— this is a check of all procedures and documents related to the movement (reception, relocation, going on vacation, etc.) of employees in the organization for compliance with the legislation of the Russian Federation. It may have a narrow focus; in this case, only the execution of personnel documentation is checked. Or take over the entire area of ​​personnel management.

There is also a distinction between internal and external audit. Internal, the company conducts it on its own; the role of the inspector can be an employee who is well acquainted with regulatory documents regarding personnel records, for example, a lawyer. This option is suitable for small companies. Independent third-party organizations are involved in external audit; it is considered more reliable and reliable.

Audit of personnel documentation

It is not a mandatory procedure, but an increasing number of companies are conducting such an audit. This is due to the tightening of inspections by the labor inspectorate and changes in the rules for imposing penalties on an enterprise if violations are detected. The amount of fines has increased, so now protocols are issued for each employee.

• employment of foreign workers. In addition to the State Tax Inspectorate, the preparation of documents in this area may also be of interest to the Federal Migration Service;
• conclusion of contracts with employees financial liability;
• usage probationary period during employment and its control;
• use of different operating modes;
• employees working beyond established working hours.

During the audit, the auditor must not only check the available documents for errors, but also evaluate whether the provided package is complete or whether additional documents are required. For example, the presence of local regulations for the enterprise.

Audit stages:

1. Setting goals and objectives. The inspection can be comprehensive, when all areas are checked, or thematic. At this stage, it is determined by what forces it will be carried out (internal or third-party), as well as the dates and timing of the audit. If implemented internal control, the order must appoint responsible persons.
2. Preparation of necessary documents.
3. Study and analysis of documents. All detected errors are recorded.

After the audit is completed, the auditor gives a written opinion on its results, the system of maintaining personnel records at the enterprise and its compliance with the law are assessed. The conclusion must contain the following information:

• information about the documents that were the subject of verification;
• list of violations with comments. The auditor must refer to regulations that were violated;
• company risks;
• recommendations for troubleshooting.

HR consulting represents a wider range of activities and affects all areas related to people. The purpose of the audit is to develop tools personnel policy that will allow you to effectively manage personnel in accordance with the company's strategy. During such an audit, in addition to the audit of personnel documentation, the following issues are considered:

• analysis of the organization's personnel needs;
• personnel selection;
• personnel assessment;
• personnel training and development;
• analysis of the remuneration system;
• staff motivation;
• analysis of corporate culture;
• assessment of the psychological situation in the team.

An enterprise resorts to personnel consulting in the following cases:

1. It is required to develop separate areas in the field of personnel management (development of a system of motivation, training, etc.);
2. Improving the current personnel policy;
3. Setting up personnel records and other areas of personnel policy from scratch.

During the audit, the expert analyzes current system on personnel management. Are being studied job descriptions employees of the personnel department, and the motivation of personnel management is determined. As a result of the audit, the auditor identifies the personnel potential of the enterprise and proposes measures to optimize technologies for human resource management.

Personnel audit takes place in two stages. At the first stage, the topics and objectives of the audit are determined, and the motives that prompted the company’s management to seek help from specialists are clarified. At the same stage, the current personnel policy is studied and a consulting program is drawn up.

At the next stage, there is interaction with the organization’s employees to achieve the goals. Three spheres are created:

• Development. Employees are trained in effective problem solving techniques;
• Support. Conditions are created for successful staff training;
• Consolidation. Transition of an artificially created process into a self-regulating one.

In their work, auditors use different techniques, the most effective of which are:

1. Coaching. Specialists undergo professional training under the guidance of an expert. The essence of the method is that conditions are created for the student in which he independently finds the best solution to the assigned problems.
2. NLP. The technique involves modeling situations that will affect a person through his emotional state. Only a certified expert can use this technology.
3. Social studies. The auditor conducts a survey (oral or written) of employees. During a conversation or survey, people’s motivation, their readiness for change, and the basic principles that guide them in life are revealed.
4. Creation of a new business process structure. Experts develop a model of a new structure. As work progresses, current processes are optimized and new requirements are determined.

