P_hr Audit Check List_good

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.

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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.

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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.

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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.

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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 POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

POLICY/PROCEDURE NAME 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 existing policy and procedure? Y/N

Is revision required? Y/N

Is a policy and procedure required? Y/N

Priority High/Med/Low

TEMPLATES, LETTERS AND FORMS 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 existing template, letter or form? Y/N

Is revision required? Y/N

Is a template, letter or form required? Y/N

Priority High/Med/Low

TEMPLATES, LETTERS AND FORMS 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 existing template, letter or form? Y/N

Is revision required? Y/N

Is a template, letter or form required? Y/N

Priority High/Med/Low

TEMPLATES, LETTERS AND FORMS 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

Is there an existing template, letter or form? Y/N

Is revision required? Y/N

Is a template, letter or form required? Y/N

Priority High/Med/Low