Human Resources Audit Checklist needed

Patricia Ravanello

Quite Involved in Discussions
#11
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?

Hi Sardonyx,

Actually, it's not a matter of choice. As Helmut Jilling wrote earlier, you have to audit according to your organization's process (be it a narrative description, or a flow chart).

Follow the flow chart, step-by-step, verifying as you go along, that each process is being performed as documented. You can't audit by ISO Clause or by Job Description. Additionally, you need to review the Metrics associated with the process, to determine if the process is both effective and efficient (actually, that is where the audit should start...and that review could lead you to specific trouble areas).

I don't know if you had any external training, but your organization might benefit by the services of an outside Training organization to develop and/or hone your auditing skills.

Patricia
 
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Helmut Jilling

Auditor / Consultant
#12
Re: Can someone share their audit checklist for human resources?

Is your Audit Prep Checksheet proprietary, or can you post it, or at least the basic process sequence that your recommend?
The actual system is the 3 day program which I build my internal auditor "Improvement Audit" training around. However, the basic process sequence is fairly straightforward and common.

Stage 1 - Review and Prep the process metrics, flowcharts, work instructions, records and things that describe the process to be audited. Evaluate effectiveness, audit trails, questions to be asked, plan out the audit. Review previous audit findings.

Stage 2 - Audit all those things you identified, reviewed and marked up in Stage 1. If you did the prep well, there will be ample material to review. Audit the process sequence itself, as well as the linkages.

Stage 3 - Type a clear, meaningful audit report. Discuss good things, bad things, and discuss the overall auditor's opinions and feelings about what he/she observed. Also, list the findings, and clause links.

The part that is proprietary, is that I developed this concept into a clear audit checksheet system that I use in our 3 day auditor training program. I have built an "Improvement Audit" program around this, and it seems to have been very effective. Getting a lot of good feedback on this one.
 
S

sardonyx

#13
Re: Can someone share their audit checklist for human resources?

Another question, related to HR, do we need to control the forms for human resources?
 

Stijloor

Staff member
Super Moderator
#14
Re: Can someone share their audit checklist for human resources?

Another question, related to HR, do we need to control the forms for human resources?

A few questions:
  1. Do you (HR Process) see value in managing the number and content of forms?
  2. Do you believe that maintaining completed forms is important for the effective operation of the HR Process?
If the answer is yes, control them.

Do what makes business sense, and you're OK.

Stijloor.
 
Last edited:

Helmut Jilling

Auditor / Consultant
#15
Re: Can someone share their audit checklist for human resources?

Another question, related to HR, do we need to control the forms for human resources?

Training related forms are clearly included, as they are addressed in cl 6. And, many companies define this process as HR/Training, so by their including it, it should include doc control.

However, think more wholistically. Doc control attempts to ensure that docs are accurate, up-to-date, and approved. Wouldn't it make sense for most documents to meet these logical goals? I think the discussion should not be whether they should be controlled. I think we need to begin to discuss simpler ways to control these classes of documents to ensure they meet these same objectives.

With todays computer networks and software, controlling entire classes of documents can become very simple.
 
S

sardonyx

#17
Thanks for all the responses, I really appreciate all your inputs. I really gained a lot of knowledge here in this forum. More power.
 
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