CHECKLIST

HUMAN RESOURCE
AUDIT CHECKLIST
 HUMAN RESOURCE AUDIT CHECKLIST
OVERVIEW OF REASONS FOR POLICY DEVELOPMENT

• Legislative requirements
Some legislation includes requirements for written policies and
procedures to be in place with ongoing implementation.
• Codes of conduct
Codes of conduct detail issues that are not regulated by law but
are the standards, behaviours and expectations set by the
employer in the workplace.
• Conditions of employment
Conditions of employment which may fall within this category
include: attendance, absenteeism, punctuality, transfer, training,
promotion, probation, performance review, discipline,
abandonment of employment, exit interviews, notice, and
termination.
• Employee entitlements
Policies included within this category may include annual leave,
long service leave, bereavement leave, parental leave, carer’s
leave, jury leave, special leave, overtime, shift work and details of
any other entitlements.

• Employee benefits
Some organisations provide a range of employee benefits not
prescribed by legislation or awards. These can relate to such
matters as employee health, or assisting employees to balance
work and family responsibilities. It is important to clarify how such
benefits are awarded to employees in an organisation policy in
order to ensure that all employees know of their availability, they
are distributed fairly, and that any conditions applying are
understood.

Employee benefits, which fall into this category, may include:

company cars, mobile phones, employee assistance programs,
salary packaging, career breaks, working from home and study
assistance.

The following audit checklist below provides a list of policies,

procedures and documentation that are useful for organisations to
 consider in managing the employment relationship.

Policy & Procedure Audit Is there an Is revision Is a policy & Priority

Checklist existing policy required? Y/N procedure High,
-POLICY/PROCEDURE and procedure? required? Y/N Medium,
NAME Y/N Low
ORGANISATIONAL
POLICIES/PROCEDURES
Code of Conduct
Communications
Copyright
Grievance Handling
Intellectual Property
Internet and Email Use
Mission Statement
Motor Vehicle Car Pool
Organisational Objectives
Organisational Social
Functions
Security Policy
Use of Organisational
Property

Work and Life Balance

RECRUITMENT AND
SELECTION

Employment of Relatives

Employment Screening Policy

External Recruitment and
Selection

Induction
Internal Recruitment and
Selection

Medical information

Relocation

EMPLOYMENT CONTRACTS

Casual Employment

Job Sharing
Part time Employment

Probation
CONDITIONS OF
EMPLOYMENT

Absenteeism

Annual Leave

Bereavement Leave

Carer’s Leave

Children in the Workplace

Defence Service Leave

Dress Policy

Educational Assistance

Emergency Leave
Employment Assistance
Program

Family Leave

Flexible Working Time

Higher Duties Policy

Hours of work

Jury Duty

Leave without pay

Long Service Leave

Mobile Phones

Motor Vehicle Use

Parental Leave

Promotion

Bank Holiday

Sick Leave

Study Leave

Superannuation

Time in Lieu

Training and Development

Travel and Expense
Reimbursement

Use of Credit Cards

Working from Home

DATA PROTECTION
Disclosure of Information

Employee Records

Inspection of Records

REMUNERATION

Remuneration Review

Remuneration Setting

Salary Packaging
PERFORMANCE
APPRAISAL

EQUAL OPPORTUNITY AND

DISCRIMINATION

Diversity
Equal Employment
Opportunity
Harassment (including sexual
harassment and bullying in
the workplace)
OCCUPATIONAL HEALTH
AND SAFETY
Occupational Health and
Safety Policy
Drugs and Alcohol in the
Workplace

Emergency Evacuation

First Aid
Incident Reporting and
Investigation

Non-smoking
WORKERS’
COMPENSATION

Claims Management

Rehabilitation Procedure

Return to Work Procedure

DISCIPLINARY AND
TERMINATION
PROCEDURES

Abandonment of Employment

Counselling

Demotion

Discipline

Redundancy
Suspension (with or without
pay)

Termination
TEMPLATES, LETTERS AND
FORMS
Acknowledge receipt of
application letter

Alternative Employment
Application for Employment
Form
Application for Internal
Vacancy Form
Application for Study
Assistance
Certificate of Training
Completed
Criminal History Application
Form
Employee Status Change
including permanent change,
Secondment and higher
duties.

Employment Declaration

Exit Interview Form

Internal Job Vacancy Notice
Form

Interview Assessment Form

Letter of Offer – Casual

Letter of Offer – Fixed Term

Letter of Offer – Part time

Letter of Offer – Permanent

Privacy Disclosure
Authorisation Form
Probation period complete –
confirmation of appointment
Recruitment and Selection
Checklist
Recruitment and Selection
Shortlisting Form
Redundancy – Calculation of
entitlements
Redundancy Confirmation
Letter
Working from Home – OHS
Self Assessment Form
Working from Home
Agreement
Working from Home
Application Form