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#2233824 - 03/27/20 07:21 PM Human Resource Audit
The Auditor Offline
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Joined: Sep 2018
Posts: 8
Hello All,

I am working on finding some resources (guidance, procedures, checklists) for completing an HR audit which is new to the bank I am at. I have been able to find two checklists from mid-2000s on here and the Department of Labor Employment Law Guide that's one of the ABA tools. I am wondering if anyone had completed an HR audit before and if they are willing to share what resources they used?

Thank you!

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Audit
#2233834 - 03/27/20 08:50 PM Re: Human Resource Audit The Auditor
rlcarey Online
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rlcarey
Joined: Jul 2001
Posts: 76,149
Galveston, TX
Auditing HR is a huge task and is usually left to specialized external auditing firms as it encompasses a lot of areas. What are your objectives and what specific risks are you attempting to mitigate?
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#2233863 - 03/30/20 01:57 PM Re: Human Resource Audit The Auditor
The Auditor Offline
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Joined: Sep 2018
Posts: 8
The main objective is ensuring that the bank is compliant with state and federal laws/regulations pertaining to the HR department (ex. FMLA, Fair Labor Standards Act, OSHA, etc.). I think we are trying to mitigate any risks relating to noncompliance with state and federal regulations/laws that could cause harm to employees or fines for the bank.

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#2233866 - 03/30/20 02:14 PM Re: Human Resource Audit The Auditor
osucpa Offline
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Joined: May 2011
Posts: 1,388
I think when you are going down the path of a regulatory compliance audit, you have a lot of research and planning to do. These areas are not easy to understand and test. Sometimes you need to focus on the operational side of the area such as following our policies and procedures for new hires, employee transfers, terminations and other duties for HR.

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#2233937 - 03/30/20 08:49 PM Re: Human Resource Audit The Auditor
edAudit Offline
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edAudit
Joined: Jul 2008
Posts: 4,688
You are here
Let us not forget that some local towns/city's can have their own regulations as well (Minimum wage/sick time/signage... )
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#2234457 - 04/08/20 09:23 PM Re: Human Resource Audit The Auditor
The Auditor Offline
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Joined: Sep 2018
Posts: 8
Okay thank you everyone for your thoughts. They helped out a lot.

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