Personnel audit of the company. Audit of personnel records management, audit of KDP - tariffs and prices. Types of HR audit

Learn how to minimize the risk of being sued or fined for noncompliance labor law. Conduct an internal audit of HR records to get things in order and avoid GIT claims.

Job descriptions, although they are not among the unconditionally mandatory documents, are often requested during inspection by GIT inspectors and are important in personnel work. Therefore, it is better to develop and print a set of job descriptions for all positions included in the staff list in several copies: for the employer, for the employee and for storage at the workplace.

Step 3. Conduct an examination of existing documents. After reconciliation, analyze the content of the documents stored in the personnel department and the correctness of their execution. Make sure that local acts, contracts and agreements do not worsen the position of employees in comparison with labor legislation. Check relevance staffing and vacation schedule, see if the signatures of employees are worth the documents with which they were supposed to be familiarized.

Pay attention to the correctness of filling out personal cards and work books personnel, if the data is outdated, update it. Labor books received from employees should be registered, and new forms or inserts should be entered at the written request of the employee. All registration journals maintained by the personnel service must be stitched and numbered, and books on accounting for blank and completed forms of work books and inserts in them must be sealed or sealed with a wax seal. Forms strict accountability, which include both completed and not yet used work books, should be stored in places with limited access, for example, in a safe or a lockable cabinet.

Review the governing documents. Orders for personnel should be kept separately from orders for core activities. If the employer instead unified forms uses its own forms, they should be put into effect by a separate order.

Step 4. Prepare a written report on the results of the examination. List all identified errors and problems, draw conclusions about existing risks and status personnel records generally. Develop a list of recommendations to address these risks. For convenience, the results of the examination can be divided into two blocks. In the first, describe the results of the audit of mandatory documentation. In the second - the result of checking documents for each employee separately. For example, is he familiar with local regulations and orders, is the employment contract in order, are the entries in the work book and personal card correct, etc.

Step 5. Develop and approve the missing documents. Issue a separate order: appoint responsible officials, set clear development deadlines. This will make it easier to control the process.

Unfortunately, even in successful enterprises, audit personnel documents often reveals annoying errors. The most common shortcoming, for which many employers have already paid fines, is a careless policy regarding personal data and the lack of written consent to their processing.

10 other bugs and problems

The vacation schedule is incorrectly drawn up or does not exist at all.
Responsible officials not checked for disqualification.
Incorrectly filled work books of employees - there are no records of transfers, employment records were entered late, information about the owners was not updated, links to articles were incorrectly affixed Labor Code RF.
Employment contracts are filled out incorrectly - the passport data of the employee and the TIN of the employer are missing, the mandatory conditions are not prescribed, the exact dates for paying salaries are not indicated.
Job descriptions mentioned in labor contracts have not been developed.
There are no documents confirming the fact that employees are familiar with local regulations, orders and agreements that are directly related to their work.
Timesheets and registration journals/books are not maintained.
Personal cards are incomplete, missing or contain outdated data.
Not all local acts from the mandatory list have been developed.
The staffing table was not approved or outdated.

The head of each company should sometimes have a desire to audit personnel records management in order to check the quality of personnel records and documentation, the correctness of the performance of duties. HR audit organizations is a series of measures to identify errors and shortcomings in the work personnel service. Timely implementation allows you to avoid various problems, optimize the work of this service at the enterprise.

What is a HR audit

An audit of personnel records management is understood as an assessment organizational structure companies and personnel management systems. Such control is carried out comprehensively and gives a huge positive effect for the company. Its implementation is connected not only with the verification and analysis of all personnel documentation. The compliance of accounting with the norms of the current legislation, relevant on the day of the audit, is checked. The work of the personnel service is evaluated using analysis economic indicators company activities.

When is an inspection necessary?

Checking should be done:

upon dismissal of an employee responsible for maintaining personnel records management and documentation. Control will allow you to find and eliminate the mistakes made and the new employee to calmly take office;
amendments to legislative acts. Allows you to bring the documents in line with the new standards. Changes and additions must be made immediately after their entry into force;
change in the management of the company. Will allow the new management to make sure that there are no violations in the company, and the work of the personnel department can be carried out as it was before he took office;
preparing for upcoming audits. Allows the management of the company to be confident in compliance with labor laws in relation to employees;
at the request of the head of the organization, check and adjust the work of the personnel service. Allows you to identify it weak sides and identify areas for improvement.

