2021 Internal Audit Checklist
In 2020, HR compliance was tested like never before. As we enter into 2021, HR compliance can no longer be ignored.
Below is an audit checklist that should be implemented by every business.
Employee Files and Records
Review and update personal employee information:
Home address/mailing address.
Phone number.
Beneficiaries for insurance, 401(k) benefits, and any other benefits.
Name change.
Emergency contacts.
Dependent information.
Company Policies
Does your Employee Manual include the following provisions for:
Sexual harassment.
Bullying.
Dress code (tattoos, hair color, and styles, body piercings)
Privacy in the workplace.
Personal cell phone use.
Internet/computer use policy.
Proper and inappropriate relationships at work.
Drug-Free Workplace Program.
Equal Employment Opportunity policy.
Social media policy that includes a prohibition on visiting social media sites during business hours.
Update all internal resources for the Employee Manual and company policies.
Issue an updated Employee Manual to all employees.
Verify that labor law posters are current.
Recruiting & Hiring
Review the procedures for recruiting and interviewing.
Review offer letters, contracts, and new-hire orientations.
Review your current application form and any internal job descriptions.
Complaints
Do you have a procedure for employees to report and file complaints about prohibited activities occurring in the workplace?
Do you have a retaliation policy regarding employees that exercise protected rights?
Health & Safety
Review OSHA and HIPAA policies
Are your OSHA and HIPAA Manuals up to date?
Governmental Review
Review employee classifications for purposes of the Fair Labor Standards Act overtime obligations.
Perform a reassessment analysis regarding the following statutes:
Family and Medical Leave.
Health benefits.
Pregnancy disability benefits and leave.
COBRA and unemployment benefits.