HR Audit Checklist

If you select "No" to any of the following, make sure you create a plan to address the problem. Keep this document up to da
or 1 year.

HR Management
Is there a shared mission and vision statement?
Are the HR goals aligned with the organizational goals?
Are the workweeks clearly defined?
Are the working hours clearly defined?
Is there regular and open communication between the HR department and managers and employees?
Is there an open form of communication between HR and other departments?

Recruitment
Is there a set clear procedure used for hiring in the organization?
Does each position within the organization have a job description?
Are the job descriptions up to date?
Are the job descriptions used ADA compliant?
Are hiring practices ADEA compliant?
Are hiring practices GINA compliant?
Are I-9 documents reviewed on an annual basis and for each hire?
Is e-verify utilized for each new hire?
Are job openings offered to current employees?
Is sufficient training provided to those that conduct the interviews?
Are there interview guidelines that ensure consistency between managers?
Are managers aware of EEOA regulations and violations during the interview process?
Is the recruitment, interview and selection process well documented and regularly re-reviewed?
Are affirmative action plans adopted by employers during the hiring process?
Are applicants background and references checked?
Are background checks in compliance federal and state Fair Credit Reporting Act laws?
Are background checks in compliance with industry-specific regulations?
Is the selection process informed by the Uniform Guidelines on Employee Selection Procedures
Are the sufficient workplace policies in place, i.e- harassment, safety, EEO, attendance
Is the employee turnover rate monitored?
Are new hires reported to the state and IRS in the required time limit?
Are company policies clearly communicated and enforced?

Onboarding
Do new employees receive a contract and employee handbook?
Is the employee handbook up to date and accurate?
Is the employee handbook in compliance with federal and state laws?
Are the onboarding documents up to date?
Do new employees receive the right training from the most appropriate employee?
Do new employees have follow up meetings?
Do new employees complete a W-4 form?
Is the onboarding training a process as opposed to only 1 week?

Employee Relations
Does your organization have a system for performance appraisal in place?
Are employees made aware of all the different types of evaluations in place?
Are the evaluation policies themselves checked and updated if needed?
Are your evaluation practices in line with your policies?
Do the policies and procedures comply with the federal rules and regulations?
Is there a clear and well communicated process in place for receiving and handling employee complaints/issues?
Are employment practices in check with anti-discrimination laws?
Are supervisors, managers and directors properly trained in liability and anti-discrimination practices?
Are there effective policies in place to prohibit retailiation against any employees who exercise their legal rights?
Do exit interviews take place when an employee leaves?

Training and Development

Are employees provided with trainings about their rights and responsibilities under EEO laws?
Do new employees receive anti-harassment and non-discrimination training?
Are employees provided with opportunities to further develop their skills?
Are the provided trainings and opportunities within the budget?
Is there a feedback system in place for employee learning and development initiatives?
Are employees asked to provide feedback about managers and supervisors?

Compensation & Benefits

Are salaries reviewed annually and updated where necessary?
Are employees appropriately designated as exempt or not exempt from FLSA laws?
Are non-exempt employees paid time and a half when they work more than 40 hours?
Do incentive compensation and equity compensation comply with section 409A of the Internal Revenue Code?
Do incentive and equity compensations comply with federal and state tax, withholding, and security laws?
Is there a formal pay structure in place? Is compensation informed by an employee's performance?
Is the time worked by employees documented?
Are employees adequately informed regarding their benefits?
Are employees adequately informed of compensation processes and practices?
Are employee informed of worker compensation rights?
Are benefit packages annually reviewed?
Under the FMLA are employees allocated the appropriate leave time?
Are employee plan documents in compliance with ERISA compliance regulations?
Are minors prevented from working more hours than legally allowed by the Fair Labor Standards Act?
Are paycheques supplied on time every month?
Are benefits up to date with current requirements under federal and state health care reform?
Are there fair and equally inforced paid time off structures in place?
Is a payroll service utilized?

Documentation
Do all employees have a personnel file?
Are the personnel files kept up to date?
Are documents kept for the required duration?
Is EEO-1 compliance filled in annually? (If applicable)
Does the organization comply with the General Data Protection Regulation (GDPR)?
Are documents kept for each incident of workplace violation?
Are applicable documents (medical, etc.) stored separately, as required by law?

Safety & Security

Are safety risks reported to the correct person?
Do you have an Emergency Response Plan if anything were to go wrong?
Are all workplace accidents, injuries, illnesses etc reported and sufficiently investigated?
Are employees and managers trained in health and safety practices?
Do employees have information about of OSHA and workplace safety regulations?
Are employees encouraged to report any potential hazard risks?
Is there access for disabled employees?
Is the work enviornment monitored and maintained with the safety of employees in mind?

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 Checklist

eep this document up to date and perform your HR audit at regular intervals. ie. every 6 months

Jan-June July-Dec

Yes No Yes No

ees?
mplaints/issues?

tices?
heir legal rights?

evenue Code?

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s Act?
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