HR audit is an important tool in the development of a company. A well-structured personnel policy can improve teamwork, increase labor productivity, reduce the time for searching and selecting employees, and reduce labor costs.

Depending on the goals and objectives of the audit, we offer our clients 3 types of personnel audit.

1. Local audit

Local sampling is performed personnel documents to identify systemic errors in personnel records. All mandatory documents that actually exist with the employer are analyzed selectively for compliance with the requirements of the Labor Code of the Russian Federation.

This audit allows us to assess the general situation with the management of personnel records management(KDP) in the company. The audit report contains an indication of all violations identified and the actions required to eliminate them.

Usually our clients choose this type of audit when they want to be sure that general approach to conduct personnel records in their company is correct, and the package of necessary documents is complete and compiled correctly. At the same time, identifying local errors of the performer responsible for maintaining CDP is not significant for the client.

2. Full audit

Each document is analyzed to identify all possible errors made during the management of HR records. All existing personnel documents in the company are analyzed in full. All personnel documents for each employee are checked for consistency with each other. Individual recommendations are developed to correct mistakes made.

This audit allows you to give a full assessment of the quality of the management of control documents in the company and eliminate all existing errors. The audit report contains an indication of all violations identified and the actions required to eliminate them.

Typically, our clients choose this type of audit when they want to be sure that they are fully prepared for any audit by inspection bodies and there will be no problems or difficulties when requesting any document during the audit.

3. System audit

All personnel documentation is checked (“full audit”) + the personnel document flow system is analyzed, problem areas of the system are identified.

This audit allows you to take a systematic look at personnel records management in the Company. The audit report contains not only recommendations for eliminating all detected violations, but also recommendations for optimal changes to the work system in the field of HR records management.

Our clients who choose this type of audit want not only to be confident in the correctness and correctness of the management records, but also in the optimality and efficiency of HR logistics in the company.

Cost of HR audit (all prices exclude VAT)

"HR service and personnel management of the enterprise", 2007, N 9

Internal HR audit

IN Last year there is significant interest in conducting regular audits of one’s own personnel documentation, both from outside government organizations, and private companies. This is due to a number of factors. Firstly, strengthened in Lately state attention to the area of ​​documenting labor relations between employers and employees. Scheduled and unscheduled inspections of the State Labor Inspectorate have become a common occurrence for many personnel services. Secondly, increasing the legal literacy of employees and their desire to defend their own rights in the courts forces HR managers to be attentive to the conduct of necessary documentation. It is known that courts primarily pay attention to the formal side of the case, that is, they carefully check not only the existence of documents, but also the correctness of their content and execution. Thirdly, if a company has a good and efficient HR service that operates within the law, this is a positive signal for potential candidates and for the company’s employees, which ultimately helps to enhance the company’s brand as an employer in the labor market.

The concept of internal personnel audit

Internal personnel audit is an independent objective verification activity regulated by local regulations and carried out within the audited entity by a special unit (internal personnel audit service). personnel service companies.

It is no coincidence that this definition places emphasis on two important points: the independence of internal auditors and their objectivity. It seems fundamental that internal auditors should be independent of the company’s personnel service and its manager they are auditing. Only in this case will they be able to freely express their opinions.

In fact, the independence of the internal personnel audit service is determined by the level of its subordination in the company. It can exist in the form of a department or department within the HR service and report directly to the HR director, or have the status of an independent unit reporting directly to the company's chief executive. The independence of internal auditors cannot be ensured in a situation where the internal personnel audit unit is subordinate to the head of the personnel service (HR department, etc.).

Objectivity is understood as the impartial intellectual honesty of the internal auditor, his ability to defend his opinion, independent of the opinions of senior managers, and the ability to avoid conflict situations. The internal auditor's objectivity should not be affected by the internal auditor's biases, those of others, or pressure from management.