Such verification should become permanent for the company. If it is carried out twice a year or once a quarter, then it will require less effort and time, and reduce the cost. The benefits of such an audit will be greater than from a one-time personnel audit of the organization.

Checking can be done:

the personnel department of the company. For this, a special commission is being created, which includes qualified employees with experience and knowledge of labor legislation and law, office work, work with documentation. The cost of verification is minimal;
auditors of a third-party organization engaged in the provision of HR audit services at a professional level. The cost of their work depends on the pricing policy of the company.

1-20 employees	200 rub. for each employee
21-50 employees	175 rub. for each employee
51-100 employees	150 rub. for each employee
Over 100 employees	125 rub. for each employee

Order calculation

Guest auditors

In cases where the company's management has doubts about the competence of the personnel department employees or it wants to get an expert assessment of their activities, external auditors are invited. Such a step will allow you to get an independent assessment and an uninterested look at the work of the personnel service. So, it will help to improve its activities.

Auditors from the outside see even the smallest flaws in the conduct of personnel records. Employees of the company, daily engaged in routine work, may not notice own mistakes. Invited auditors will immediately detect the shortcomings and point them out.

Invited auditors have significant experience in conducting audits, filling out documents, drawing up contracts in accordance with the law. Therefore, such control will take much less time and will be performed at a high level. And yes, it will cost less.

As it becomes clear, although the cost of the work of auditors is higher, such an audit is much more efficient.

Audit Methods

There are several methods for conducting a personnel audit:

organizational and analytical - reports, documentation and labor indicators are checked. Identified errors and their timely correction will avoid liability (from penalties to criminal ones);
socio-psychological - various surveys and conversations with employees of the organization are used. As a result, it becomes clear how great the desire of the staff to work in the company. Become understandable relationships in the team. This method will help identify real ways motivation, find effective and simple ways increase the efficiency of the working team;
economic - a variety of indicators are compared with intra-industry and generally accepted standards. Allows you to find out the effectiveness of the work of staff.

These methods are effective and of great benefit to the organization when used in combination or on their own. They help to identify problem areas and determine the method of their elimination. Comprehensively, they affect all areas that affect the efficiency and productivity of labor, the profitability of the organization.

Assistance in conducting a personnel audit

The Azbuka Accounting company provides HR audit services in Moscow and the Moscow region.

Our advantages:

highly qualified specialists with extensive experience in conducting personnel audits, knowledge in the field of labor legislation and law, personnel records management;
15 years of successful work experience;
flexible price policy, which allows you to offer the best value;
Individual approach to each client.

The prices of a personnel audit are purely individual, since they depend on many factors: the size of the organization, the chosen methods of verification, the state of personnel records, etc. The cost of a personnel audit is determined during a personal meeting of an ABC Accounting specialist with a client.

Use the services of professionals with extensive experience and check the effectiveness of your HR department.

We will analyze personnel audit using the example of an organization (LLC) in the article below - this will help to carry out the procedure correctly. For clarity, we will attach in the text of the article a link for downloading a sample regulation on conducting an audit, which reflects the procedure plan, and we will also tell you what a personnel audit is, who conducts it and how. In addition, we have prepared an example of a report on the results of an audit in one of the organizations.

The concept of personnel audit of an enterprise

Many managers and HR workers are interested in how to properly conduct a personnel audit in an organization. This is due to the fact that the legislation does not contain either the concept of a personnel audit or the requirements for its implementation.

However, from the provisions of paragraph 3 of Art. one federal law“About the audit…” dated December 30, 2008 No. 307, which sets out the concept of audit financial statements, we can conclude that a personnel audit is a procedure that involves an independent verification:

activities of the personnel service of the organization;
the correctness of the preparation of personnel documents and the conclusion of employment contracts with employees;
compliance with labor protection requirements and labor legislation.

