From The Desk Of The HR Manager: Spring Cleaning – Performing An HR Audit


As spring is upon us, it is an appropriate time of the year for an organization to perform an audit of its human resources process. HR audits ensure regulatory and organizational policy compliance, while proactively pursuing internal efficiencies and excellence. Regular and systematic audits demonstrate due-diligence to regulatory bodies (e.g. Ministry of Labour) and promote a proactive, preventative approach to HR issues, subsequently reducing risk and liabilities.

An efficient human resources process generates effective practices, cost reduction, increased productivity, employee engagement and continual improvement. Areas of focus for a human resources audit include:

Personnel Files

Ensure that the following items are included in an employee's personnel file, where applicable:

Application for employment Background check consent forms and subsequent results Signed offers of employment, promotions, lateral position changes Written agreements (e.g. excess hours of work, overtime) Acknowledgement sign-offs on organizational policies (e.g. code of ethics, confidentiality and patent agreements, etc.) Employee profile and emergency contacts Vacation time records Federal and Provincial TD1 forms Direct deposit authorization forms Dependent information for benefits purposes Beneficiary designations (where applicable) Documentation pertaining to leaves of absence (e.g. parental, family medical, personal emergency) Performance appraisals Documented disciplinary records Termination and exit documentation Internal Organizational Policies

If regulations, guidelines or internal practices have changed, it is important to ensure that all internal policies are current, up-to-date and reflective of present realities. It is also important to ensure that employees are aware of and have been trained on new or updated policies and that copies are available.

Termination and Exit Process

Administering an exit checklist for any individual leaving the employment of the organization serves many purposes, including ensuring the continued confidentiality of organizational information. The checklist should include termination of systems access, return of organizational property and a reminder to employees of their responsibilities after leaving the organization.

Completing an exit interview will provide the organization with information on what it is doing well and necessary areas for improvement. These improvement opportunities should be adapted into specific action...

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