The number of employees in this service varies and largely depends on the size of the company. In small companies with up to 500 people, one specialist can be responsible for internal personnel audit (in this case, a service as such is not created). In medium-sized companies with up to 3,000 people, internal audit may be carried out by three to five people. In large companies with an extensive network of branches, the personnel audit service can have up to 10 people.

The purpose and objectives of internal personnel audit

The purpose of the audit is a specific task towards which the activities of the internal auditor are aimed. The purpose of internal personnel audit is different in each case. It depends on the size of the company, its organizational structure and may vary depending on management requirements. It should be admitted that in the absolute majority Russian companies Internal HR audit units are aimed at serving the needs of the HR service management. They, firstly, are subordinate to the HR director of the company, secondly, they work according to the plan approved by him and, thirdly, they present the information obtained during the audit directly to the head of the personnel service. The latter, in turn, often perceives internal audit as an audit aimed at clarifying professional suitability personnel service employees. This approach raises reasonable doubts.

It seems that the goal of an internal personnel audit should ultimately be to improve the performance of the personnel service and minimize possible company risks associated with improper maintenance of personnel documentation. Monitoring the risks that a company may be exposed to during the process of undergoing an external audit government agencies and/or resolving labor disputes with employees is one of the most important aspects of internal personnel audit. The internal personnel audit service should strive not only to find errors in already created documents, but first of all to prevent them. To do this, she must, among other things, provide the necessary assistance to personnel service employees, advising them at the stage of developing and creating personnel documentation on issues that arise for them. This is one of its fundamental differences from external auditors.

Based on the above goal, the internal personnel audit service may be assigned the following tasks:

1. Checking and assessing compliance with legislation by personnel service employees when preparing personnel documentation.

2. Assessing the compliance of the actions of HR employees with established rules and procedures.

3. Assessing the effectiveness of the HR service and the company’s HR document flow system.

5. Provision necessary information management and owners of the company on issues of interest to them.

Creation of an internal personnel audit service,

defining its structure

It is best to begin the process of creating an internal HR audit service by defining its goals and objectives. It is advisable, already at the first stage, to take a serious approach to formalizing the activities of this service and develop a set of documents regulating its activities:

Regulations on the internal personnel audit service;

Job descriptions of service employees;

Instructions on the procedure for conducting an internal personnel audit.

Regulations on the internal personnel audit service - the most important document regulating the operation of this structural unit. The regulations are constructed in accordance with the requirements of the Unified System of Organizational and Administrative Documentation and include the following sections:

1. General Provisions.

This section contains general characteristics the internal personnel audit service, its structure, subordination, a list of documents that guide the unit in its activities is provided.

2. Goals and objectives.

This section contains a list of the main goals and objectives of the internal personnel audit service.

3. Functions.

The main functions of the unit arise from the goals and objectives set out in the previous section of the regulations.

4. Rights and obligations.

This section contains a list of the rights and responsibilities of the internal personnel audit service within the company, necessary for the successful performance of its tasks and functions. The same section specifies the responsibility borne by both the unit as a whole and its head for failure to use rights and failure to fulfill duties.

5. Leadership.

This section reveals the procedure for appointing and dismissing the head of the internal personnel audit service, provides requirements for the level of his qualifications, lists his rights and job responsibilities etc.

6. Relationships.

A very important section including detailed description the process of internal interaction of the internal personnel audit service with other structural divisions of the company, primarily with the company’s personnel service and the company’s legal service: on what issues, in what cases and in what order is this interaction carried out; if service employees are expected to interact with external organizations(for example, participation in inspections conducted by the labor inspectorate, etc.), then this process is also described in this section.

7. Organization of work.

This section describes the main points regarding the organization of its work. This section should also contain information about how the service will be reorganized if the need arises.

