Table of Contents
Introduction
HR audits are important processes that verify whether companies are fulfilling their legal obligations. These audits can be conducted by internal audit departments, Department of Labor inspectors, OSHA representatives, or independent auditors. For the audit process to proceed smoothly and to prevent potential penalties, it is critical that HR documents are organized, complete, and easily accessible.
This comprehensive checklist includes steps to follow for document management before, during, and after HR audits. The list is designed to meet legal requirements and facilitate the audit process.
Pre-Audit Preparation
General Preparation Steps
Determine the scope and focus areas of the audit
Form the internal team that will participate in the audit
Assign responsibility areas and task distribution
Create an audit schedule and timeline
Review findings from previous audits
Prepare a separate workspace for the audit
Document Organization
Create an up-to-date inventory of all documents
Classify and organize documents by category
Back up electronic documents
Ensure physical documents are organized and accessible
Update the digital document management system
Identify missing documents and create a plan for completion
Preliminary Check and Assessment
Check the validity periods of documents
Verify that signatures and approvals are complete
Assess compliance with legal requirements
Review documents according to current employee status
Identify risk areas and create a prioritized checklist
Conduct an internal audit to identify deficiencies in advance
Personnel Files Checklist
Basic Personnel Documents
Job application forms and resumes
Copies of identity documents/driver's licenses
Educational credentials (diplomas, certificates, etc.)
Background check records (for required positions)
Medical examination reports
Proof of address documents
Family status declarations
Military service documents (if applicable)
Driver's license copies (for required positions)
ID photographs
Employment Contracts and Attachments
Signed employment contracts
Contract amendments/additional protocols
Job descriptions
Confidentiality agreements
Non-compete agreements
Privacy notices and consent forms
Company equipment assignment records
Benefits and special agreement documents
Leave Records
Annual leave request forms
Annual leave plans and usage records
Sick leave documents and medical reports
Personal leave forms
Unpaid leave documents
Maternity and parental leave documents
Nursing break records
Marriage leave documents
Bereavement leave documents
Payment records for unused annual leave (if applicable)
Performance Documents
Performance evaluation forms
Goal cards and achievement reports
Performance interview records
Competency assessments
Career development plans
Performance improvement plans
Recognition and award documents
Training Records
Training attendance forms and certificates
Onboarding training records
Mandatory training documents
Professional qualification documents and certificates
Training evaluation forms
Training plans and budget documents
Competency matrices and development plans
Disciplinary and Employment Termination Documents
Warning letters
Requests for defense statements and received defenses
Disciplinary committee decisions
Resignation letters
Employment contract termination notices
Severance and notice pay calculations
Release forms
Exit interview forms
Employment verification documents
Health and Safety Documents
Basic Health & Safety Documents
Risk assessment reports
Health & safety policies and procedures
Emergency plans and drill records
Health & safety committee meeting minutes
Contracts with health & safety specialists and workplace physicians
Workplace health and safety unit records
Employee representative election records and notification documents
Training and Health Monitoring
Basic health & safety training records
First aid training documents
Fire safety training records
Special training records (working at height, confined spaces, etc.)
Pre-employment medical examination reports
Periodic medical examination records
Health monitoring reports
Workplace accident and occupational disease reports
Equipment and Work Environment
Periodic inspection reports for work equipment
Personal protective equipment assignment records
Electrical installation inspection reports
Grounding measurement reports
Environmental measurement reports (noise, dust, vibration, etc.)
