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Self Audit Questionnaire:

Internal controls are methods or procedures adopted in a business to:

• Safeguard its assets

• Ensure financial information is accurate and reliable• Ensure compliance with all financial and operational requirements

• And generally assist in achieving the businesses' objectives

Human ResourcesReview the personnel service fles o 

employees kept by the Personnel

Department to Confrm whether –

1. Copies of appointment advice /

appointment letters / conrmationletters etc are kept in the service les.

2. All the other documents like increment

letters / promotion letters etc are

properly led in the service les.

3. ist any !e"ulatory/Statutory la#

applica$le like %&' (%S etc.'

Conrm compliance:).   Conrm any licenses are applica$le

and are o$tained/rene#ed in time. ist

#ith due dates.*. +nsure that the various provisions of 

industrial and la$our la#s are duly

taken care of.,. Conrm proper attendance / leave

records are maintained $y the

%ersonnel -epartment is respect of all

the sta.

. Conrm the leave / attendance recordverication 0re"ister /punch card/

computerised attendance printouts to

ensure punctuality and that there are

no irre"ularities.. Conrm that the system installed at

various locations to mark the

attendance 0in/out are #orkin"

properly and are "ivin" consistent

results.

. 4hether 5ey responsi$ility areas05!As are 6ed and conveyed

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periodically.17.Are the employees performance linked

to tar"ets/"oals set to their respective

companies8

11.  Are there on"oin" performance

appraisal system. 9f so #hether theyare scrutinised vis;vis 5!As and

Scorin"s "iven812.+nsure that "ross salary is computed

in accordance #ith the rules of the

company. and terms of employment'

details of #hich are availa$le from

%ayroll

like ?-S > income ta6' profession ta6

etc.1*.4hether person responsi$le for such

deduction 0point 1) verify the

deductions and remittances81,.Are #orkplace policies in place8

a. Are policies communicated8

$. Are policies enforced8c. Are employees trained on

discrimination issues81.+mployee Separation Are documents

re"ardin" employees kept for their

re@uired duration8

repared by:

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