HR Audit Checklist for Compliance & Efficiency
Audit Checklists
Comprehensive HR audit checklist covering governance, policies, recruitment, performance management, and compliance.100 Items
Comprehensive HR Audit Assessment
This comprehensive HR audit checklist covers all critical aspects of human resources management including governance and strategy, policy compliance, recruitment processes, onboarding procedures, compensation and benefits administration, performance management systems, training and development programs, employee relations and engagement, separation procedures, and HR systems and analytics. Use this checklist to evaluate your organization's HR practices, identify areas for improvement, and ensure compliance with labor laws and best practices.
1. Governance, Strategy & Organization
1Is there a clearly defined HR mission, vision, and strategic objectives aligned with the organization's goals?
2Are HR goals and metrics tracked, reviewed and updated periodically?
3Is there an organizational chart showing reporting lines and spans of control?
4Are roles and responsibilities (for HR, managers, supervisors) clearly defined and documented?
5Is there an HR governance or oversight committee (or equivalent) monitoring HR performance?
6Are HR policies reviewed periodically (e.g. annually) to reflect changes in business or regulation?
7Are HR budgets, resources, and staffing levels adequate for meeting objectives?
8Are HR risks identified, assessed, and mitigated (e.g. legal, reputational, operational)?
9Is there a mechanism for stakeholder (senior management, employees) feedback on HR performance?
10Are HR initiatives and projects (e.g. change programs) tracked and post-implementation evaluated?
2. Policies, Procedures & Compliance
1Are employment policies (e.g. anti-discrimination, harassment, leave, disciplinary) documented, up-to-date, and accessible?
2Have all policies been legally reviewed to ensure compliance with local labor laws?
3Are employees required to acknowledge understanding (sign off) of key policies (e.g. handbook)?
4Is there a procedure for periodic policy review and revision?
5Is there consistency between written policy and actual practice?
6Are standard operating procedures (SOPs) or process flows documented for HR transactions?
7Are there defined escalation paths for policy violations or exceptions?
8Is there a system for tracking changes, version control, and policy history?
9Are local/jurisdictional compliance requirements (e.g. labor law posters, statutory filings) up to date?
10Are audits or spot checks done to verify procedural compliance (e.g. leave approval, overtime authorization)?
3. Recruitment & Selection
1Are job descriptions documented, up-to-date, and approved for all roles?
2Is there a standardized, structured recruitment process (sourcing, screening, interviewing)?
3Are candidate assessments or interviews conducted consistently and fairly?
4Are background checks (references, criminal, credentials) done and documented in compliance with law?
5Is there documentation / justification for recruitment decisions (why candidate selected)?
6Are offer letters, employment contracts, and terms & conditions in writing and legally compliant?
7Is there a records retention policy for recruitment files (accepted, rejected candidates)?
8Are recruitment metrics (time-to-fill, cost per hire, source efficiency) tracked?
9Are internal candidates or promotions considered appropriately (fairness, transparency)?
10Is the recruitment advertising free of discriminatory language or practices?
4. Onboarding & Orientation
1Is there a formal onboarding program / plan (first 30, 60, 90 days)?
2Are new hires given orientation on company culture, mission, values, policies, and procedures?
3Is there a checklist to ensure all documentation (IDs, tax, bank, forms) is collected?
4Are roles, responsibilities, performance expectations and KPIs communicated clearly?
5Are new hires assigned mentors, buddies, or "go-to" persons?
6Is there training on information systems, tools, security, compliance for new hires?
7Are probation periods used, and criteria clearly defined?
8Are check-ins / feedback sessions done with new hires at regular intervals (e.g. 30, 60, 90 days)?
9Are onboarding satisfaction surveys conducted to identify improvements?
10Are records maintained confirming completion of onboarding steps by new hires and HR?
5. Compensation, Benefits & Payroll
1Is there a documented compensation philosophy or framework (e.g. grading, bands, pay scales)?
2Are pay raises, increments, bonuses, and incentives governed by policy and documented?
3Are salary and benefits competitive relative to industry benchmarks?
4Are benefits / perks (insurance, leave, allowances) documented, clearly communicated and administered fairly?
5Are payroll computations accurate: basic pay, overtime, deductions, taxes, benefits contributions?
6Are all statutory deductions (tax, social security, retirement) properly withheld, remitted, and reconciled?
7Are payroll records auditable, with access control and backup / archival?
8Are benefit enrollment, changes and terminations managed properly and timely?
9Are audits / reconciliations done (e.g. payroll vs. accounting) periodically?
