Prepared by: _____ Date: ___________ Reviewed by: ____ Date: ___________

ORGANIZATION NAME INTERNAL CONTROL QUESTIONNAIRE PURPOSE: 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. Department: Auditable Function: Human Resources Audit Checklist Date:

Discussed with:

Wherever required please encircle the desired answer based on the key provided below: 1
Strongly
disagree

2
Somewhat disagree

3
Neither agree nor disagree

4
Somewhat agree

5
Strongly agree

Wherever required please mark R/O/I for supporting evidence available against the given statement based on key provided below: R= Recorded documents O=Observation I=Interview Encircle/answer in words your choice (as required)

Question

Mark R/O/I

Comments

I - Recruitment
Job Description and Job Specification 1. Job description for the job is properly laid out. 2. The competencies required are identified. 3. Job specification has been clearly defined. Consider Internal Candidates 4. Job openings are offered to current employees in same company. 5. Employees in associate companies considered for transfer. 6. High potential employees considered for lateral transfer. Sources of Recruitment Used 7. List the sources of recruitment used? 1 1 1 2 2 2 3 3 3 4 4 4 5 5 5

1 1 1

2 2 2

3 3 3

4 4 4

5 5 5

Prepared by: _____ Date: ___________ Reviewed by: ____ Date: ___________

Question Selecting a Placement Firm 8. They are recognized selection experts. 9. They have expertise in this recruitment area. 10. They have a defined methodology. 11. They have done similar work before. 12. You obtained references. 13. What success assurances do they offer? 14. How will they represent you in the market? 15. Costs what will you pay them? 16. What recruitment team will work on the assignment? 17. What are the resources they will assign to your project? 18. They work for your competitors

Encircle/answer in words your choice (as required)

Mark R/O/I

Comments

1 1 1 1 1

2 2 2 2 2

3 3 3 3 3

4 4 4 4 4

5 5 5 5 5

Web Postings 19. It is easily accessible for the 1 2 potential candidates. 20. People have applied through the 1 2 web portals. 21. The conversion rate of applicants who applied through these portals Newspaper Ads 22. It was able to attract the right pool 1 2 of candidates. 23. How many people applied through the ads? 24. What was the conversion rate of the candidates that applied through ads? 25. The information of the job got properly communicated through 1 2 the advertisement. 26. The quality of the CVs that the company received through the 1 2 newspaper ads was desirable. 27. The recruitment process in 1 2 properly documented. Comments about recruitment process (if any):

3 3

4 4

5 5

3 3

4 4

5 5

Prepared by: _____ Date: ___________ Reviewed by: ____ Date: ___________

Question

Encircle/answer in words your choice (as required)

Mark R/O/I

Comments

II - Selection
People involved and process 1. There has been allocation of the responsibility of preliminary 1 screening of candidates. Name the person/s. 2. The functional head a part of the 1 interview process. 3. What is the interview process that is used (e.g., individual, sequential, panel)? 4. In case of panel interviews, if any, what is the mix of interviewers? 5. The people are trained to conduct 1 interviews. 6. The interviews are conducted in a 1 structured format. 7. What is the lead time/conversion time to fill a vacancy? Psychometrics and Additional Assessment 8. The assessment instrument is 1 properly identified. 9. The testing is properly arranged. 1 10. The instrument used is reliable. 1 11. The instrument used is valid. 1 Documentation 12. The application blanks properly filled and referred to for future 1 reference. 13. The selection process is properly 1 documented. 14. Who checks references? 15. How are the reference checks documented? Comments about selection process (if any):

2 2

3 3

4 4

5 5

2 2 2 2

3 3 3 3

4 4 4 4

5 5 5 5

2 2

3 3

4 4

5 5

III - Induction
Offer letter 1. Basic Terms and Conditions have 1 2 3 4 5

Prepared by: _____ Date: ___________ Reviewed by: ____ Date: ___________

Question been clearly specified. 2. Salary Information has been 1 2 clearly specified. 3. Structure of salary information is legally compliant. 4. Probation period is mentioned. 1 2 5. Date of Joining. 1 2 6. Reporting relationships have been 1 2 mentioned. Working Station 7. Computer, phone, desk, chair, 1 2 door name tag has been organized. 8. Workstation checked to find 1 2 whether it is ergonomic. Environment, safety and security 9. Location of emergency exits and assembly point, emergency information and procedures, 1 2 emergency equipment, e.g. first aid box, accident report forms communicated 10. Environment health and safety 1 2 standards have been communicated. Working conditions and people 11. Start and finish times, tea and lunch breaks, flexi-time, pay days, 1 2 annual leave, study leave, child care, visitors procedures explained 12. List of names, titles and positions of people who are significant to 1 2 the new staff members workplace has been provided 13. If appropriate, a colleague has 1 2 been allotted to look after new employee. Documents 14. Employee handbook has been 1 2 provided. 15. Employee handbook is detailed 1 2 and legally compliant. Comments about the induction process ( if any):

Encircle/answer in words your choice (as required)

Mark R/O/I

Comments

3 3 3

4 4 4

5 5 5

3 3

4 4

5 5

3 3

4 4

5 5