HR AUDIT CHECKLIST TEMPLATE

Created by ChecklistGuro (https://checklistguro.com)


--- LEGAL COMPLIANCE ---
[ ] Last Wage and Hour Law Review Date
[ ] State Wage and Hour Law Compliance? (Compliant, Non-Compliant, N/A)
[ ] Federal EEO Compliance? (Compliant, Non-Compliant, N/A)
[ ] Date of Last I-9 Form Audit
[ ] Summary of Key Legal Updates & Actions Taken
[ ] ADA Compliance? (Compliant, Non-Compliant, N/A)
[ ] Number of Discrimination Claims Filed (Last Year)

--- POLICY REVIEW & DOCUMENTATION ---
[ ] Last Policy Review Date
[ ] Summary of Policy Updates Made
[ ] Copy of Employee Handbook
[ ] Policy Distribution Method (Email, Intranet, Printed Copies, Other)
[ ] Number of Policies Reviewed
[ ] Description of Policy Communication to Employees
[ ] Policy Acknowledgement Process (Electronic Signature, Signed Form, No Formal Acknowledgement)

--- RECRUITMENT & HIRING ---
[ ] Date Job Posting Approved
[ ] Job Posting Source(s) (Company Website, Job Boards (Indeed, LinkedIn), Social Media, Employee Referrals, Agency)
[ ] Number of Applications Received
[ ] Summary of Applicant Screening Process
[ ] Interview Method(s) (Phone Screen, Video Interview, In-Person Interview)
[ ] Interview Panel Members (List names)
[ ] Summary of Interview Feedback & Scores
[ ] Background Check Vendor (If applicable)

--- COMPENSATION & BENEFITS ---
[ ] Minimum Wage Compliance (Hourly Employees)
[ ] Overtime Rate Calculation Verification
[ ] Benefit Plan Types Offered (e.g., Medical, Dental, Vision) (Medical, Dental, Vision, 401k, Life Insurance, Disability Insurance)
[ ] Last Benefits Audit Date
[ ] Employee Contribution Percentage (401k)
[ ] Summary of Benefit Plan Document Updates (Last Year)
[ ] Compliance with ACA Reporting Requirements (Compliant, Non-Compliant, Pending Review)
[ ] Payroll Tax Forms (e.g., W-2s, 941s)

--- EMPLOYEE RELATIONS ---
[ ] Date of Incident/Complaint
[ ] Description of Employee Relations Issue
[ ] Type of Issue (Harassment, Discrimination, Conflict Resolution, Performance Concerns, Other)
[ ] Employee(s) Involved (Name(s))
[ ] Investigation Notes (if applicable)
[ ] Number of Witnesses (if any)
[ ] Actions Taken (Select all that apply) (Verbal Warning, Written Warning, Performance Improvement Plan, Training, Disciplinary Action, Mediation)
[ ] HR Representative Signature

--- TRAINING & DEVELOPMENT ---
[ ] Last Training Program Review Date
[ ] Training Delivery Method (Primary) (Online, In-Person, Blended)
[ ] Types of Training Offered (Compliance, Technical Skills, Leadership Development, Soft Skills, Safety Training)
[ ] Average Employee Training Hours Per Year
[ ] Summary of Recent Training Program Updates
[ ] Attach Training Program Documentation (e.g., curriculum, evaluations)

--- DATA PRIVACY & SECURITY ---
[ ] Data Encryption Method (At Rest Encryption, In Transit Encryption, Both)
[ ] Last Data Privacy Training Date
[ ] Number of Employee Records Stored
[ ] Third-Party Data Processor Agreements? (Yes, No, Review Needed)
[ ] Summary of Data Breach Response Plan
[ ] Types of Personal Data Processed (Social Security Numbers, Bank Account Details, Health Information, Contact Information, Performance Reviews)
[ ] Compliance with GDPR/CCPA? (Fully Compliant, Partially Compliant, Not Compliant)

--- RECORD KEEPING & DOCUMENTATION ---
[ ] Last Record Retention Policy Review Date
[ ] Number of Active Employee Files
[ ] Employee File Storage Method (Physical Files, Digital/Cloud-based, Hybrid)
[ ] Summary of Record Retention Schedule
[ ] Last Audit of I-9 Forms
[ ] Sample Employee File (Redacted)

--- EQUAL OPPORTUNITY & DIVERSITY ---
[ ] Does your company have a documented Equal Opportunity Policy? (Yes, No, Under Development)
[ ] Which protected characteristics are explicitly addressed in your Equal Opportunity Policy? (Race, Color, Religion, Sex (including pregnancy, gender identity, and sexual orientation), National Origin, Age, Disability, Genetic Information, Veteran Status)
[ ] Date of last review of Equal Opportunity Policy
[ ] Number of discrimination complaints received in the last year
[ ] Briefly describe the steps taken to ensure accessibility for employees with disabilities.
[ ] Does your company conduct diversity and inclusion training for employees? (Yes, regularly, Yes, occasionally, No)
[ ] Upload copy of Diversity & Inclusion Training Materials

--- TERMINATION & OFFBOARDING ---
[ ] Employee Termination Date
[ ] Reason for Termination (Detailed Explanation)
[ ] Termination Type (Voluntary Resignation, Involuntary Termination, Retirement)
[ ] Final Paycheck Amount
[ ] Termination Documentation (e.g., Agreement, Notice)
[ ] Outstanding Items to Address (Return of Company Property, Benefits Continuation (COBRA), Final Paycheck Distribution, Unemployment Claims, Exit Interview Completion)
[ ] Exit Interview Date (if applicable)
[ ] HR Representative Signature

--- END OF TEMPLATE ---
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