BASIC HR AUDIT CHECKLIST MANAGEMENT


 Are HR goals in line with those of the organization?  Are work weeks 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 for all jobs?  Are job descriptions up to date?


 Are I-9 forms and acceptable documentation reviewed annually?


 Are I-9s and medical information kept separate from personnel files?


 Are job openings offered to current employees?  Are applicant references checked?


 Are applicants asked to voluntarily identify their affir- mative action information?


 If the organization has a qualifying federal contract, is there an affirmative action plan?


 Are independent contractors accurately identified?  Are all new hires reported to the IRS in a timely manner?  Do new employees fill out W-4 forms?  Are W-4 forms sent to the IRS?


NEW EMPLOYEES


 Are policies in place that focus on the workplace?  Are policies communicated?  Is this communication documented?  Are policies enforced?


AUDITING EMPLOYEE RELATIONS


The human resources department also should examine how the company scores in employee relations during its audit. The audit should reveal objective decisions on promotions, trans- fers and terminations, reflect an open door policy and prove employee complaints are handled and documented. Employee satisfaction can be reviewed by examining turnover rates, by department shift or supervisor, the status of action plans from recent employee surveys and the effectiveness of your com- pany’s performance management system.


26 | MODERN CASTING April 2013


 Is there an employee handbook?  Is the employee handbook specific to the workplace?  Do employee orientations take place?  Is there an orientation plan?  Are employees trained on policies and work rules?


 Are employees trained on discrimination and harassment issues?


 Have employees signed all papers pertaining to the handbook during orientation?


WAGES AND HOURS


 Are compensation levels monitored and reviewed?  Are employees correctly designated as exempt or nonexempt per FLSA?


 Is there a formal pay structure that is reviewed regularly?  Is working time documented?


 Are paid time off (vacation, holidays, etc.) structures developed and equally enforced?


 Are non-exempt employees compensated at least one and one-half times their hourly wage for any hours worked beyond 40?


 Is the compensation plan communicated to all employees?


 Are appropriate payroll withholdings performed and forwarded?


BENEFITS


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


 Who administers the benefits?


 Are general COBRA notices provided to plan partici- pants? Extended COBRA notices?


 Are employees allowed up to 12 weeks of leave under the FMLA?


 Are plan documents in compliance with ERISA?


 Are supervisors and managers trained to report employee absences of more than three days to HR for FMLA purposes?


 If there is a health care plan, is Protected Health Infor- mation kept private and secure?


 Are all Form 5500s completed and reported?


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