8. Final provisions.

The section defines the procedure for the provision to come into force, as well as the procedure for making changes and additions to it.

Job descriptions for service employees consist of the following typical sections:

1. General Provisions.

In this section, the following information should be recorded point by point:

Full job title given in accordance with the staffing table;

Who does the employee report to?

The procedure for appointment and dismissal from a position (hiring and dismissal - for ordinary employees);

The procedure for replacing in the event of temporary absence of an employee (including the procedure for accepting and transferring cases);

Features of work organization, if any (irregular working hours, flexible schedule and etc.). If this information is specified in the employment contract, this clause may be missing;

A list of regulatory, methodological and other documents that guide the employee holding this position;

Qualification requirements (level of education, work experience).

2. Functions.

The section contains a list of the main activities of the employee in accordance with the areas of activity of the internal personnel audit service.

3. Job responsibilities.

This section lists in detail the types of work that ensure the performance of the functions specified in the previous section; the nature of the actions performed is also described ("organizes", "provides", "prepares", "considers", "manages", etc.).

This section records the powers of the employee of the internal personnel audit service, ensuring the fulfillment of the functions and responsibilities assigned to him.

5. Responsibility.

6. Relationships (connections by position).

The section describes how and with whom the employee interacts in all areas of his activity: from whom he receives information, in what form and within what time frame; what information, in what form, within what time frame and to whom he provides and other issues of information relations between the employee and structural divisions and other employees of the company, as well as (if necessary) with third-party organizations. This section can be presented in tabular form as it is the most visual.

The instructions on the procedure for conducting an internal personnel audit describe in detail the technology for conducting an internal audit (see below), and the appendix to it provides standard samples working and reporting documents of internal auditors.

The structure of the internal HR audit service largely depends on the position of the company’s management (or the management of the HR service), i.e. on what tasks it sets for this division and how correctly it understands its role in the company.

In most companies, the internal HR audit service is centralized, i.e. the division responsible for personnel audit is located at the company's central office. The advantage of this structure is the independence of service employees from the heads of regional branches and representative offices of the company and their personnel departments. However, it is possible to build a service as a decentralized structure. In this case, the central division takes upon itself the development of a unified audit technology and training in working with this technology, and the audit itself is carried out by local internal auditors. This option is attractive due to the possibility of quickly conducting unscheduled inspections, but such a structure raises serious doubts regarding the independence and objectivity of local auditors.

Main areas of work and planning of personnel audit

The main areas of work of the internal personnel audit service are as follows:

Checking the compliance of the activities of HR employees with the requirements of current legislation;

Assessing the completeness of personnel documentation;

Assessment of the personnel documentation registration system;

Assessment of the HR documentation storage system;

Assessment of the system for preparing cases for archival storage;

Grade software, used to create personnel documentation;

Audit of local regulations;

Audit employment contracts and civil contracts with employees;

Audit of liability agreements;

Audit of job descriptions;

Audit of orders for personnel;

Audit of labor protection documentation;

Audit of procedures work records;

Other areas relevant to the company (for example, audit of documentation for certain categories of employees, audit of documentation for training and certification of employees, etc.).

In all of the above areas, the internal personnel audit service can conduct both scheduled and unscheduled audits. Scheduled inspections are organized by the head of the service according to a plan approved by a superior manager. The work plan of the internal personnel audit service contains a list of topics for planned audits with an indication of the period for their implementation and is developed for a year. Unscheduled inspections are carried out in the event of a change in the head of the HR service (or its regional branch) on the initiative of the company's management or its HR director, when a signal is received about illegal actions of HR service employees and/or their violation of internal rules, instructions, regulations.

Technology for conducting internal personnel audit

The organization of internal audits is as follows:

1. The head of the internal personnel audit service approves the audit program. The program defines the scope of the audit, the audit period, the composition of the audit team, the planned work and the audit procedures that will be carried out during the audit process.

