e.: can an employee be more than one employee type at the same time)
• Can employees have more than one primary job record?
• Do you have non-employees in your system? If yes, how are the identified?
• How many active employees/non-employees to you have in your system?
  • Number of Employees
  • Number of Non-Employees
• How are the following people handled
  • Retireies
  • Contractors
  • Vendors
• Do you store employee email address in your system?
• Do you store legal name and how is it formatted?
• Do you store preferred name and how is it formatted?
• Do you use extended characters when storing names (i.e.: hyphens, accents, umlauts)?
• Do you use prefix and/or suffix names (i.e.: Dr, Jr, III)
• Is there any way to derive employees network and application access requirements from your HR system?
• Which of these basic employee fields are stored and maintained in your HR system and what is the format for each (i.e.: length = 8 numeric zero filled, length = 30 mixed open text)?
  • Employee Number
  • Last Name
  • First Name
  • Middle Initial / Name
  • Department Number
  • Department Description
  • Location Code
  • Location Description
  • Job Code
  • Business Title
  • Work Phone Number
  • Manager Employee Number
  • Manager Name
  • Email Address
  • Insert Other Fields Available
• Is there any data available from other systems that you would want sent back and stored in your HR database? (i.e.: email address)
• Are there any known data cleansing issues?

Processes#

• What is your business process for a new hire?
• What is your business process for a termination?
• Is account access still required after an employee is terminated? (i.e.: manager access to email account)
• What is your business process for a retiring employee?
• When an employee retires is there any system access that they retain?
• What is your business process for a rehire?
• When an employee is rehired do they get their original unique identifier (employee number)?
• What is your business process for a leave of absence?
• What is your business process for a return from leave?
• What is your business process for a transfer?
• Do you use roles in your HR system for granting access?
• How is security access handled in your system? Who maintains user access?
• Do you have employee self-service?
• Are there any batch jobs run for any of the business processes discussed?
• Would it be possible to get queries or extracts from your database? If yes, please include table names and field headings. (Discuss data needed.)

Miscellaneous#

Are there any additional comments, risks, assumptions or issues that we should be aware of for this project?