The procedure is carried out, in particular, in the course of preparing a company for an inspection by the State Labor Inspectorate or the Prosecutor's Office in order to avoid possible involvement firms and its management to administrative responsibility, provided for by various parts of Art. 5.27, 5.27.1 of the Code of Administrative Offenses of the Russian Federation. In addition, the personnel audit of the organization allows you to identify problems in the work with personnel and personnel management, as well as prevent their occurrence in the future.

It is important to note that the verification of personnel documentation, based on the content of the annex to the order of the Ministry of Finance Russian Federation“On the definition ...” dated 03/09/2017 No. 33n, is not a type of audit services. Accordingly, the requirements of Federal Law No. 307 for this species inspections are not covered, therefore, it is possible to develop the procedure for personnel audits on the ground. At the same time, the heads of organizations have a certain degree of freedom in developing the tasks, methods and plan of this procedure.

In what cases is it advisable to conduct a personnel audit of an enterprise?

The specified verification procedure can be carried out without obvious reasons, but most often the reasons for it are:

Amending labor laws. For example, this applies to cases when new laws are introduced that establish additional responsibilities, procedures, documents.
Change of the head of the personnel department or another person involved in personnel work In the organisation. In this case, it is advisable to provide the new head of the personnel department with information about what work needs to be done in the future.
The need to optimize the functioning of the personnel service, verify the correctness and effectiveness of its activities. An audit in this case is carried out if there are doubts about the correctness of the work of the personnel service. For example, it is appropriate in a situation where the organization, during the next inspection by the regulatory authorities, was held liable for violations in the field of labor legislation.
Availability of information about the upcoming inspection by the regulatory authorities. The audit is carried out in order to prevent possible fines and to prevent the issuance of instructions to the organization.
Change of the head of the company. The audit is carried out so that the new management has information about the state of affairs in the personnel service.

Tasks and methods of personnel audit

A task in the broadest sense is a problem situation with a clearly defined goal. In a narrow sense, the task is the goal that needs to be achieved.

The tasks of the personnel audit are:

Search for problems in the field of personnel management and the formation of ways to resolve them.
Formation of effective personnel methods management.
Bringing personnel records management and document flow in line with the requirements of regulatory legal acts.
Reducing staffing costs.
Identification of possible personnel risks and threats, prevention of the possibility of problems in the future.

Audit methods are a set of tools that allow you to achieve your goals. Conventionally, they can be divided into 2 groups:

Organizational, that is, aimed at developing methods to conduct an audit in the company.
Informational, allowing to obtain the information necessary for the audit.

Organizational practices include:

development of audit methods for conducting comprehensive audits;
study of legal and technological features of the construction of personnel work;
training of specialists authorized to conduct an audit.

Information methods include:

methods of monitoring personnel work and personnel processes;
diagnostic methods (testing, questioning, collection of statistical data, analysis labor processes and personnel documentation);
verification of compliance of personnel documentation with regulatory requirements established by labor legislation.

Who conducts an audit of the personnel service and is it possible to conduct it on our own?

Absence legislative regulation conducting a personnel audit gives a certain freedom in choosing the persons who have the right to carry out the procedure. What's in this case there are options?

There are several of them:

Contact specialists of a third-party organization, which employs experienced and qualified auditors with experience in conducting personnel audits. This will allow an external audit.
Hire an appropriate specialist on the staff of the company (the title of the position can be chosen at the discretion of the head of the company) and conduct an audit of personnel records management on your own. In this case, the employee will audit the organization on an ongoing basis or conduct it at a certain frequency (for example, monthly or quarterly). On the one hand, this approach will provide the possibility of continuous monitoring of the state of personnel documents, personnel service, etc., on the other hand, it will entail the need to search for a competent specialist (lawyer), develop it job description, constant remuneration of his labor, provision of vacations, deductions of tax payments and insurance premiums.
Establish an audit committee within the organization. It is formed from among existing employees and may include the head of the personnel department, an accountant, a lawyer, etc.
Establish an audit department in the company. This option involves certain material costs, since you will have to not only hire employees, but also develop a regulation on the department, determine its tasks and functions. Suitable for large companies.