2. The company’s management issues an order to conduct an internal personnel audit indicating the topic of the future audit (see example 1), which is brought to the attention of the head of the personnel service (and the heads of its regional divisions, if any). The management of the personnel service, within the time specified in the order, is obliged to prepare and provide the auditors with all the necessary personnel documentation, as well as other information that is necessary for the audit.

3. The audit team analyzes the content of the submitted documents. Before the start of the audit, all members of the audit team are given special checklists with control questions, which are being checked. And if necessary, they meet with personnel service employees and receive the necessary clarifications from them.

They record this information in working documents, the form of which is approved in the instructions on the procedure for conducting an internal personnel audit. Violations and inconsistencies identified as a result of the audit are recorded in special protocols of inconsistencies, which also record possible measures to correct and prevent similar situations in the future.

Society with limited

responsibility of "Ice"

(Ice LLC)

N ------

About conducting a personnel audit

In order to improve the activities of the personnel service and minimize possible risks of Ice LLC associated with improper maintenance of personnel documentation,

I order:

1. Conduct an internal personnel audit on the topic “Drawing up employment contracts and civil contracts with employees” from September 9 to September 15, 2007.

2. Appoint S.V. Biryukov, deputy head of the internal personnel audit service, as the head of the audit group.

3. Include the following employees in the audit team:

information security engineer Simakov A.V.

legal adviser Efremov K.A.

Leading specialist in personnel document flow E.P. Vetrov

5. Control over the execution of this order shall be assigned to the head of the internal personnel audit service, V.V. Romanina.

General Director V.P. Kiripov Kiripov

The following have been familiarized with the order:

Biryukov S.V. Biryukov

Simakov A.V. Simakov

Efremov K.A. Efremov

Romanina V.V. Romanian

4. Based on the results of the audit, the audit team draws up a report within 7 days describing the state of affairs, identified problem areas and possible risks, as well as containing recommendations for solving these problems and minimizing risks.

Before submitting the report to management, it is discussed by the head of the audit team with the HR employees being audited. The purpose of the discussion is to make sure that the content of the report is clear to employees and that they are ready to implement the recommendations proposed by the auditors or can justify the reasons for the impossibility of implementing them.

5. The report is presented to the company's management, which approves the auditors' recommendations and makes decisions to facilitate the implementation of these recommendations.

Typical problems of the internal audit service

There are a number of typical problems that internal auditors have to face when carrying out their activities:

1. Incomplete/untimely submission of information by the auditees, their unconstructive position in the process of conducting an internal audit.

If HR employees are confident that an internal HR audit is carried out solely for the purpose of finding errors in their work, that their knowledge and experience are being questioned by management, and the results of the audit will affect their status in the company, such a reaction is inevitable. Any inspection - both external and internal - is limited by certain deadlines. Understanding this, HR employees strive to complicate the work of internal auditors and implement a strategy of information blockade: for various reasons and under various pretexts, they are not represented Required documents.

Therefore, it is necessary, firstly, to inform the auditees about the purposes of the audit, to focus on the benefits that the recommendations of internal auditors can bring to improve the work of the personnel service.

Secondly, it is of great importance that the company has a corporate culture that recognizes employees’ “right to make mistakes” and an understanding that mistakes are inevitable even in the work of the best specialists. Only in this case can it be ensured that HR employees are ready to cooperate with internal auditors.

Thirdly, the internal documents of the company regulating the procedure for conducting a personnel audit should clearly state the obligation of employees of the audited departments to provide the auditors with all the requested information in full within the time frame specified in their request. On the other hand, these documents should provide for the obligation of internal auditors to coordinate with those being audited the timing of their work and the procedure for interaction during the upcoming audit.

