Check List for HR Audit

8/11/2019 Check List for HR Audit

1/23

1 RECRUITMENT 12

2 JOINING FORMALITIES 7

3 INDUCTION 5

4 PROMOTION 5

5 REWARD & RECOGNITIOIN 36 TRAINING & DEVELOPMENT 5

7 LEAVE 5

8 INTERNAL TRANSFER 3

9 PERFORMANCE APPRISAL 10

10 DISCIPLINERY ACTIONS 3

11 EMPLOYEE ENGAGEMENT 7

12 GRIVANCESS & REDRESSAL 5

13 WHILSELBLOWER POLICY 5

14 RESIGNATION 5

15 MIS 5

16 DOCUMENTATION 517 SALARY 5

18 COMPLIANCE 5

100

1 MANPOWER STATUS 40

2 STAFF ATTRITION 30

3 AVERAGE TENOR OF FIELD STAFF 10

4 RESHUFLLING & INTERNAL TRANSFER 10

5 OTHERS 10

100

Total

Total

RISK GRADING

COMPLIANCE GRADING


2/23

10 A

1

2

3

4

56

7

8

9

10

11

12

13

15

10 B

1

2

3

4

1

2

3

4

5

6

7

8

9

10

10 C

1

14


3/23

2

3

4

5

6

7

89

10

D

1

2

3

4

5

6

E

1

2

3

F

1

2

3

45

H

1

2

3

4

5

6

7

8

I1

2

J

1

2

3

4


4/23

5

6

7

8

9

10

K1

2

3

L

1

2

3

4

5

6

7

8

9

10

M

1

2

3

4

5

6N

1

2

3

4

5

6

O

1

2

34

5

6

7

8

O

1


5/23

2

P

1

2

3

Q

1

2

1

2

3

4


6/23

Gap between CV submission and initial shortlisting

Initial shortlisting & date of final interviewDate of final interview & sending offer letter

Is signed appointment letter being issued on the data of joining?

RECRUITMENT

Do we have department/region-wise manpower budget?

Is updated job description available before initiating the recruitment process?

Is the selection process being followed while recruiting people?

Is the recruitment process initiated before 60 days from the requirement month ?

Are the shortlisted candidates fulfill basic screening criteria?

Is the recruitment process completed within following time line?

Are we using any specific checklist to cover the whole recruitment process?

Are we communicating recruitment decision within 3 working days from the date of

Do we have specific criteria (age, qualification, experience etc.) for initial screening ?

Are we exploring more than 3 options for job posting/advertisement?

Are we comparing our salary with market rates at least once in a year?

Are we communicating the unique benefits and challenges of the position?

Are we communicating about the carrier path clearly with the candidates?

Do we have selection process (documented) for different category of staff?

Is the salary offered to the candidate approved by the concerned authority?

Salary Account

CUG Connection

Do we have sufficient internal check system in relation to the joining formalities?

JOINING FORMALITIES

INDUCTION

Thumb Impression

Are the following formalities completed within 7 working days from the date of joini

ID CardVisiting Card

Are the following formalities completed within 15 working days from the date of joi

Are the following formalities completed within the date of joining?

Seating Arrangement

Desktop/Laptop

Official Email ID

Welcome mail

Has a formal meeting been arranged with the head of HR/HR representative as well

Is job description sheet being shared and explained with employee on the date of joi

Is the schedule of induction handed over to the inductee on the date of joining?

Is the joining kit being handed over to the employee on the date of joining?

Is the mission, vision & code of the conduct of company explain to the employee on t

Do we have specific check list for document which need to collected at the time of joi

Are we collecting all the documents according to the check list on the date of joining?

Is the check list being filled in & checked by different person from HR department?

Is the employee data base being updated on the date of joining?

Do we have approved budget for induction?


7/23

Is the inductee spent at least 3 days in field?

Are the topics of the support group pre-fixed before the induction?

Are the message from MD & CEO conveyed during induction?Feed Back Score

Inductee

Do we have updated check list for induction?

Are the inductions carried out according to the check list?

Are we communicating about the field visit to the branch in advance?

Are we communicating to the inductees during branch visit period?

Has each indicator a description of how it should be measured?

Do we have specific policy/process for performance appraisal?

Is the process/policy being followed appropriately by all the department?

Trainer

Quiz

Percentage of CSR dropout between induction and final joining?

PERFORMANCE APPRISAL

Have all the employees received their KPI sheet before 15th April?

TRAINING & DEVELOPMENT

Are we recording the leave details in EDB accurately?

Are all of our employees taking compulsory leave?

Do we have specific process for internal transfer?

Are we following the process accordingly?

Do we have specific policy/plan for training & development of our employees?

Is the policy/plan being implemented within the time line?

Is refresher training of CSR being conducted once in a quarter?

Is the average score of feedback given for traing not less than 60%?Is all of our employees spend at least 10 days in a year for training?

PROMOTION

INTERNAL TRANSFER

LEAVE

Is eligibility criteria being pre-fixed for promotion?

Are we following the eligibility criteria accordingly?

Is the criteria being reviewed & revised once in every year?

Do we have specific process for internal promotion?


Do we have pre-fixed approved standard increment for promotion?

Do we have specific leve policy ?

Are we following the leave policy accordingly?

Is the approving authority approve the leave in EDB before 20th day of the month?

Is necessary documents submitted (medical, maternity, paternity) within 7 days fro

Is the policy being reviewed & revised before 31st January of each year?

REWARD & RECOGNITIOIN

Do we have specific policy related to reward & recognition?

Are we following the policy accordingly?

Is the policy being reviewed & revised once in every year?

Is the list of holidays prepared & shared before 31st January of each year?