Thus, the management of the organization itself has the right both to decide whether to conduct a personnel audit or not, and to appoint a specialist (or a group of specialists) to analyze the company's personnel activities.

Stages of personnel audit. How to carry out the procedure correctly?

Because the law does not provide for mandatory audit procedures or a consistent process plan, the auditor has considerable discretion. For this reason, specialized commercial organizations offer different packages of services, depending on the requirements of the customer.

For example, an express audit is possible, which involves 2 stages:

Determination of the list of personnel documents stipulated by the legislation, and verification of their availability.
Preparation of a report that contains a list of missing personnel documents and calculates the amount of a possible fine upon verification by supervisory authorities.

However, it is better to conduct a full audit. This process includes:

Checking the availability of mandatory local acts, documents, identifying missing documentation.
Examination of all personnel documents available in the organization, verification of their compliance with the requirements of the current legislation, identification of violations and errors, including in the systematization and storage of personnel documentation.
Preparation of a report on the results of the audit, which includes information about the violations committed. Also, the report may contain conclusions on the risk assessment of identified violations, recommendations for their elimination, proposals for optimizing work.
Obtaining explanations from personnel officers who are responsible for personnel document flow, conducting explanatory conversations in the form of lectures, seminars.
Carrying out work to correct the identified deficiencies.

It should be understood that due to the lack of uniform requirements for personnel audit, we have outlined only an approximate plan of the procedure, which can be either supplemented or reduced. In the article, we will further describe in detail what kind of work some of these stages provide for.

Checking for mandatory documentation

This is the main stage audit. At the same time, it is the responsibility of the employer to ensure the availability of a certain package of personnel documents, and administrative responsibility is provided for its absence.

In particular, the organization must have the following personnel papers:

employment contracts with employees (Article 57 of the Labor Code of the Russian Federation);
internal rules work schedule(Art. 189, 190 of the Labor Code of the Russian Federation);
labor protection instructions (Article 212 of the Labor Code of the Russian Federation);
regulation on wages (Article 135 of the Labor Code of the Russian Federation);
vacation schedule (Article 123 of the Labor Code of the Russian Federation);
time sheet (Art. 91, 99 of the Labor Code of the Russian Federation);
a book of accounting for the movement of work books and inserts in them (clause 40 of the rules approved by Decree of the Government of the Russian Federation of April 16, 2003 No. 225).

Upon completion of the reconciliation, a report is compiled that reflects which documents are present / absent, as well as recommendations for improving the personnel workflow in the organization.

Don't know your rights?

Documentation review

After reconciliation of documents, the correctness of their execution is determined. The rules are contained in various regulations, including the Labor Code of the Russian Federation. For example, the content of an employment contract is determined by the provisions of Art. 57 of the Labor Code of the Russian Federation.

In addition, the conformity of the content of the documentation with the requirements of the law is checked. For example, it may be necessary to check if the level wages employees of the minimum wage (the amount of salary should not be lower than the indicator established by law). Additionally, it is required to check the fact that employees are familiar with the local acts adopted in the organization. The volume of inspections is significant due to the fact that the legislation establishes many requirements for the procedure for maintaining personnel records.

Preparing of report

Final report - important document, which is compiled upon completion of the audit procedure in the organization. The form of the document at the legislative level is not approved, so it is drawn up in an arbitrary form.

In the report, the person who conducted the audit reflects all the shortcomings identified in the personnel document flow. Depending on the scope of the review, it may also contain other information, such as a reflection of the identified risks and possible steps to resolve the identified problems.

As a rule, the content document is divided into 2 blocks:

in the first of them, the results of the check are signed, including the results of the verification of mandatory documents;
in the second - the results of checking documents for each of the employees, during which employment contracts, personal cards, the fact of familiarization with local acts, the content and correctness of maintaining work books are analyzed.

A separate block can contain the results of checking compliance with the rules and requirements of labor protection in the organization, as well as information on compliance with the procedure for conducting mandatory medical examinations employees.

The report may include details such as:

name and number of the document;
information about the persons who conducted the audit;
Information about professional qualifications such persons, their education, etc.;
signatures of persons conducting the audit;
scroll possible sanctions for detected violations;
recommendations for elimination of violations.

