HR Audit Checklist
Audits help determine the effectiveness of an HR department and/or HR systems. They are a systematic, objective tool to assess regulatory or policy compliance in the workplace. The following list of HR audit questions is not meant to be comprehensive to every organization, merely a representation of the types of questions that may be found in an HR audit.
- Are HR goals in line with those of the organization?
- Are workweeks identified and defined?
- Are full time and part time hours defined?
- Are shifts defined?
- Is there open communication to and from the HR department?
- Do job descriptions exist?
- Are job descriptions up to date?
- Are the forms and acceptable documentation reviewed annually?
- Are job openings offered to current employees?
- Are applicant references checked?
- Are turnover rates monitored?
- Are selection processes used with reference to the Uniform Guidelines?
- Are all applicants required to fill out and sign an application form?
- Are applicants asked to voluntar ily identify their affirmative action information?
- If applicable, do application forms identify that the employment relationship at the organization “at will”?
- Do employment applications refrain from requesting protected information?
- Are independent contr actors accurately identified?
- Are the medical information kept in the personnel files?
- Do new employees fill out necessary employment forms?
- Are the official forms sent to the governmental offices
- Are workplace policies in place?
- Do policies focus on your workplace?
- Are policies communicated?
- Are policies enforced?
- Is there an employee handbook?
- Is the employee handbook specific to your workplace?
- Do employee orientations take place?
- Are employees trained on policies and work rules?
Wages and hours
- Are compensation levels monitored and reviewed?
- Is there a formal pay structure?
- Is the compensation structured reviewed regularly?
- Is working time documented?
- Are paid time off (vacation, holidays, etc) structures developed?
- Are the employees compensated at least one and one-half times their hourly wage for any overtime hours?
- Is the overtime policy in place?
- Are all the compensation of the overtime approved and within the budget?
- Is the compensation plan communicated to all employees?
- Are appropriate payroll withholdings performed?
- Are employees informed about their benefits?
- Are Summary Plan Descriptions provided to plan participants?
- Are supervisors and managers trained to report employee absences to HR for legal purposes?
- If there is a health care plan, is protected health information kept private?
- Is there a system for performance evaluation?
- Does the system check for effectiveness of the evaluation?
- Is quality and quantity of work evaluated?
- Is performance tied to Total Rewarding System(compensation)?
- Are workplace policies flexible?
- Are disciplinary actions for violating workplace policies flexible?
- Is there a process for employees to lodge complaints?
- Are there a variety of individuals to whom employees may lodge complaints (supervisor, HR representative)?
Safety and security
- Are safety hazards reported to the appropriate personnel?
- Are workplace accidents, near-misses, injuries, and illnesses reported and investigated?
- Are measures in place to prevent intruders from entering the grounds or buildings?
- Is bright, effective lighting installed indoors and outdoors?
- Are measures in place (access badges, traffic control, etc.) to keep unauthorized persons from entering the facility through normal entrances?
- Is there a reliable response system in place in the event an alarm is triggered?
- Are employees encouraged to promptly report incidents, and suggest ways to reduce or eliminate risks?
- Are injuries/incidents investigated?
- Is follow-up remediation performed where appropriate?
- Is regular contact made with employees out on lost time?
- Are return-to-work programs checked for effectiveness?
- Is contact made with medical providers?
- Are insurance premiums and competitive quotes reviewed on a periodic basis?
- Is the workplace environment maintained with safety in mind?
- Are state (new and existing) requirements monitored?
- Do exit interviews take place?
- Are final paychecks provided on time?
Record Keeping and other Documentation
- Are personnel files current?
- Are all appropriate labor posters displayed in a conspicuous place?
- Are documents regarding employees kept for their required duration?