What is an HR Audit Survey?

This process is utilized to develop benchmarks and measures of Human Resources department
performance. This is to make sure the HR department is meeting organizational objectives and
requirements. Also, the HR Audit can identify areas that may be potential weaknesses that may
lead to a lawsuit. In today's highly regulated employment environment, there is a significant
potential for legal action to be taken against an employer who does not maintain proper
standards.
What Topics are in an HR Audit Survey?

HR Audit surveys may include topics such as:

Employment Practices
Customer Service
Recruitment, Staffing & Selection Processes and Procedures
Job Application Processing
New Employee Orientations
Record Keeping
Documentation produced (handbooks, guidelines and regulations)
Job Descriptions and Job Evaluation
Training and Employee Development Programs
Organizational Development
Re-Organization
Compensation Administration Processes
Benefits Information and Options
Employee Relations
Performance Management Systems
Internal Reporting
Exit Interviewing
Affirmative Action
Current Organization

Number of Employees:
Total Headcount?
Full-time / Part-time / Temporary?
With benefits? Without benefits?
Average years of service
On Probation?
On Family/Medical Leave?
On Vacation/Sabbatical?
By Division / Location / Department?
Definitions:
Hours needed to become Full-Time?
Hours needed to become Part-Time?
Hours worked per week?
Time for lunch/dinner break?
Other breaks permitted?
Duration of the probationary period.
Qualifies as a Staff, Supervisor, or Manager?
Required Federal Forms:
File the EEO-1 form?
Vets-100 Form?
Veterans Preference Form?
I-9 Form (used to verify identity and employment eligibility)? Kept on-file in HR?
W2 / W-4 Form?
Personnel Files:
Where are the personnel files currently located?
What documents are in the personnel files?
How long are the files kept after the employee leaves the company?
What information is removed from the personnel files and at what time after the employee leaves
the company?
What controls are in place for access to the personnel files?
Can employees request to review their files?
What checks are in place to ensure accurate information?
How much of this information is stored on-line?
Jobs:
Are there Job Descriptions for each position?
Are there Job Classifications?
Are Jobs consistently located within the job classification system?
Do the Job Descriptions specify the minimum requirements, knowledge/skills/abilities, job
duties?
Are the Job Descriptions ADA compliant?
Is there an organizational structure?
Is there an Organizational Chart?
What software is used to maintain the Organizational Chart? Can other employees use the
software if needed?
Is the Organizational Chart made public? Where is it distributed?
Employee Handbook(s):
Is there an employee handbook?
Is it distributed to new hires?
Do the employees have to sign a form stating they read and understand the handbook?
When was the handbook last updated?
Communication:
Do employees have access to communications through printed newsletters, website, media, other
outlets?
Who edits/controls what information is communicated?
How often are employee updated about the company?
How frequently are the communcation tools used?
HR Information System (HRIS):
Who is the system vendor?
When was it installed?
What platform(s) does it run on?
Is it integrated with other systems in the organization? (Financial, Production, Logistics)
What modules are included in the system?
Does it adequately handle personnel, payroll, and benefits?
Does it track applicants?
Does it track training and development?
Does it record leave data? (PTO, vacation, medical, personal )
What pre-defined reports exist?
Can you create ad-hoc reports?
Can you customize reports?
Performance Management:
Which employees have performance management systems in place?
When was the last time the performance management system was used?
How is the performance management system documented?
Are the performance management results stored in the employee's file?
Which employees review the performance management results? Manager, Director, VP, CEO?
Employment Practices
Position Requisition
Hiring/Selection
Recruiting/Interviewing
Promotion
Transfer
Compensation
Job Classification and Evaluation
Training and Development
Disciplinary Actions
Termination
Position Requisition
When a position becomes vacant, what forms are required to have it posted (advertised)?
Which signatures are needed on a position requisition form?
Can the position be moved or re-located to a different department?
What fields in the HRIS system are used to track the open position?
Hiring / Selection
Sources for Recruitment
Public notice in newspaper / online?
Requirements placed in job ad?
Use web-databases and web-recruiting sites?
What criteria are used to evaluate applications (applicants)?
Are the criteria pre-defined?
Educational minimum requirements?
Job Interview?
Who is(are) the Interviewer(s)?
Are interview questions pre-defined for the position? Who defined them?
Is there an "Interviewing Guide" (Interviewer Guide)?
Check References?
Background checks?
Verify employment history?
Verify prior salary (salary history)?
Contact previous supervisor?
Position Descriptions
Requirements
Knowledge, Skills, and Abilities
Screening
Do you track EEO data of the applicants?
Do you perform background checking?
Are applicants required to take tests/skills assessments?
Who designed the tests / assessments?
Are the tests/assessments validated?
Skills Tests
Do any positions require medical tests/screening?
Do you perform drug testing/screening?
Are psychological or personality tests used?
Do you use assessment centers?
New Hire Orientation
Policies and Regulations
Americans with Disabilities Act (ADA)
Age Discrimination in Employment Act (ADEA)
Equal Pay Act
Fair Labor Standards Act (FLSA)
Occupational Safety and Health Act (OSHA)
Title VII of the Civil Rights Act
Record Keeping
Date of hire
Date hired into this position
Birthdate
Anniversary date
Performance Management/Appraisal results
Timekeeping
Disciplinary notices
Grievances
Leaves
Job Classification
Re-Classification
Starting Salary
Last Salary adjustment
Training and Development activities
Recommendations/Commendations/Acknowledgements/Awards
Compensation Administration and Systems
Starting Pay
Most Recent Pay Adjustment
Pay Period
Job Classification
Job Evaluation
Paid Time Off
Vacation Pay
Sick Pay
Holiday Pay
Overtime Pay
Merit Pay
Bonuses
Job Description
Written in simple language that is clear to understand?
Includes a Title, Description, and Requirements?
Physical Requirements specified?
Working conditions specified? Any hazards?
Includes statements or work / duties?
Unbiased (void of sexist or racist remarks)
Describes interpersonal relationships required.
Key performance measures specified?