The content of the audit plan in the personnel department, a sample provision in which it is reflected

As a rule, the audit plan is fixed in the appropriate provision, which is approved by the head of the organization (director, general director, president, etc.).

The following information is reflected in the audit regulation:

information about who and when approved the document;
Title of the document;
general provisions containing data on the tasks of the audit and the purpose of the document;
the scope of the audit;
the procedure for conducting an audit;
final provisions that determine the procedure for the entry into force of the provision and its duration.

A sample plan for conducting a personnel audit, enshrined in the regulation on the audit, can be downloaded here (an example of a plan is in section 2 "Scope of the personnel audit"):

Audit in personnel records management - an example of a report on its conduct

Report #1

On the results of the personnel audit at Romashka LLC

25.08.2018

Commission consisting of:

head of the personnel department Ivanov A. A.;

chief accountant P.P. Petrov;

head of the legal department Sidorova S.S.

made this act as follows:

In accordance with the order CEO Romashka LLC No. 1 dated August 12, 2018, in the period from August 15 to August 25, 2018, the commission conducted a personnel audit of the documentation of the personnel department of Romashka LLC.
As a result of the personnel audit, it was established that, in general, the personnel department of Romashka LLC complies with the requirements of the labor legislation of the Russian Federation.
However, the following violations were found:
- there is no register of local regulations;
- there is no local act defining official duties welder LLC "Romashka";
- conditions for storing work books are not created (there are no metal cabinets);
- there is no approved vacation schedule for Romashka LLC employees for 2018.
Conclusion of the commission: it is necessary to eliminate the identified violations.
This report is made in two copies, one of which was handed over to the head of the personnel department Ivanov A.A., the other - to the director of Romashka LLC Svintsov S.S.

Commission members:

(signature) / Ivanov A. A. /

(signature) /Petrov P.P.

(signature) / Sidorov S. S. /

Thus, conducting a personnel audit is not mandatory, but recommended in different situations. For example, it is desirable in case of appointment of a new management of the organization, the head of the personnel department or the inclusion of the company in the inspection plan of the State Labor Inspectorate. Conducting an audit will allow avoiding the detection of violations of personnel documentation and, consequently, bringing to administrative responsibility for their admission. A sample HR audit plan, contained in the regulation offered for download from the link above, will allow you to understand the procedure for conducting an audit and the list of documents to be analyzed.

Ask any expert, consultant, specialist or head of human resources "What is HR Audit"... and you will hear a lot of opinions on this subject. You will come across both a narrow interpretation (for example, that this is an audit of personnel workflow), a functional interpretation (for example, that this is an audit human resources, but simply the assessment of personnel according to certain competencies, criteria, etc.), and a systemic understanding, which we also adhere to. This is what our article will be about.

HR audit (KA) is comprehensive assessment human resources (HR) and the system of work with them in terms of their compliance with the goals and strategy of the company, as well as identifying the causes (with an assessment of their impact and significance) of problems in the functioning of the company, followed by recommendations for bringing the human resource management system and / or human resources in line with business needs. The subject of QA are all components of the human resource management system (see figure)

Underhuman resource management (HRM) is understood as a specialized area of activity in the company's management system, within which the personnel is considered as a strategic resource of the company, which must be formed, developed and maintained in order to achieve the strategic goals of the company.

It is advisable to conduct a personnel audit if necessary:

analyze the feasibility of investing in the HRM system and personnel
analyze the alignment of the HRM system with the business/strategy of the company, compare the actual state of the HRM system with the required/ideal state
get an expert assessment, an "outside view" of the HRM system
receive an assessment of problem areas and recommendations for their resolution, improve the HRM system
evaluate the effectiveness of the use of HR
evaluate the effectiveness of the HRM service and the qualifications of its employees
compare with competitors (evaluate the advantages and disadvantages)

What does a HR audit consist of?

