HR Audit Checklist

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.

Management

  • 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?

Hiring

  • 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

New employees

  • 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?

Benefits

  • 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?

Employee relations

  • 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?

Workers’ compensation

  • 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?

Employee Separation

  • 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?

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