ANNEXURE

AUDIT CHECKLIST

Note: 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.

Auditable Function: Human Resources

Department:
Audit Checklist

Discussed with: Date:

Question Yes No N/A Comments

Management
Are HR goals in line with those of the
organization?
Is there open communication to and from the
HR department?

Recruitment & Hiring

Are job openings offered to current
employees?
Are applicant references checked?
Are selection processes used with reference to
the Uniform Guidelines?
Are all applicants required to fill out and
sign an application form?

Training & Development

Is there a formal training program for employees &
managers?
Is the training is conducting according to
TNA method?
Does anyone prepare the training calendar?

Polices
Are workplace policies in place?
Do policies focus on your workplace?
Are policies communicated & enforced?
 Question Yes No N/A Comments

Documentation
Is there any confidentiality related to HR
documents?
Is reference no has allotted to HR documents?
Are there personnel files maintain & What
documents are held in personnel files?

Health & Safety

Are safety hazards reported to the appropriate
personnel?
Is there any facility that has been provided for
first aid?
What are criteria of hygienic environment?
Is there a reliable response system in place in
the event an alarm is triggered?

Performance Management
What are the approaches of performance
management?
What is the focus of performance management in
your organization? Is quality and quantity of
Performance evaluated through KPIs?
How often and consistently is the process used?

Compensation & Benefit

Is there a formal compensation program &
compensation levels monitored and reviewed??
Are paid time off (vacation, holidays, etc.)
structures developed?
Describe the health insurance program provided by
your organization? Are dependents covered, and if
so, in part or in full?
Are appropriate payroll withholdings performed?

Employee Engagement & Relation

Is there any exercise for employee engagement in
practice?
What are employee relation practices in the
organization?