1. Analysis of the human resource management system (HR system)

Objective: To evaluate the HRM system for compliance with the business strategy and the needs of the organization.

audit of the goals of the HRM system - identification of the required characteristics / parameters of human resources, assessment of their compliance with business goals.
HRM strategy - assessment of the chosen strategy (if it is available and has a common understanding), its alignment with the company's strategy, the conditions of the external and internal environment and availability of an implementation plan and cost analysis.
HRM policies - identifying the principles (accepted limits) of working with HR and assessing their compliance with the HRM strategy and the needs of the company.
functions/technologies/procedures of HRM - identification of actions and methods carried out to transform the human resources in accordance with the goals, strategy and policy of HRM, their regulation. Identification of specific algorithms (operations) carried out to implement the functions and implementation of HRM technologies, assess their compliance. Performance standards and performance indicators are also defined.
subjects of HRM - definition of departments/positions that are engaged in the implementation of the processes of the HRM system

2. Analysis of available human resources

Purpose: assessment of the compliance of the structure, quantity and quality of HR with the needs of the organization's development, identification of quantitative indicators for assessing HR

analysis of the personnel structure - identification of categories, groups of human resources and determination of the ratios between them (including the assessment of the norms of manageability and number): absolute and relative indicators
analysis qualification structure by identified categories and groups - identifying professional, educational structure personnel and the level of knowledge of employees
analysis of the level of satisfaction/motivation of personnel - determination of the level of satisfaction of employees with the organization and working conditions, management system, assessment of their merits and level of remuneration.
personnel cost analysis, labor indicators and performance metrics for benchmarking across the industry and within the company, as well as the definition of intra-company norms and assess the impact of all these indicators on the company's performance
personnel assessment - in terms of knowledge of functions, procedure for performing procedures, compliance with norms and rules, compliance with standards, as well as compliance of qualifications and skills with the complexity of the work performed, assessment of development potential.

3. Analysis of the distribution of functions of the HRM system, responsibility for achieving goals and compliance with the standards of the HRM system

Purpose: to analyze the distribution of HR functions and procedures between line services and the HR service

analysis of the organizational structure of the HRM service
definition and analysis of the functions/procedures of the HRM service
identification and analysis of HRM functions/procedures that are implemented by line divisions
analysis of technologies and assessment of the effectiveness of the implementation (including costs) of the functions and procedures of HRM
assessment of the effectiveness of the HRM service and the qualifications of the service employees

The main criterion for evaluating the effectiveness of implementing improvements in the work of personnel and improving the company's management system is to improve the quality of work and increase the productivity of employees in order to increase the return on investment (profit).

It is advisable to consider the analysis of the HRM system at 3 levels :

1. corporate standards work with personnel;

2. industry standards for working with personnel;

3. intersectoral standards of work with personnel;

Improvement of the HRM system is possible through:

1. studying HRM practices in the company's divisions (different business divisions) in order to identify the most effective approaches to working with personnel and disseminate the best experience (implementation of corporate standards )

2. comparative analysis of the practice of working with personnel with competitors (comparison with industry standards )

Studying the practice of working with personnel in competing companies is necessary to analyze the company's competitiveness in the labor market (competitors can offer more attractive working conditions, have higher standards of work with personnel and thereby attract better resources, as well as limit the client company's ability to attract and retaining the staff it needs).

Analysis Russian practice showed that so far in the industries there are no uniform standards for working with personnel. Additional research is needed to clarify the practice of working with personnel. First of all, it is necessary to study the working conditions that competitors offer to potential employees (for example, through the Salary Survey)

3. analysis and comparison with the best world / inter-industry standards of work with personnel and the organization of the HRM system to improve management efficiency in general (comparison with cross-industry standards and established HRM practices )

The presented three levels of analysis of the HRM system represent the "breadth" of the personnel audit, are separate tasks for improving the HRM system and represent the logical levels of the personnel audit.

