Quick HR Audit Checklist
Best HR Practices/Compliance Review
No
Personnel Records
Do your employee records contain the following for all employees?
- I-9 Form:
- E-Verify:
- W4:
- Direct deposit form:
- Offer letter:
- Confidentiality and Non-Disclosure agreement:
- Employee handbook acknowledgement form:
- Background check form completed:
- EEO data sheet:
- Personal emergency contact information:
- Performance Appraisal forms completed:
- Compensation record Information:
- Do you conduct an HR policy review periodically?
- Do you have an Employee Handbook?
- Has it been updated in the last two years?
Compliance
- Are you confident you are following all employment laws and required rules?
- Do you have a Progressive Discipline Process and Policy?
- Have you reviewed your I-9 files for audit compliance?
- Do you know if you are compliant with Wage and Hour Regulations?
- Do you know the IRS and DOL rules for employing independent contractors?
- Do you have DOL posting requirements prominently displayed?
- Does your Employee Handbook include compliance information for employees?
Manager and Employee Development
- Are your managers trained in conducting performance reviews?
- Do you have training and/or coaching programs for your employees?
- Are you satisfied with your performance review process and system?
- Do you maintain an employee relations program?
On-Boarding/Off-Boarding
- Do your offer letters show only single payroll salary for perspective employees?
- Do you have written resignation/termination guidelines for your managers?
- Do you have an in-person or virtual orientation program for new employees?
- Do you have and maintain an employee retention plan?
Workplace Safety
- Do you know if you are following OHSA regulations and guidelines?
- Do you know if your employees have workplace safety concerns? ___
If your audit answers are all in the affirmative your organization operation are within established Human Resource best practices and compliance guidelines. If you have any questions concerning the audit a CCG consultant will be able to assist you. Please contact John Cascone at jcascone@casconecg.com or 404 372 9852 for more information.