2. Insufficient time budget for conducting an audit.

Internal audit must be planned properly. As a rule, the head of the internal audit service draws up an inspection plan for the coming year, indicating the timing of their implementation by month. However, if there are frequent requests from HR/HR management or situations requiring unscheduled inspections, the time initially allocated for scheduled inspection, may vary significantly. In this case, it is important to have a flexible approach to drawing up and adjusting work plans for inspections, as well as to provide in advance for them the necessary time reserve in case of such requests.

3. Unpreparedness of individual managers to perceive information about the true state of affairs.

The top officials of the HR service/personnel department are not always ready to implement the recommendations proposed by the auditors and make decisions based on the results of the audit. Therefore, it is necessary, already at the first stage of creating an internal personnel audit service, to describe the procedure for implementing the recommendations of internal auditors made by them based on the results of the audit.

It is also advisable to record in the company’s internal documents the responsibility of the head of the audited unit for analyzing the audit results and taking corrective/preventive actions based on the report and recommendations provided by internal auditors.

4. Lack of independence of the HR audit service.

As already indicated, in the vast majority of Russian companies, the internal personnel audit service is subordinated either to the company’s HR director, or generally exists as a structural unit within the personnel service and reports to its head. Such dependence of internal auditors on the direct management of the audited HR employees most directly affects their objectivity: a dependent internal auditor will not be able to be objective. And HR employees in this case tend to perceive internal auditors as direct representatives of their management and do not strive to build effective working relationships with them.

Internal auditors, who are they?

An internal auditor is a person who is competent to conduct an internal personnel audit and has the appropriate authority to conduct the audit.

Despite the fact that internal personnel audit units have been actively created in many companies over the past three years, there is currently a shortage of highly qualified specialists capable of working effectively in such services.

As a rule, when an internal personnel audit department/department is created in a company, employees who were previously involved in maintaining personnel document flow in the company are transferred to it. Practice, however, shows that specialists who “grew up” within the company and are involved in its internal problems do not always show due objectivity and impartiality in assessing the work of former colleagues. On the other hand, which is very important, they are more focused on providing former colleagues with the necessary assistance and counseling. These employees can also be quite effective when conducting a personnel audit of a company branch (or its other regional division).

It seems optimal to have a “mixed” formation of an internal personnel audit unit, both from former employees HR service, and by attracting employees from the market, primarily from consulting or legal companies providing services HR consulting.

Ideally, the personnel audit service should include lawyers, specialists in the field of personnel document flow and specialists in the field of information security.

Below is sample list formalized requirements for the competence and personal qualities of a candidate for the position of head of the company’s internal personnel audit service, as well as his rights and obligations.

Head of Internal HR Audit Service:

requirements for the position and qualifications of the employee

1. Demographic requirements:

Age: up to 55 years;

Gender: male/female.

2. Education requirements:

Higher education, legal or in the field of documentation management;

Additional education in human resource management and/or information technology is desirable.

3. Professional experience:

At least 3 years of experience in the human resources management service/personnel department of a company with a developed branch network or similar experience in a consulting or legal company;

Experience in setting up/reorganizing a company’s HR document flow system, experience in developing and implementing an internal HR audit methodology;

Team management experience.

4. Professional knowledge, skills and abilities:

Excellent knowledge labor law and regulations in the field of personnel document flow, documentation support for information management and protection;

Experienced PC user;

Knowledge of basic specialized personnel programs.

5. Personal qualities:

Communication skills, ability to establish personal contacts;

Objectivity and determination;

High efficiency;

Responsibility;

Ability to work with large amounts of information;

The ability to defend one’s own opinion with reason.

Conduct an internal audit of the work of the HR service and its regional divisions;

Request the necessary information and documents from the head and personnel department employees;

Take part in inspections;

Monitor the implementation of necessary corrective actions and implementation of recommendations made based on the results of the audit;

Evaluate reports prepared by internal auditors based on the results of audits and make decisions on appeals against the actions of internal auditors;

Take part in the development of regulatory documents regulating the activities of the internal personnel audit service;

Take part in the analysis of controversial and conflict situations that arise during the operation of the company, including disputes with the State Labor Inspectorate;

Make proposals to the company's management to improve the activities of the internal personnel audit service.