8/23

Is the message from CEO & MD being uploaded in meghdoot within 15th day imme

Is employee engagement survey being conducted at least once in a year?

Does the superior discuss the performance with his/her subordinate one to one basis

Are the superior & subordinate agreed & signed KPI sheet after performance apprais

Do we have specific plan for employee engagement program?

Is the plan being implemented within the time frame?

Is upward evaluation being done at least once in half year?

Is the confidentiality being maintained while taking feedback?

Is feed back being shared within 15 days from the date of exercise?

Is the average score of the feedback is more than 75%?

Is feedback being taken about the popularity of our senior management once in half

Is the average score of the feedback is more than 75%?

Do we have specific policy related to disciplinary actions?

Are we following the policy accordingly?

Is the policy being reviewed & revised once in every year?

Is the KPI score being reviewed by HR before final communication?

Is the KPI score being communicated to the concerned employees?

Are the strengths (at least 3) & weakness (at least 3) shared with the concerned empl

Is the appraisal process completed within the define time line?

RESIGNATION

DISCIPLINERY ACTIONS

GRIVANCESS & REDRESSAL

WHILSELBLOWER POLICY

EMPLOYEE ENGAGEMENT

MIS

Are we updating following employee related information in the EDB within specific

Is the policy being reviewed & revised once in every month?

Do we have board approved whistleblower policy?

Are our employees aware about the policy?

Is campaigning being done at least once in every quarter?

Is the policy being reviewed & revised once in every month?

Do we have specific policy related to grievance & redressal mechanism?

Are our employees aware about the policy?

Is the loop closer happened within 30days from the date of reporting?

Are we documented the issue as well as decision properly?

Is campaigning being done at least once in every quarter?

Are we review & revised exit interview form once in every year?

Are we analyzing the feedback collected through exit interview form within 15 days

Do we have check list for final settlement?

Are we following the check list accordingly?

Is the settlement being done on the last working day?

Is the loop closer happened within 30days from the date of reporting?

Are we documented the issue as well as decision properly?

Do we have proper check list for resignation process?


Are we collecting feedback from resigned employees through exit interview form?


9/23

DOCUMENTATION

SALARY

COMPLIANCE

Joining

Resignation/Absconding

Promotion

Leave

Transfer

Marital Status

Academic QualificationCUG Number

Disciplinary Actions

Reporting Line

Is salary being computed accurately?

Is the ESIC registration being done within 7 days of joining?

Is the PF registration being done within 7 days of joining?

Do we have specific check list for compliance related issues?

Are we complying all the provisions applicable under different law & regulations?

Is the monthly MIS report share with core committee within 7 days of the next mont

Do we have specific check list for documentation?

Are we collecting necessary documents according to the check list?

Are we uploading necessary documents in the EDB within 3 days from the date of jo

Is the salary being released before 2 days from the end of month?


10/23

compliance

15 days

10 days05 days

final decision?

ng?

ing?

as with head of department?

ing?

he date of joining?

ning?


11/23

the date of joining?


12/23

iately after end of each quarter?

?

al?

ear?

yee?

time line?

after the end of quarter?


13/23

?

ining?


14/23


15/23

Particulars Month 1 Month 2 Month 3 Month 4 Month 5 Month 6

CSR

Budget

Actual

%

BHBudget

Actual

%

AM

Budget

Actual

%

HUB

Budget

Actual

%

RO

Budget

Actual

%

IA & Risk

Budget

Actual

%

Accounts, Finance & Compliance

BudgetActual

%

Information Technology

Budget

Actual

%

Central Operation

Budget

Actual

%

Administration

Budget

Actual

%

Human Resourse

Budget

Actual

%

HUB


16/23

Budget

Actual

%

Othres

Budget

Actual

%


17/23

Month 1 Month 2 Month 3 Month 4 Month 5 Month 6

CSR

Opening Stock

Closing Stock

Average Stock

No. of LeaverAttrition Rate

BH

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

AM

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

RO

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

IA & Risk

Opening StockClosing Stock

Average Stock

No. of Leaver

Attrition Rate

Accounts, Finance & Compliance

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

Information Technology

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

Central Operation

Opening Stock

Closing Stock


18/23

Average Stock

No. of Leaver

Attrition Rate

Administration

Opening Stock

Closing Stock

Average StockNo. of Leaver

Attrition Rate

Human Resourse

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

HUB

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate

Othres

Opening Stock

Closing Stock

Average Stock

No. of Leaver

Attrition Rate


19/23

CSR No. % No. % No. % No.

0-3 months

4-6 months

> 6 months

BH

0-3 months4-6 months

> 6 months

AM

0-3 months

4-6 months

> 6 months

Month1 Month2 Month3 Mo


20/23

% No. % No. %

Month6th4 Month5


21/23

Reshuflling of Area Month1 Month2 Month3 Month4 Month5

CSR

Area Re-shuffled within 9 months

Total no. of CSR

%

MOArea Re-shuffled within 9 months

Total no. of MO

%

Executive- IA

Area Re-shuffled within 9 months

Total no. of Executive

%

Internal Transfer

CSR

Posted in same branch> 18 months

Total no. of CSR

%

BH

Posted in same branch> 18 months

Total no. of CSR

%

AM

Handling same branch > 12 months

Total no. of Area Manager

%

**In case of AM & Executive at least 75% branches should be new

No. of staff


22/23

Month6


23/23

% of leave availed

Average score of feedback received from inductee

Average score of feedback received from trainer

Average score of quiz done after induction

Average score of feedback received after training

No. of disciplinery action

INDUCTION

OTHERS

No. of complain received by grivance cell

Average score of upward evaluation

Average score of senior management

Documents

Check List for HR Audit