Checklist for Audit in HR/Admin
HR Audit Checklist
1. Recruitment & Selection
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Existence of recruitment policies and SOPs.
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Proper manpower requisition approvals before hiring.
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Background verification and reference checks of employees.
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Job descriptions and competency requirements documented.
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Recruitment records maintained (applications, interview notes, offer letters).
2. Employee Records
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Personnel files complete and updated (appointment letters, contracts, ID proofs, qualifications, experience certificates).
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Joining formalities completed (induction, medical check-ups if required by SOP/GMP).
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Confidentiality and non-disclosure agreements signed.
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Training and competency records maintained.
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Separation/exit formalities completed with proper documentation.
3. Training & Development
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Training Need Identification (TNI) conducted.
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Annual training calendar available.
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Training records signed by trainer and trainee.
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Evaluation of training effectiveness performed.
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GMP and regulatory training periodically updated.
4. Attendance & Payroll
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Attendance records accurate and tamper-proof.
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Leave records maintained (CL, SL, EL).
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Overtime approvals documented.
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Payroll compliance with statutory deductions (PF, ESI, TDS).
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Salary slips issued and signed acknowledgment maintained.
5. Performance Management
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Performance appraisal system in place.
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Appraisal records properly documented and reviewed.
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Increment and promotion approvals documented.
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Records of disciplinary actions and counseling maintained.
6. Employee Welfare & Compliance
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Employee grievance mechanism in place.
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POSH (Prevention of Sexual Harassment) committee formed and records maintained.
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Health & safety measures for employees (PPEs, ergonomic checks, first aid).
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Statutory compliances (Factories Act, Shops & Establishment Act, CLRA, Minimum Wages Act).
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Insurance and mediclaim coverage provided where applicable.
Admin Audit Checklist
1. General Administration
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Availability of SOPs for administrative activities.
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Proper control of access cards, visitor management system.
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Records of housekeeping, pest control, and facility cleaning.
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Cafeteria and drinking water hygiene records.
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Canteen vendor audits conducted.
2. Infrastructure & Facility
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Maintenance records of office furniture, HVAC, and equipment.
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Calibration and AMC (Annual Maintenance Contracts) records.
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Availability of emergency exits and signage.
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Fire safety equipment checks and drills conducted.
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CCTV and security system records maintained.
3. Travel & Transport
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Records of travel approvals, expenses, and reimbursements.
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Company vehicle logbooks and maintenance records.
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Driver license checks and compliance.
4. Vendor & Contracts Management
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Agreements with manpower supply agencies, housekeeping vendors, security services.
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Contract compliance checks.
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Vendor audit reports maintained.
5. Statutory & Regulatory Compliance
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Labor law compliance records.
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Statutory registers maintained (attendance, wages, leaves, overtime).
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Records of inspections by government authorities.
✅ Tip: Always cross-check that HR/Admin records align with GMP/data integrity principles: ALCOA+ (Attributable, Legible, Contemporaneous, Original, Accurate, Complete, Consistent, Enduring, and Available).
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