7. Responsibilities:

Plan and organize the work of the internal personnel audit service;

Develop a methodology for conducting internal audits of the personnel document flow system;

Form working groups to conduct inspections;

Interact with the management of the audited departments.

8. Responsibility:

For the implementation of the internal personnel audit plan;

For organizing and conducting unscheduled inspections;

For the reliability and objectivity of the information contained in the reports and recommendations of the service;

For organizing inspections to carry out the necessary corrective actions and implement recommendations made based on the results of the audit.

These requirements can be finalized by the personnel service, taking into account the specifics of the company and the range of tasks facing the internal personnel audit service.

Russian labor legislation has been changing frequently lately, and internal auditors must be aware of all changes that are relevant to the company's activities. Therefore, it is necessary to provide them with the opportunity to continuously improve their skills. It is advisable not only to entrust the internal audit service with the function of tracking all changes, but also to oblige its employees to bring information about them to the company’s HR department and conduct training events for them.

External or internal HR audit?

Personnel audit is becoming a popular service, for which leading Russian and Western consulting companies are attracted. A personnel audit conducted by external consultants allows you to move away from established views, habits and assessments, helps to compare the work of the company's personnel service with the work of similar services of competing companies, as well as receive independent recommendations on improving the efficiency of the personnel document flow system.

On the other hand, external consultants do not always have enough time to check the implementation of internal procedures and standards of the company's HR department, and often do not have the capabilities for such verification. An independent consulting firm cannot carry out constant monitoring of the work of employees responsible for personnel document flow. While a clear organization of the work of the internal personnel audit service allows you to avoid many errors and violations in the process of the company’s personnel service and prevent some of them.

We offer you the optimal organization of the HR audit process in the company:

1. Creation of an internal HR audit unit with the help of external consultants, who at the first stage will assist in the development of regulatory documentation and help in selecting the necessary specialists, based on the specific tasks facing the relevant service.

2. At the second stage, employees of the internal personnel audit service, together with external consultants, identify possible risks and probable problem areas and develop a methodology for conducting an internal personnel audit of the company.

3. At the third stage, the created methodology will be tested and, if necessary, its correction will be made.

4. If a decentralized structure is chosen for building the internal personnel audit service, regional auditors will be trained to work using the adopted technology.

5. After the agreed time, external consultants will evaluate the activities of the internal personnel audit service.

Thus, having created an internal HR audit unit with the help of external consultants and developed verification technology, the company will subsequently be able to conduct HR audits independently, involving external experts only in cases where the professional competence of internal auditors may not be enough.

Ask any expert, consultant, specialist or HR manager: “What is a HR Audit”... and you will hear many opinions on this issue. You will encounter both a narrow interpretation (for example, that this is an audit of personnel records), a functional interpretation (for example, that this is an audit human resources, and simply assessing personnel according to certain competencies, criteria, etc.), and we understand the systemic one, 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 working with them for 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, with subsequent recommendations for bringing the human resource management system and/or human resources in accordance with business needs. The subject of the CA is 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 personnel are considered as a strategic resource of the company that must be formed, developed and retained in order to achieve the company's strategic goals.

It is advisable to conduct a personnel audit if it is necessary:

• analyze the feasibility of investing in the HRM system and personnel
• analyze the compliance of the HRM system with the company’s business/strategy, compare the actual state of the HRM system with the required/ideal state
• receive an expert assessment, an “outside view” of the HRM system
• obtain an assessment of problem areas and recommendations for resolving them, improve the HRM system
• evaluate the effectiveness of HR use
• evaluate the effectiveness of the HRM service and the qualifications of its employees
• compare with competitors (evaluate advantages and disadvantages)

What does a personnel audit consist of:

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

Objective: Assess the HRM system against the business strategy and needs of the organization.