Lighting measurement reports
Drinking and utility water analysis reports
HR Process Documents
Recruitment Documents
Recruitment procedures and process documents
Job advertisements and application records
Interview evaluation forms
Competency assessment tests and results
Reference check forms
Job offers and acceptance documents
Orientation programs and checklists
Compensation and Benefits
Compensation policies and procedures
Payroll records
Salary change forms
Bonus and incentive calculations
Benefits packages and policies
Advance payment request forms
Overtime records and payments
Travel expense and per diem documents
Organization and Planning
Organization charts
Job descriptions
Authority and responsibility matrices
HR planning documents
Career paths and succession plans
Human resource budget plans
HR strategy documents
Employee engagement survey results
Data Protection Compliance Documents
Data Inventory and Policies
Personal data processing inventory
Personal data protection policy
Retention and disposal policy
Data breach response procedure
Data security policy
Data protection registration documents
Personal data processing workflow map
Employee Data Protection Documents
Employee privacy notices
Consent forms
Data processing permission forms
Confidentiality commitments
Data security awareness training records
Data access authorization forms
Data protection compliance audit reports
Payroll and Other Legal Documents
Payroll Documentation
New hire reports
Employment termination notifications
Monthly payroll tax forms
Employer registration documentation
Industry code notifications
Reporting of non-working periods
Tax credit records and documents
Documentation for missed/partial days
Other Official Notifications
Department of Labor workforce reports
Documentation for employing individuals with disabilities, veterans
Work permits for foreign employees
Tax authority declarations
Statistical institution reports
Annual paid leave notifications
Mass layoff notifications (if applicable)
Reduced working hours notifications (if applicable)
Document Presentation During Audit
Document Presentation Preparation
Organize files according to audit scope
Prepare a table of contents for each document category
Label and organize document folders
Arrange digital documents for easy access
Set up a computer and screen in a common area for presentation
Have printer and scanner ready
Points to Consider During the Audit
Designate persons responsible for document presentation
Plan the document presentation sequence
Separate originals and copies of important documents
Have experts ready to answer auditors' questions
Keep a record of presented and examined documents
Note auditor comments and findings
Post-Audit Tasks
Findings Management
Review and categorize audit findings
Create a corrective action plan for missing or incorrect documents
Perform root cause analysis of findings
Prioritize corrective actions
Designate responsible persons for urgent actions
Create a timeline for closing findings
Process Improvement
Identify weak points in document management processes
Document the audit experience and record lessons learned
Develop improvement suggestions for document management
Identify digital transformation needs
Create a preparation strategy for future audits
Provide feedback to the HR team about audit findings
Document Management Improvements
Complete missing documents
Update document retention policy
Establish a periodic internal audit mechanism
Update document checklists
Review document access and security protocols
Improve the digital document management system
HR Audit Preparation with Onedocs
Document management processes requiring comprehensive preparation for HR audits become much easier and more efficient with Onedocs. The advantages offered by Onedocs include:
Pre-Audit Document Preparation
Automatic Document Classification: Onedocs automatically categorizes all your HR documents, so your documents are already organized before the audit.
Missing Document Reports: It automatically detects missing documents before the audit and provides you with a report, giving you time to complete deficiencies.
Quick Document Search: Advanced search features allow you to find necessary documents in seconds, minimizing your preparation time.
Document Organization and Viewing
Smart Tagging: Automatically tags documents according to audit categories, facilitating your document presentation process.
Audit Folders: You can create special folders according to the audit scope and collect all relevant documents in one place.
Document Preview: You can preview documents without downloading them, allowing you to quickly present the right documents during the audit.
Legal Compliance and Security
Retention Period Tracking: Automatically monitors the legal retention periods of documents and alerts you for documents that have expired.
Date Reminders: Tracks document renewal dates, so you won't encounter expired documents during audits.
Access Control: Ensures data security by controlling access to sensitive HR documents and guarantees that only authorized persons can access documents.
Audit Process Convenience
Quick Document Presentation: Speeds up the process by providing instant access to documents requested during the audit.
Document Sharing: You can securely share documents with auditors and grant temporary access rights to specific documents when necessary.
Audit Trails: Provides a complete audit trail by recording which documents were viewed by whom and when.
Post-Audit Advantages
Finding Tracking: You can record findings identified in the audit in the system and track corrective actions.
Reporting: You can create customized reports showing audit results and document status.
Continuous Improvement: You can continuously improve your document management processes by recording lessons learned from audit experiences.
Onedocs transforms the most challenging part of HR audits—document management—into a stress-free and efficient process. It reduces your pre-audit preparation time by up to 70%, reduces your document finding time to seconds, and minimizes your compliance risks.
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