Among the methods of conducting CA, one can single out:

p/p	Components of the spacecraft	Methods
	analysis of the human resource management system
	audit of the goals of the HRM system	§ interviewing and/or questioning the company's top officials, directors and key employees § analysis of the block of target indicators in the corporate business plan (section "human resources") for coordination with the goals of the upper order
	HRM strategy audit	§ analysis of documents on the strategy of HRM and the company, as well as the plan of work with personnel for the current period § analysis of the budget for personnel costs and the implementation of HRM functions
	HRM policy audit	§ interviewing and/or questioning the top officials of the company, the head of the personnel department and directors of departments § analysis of documents on personnel policy companies
	audit of HRM functions / technologies / procedures	§ interviewing and/or questioning the head and HR specialists, as well as heads of line services § analysis of the Regulations on the company and divisions § analysis of the preschool education system ( documentation support management) § analysis of regulations describing the functions of HRM (on recruitment, evaluation/attestation, remuneration, training, etc.) § analysis of instructions, technological maps, forms describing the process of implementing functions § HRM system modeling § analysis of indicators characterizing the effectiveness of the implementation of functions and procedures
2	human resource analysis
	analysis of personnel structure / qualification structure	§ Interviews with the head and HR specialists § analysis of personnel statistics of the company § analysis of personnel structure
	analysis of the level of satisfaction / motivation of the staff	§ survey (possibly selective to reduce the cost of conducting) § analysis of discipline indicators § analysis of turnover and its causes § analysis of documents and materials of previous personnel assessments
	analysis of personnel costs, labor indicators and performance indicators	§ analysis of labor standards indicators § analysis of performance indicators § analysis of cost items and determination of economic efficiency § comparative analysis indicators by divisions
	personel assessment	§ carrying out an evaluation of the work by the method “ secret shopper» § peer review method § 360 evaluation method 0 § evaluation by modeling work situations
3	analysis of the distribution of the function of the HRM system, responsibility for achieving goals and compliance with the standards of the HRM system
	analysis of the organizational structure/functions and procedures of the personnel department	§ Interviews with the HR manager and key specialists § conducting a survey (by function) § analysis of the regulations describing the activities of the HRM service § analysis of regulations describing work with personnel (on recruitment, adaptation, assessment / certification, remuneration, training, etc.): regulations, instructions, technical cards
	identification of HRM functions and procedures that are implemented by line divisions	§ interviews with department heads § analysis of regulations describing work with personnel (on recruitment, adaptation, assessment / certification, remuneration, training, etc.): regulations, instructions, flow charts § survey, filling out forms for the implementation of procedures and "supplier" - "client"
	assessment of the effectiveness of the implementation of the functions and procedures of HRM and the effectiveness of the work of the HRM service	§ assessment of indicators characterizing the implementation of procedures and their comparison by departments § evaluation of the cost of performing functions and their comparison by departments § assessment of indicators characterizing the effectiveness of the HRM service

The cost of each block can be estimated after determining/assessing the availability and accessibility necessary information, as well as the required depth and accuracy of personnel audit. It will be possible beforehanddefine after introductory meetings with the heads of the company and departments, which will help determine the quantity and volume of documentation regulating work with personnel documentation, the depth of the required analysis and the necessary methods of personnel audit.

It is possible to conduct a personnel audit according to two different schemes:

1. full audit of the HRM system

2. pre-audit of the HRM system

1. Full audit of the HRM system

An audit of the HRM system should be carried out at 3 levels: intra-company, industry, inter-sector / world standards in order to assess the possibilities for the company to apply HR practices used by the best departments within the company, the best companies in the industry, as well as those practices that are most effective tools HRM in world practice.

analysis of existing information about the HRM system, personnel and entities (divisions) that implement the functions of the system. Takes place in the form of introductory meetings with leaders who are responsible for the formation and implementation of the HRM system
identification of sources and methods for collecting the necessary missing information
analysis of the information received on the components and levels of personnel audit
preparation of a report on the results of a personnel audit, which will contain Full description of the HRM system, its alignment with the company's business/strategy, the alignment of human resources with the company's needs, the extent to which the necessary functions have been implemented, and the assessment of the effectiveness of the HRM system. In the final part there will be conclusions and recommendations for improving and transforming the HRM system, with a prioritization of the proposed activities.

In this case, the company's savings can be achieved by limiting the number of departments studied, highlighting the most priority areas for research, from the point of view of the company's management, areas of work with personnel, and also by using, if possible, indirect methods of collecting information (survey, questioning, analysis documents).

