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HR Processes - Internal Audit

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Internal Audit Process for HR

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HR Processes - Internal Audit

  1. 1. INTERNAL AUDIT HR Processes
  2. 2. Overview  Audit Objective  HR Topics Covered  Method for Audit  Steps of conducting Audit  Report and Recommendations  Appendix a. Sample Document Review List b. Sample Audit Report Internal Audit_HR Processes
  3. 3. Audit Objective The purpose of this audit to evaluate the effectiveness and accuracy of HR Processes made and implemented at an organisation. Internal Audit_HR Processes Back to Overview
  4. 4. HR Topics Covered Internal Audit_HR Processes  On boarding  Internal Movements  Separation  Talent Management  Performance Management The audit team has to relevant documentation for initial review related to the processes to be audited. Back to Overview
  5. 5. Method for Audit Compliance approach  The audit team here will examine a sample of documents related to HR processes.  The purpose is to ensure compliance to laws and company policies and procedures.  By sampling elements of the human resources information system, the audit team will look for deviations.  The team can then determine the degree of compliance achieved. Internal Audit_HR Processes Back to Overview
  6. 6. Steps of conducting Audit Step 1 • Communicating the purpose and benefits of the audit to all involved. Step 2 • Allocating appropriate resources to ensure the necessary skills, budget, tools and materials are available. Step 3 • Comparing current practices and procedures against the laws and company policies and procedures. Step 4 • Identifying any gaps between the current and ideal conditions. Step 5 • Making recommendations and suggestions to remedy the identified issues. Internal Audit_HR Processes Back to Overview
  7. 7. Report and Recommendations  The audit report must clearly communicate its findings and their consequences.  The report should prioritize the corrective actions: • First priority should be correcting violations of the law. • Next, tackling the inefficiencies that rob HR of its true return on investment. • Finally, implementing best practices, such as leveraging technology and developing talent. Internal Audit_HR Processes Back to Overview
  8. 8. APPENDIX Internal Audit_HR Processes
  9. 9. Internal Audit_HR Processes Sample Document Review List On boarding Sample Joining Kit including all mandatory government forms Employee Handbook issued to employees Sample Employment Letter Sample Employee File Internal Movements Policy for internal transfers defined by the company Sample Employee request form for internal movement Sample approval from the authorised officer Sample internal movement letter Separation Exit policy and process defined by the company Non-compete Agreements, Confidentiality Agreements Termination Checklist Sample No Dues Sample Exit Interview Form Any Ex-employee file Talent Management Sample job descriptions for positions within the company Job Postings/Advertisements Employment Agency/Search Firm Contrac Resume/Candidate Tracking System Interview questions Pre-Employment Tests Any background check policy used by the company A sample offer letter A sample rejection letter and new hire onboarding file Performance Management Policy defined by the company Performance Review/Evaluation Form Performance Improvement Plans Back to Overview
  10. 10. Internal Audit_HR Processes Final Audit Report Company Name Date of Audit Objective Personnel Involved S.No. Name Designation HR Process Evidence of Compliance Investigated Compliance confirmed Deviations Identified Corrections suggested Onboarding Sample Joining Kit including all mandatory government forms Employee Handbook issued to employees Sample Employment Letter Sample Employee File Internal Movements Policy for internal transfers defined by the company Sample Employee request form for internal movement Sample approval from the authorised officer Sample internal movement letter Recommended priority list for suggested corrections: 1 2 3 Signed Authorised Signatory Back to Overview

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