Internal HR Processes and procedures Audit.pdf

7/27/2019 Internal HR Processes and procedures Audit.pdf

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INTERNAL HR AUDIT - PROCESSES AND PROCEDURES

CONTROL QUESTIONNAIRE

PURPOSE: Audits help determine the effectiveness of an HR department and/or HR systems. They are asystematic, 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 ofthe types of questions that may be found in an HR audit.

Prepared by:

Date:

Reviewed by:

Date:

Department: Auditable Function: Human Resources Audit Checklist

Discussed with: Date:

Question Yes No N/A Comments

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 theHR department?

Recruitment

Do job descriptions exist?

Are job descriptions up to date?

Are forms and acceptable documentationreviewed annually?

Are job openings offered to currentemployees?

Are applicant references checked?

Are turnover rates monitored?


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Are selection processes used with reference tothe ACAS Guidelines?

Are all applicants required to fill out and sign

an application form?Are applicants asked to voluntarily completeEOP forms?

Do employment applications refrain fromrequesting protected information?

Are independent contractors accurately

identified?

Are medical information kept separately frompersonnel files?

Do new employees fill out payroll forms?Are forms sent to the Inland Revenue?

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 yourworkplace?

Do employee orientations take place?

Are employees trained on policies and work

rules?Are employees trained on discriminationissues?

Wages and hours

Are compensation levels monitored andreviewed?

Are employees correctly designated as exemptor nonexempt per FLSA?


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Is there a formal pay structure?

Is the compensation and reward structure

reviewed regularly?

Is working time documented?

Are paid time off (holidays etc) structures

developed?

Are managers trained to report employeeabsences of more than 3 days to HR payroll &monitoring purposes?

Is the compensation and reward plancommunicated to all employees?

Are appropriate payroll withholdingsperformed?

Benefits

Are employees informed about their benefits?

Are Pensions Plan Descriptions provided to

plan participants?

Are general pension notices provided to planparticipants?

If there is a health care plan, are protected

health information kept private?Performance Management

Is there a system for performance evaluation?

Does the system check for effectiveness of theevaluation?

Is quality and quantity of work evaluated?

Is performance tied to compensation?

Are workplace policies flexible?

Employee Relations

Are disciplinary actions for violating workplacepolicies flexible?

Is there a process for employees to lodgecomplaints?


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Are there a variety of individuals to whomemployees may lodge complaints (supervisor,HR representative)?

Health and SafetyAre safety hazards reported to the appropriatepersonnel?

Are workplace accidents, near misses, injuries,and illnesses reported and investigated?

Is follow-up remediation performed whereappropriate?

Is regular contact made with employees out onlost time?

Are return-to-work programs checked foreffectiveness?

Are measures in place to prevent intrudersfrom entering the grounds or buildings?

Is bright, effective lighting installed indoorsand outdoors?

Are measures in place (access badges, traffic

control, etc.) to keep unauthorized personsfrom entering the facility through normal

entrances?Is there a reliable response system in place inthe event an alarm is triggered?

Are minors prohibited from performinghazardous work?

Are employees encouraged to promptly reportincidents, and suggest ways to reduce or

eliminate risks?

Are structures readily accessible to disabledemployees?

Are statutory (new and existing) legislationrequirements monitored?

Discrimination and employee rights

Are employees trained on discriminationissues?

Are supervisors and managers trained in anti-

discriminatory practices?


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Are employment practices in line with thevarious anti-discrimination laws?

Are effective policies in place that prohibit

retaliation against employees who exercise

their rights?Employee Exit

Do exit interviews take place?

Are final payslips and P45s provided on time?

Are company properties received prior toleaving?

Record Keeping

Are personnel files current?

Are all appropriate work posters displayed in aconspicuous place?

Are documents regarding employees kept for

their required duration?

Documents

Internal HR Processes and procedures Audit.pdf