After the assessment, selection of sources of information and methods for conducting a personnel audit, a detailed program of planned actions is prepared (what? for what? when? duration? alternative ways? cost?), after which the personnel audit begins.

After each individual stage of the implementation of the personnel audit program and evaluation of the information received, a decision is made on the sufficiency of the information received to make the necessary management decisions and, accordingly, on the advisability of further conducting a personnel audit program.

2. Pre-audit of the HRM system

For the purpose of a general assessment of the need to conduct and minimize the cost of work on personnel audit, it is proposed to conduct preliminary analysis state of HR and test the hypothesis that “the best departments have the most efficient system of work with personnel and the best resources” (a system of work with personnel can exist and function, but at the same time not be formalized, not have common standards and vary accordingly from department to department.) , and vice versa.

In fact, an analysis will be carried out on the second component of the proposed HR audit model at the necessary and sufficient level to make a decision on the advisability of a deeper analysis and evaluation of the existing HRM system (this, in turn, will also avoid duplication of work in the event of a transition to a “full audit of the HRM system” scheme )- current estimate employees.

In this case, the general logic of work will be as follows:

personnel statistics analysis
express analysis of existing personnel documentation
collection of information on the practice of working with personnel in the unit

In order to minimize the cost of work, it is possible to evaluate the performance of departments ( economic efficiency, labor productivity), their ranking and determination of the minimum required number of units in each of the categories: "best", "average", "worst". This will achieve savings in time and money.

analysis of the received information
preparation of a report on the identified relationship/patterns between the efficiency of the unit and the quality of human resources/HR practices
analysis of the HR system in selected departments (if a clear pattern is found between the quality of HR / HR practices and the efficiency of the department as a whole) and identifying differences in HR technologies between departments
if necessary, assessing the work (efficiency and productivity) of employees, as well as assessing the qualifications and quality of their performance of the necessary functions.
preparation of a report on the best HR practices identified in the best divisions; conclusions and recommendations regarding their implementation in the work of other departments of the company, as well as ways to further improve the implementation of these HR practices

if necessary, prepare a report on problem areas in working with personnel, possible ways to solve them, identify priority areas personnel and organizational work and the need for a deeper analysis of the HRM system

Personnel audit is a relatively new direction in the field of personnel management. Despite its young age, this direction has become common in serious companies that pay special attention to personnel records management. The concept of personnel audit came to HR services from the accounting department, and is an independent verification of personnel documents. Only specialists with extensive experience in this field should be allowed to this procedure, since the work is important and responsible. This raises the question of how to choose audit services, how our website can help with this. Find out the answers below.

What should be included in the KDP audit service?

KDP audit services are not a specific action, but a whole range of activities aimed at a thorough independent verification of business personnel documentation. This complex should include:

verification of documents for compliance with labor and archival legislation;
verification of internal local regulations of the organization for compliance with the requirements;
providing links to all normal acts, according to which serious violations are recorded;
providing detailed recommendations regarding the correction of violations found;
conducting independent evaluation current situation with personnel document flow in company.

Also, an audit of a company's HR records should include prioritization of the following actions to correct problems with HR records. Exactly A complex approach allows you to quickly identify all violations and receive recommendations for their elimination, and all this for one payment.

Types of HR audit

Depending on the severity of the situation, one of the two types of audit that exist today should be chosen:

standard audit. This is a set of measures aimed at conducting an audit of personnel documentation and regulations, followed by an expert assessment and the provision of recommendations for correcting detected violations. A standard audit includes verification of documents for compliance with legal requirements, audit of personnel documents and the formation of a reconciliation table in which documents and acts that need to be corrected are noted.

Advanced audit. This is a more extensive set of measures, which, in addition to the actions already mentioned above, includes an analysis of the causes of nonconformities, as well as the formation of a list possible consequences occurring in case of ignoring the need to correct violations.

Of course, advanced auditing is a preferred service and should be chosen if possible.

How to choose a qualified audit specialist?

In this section you can find a wide range of proposals from HR audit specialists. To do right choice performer, pay attention to the following factors:

Portfolio - it can be used to determine the level of professionalism and the quality of services provided.