HR RISK ASSESSMENT CHECKLIST TEMPLATE

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


--- LEGAL AND REGULATORY COMPLIANCE ---
[ ] Last EEOC Compliance Training Date
[ ] State Wage & Hour Law Compliance Status (Compliant, Partially Compliant, Non-Compliant)
[ ] Number of Active Discrimination Claims
[ ] Summary of Recent Legal Audits and Findings
[ ] ADA Compliance Status (Compliant, Needs Review, Non-Compliant)
[ ] Copy of most recent I-9 audits
[ ] Date of last FLSA audit

--- DATA SECURITY AND PRIVACY ---
[ ] Data Encryption Status (Fully Encrypted, Partially Encrypted, Not Encrypted)
[ ] Number of Employee Records
[ ] Access Control Review Frequency (Daily, Weekly, Monthly, Quarterly, Annually)
[ ] Last Data Security Audit Date
[ ] Data Privacy Regulations Compliance (GDPR, CCPA, HIPAA, Other (Specify in long text))
[ ] Other (Specify)

--- EMPLOYEE RELATIONS AND WORKPLACE CULTURE ---
[ ] Frequency of employee surveys conducted? (Annually, Semi-Annually, Quarterly, Ongoing (Pulse Surveys))
[ ] Number of formal complaints received in the past year?
[ ] Summary of key findings from recent employee feedback?
[ ] What types of training are provided to managers regarding employee relations? (Harassment Prevention, Conflict Resolution, Performance Management, Diversity & Inclusion, Active Listening, Employee Discipline)
[ ] Date of last Workplace Culture Assessment?
[ ] Does the company have a formal mediation process? (Yes, No)
[ ] Description of the company's policy on addressing employee grievances

--- HR TECHNOLOGY AND SYSTEMS ---
[ ] Current HRIS System (Workday, BambooHR, ADP Workforce Now, Other)
[ ] Number of Employees Using HR Technology
[ ] Last Security Audit of HR Systems
[ ] Security Protocols Implemented (Two-Factor Authentication, Data Encryption, Regular Security Updates, Access Control Lists)
[ ] Description of Data Backup Procedures
[ ] Third-party vendor risk management process (Formal risk assessment, Informal review, No established process)

--- COMPENSATION AND BENEFITS ---
[ ] Average Salary Increase Percentage
[ ] Pay Equity Analysis Conducted? (Yes, No, Planned)
[ ] Healthcare Cost Trend Analysis (Percentage)
[ ] Last Benefits Audit Date
[ ] Benefits Offered (Select all that apply) (Medical, Dental, Vision, 401k, PTO, Life Insurance, Disability Insurance)
[ ] Summary of Executive Compensation

--- RECRUITMENT AND HIRING ---
[ ] Background Check Authorization Received? (Yes, No, Pending)
[ ] Date Application Received
[ ] Required Skills Verified? (Technical Skills, Communication Skills, Problem-Solving Skills)
[ ] Offer Letter Sent? (Yes, No, Draft)
[ ] Number of Applicants Interviewed
[ ] Notes on Candidate's Interview Performance
[ ] E-Verify Status? (Completed, In Progress, Not Applicable)

--- PERFORMANCE MANAGEMENT ---
[ ] Last Performance Review Date
[ ] Review Method (e.g., Self, Manager, 360) (Self-Review, Manager Review, 360 Review, Combination)
[ ] Overall Performance Rating (1-5)
[ ] Key Accomplishments during Review Period
[ ] Areas for Improvement
[ ] Performance Goals Achieved? (All, Most, Some, Few, None)
[ ] Employee Signature
[ ] Manager Signature

--- TERMINATION AND OFFBOARDING ---
[ ] Termination Date
[ ] Reason for Termination (Detailed)
[ ] Termination Type (Voluntary Resignation, Involuntary Termination, Retirement)
[ ] Final Paycheck Amount
[ ] COBRA Notification Sent Date
[ ] Termination Documentation (Signed Forms)
[ ] Return of Company Property Status (All Returned, Partial Return, Not Returned)
[ ] Exit Interview Notes

--- HR POLICIES AND PROCEDURES ---
[ ] Policy Review Frequency (Annually, Biennially, As Needed, Quarterly)
[ ] Last Policy Review Date
[ ] Policies Reviewed in Current Cycle (Select All That Apply) (Anti-Harassment, Code of Conduct, Remote Work, Data Privacy, Leave of Absence)
[ ] Summary of Changes Made (If Any)
[ ] Updated Policy Documents (Upload)
[ ] Communication Method of Policy Updates (Email, Intranet, Team Meetings, Company-Wide Announcement)
[ ] Employee Acknowledgement Rate (Percentage)
[ ] Notes on Policy Interpretation or Enforcement Challenges

--- BUSINESS CONTINUITY AND DISASTER RECOVERY ---
[ ] Number of critical HR systems
[ ] Last Disaster Recovery Plan Review Date
[ ] Summary of Key HR Functions Requiring Continuity
[ ] Critical HR Data Backup Locations (Cloud Storage, Offsite Server, Tape Backup)
[ ] Next Scheduled DR Test Date
[ ] DR Test Type (Tabletop Exercise, Simulation, Full-Scale Test)
[ ] Contact Information for Key HR Personnel (Emergency)

--- END OF TEMPLATE ---
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