10Are special payments (arrears, severances, bonuses) properly authorized, documented and taxed?
6. Performance Management
1Is there a formal performance appraisal / review system, with clear timelines and process?
2Are performance criteria / KPIs / objectives defined, communicated and measurable?
3Are employees and supervisors trained on the appraisal process?
4Is there consistency (calibration) across departments / managers in evaluations?
5Are performance reviews documented, signed, and stored securely?
6Are performance gaps addressed with development plans, coaching, training?
7Are underperformers managed with documented performance improvement plans (PIPs) or follow-up?
8Are rewards, promotions, or demotions linked to performance outcomes, fairly applied?
9Are appeals or review mechanisms in place for contested evaluations?
10Are performance metrics (distribution, variance, trends over time) analyzed and reported to leadership?
7. Training, Learning & Development
1Is there a documented training and development strategy aligned with business objectives?
2Are mandatory compliance trainings (e.g. ethics, safety, harassment) delivered and tracked?
3Are individual development plans (IDPs) or learning plans maintained for employees?
4Is training need analysis conducted (current vs. future skills gaps)?
5Are training providers / vendors vetted, quality-assured, and evaluated?
6Are training attendance, completion and feedback records maintained?
7Are training programs evaluated for effectiveness (pre/post tests, application on job)?
8Is there budget allocation and tracking for L&D (training costs, ROI)?
9Are career paths, succession planning, and leadership development programs in place?
10Are learning resources (e.g. e-learning, libraries, mentoring) accessible and promoted?
8. Employee Relations, Engagement & Culture
1Is there a documented grievance / complaints handling procedure, communicated to employees?
2Are employee relations issues (discipline, complaints, conflicts) documented and tracked?
3Is there regular employee engagement or satisfaction survey, with action on results?
4Are internal communication channels (town halls, newsletters, intranet) active and effective?
5Are processes in place to monitor morale, burnout, turnover, and take corrective action?
6Are recognition, reward and appreciation programs in place and fairly administered?
7Is diversity, equity & inclusion (DEI) policy / program in place, monitored, and reported?
8Are exit interviews / separation feedback conducted, analyzed, and trends acted upon?
9Is there a whistleblower policy or confidential reporting mechanism?
10Are cultural initiatives, values campaigns or team-building efforts implemented and monitored?
9. Separation, Termination & Succession
1Is there a documented termination / separation policy (voluntary, involuntary, retirement)?
2Are required exit procedures (notice, documentation, clearance, final pay) clearly defined?
3Are exit interviews conducted and insights captured for improvement?
4Are final settlements (salary, leave encashment, benefits) properly calculated, authorized, and paid timely?
5Are terminations documented with appropriate cause, approvals, and compliance with law?
6Is access (systems, keys, accounts) revoked promptly on separation?
7Are confidentiality, noncompete, non-disclosure (if applicable) obligations reinforced at exit?
8Is data / records retention or archival for separated employees managed per policy?
9Are succession plans in place for key roles to prevent disruption?
10Are "knowledge transfer" or handover protocols documented and followed before departure?
10. HR Systems, Data & Analytics / Reporting
1Is there a Human Resource Information System (HRIS) or system to store HR data and processes?
2Are system access controls, role-based permissions, and user rights properly assigned and reviewed?
3Is data integrity validated (accuracy, consistency, completeness) periodically?
4Are backups, disaster recovery, and system redundancy arrangements in place?
5Is HR data secure, with encryption and compliance to privacy laws (e.g. data protection)?
6Are standard and ad hoc HR reports generated (turnover, headcount, absenteeism, cost)?
7Are dashboards / KPIs defined, monitored and communicated to leadership?
8Are analytics used to identify trends, forecasts, and predictive HR insights?
9Are data audits / reconciliations with other systems (e.g. finance, payroll) conducted?
10Is there a plan or roadmap for system upgrades, integrations, or future HR technology investments?
Overall Progress
Total Progress0/100
0% complete
Checklist Progress
1. Governance, Strategy & Organization0/10
2. Policies, Procedures & Compliance0/10
3. Recruitment & Selection0/10
4. Onboarding & Orientation0/10
5. Compensation, Benefits & Payroll0/10
6. Performance Management0/10
7. Training, Learning & Development0/10
8. Employee Relations, Engagement & Culture0/10
9. Separation, Termination & Succession0/10
10. HR Systems, Data & Analytics / Reporting0/10
Checklist Progress0 of 100 items completed
0% complete - Ready to download!
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