Human Resource Audit Checklist
HR compliance violations cost companies $7,000 to $50,000 per incident, with class action lawsuits reaching millions. This comprehensive checklist covers 144+ requirements across 12 HR functional areas including recruitment, employee records, compensation and benefits, performance management, training, employee relations, legal compliance, health and safety, and HR technology. It addresses federal laws like EEOC, FLSA, FMLA, ADA, COBRA, and ERISA plus state-specific labor laws that vary by location. Most companies have 10-15 HR documentation gaps creating significant lawsuit and audit risk. Use this checklist to identify and fix compliance problems before they become expensive legal claims, failed audits, or regulatory penalties. Essential for HR directors, compliance officers, and business owners.
HR Strategy & Planning
□ HR strategy aligned with business goals
□ Workforce planning conducted
□ Succession planning in place
□ Organizational design appropriate
□ Job descriptions current
□ Competency frameworks defined
□ HR metrics established
□ Budget planning adequate
□ Resource allocation optimal
□ Technology roadmap defined
□ Change management ready
□ Continuous improvement active
Recruitment & Selection
□ Recruitment policy documented
□ Job posting procedures consistent
□ Sourcing strategies diverse
□ Application tracking system used
□ Screening process standardized
□ Interview guides developed
□ Reference checks documented
□ Background checks completed
□ Drug testing compliant
□ Offer letters standardized
□ Onboarding program structured
□ New hire feedback collected
Employee Records
□ Personnel files complete
□ I-9 forms compliant
□ Tax documents current
□ Medical records separated
□ Confidentiality maintained
□ Access controls enforced
□ Retention schedule followed
□ Electronic records secure
□ Data privacy protected
□ Audit trail maintained
□ Disposal procedures secure
□ Archive system organized
Compensation & Benefits
□ Compensation philosophy defined
□ Pay equity analyzed
□ Salary surveys conducted
□ Job evaluations current
□ Merit increase process fair
□ Bonus programs documented
□ Benefits competitive
□ Enrollment accurate
□ COBRA administered properly
□ Leave policies compliant
□ Workers’ comp managed
□ Retirement plans compliant
Performance Management
□ Performance system documented
□ Goals aligned with objectives
□ Review cycle consistent
□ Feedback regular and documented
□ Ratings calibrated
□ Development plans created
□ Recognition programs active
□ Corrective action progressive
□ Documentation complete
□ Training for managers provided
□ System effectiveness measured
□ Continuous feedback encouraged
Training & Development
□ Training needs assessed
□ Development programs offered
□ Compliance training tracked
□ Leadership development active
□ Skills gap analysis done
□ Career paths defined
□ Mentoring programs available
□ Tuition assistance offered
□ Training records maintained
□ Effectiveness measured
□ ROI calculated
□ Succession planning integrated
Employee Relations
□ Employee handbook current
□ Policies communicated effectively
□ Grievance procedure clear
□ Investigations documented
□ Disciplinary actions consistent
□ Exit process standardized
□ Exit interviews conducted
□ Union relations managed
□ Communication channels open
□ Employee surveys conducted
□ Engagement measured
□ Retention strategies implemented
Legal Compliance
□ Federal laws compliance
□ State laws compliance
□ Local ordinances followed
□ EEO requirements met
□ ADA accommodations documented
□ FMLA administered properly
□ FLSA compliance verified
□ Immigration laws followed
□ Safety regulations met
□ Privacy laws observed
□ Posting requirements current
□ Documentation adequate
Health & Safety
□ Safety program documented
□ Training records current
□ Accident reporting system
□ OSHA compliance maintained
□ Emergency procedures posted
□ Ergonomic assessments done
□ PPE provided and tracked
□ Workers’ comp claims managed
□ Return-to-work program active
□ Wellness initiatives offered
□ Mental health support available
□ Workplace violence prevention
Diversity & Inclusion
□ D&I strategy defined
□ Diverse recruitment efforts
□ Bias training provided
□ Pay equity monitored
□ Advancement opportunities equal
□ Accommodation process clear
□ Inclusive policies written
□ Employee resource groups supported
□ Metrics tracked and reported
□ Leadership commitment visible
□ Cultural competence developed
□ Inclusive environment measured
HR Technology
□ HRIS data accurate
□ System security adequate
□ Access controls appropriate
□ Data privacy protected
□ Backup procedures tested
□ Integration functioning
□ Self-service enabled
□ Reporting capabilities used
□ Analytics leveraged
□ Automation implemented
□ Mobile access secure
□ System updates current
HR Metrics & Analytics
□ Key metrics defined
□ Data collection systematic
□ Turnover analyzed
□ Retention tracked
□ Time-to-fill measured
□ Cost-per-hire calculated
□ Engagement scores monitored
□ Productivity measured
□ Absenteeism tracked
□ Training effectiveness measured
□ Compliance metrics reported
□ ROI demonstrated
How the Human Resource Audit Checklist works
Select your state since labor laws vary significantly by location. Enter company size choosing under 50, 50-500, or 500+ employees as different thresholds apply. Choose your audit scope such as full HR audit, recruiting and hiring only, compensation review, or benefits compliance. The system generates customized compliance checklists combining federal requirements with your state-specific rules. Systematically review employee personnel files for completeness and proper documentation. Check policy manuals for required disclosures and updates. Verify I-9 forms are completed correctly and stored separately. Test payroll calculations for overtime and minimum wage compliance. Review benefits administration and COBRA notifications. Track all identified issues with severity ratings and assign corrective actions with deadlines.
HR-related lawsuits cost companies $160,000 on average in settlements plus $50,000 to $150,000 in legal fees to defend. Failed I-9 audits result in penalties of $230 to $2,300 per form with violations. Missing FMLA documentation leads to penalties starting at $50,000 plus damages. Wage and hour class actions average $5 million in settlements. This checklist catches these expensive issues early when they can be fixed inexpensively. It also demonstrates good-faith compliance efforts that can reduce government penalties by 50-90% if violations are found. Companies with regular HR audits have 70% fewer employment lawsuits and spend 60% less on legal fees. The documentation created supports defense against claims and shows systematic compliance.
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