The concept of “audit of personnel” has firmly entered the colloquial stock of domestic firms and enterprises. But not everyone knows what it is. In the generally accepted understanding, personnel audits are conducted to assess the compliance of employees with their current positions. But in fact, this concept has a much broader meaning.
What is an audit?
The audit of personnel is carried out by specially trained employees at the enterprise. This is due to the need to verify the results of employee management, their interaction and the prospects of their positions for the performance of the company.
By its nature, personnel audit in an organization can be attributed to recommendation operations, and not to compulsory. An audit helps to analyze the situation prevailing at the enterprise and gives management the opportunity to decide on the recruitment or replacement of employees. However, the right to make a final decision on a change of personnel belongs exclusively to the company’s bosses.
Audit objectives
The audit has the following tasks. First of all, the task of checking personnel is to conclude that the specialists meet the goals of the enterprise. At the same time, it is worth making sure: whether employees comply with the instructions drawn up for them by the regulatory framework of the enterprise, whether they act within their powers, do not go beyond their responsibilities, how quickly the staff can respond to the situation and make the right decisions. The main objective of the audit is the timely elimination of problems and gaps in the personnel policy of the enterprise.
The subject of the audit is the entire staff, since it is he who is the main means of enterprise performance and profit from their activities.
An audit of personnel is a form of management, or rather, a way of monitoring and managing the workforce.
Like any process, an audit is carried out based on specific guidelines. To one of the main audit principles can be attributed to the professionalism of its execution.
The selection and verification of personnel is carried out by specially trained professionals for the compliance of employees with their positions. Moreover, audit experts should have the necessary independence and should not show bias or condescension to the personnel they audit.
A personnel audit is based on the principles of honesty and openness; no one has the right to influence the adoption by auditors of decisions on the compliance of personnel with the posts they hold.
Personnel Evaluation Criteria
In carrying out their activities, auditors primarily pay attention to the compliance of personnel qualifications with the requirements of their positions or professional characteristics. At the same time, auditors, as a rule, refer to the developed unified qualification reference book of professions. Moreover, reviewers evaluate the usefulness and complementarity of staff. It is also necessary to find out how balanced staff use their working time.
It should be noted that when evaluating personnel, auditors take into account how correctly management provides a personnel policy and what are the indicators of staff turnover.
Based on the results of the audit, the auditors make a decision on the compliance of personnel with the positions they occupy and the requirements of the law, as well as further steps to improve personnel recruitment, eliminate staff shortages, improve their management, and increase respect for superiors among subordinates.
Audit Information
Certain conditions are also put forward for the data on the basis of which the personnel audit is conducted. It is necessary that the information obtained during the audit relate specifically to that period of time in which it is conducted.You also need to make sure that these data are received in full, despite the fact that they are completely needed or not, and apply to all employees.
It is customary to receive the necessary information in three forms. The first of these is obtaining information in the form of graphs, charts, tables, diagrams, usually in a documentary or electronic version.
Also, one of the ways to perceive information about personnel is real-time monitoring of how personnel or subordinates interact with each other.
Another way is to communicate with employees and get direct impressions from them about the climate in the team, politics at the company, etc.
Audit methods
Experts carry out an audit of HR management in three areas. The first of them has an organizational approach and is designed to verify documents for their compliance with the law. In addition to checking for legality, such actions help to find out how effective personnel management is.
The second approach is an assessment of motivation and the psychosocial situation in the team, attitude to the results of their activities, focus on the overall success of the company.
The third area is economic in nature and consists in verifying the success of the enterprise.
Audit classification
Experts recommend conducting an audit of personnel and documentation regularly. Most experts agree that the optimal audit period is once every two to three years, depending on the size of the company, its turnover and, accordingly, staff turnover.
Based on the frequency of the audit, we can carry out the following classification.
First of all, the audit can be divided into the current one, which is carried out at certain intervals, as well as the operational one, which is carried out when such a need arises sharply.
Depending on the completeness of the volume of checked data, the audit of personnel policy is divided into full, local and thematic.
By methods of verification, it can be selective and complex.
In connection with the level of audit, control may be carried out by senior management, department heads, or the recruitment service itself.
Conducting an audit of personnel potential can, respectively, experts from outside and their own specialists. The main thing is that they are competent in this matter.
Audit algorithm
Any check has its own characteristics. As a rule, an audit of a personnel organization is carried out in several steps.
The first of these is preparation. At this stage, the experts are faced with the task of formulating verification tasks, selecting the necessary specialists for its conduct and issuing documents.
Next, there is a direct verification of the information, during which the auditors collect the necessary documents, organize meetings and conversations with employees, do surveys, etc.
At the third stage, the collected data is checked and the results obtained are compared with regulatory acts. At the last stage, auditors prepare the results of the audit and draw conclusions based on them that are sent to the organization’s management.
An audit takes two to three weeks, less often a month. The duration of the audit may vary depending on the size of the staffing. After collecting and studying the necessary documents for compliance with the legal framework, these results are displayed in the final report. A separate chapter is dedicated to them.
After repeated verification, the auditors make a copy of the final summary. This method of documentation of the monitoring results eliminates the possibility of any errors. As a rule, the results are presented on sheets of format A-4. For an average enterprise, the volume will be about 50 sheets.
The report confirms the audit and contains its results.This document contains information about the state of the personnel policy at the company, as well as ways to correct gaps and tips for improving the situation at the enterprise.
As a rule, a report is compiled on the basis of a generally accepted scheme and contains the following items:
- which documents or departments were checked;
- what gaps were found;
- expert opinion on how to correct gaps in the documentation;
- data on identified inconsistencies with applicable law;
- how real is the threat of legal liability with further inaction;
- Information about the possibility of recovering lost data or documents.
All this will help optimize the work of any enterprise, and, therefore, increase its profitability.
