CHECKLIST
HUMAN RESOURCE
AUDIT CHECKLIST
9 July 2004
HUMAN RESOURCE AUDIT CHECKLIST
Policies and procedures clarify workplace expectations for employees and employers. They provide a documented point of common understanding about
specific matters affecting the workplace.
OVERVIEW OF REASONS FOR POLICY DEVELOPMENT
• Legislative requirements
Some legislation includes requirements for written policies and procedures to be in place with ongoing implementation. For example, under some
occupational health and safety legislation it is an offence not to have a policy outlining the employer and employee’s responsibilities. In other areas such
as equal opportunity, there are no specific requirements to implement a policy and procedure However, where an employer can point to a policy, that will
go some way towards substantiating the employer’s compliance with the law should the matter arise before a court or tribunal. To this end many
organisations have policies on matters such as EEO, workplace harassment and grievance handling procedures.
• Codes of conduct
Codes of conduct detail issues that are not regulated by law but are the standards, behaviours and expectations set by the employer in the workplace.
Policies associated with codes of conduct may cover matters such as: fighting, language, dress standards, alcohol, drugs, smoking, confidentiality, other
employment, maintaining the workplace, borrowing of organisation property, theft, and statements to media.
• Conditions of employment
Conditions of employment which may fall within this category include: attendance, absenteeism, punctuality, transfer, training, promotion, probation,
performance review, discipline, abandonment of employment, exit interviews, notice, and termination.
• Employee entitlements
Policies included within this category may include annual leave, long service leave, bereavement leave, parental leave, carer’s leave, jury leave, special
leave, overtime, shift work and details of any other entitlements.
• Employee benefits
Some organisations provide a range of employee benefits not prescribed by legislation or awards. These can relate to such matters as employee health,
or assisting employees to balance work and family responsibilities. It is important to clarify how such benefits are awarded to employees in an
organisation policy in order to ensure that all employees know of their availability, they are distributed fairly, and that any conditions applying are
understood.
Employee benefits, which fall into this category, may include: company cars, mobile phones, employee assistance programs, salary packaging, career
breaks, working from home and study assistance.
The following audit checklist provides a list of policies, procedures and documentation that are useful for organisations to consider in managing the
employment relationship.
POLICY AND PROCEDURE AUDIT CHECKLIST
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
ORGANISATIONAL POLICIES/PROCEDURES
Code of Conduct
Communications
Copyright
Grievance Handling
Intellectual Property
Internet and Email Use
Mission Statement
Motor Vehicle Car Pool
Organisational Objectives
Organisational Social Functions
Security Policy
Use of Organisational Property
Work and Life Balance
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
RECRUITMENT AND SELECTION
Employment of Relatives
Employment Screening Policy
External Recruitment and Selection
Induction
Internal Recruitment and Selection
Medical information
Relocation
EMPLOYMENT CONTRACTS
Casual Employment
Job Sharing
Part time Employment
Probation
VOLUNTEERS
Volunteers
CONDITIONS OF EMPLOYMENT
Absenteeism
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
Annual Leave
Bereavement Leave
Carer’s Leave
Children in the Workplace
Defence Service Leave
Dress Policy
Educational Assistance
Emergency Leave
Employment Assistance Program
Family Leave
Flexible Working Time
Higher Duties Policy
Hours of work
Jury Duty
Leave without pay
Long Service Leave
Mobile Phones
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
Motor Vehicle Use
Parental Leave
Promotion
Public Holidays
Rostered Days Off
Sick Leave
Study Leave
Superannuation
Time in Lieu
Training and Development
Travel and Expense Reimbursement
Use of Credit Cards
Working from Home
PRIVACY
Disclosure of Information
Employee Records
Inspection of Records
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
REMUNERATION
Remuneration Review
Remuneration Setting
Salary Packaging
PERFORMANCE APPRAISAL
Performance Appraisal
EQUAL EMPLOYMENT OPPORTUNITY AND
DISCRIMINATION
Diversity
Equal Employment Opportunity
Harassment (including sexual harassment and bullying in the
workplace)
OCCUPATIONAL HEALTH AND SAFETY
Drugs and Alcohol in the Workplace
Emergency Evacuation
First Aid
Incident Reporting and Investigation
Non-smoking
Occupational Health and Safety Policy
Is there an Is revision Is a policy and
existing policy required? procedure
and procedure? Y/N required? Priority
POLICY/PROCEDURE NAME
Y/N Y/N High/Med/Low
Skin Protection
WORKERS’ COMPENSATION
Claims Management
Rehabilitation Procedure
Return to Work Procedure
DISCIPLINARY AND TERMINATION PROCEDURES
Abandonment of Employment
Counselling
Demotion
Discipline
Redundancy
Suspension (with or without pay)
Termination
Is there an Is revision Is a template,
existing required? letter or form
template, letter Y/N required?
or form? Y/N Priority
TEMPLATES, LETTERS AND FORMS
Y/N High/Med/Low
Acknowledge receipt of application letter
Alternative Employment
Application for Employment Form
Application for Internal Vacancy Form
Application for Study Assistance
Certificate of Service
Certificate of Training Completed
Criminal History Application Form
Employee Classification
Employee Screening Feedback Form
Employee Status Change including permanent change,
secondment and higher duties.
Employment Declaration
Exit Interview Form
Internal Job Vacancy Notice Form
Interview Assessment Form
Letter of Offer – Casual
Is there an Is revision Is a template,
existing required? letter or form
template, letter Y/N required?
or form? Y/N Priority
TEMPLATES, LETTERS AND FORMS
Y/N High/Med/Low
Letter of Offer – Fixed Term
Letter of Offer – Part time
Letter of Offer – Permanent
No vacancies
Positions Descriptions
Privacy Disclosure Authorisation Form
Probation period complete – confirmation of appointment
Recruitment and Selection Checklist
Recruitment and Selection Shortlisting Form
Redundancy – Calculation of entitlements
Redundancy Confirmation Letter
Redundancy Proposal
Sample Advertisement
Sample Questions for Use in Interview
Success interview letter – letter of appointment
Successful application – interview letter
Is there an Is revision Is a template,
existing required? letter or form
template, letter Y/N required?
or form? Y/N Priority
TEMPLATES, LETTERS AND FORMS
Y/N High/Med/Low
Unsuccessful application – no interview letter
Unsuccessful interview letter
Warning letter
Working from Home – OHS Self Assessment Form
Working from Home Agreement
Working from Home Application Form
