HR Audit checklist 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. The following list of HR audit questions is not meant to be comprehensive to every organization, merely a representation of the types of questions that may be found in an HR audit. Management Are HR goals in line with those of the organization? Are workweeks identified and defined? Are full-time and part-time hours defined? Are shifts defined? Is there open communication to and from the HR department? Hiring Do job descriptions exist? Are job descriptions up to date? Are job openings offered to current employees? Are applicant references checked? Are turnover rates monitored? Employment Are workplace policies in place? Do policies focus on your workplace? Are policies communicated? Are policies enforced? Is there an employee handbook? Is the employee handbook specific to your workplace? Do employee orientations take place? Are employees trained on policies and work rules? Wages and hours Is there a formal pay structure? Is the compensation structured reviewed regularly? Is working time documented? Are paid time off (vacation, holidays, etc) structures developed? Is the compensation plan communicated to all employees?

Benefits Are employees informed about their benefits? Are Summary Plan Descriptions provided to plan participants?

Employee relations Is there a system for performance evaluation? Does the system check for effectiveness of the evaluation? Is quality and quantity of work evaluated? Is performance tied to compensation? Are workplace policies flexible? Are disciplinary actions for violating workplace policies flexible? Is there a process for employees to lodge complaints? Are there a variety of individuals to whom employees may lodge complaints (supervisor, HR representative)? Safety and security Are workplace accidents, near-misses, injuries, and illnesses reported and investigated? Are measures in place to prevent intruders from entering the grounds or buildings? Is bright, effective lighting installed indoors and outdoors? Are measures in place (access badges, traffic control, etc.) to keep unauthorized persons from entering the facility through normal entrances? Is there a reliable response system in place in the event an alarm is triggered? Are employees encouraged to promptly report incidents, and suggest ways to reduce or eliminate risks? Are structures readily accessible to disabled employees? Are minors prohibited from performing hazardous work? Are safety hazards reported to the appropriate personnel?

Workers compensation Are injuries/incidents investigated? Is follow-up remediation performed where appropriate? Is regular contact made with employees out on lost time? Are return-to-work programs checked for effectiveness? Is contact made with medical providers? Is the workplace environment maintained with safety in mind? Are provincial (new and existing) requirements monitored?

Employee separation Do exit interviews take place? Are final paychecks and ROEs provided on time?

Recordkeeping and other documentation Are personnel files current? Are documents regarding employees kept for their required duration?

Marketing Audit Checklist of Questions The following questions about marketing must be examined in strategic planning: 1. Are markets segmented effectively? 2. Is the organization positioned well among competitors? 3. Has the firms market share been increasing? 4. Are present channels of distribution reliable and cost effective? 5. Does the firm have an effective sales organization? 6. Does the firm conduct market research? 7. Are product quality and customer service good? 8. Are the firms products and services priced appropriately? 9. Does the firm have an effective promotion, advertising, and publicity strategy? 10. Are marketing, planning, and budgeting effective? 11. Do the firms marketing managers have adequate experience and training? 12. Is the firms Internet presence excellent as compared to rivals?

Finance/Accounting Audit Checklist The following finance/accounting questions, should be examined: 1. Where is the firm financially strong and weak as indicated by financial ratio analyses? 2. Can the firm raise needed short-term capital? 3. Can the firm raise needed long-term capital through debt and/or equity? 4. Does the firm have sufficient working capital? 5. Are capital budgeting procedures effective? 6. Are dividend payout policies reasonable? 7. Does the firm have good relations with its investors and stockholders? 8. Are the firms financial managers experienced and well trained? 9. Is the firms debt situation excellent? Production/Operations Audit Checklist Questions such as the following should be examined: 1. Are supplies of raw materials, parts, and subassemblies reliable and reasonable? 2. Are facilities, equipment, machinery, and offices in good condition? 3. Are inventory-control policies and procedures effective? 4. Are quality-control policies and procedures effective? 5. Are facilities, resources, and markets strategically located? 6. Does the firm have technological competencies?

Research and Development Audit Questions such as the following should be asked in performing an R&D audit: 1. Does the firm have R&D facilities? Are they adequate? 2. If outside R&D firms are used, are they cost-effective? 3. Are the organizations R&D personnel well qualified? 4. Are R&D resources allocated effectively? 5. Are management information and computer systems adequate? 6. Is communication between R&D and other organizational units effective? 7. Are present products technologically competitive?

Management Information Systems Audit Questions such as the following should be asked when conducting this audit: 1. Do all managers in the firm use the information system to make decisions? 2. Is there a chief information officer or director of information systems position in the firm? 3. Are data in the information system updated regularly? 4. Do managers from all functional areas of the firm contribute input to the information system? 5. Are there effective passwords for entry into the firms information system? 6. Are strategists of the firm familiar with the information systems of rival firms? 7. Is the information system user-friendly? 8. Do all users of the information system understand the competitive advantages that information can provide firms? 9. Are computer training workshops provided for users of the information system? 10. Is the firms information system continually being improved in content and user-friendliness?