Human Resources Audit Checklist needed

S

sardonyx

#1
Any help or suggestions? Aside from training records and matrix, what else should I consider? Thanks in advance for any inputs.
 
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Helmut Jilling

Auditor / Consultant
#2
Re: Can someone share their audit checklist for human resources?

Any help or suggestions? Aside from training records and matrix, what else should I consider? Thanks in advance for any inputs.

You should not be auditing your processes from a checklist, per se. You should audit the process' sequence of steps, and the interactions between it and linked processes as described in the procedures, flowcharts or whatever you use to define and describe/explain the process. And, you should assess whether it is compliant, and if it is effective. You should also audit whatever metrics are monitored to review it's effectiveness.

Auditing to checklists alone is passe.
 

Patricia Ravanello

Quite Involved in Discussions
#3
Re: Can someone share their audit checklist for human resources?

Any help or suggestions? Aside from training records and matrix, what else should I consider? Thanks in advance for any inputs.
:agree1: Helmut has provided a wonderfully concise and accurate response :agree1:.

If your internal auditors are having problems preparing for the audit, they should, as Helmut suggested review the process/flowchart, etc and then might want to prepare their own "check list" as a reminder of things to verify...however there is no such thing as a generic check list anymore...:bigwave:good-bye element-by-element audits.:bigwave:

:DWelcome to the "Process Approach".:D
Patricia Ravanello
 
#4
Re: Can someone share their audit checklist for human resources?

Great answers! Why not sit down with the manager of the process too? They're not the enemy! They will also get some idea of what's going to be looked at and if it's working. They need the validation of another person to tell management that their process is functioning as planned.

Another thing - not that you are to blame - but if you were chosen to do an audit of a process that you're not familiar with, or your training didn't tell you how to plan for an audit, should you be doing the audit?
 

Stijloor

Staff member
Super Moderator
#5
Re: Can someone share their audit checklist for human resources?

Auditing to checklists alone is passe.
I agree Helmut, but for newbie auditors, to have some audit points listed (on a simple "cheat sheet") may be helpful to ensure that important process activities are not overlooked. As long as the list does not drive the audit.

Stijloor.
 

Helmut Jilling

Auditor / Consultant
#6
Re: Can someone share their audit checklist for human resources?

I agree Helmut, but for newbie auditors, to have some audit points listed (on a simple "cheat sheet") may be helpful to ensure that important process activities are not overlooked. As long as the list does not drive the audit.

Stijloor.
I fully agree. Note, I said using checksheets alone, is passe. In fact, I encourage clients to make an official "cheatsheet" for each process to facilitate auditors doing a better job.

However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.

Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
 

Randy

Super Moderator
#7
Re: Can someone share their audit checklist for human resources?

My audit checklist?

The appropriate requirements from the applicable standard.

Their procedures.

Thier statements that are given as fact.

I look for evidence of effective fulfillment of the above.

The end.
 

Patricia Ravanello

Quite Involved in Discussions
#8
Re: Can someone share their audit checklist for human resources?

I fully agree. Note, I said using checksheets alone, is passe. In fact, I encourage clients to make an official "cheatsheet" for each process to facilitate auditors doing a better job.

However, it has to be used as an add on to auditing the process flow, the procedures and the linkages.

Interestingly, I made an internal audit system that leads a newbie auditor through a process audit, using all the required steps, in a checksheet format. I use it in my internal auditor training sessions to help facilitate new auditors learning how to do this. It works very well.
Is your Audit Prep Checksheet proprietary, or can you post it, or at least the basic process sequence that your recommend?
 

Stijloor

Staff member
Super Moderator
#9
Re: Can someone share their audit checklist for human resources?

My audit checklist?

The appropriate requirements from the applicable standard.

Their procedures.

Thier statements that are given as fact.

I look for evidence of effective fulfillment of the above.

The end.
Randy,

We love simplicity! :D

Some tend to make mountains out of molehills.

Stijloor.
 
S

sardonyx

#10
Re: Can someone share their audit checklist for human resources?

Thanks for all your replies.:agree1: I'm just a new internal auditor and I'm confused if I have to go by ISO clauses or by process? Which is better? Or is there such thing as audit by job description? :lmao: I mean by employee?
 
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