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Prepared by: _____

Date: ___________
Reviewed by: ____
Date: ___________
PURPOSE: Audits help determine the effectiveness of an HR department and/or HR systems.
They are a systematic ob!ective tool to assess re"ulatory or policy compliance in the wor#place.
The followin" list of HR audit $uestions is not meant to be comprehensive to every or"ani%ation
merely a representation of the types of $uestions that may be found in an HR audit.
Department: Auditable Function: Human Resources
Audit Checklist
Discussed with: Date:

Question Yes No N/A Comments
&. Are HR "oals in line with those of
the or"ani%ation'
(. Are wor#wee#s identified and
). Are full*time and part*time hours
+. Are shifts defined'
,. -s there open communication to and
from the HR department'
&. Do !ob descriptions'
(. Are !ob descriptions up to date'
). Are -*/ forms and acceptable
documentation reviewed annually'
Are !ob openin"s offered to current
+. Are applicant references chec#ed'
,. Are turnover rates monitored'
0. Are selection processes used with
reference to the 1niform
3. Are all applicants re$uired to fill
out and si"n an application form'
Prepared by: _____
Date: ___________
Reviewed by: ____
Date: ___________
Question Yes No N/A Comments
4. Are applicants as#ed to voluntarily
identify their affirmative action
/. -f applicable do application forms
identify that the employment
relationship at the or"ani%ation 5at*
&7. Do employment applications refrain
from re$uestin" protected
&&. Are independent contractors
accurately identified'
&(. -f the or"ani%ation has a $ualifyin"
federal contract is there an
affirmative action plan'
&). Are all new hires reported to the
&+. Are -*/s and medical information
#ept separately from personnel
&,. Do new employees fill out 9*+
&0. Are 9*+ forms sent to the -R8'
:ew employees
Are wor#place policies in place'
Do policies focus on your wor#place'
Are policies communicated'
Are policies enforced'
-s there an employee handboo#'
-s the employee handboo# specific to your
Do employee orientations ta#e place'
Are employees trained on policies and
wor# rules'
Are employees trained on discrimination
Prepared by: _____
Date: ___________
Reviewed by: ____
Date: ___________
Question Yes No N/A Comments
9a"es and hours
Are compensation levels monitored and
Are employees correctly desi"nated as
e.empt or none.empt per ;<8A'
-s there a formal pay structure'
-s the compensation structured reviewed
-s wor#in" time documented'
Are paid time off =vacation holidays etc>
structures developed'
Are non*e.empt employees compensated
at least one and one*half times their hourly
wa"e for any hours wor#ed beyond +7'
-s the compensation plan communicated to
all employees'
Are appropriate payroll withholdin"s
Are employees informed about their
Are 8ummary Plan Descriptions provided
to plan participants'
Are "eneral @A?RA notices provided to
plan participants'
Are employees allowed up to &( wee#s of
leave under the ;B<A'
Are plan documents in compliance with
Are supervisors and mana"ers trained to
report employee absences of more than
Prepared by: _____
Date: ___________
Reviewed by: ____
Date: ___________
Question Yes No N/A Comments
three days to HR for ;B<A purposes'
-f there is a health care plan is protected
health information #ept private'
Are all ;orm ,,77s completed and
Cmployee relations
-s there a system for performance
Does the system chec# for effectiveness of
the evaluation'
-s $uality and $uantity of wor# evaluated'
-s performance tied to compensation'
Are wor#place policies fle.ible'
Are disciplinary actions for violatin"
wor#place policies fle.ible'
-s there a process for employees to lod"e
Are there a variety of individuals to whom
employees may lod"e complaints
=supervisor HR representative>'
8afety and security
Are safety ha%ards reported to the
appropriate personnel'
Are wor#place accidents near*misses
in!uries and illnesses reported and
Are measures in place to prevent intruders
from enterin" the "rounds or buildin"s'
-s bri"ht effective li"htin" installed
indoors and outdoors'
Are measures in place =access bad"es
traffic control etc.> to #eep unauthori%ed
persons from enterin" the facility throu"h
Prepared by: _____
Date: ___________
Reviewed by: ____
Date: ___________
Question Yes No N/A Comments
normal entrances'
-s there a reliable response system in place
in the event an alarm is tri""ered'
Are employees encoura"ed to promptly
report incidents and su""est ways to
reduce or eliminate ris#s'
Are structures readily accessible to
disabled employees'
Are minors prohibited from performin"
ha%ardous wor#'
Discrimination and employee ri"hts
Are employees trained on discrimination
Are supervisors and mana"ers trained in
anti*discriminatory practices'
Are employment practices in line with the
various anti*discrimination laws'
Are minors prohibited from wor#in" more
than their hours allowed by the ;air <abor
8tandards Act'
Are effective policies in place that prohibit
retaliation a"ainst employees who e.ercise
their ri"hts'
9or#ersD compensation
Are in!uries/incidents investi"ated'
-s follow*up remediation performed where
-s re"ular contact made with employees out
on lost time'
Are return*to*wor# pro"rams chec#ed for
-s contact made with medical providers'
Are insurance premiums and competitive
$uotes reviewed on a periodic basis'
-s the wor#place environment maintained
with safety in mind'
Are state =new and e.istin"> re$uirements
Prepared by: _____
Date: ___________
Reviewed by: ____
Date: ___________
Question Yes No N/A Comments
Cmployee separation
Do interviews ta#e place'
Are final paychec#s provided on time'
Record#eepin" and other documentation
Are personnel files current'
Are all appropriate labor posters displayed
in a conspicuous place'
Are documents re"ardin" employees #ept
for their re$uired duration'