• audit of the goals of the HRM system - identifying the required characteristics/parameters of human resources, assessing their compliance with business goals.
• HRM strategy - assessment of the chosen strategy (if it exists and is generally understood), its coordination with the company's strategy, external and internal environmental conditions, as well as the availability of an implementation plan and cost analysis.
• HRM policies - identifying the principles (accepted restrictions) of working with HR and assessing their compliance with the HRM strategy and the needs of the company.
• HRM functions/technologies/procedures - identification of actions and methods carried out to transform HR in accordance with the goals, strategy and HRM policy, their regulation. Identification of specific algorithms (operations) carried out to implement functions and implement HRM technologies, assessing their compliance. Performance standards and performance indicators are also defined.
• HRM subjects - identification of departments/positions that are involved in the implementation of HRM system processes

2. Analysis of available human resources

Goal: assessing the compliance of the structure, quantity and quality of HR with the development needs of the organization, identifying quantitative indicators HR assessments

• analysis of personnel structure - identification of categories, groups of human resources and determination of relationships between them (including assessment of controllability standards and numbers): absolute and relative indicators
• analysis of the qualification structure by identified categories and groups - identification of the professional, educational structure of personnel and the level of knowledge of employees
• analysis of the level of satisfaction/motivation of personnel - determination of the level of employee satisfaction with the organization and working conditions, management system, assessment of their merits and level of remuneration.
• personnel cost analysis, labor indicators and performance indicators for the purpose of comparative analysis across the industry and within the company, as well as determining internal company standards and assessing the impact of all these indicators on the company’s performance
• conducting personnel assessments - for knowledge of functions, procedures, compliance with norms and rules, compliance with standards, as well as compliance with qualifications and skills, complexity of 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

Goal: analysis of the distribution of HRM functions and procedures between line services and the HRM service

• analysis of the organizational structure of the HR service
• Definition and analysis of HRM functions/procedures
• identification and analysis of HRM functions/procedures implemented by line units
• analysis of technologies and assessment of the effectiveness of implementation (including costs) of HRM functions and procedures
• assessment of the effectiveness of the HRM service and the qualifications of service employees

The main criterion for assessing 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 for working with personnel;

2. industry standards for working with personnel;

3. intersectoral standards for working with personnel;

Improving the HRM system is possible through:

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

2. comparative analysis of HR practices with competitors (comparison with industry standards )

Studying HR practices in competing companies is necessary to analyze the company’s competitiveness in the labor market (competitors may offer more attractive working conditions, have higher standards of work with personnel and thereby attract better resources, and also limit the client company’s ability to attract and retaining the personnel it needs).

Analysis Russian practice showed that so far there are no uniform standards for working with personnel in industries. Additional research is needed to clarify HR practices. 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 global/inter-industry standards for working with personnel and organizing 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 HR audit, are individual tasks for improving the HRM system and represent the logical levels of conducting the HR audit.

Among the methods of performing CA are:

The costs of conducting each block can be assessed after determining/evaluating the availability and accessibility of the necessary information, as well as the required depth and accuracy of the personnel audit. It will be possible in advancedefine after orientation meetings with the heads of the company and departments, which will help determine the quantity, volume of documentation regulating work with personnel documentation, the depth of the required analysis and necessary methods 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

The audit of the HRM system must be carried out at 3 levels: intra-company, industry, inter-industry/global standards in order to assess the company’s ability 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 orientation meetings with managers who are responsible for the formation and implementation of the HRM system
• identifying sources and methods for collecting the necessary missing information
• conducting an 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 a complete description of the HRM system, its compliance with the company’s business/strategy, compliance of human resources with the company’s needs, the degree of implementation of the necessary functions and an assessment of the effectiveness of the HRM system. The final part will contain conclusions and recommendations for improving and transforming the HRM system, highlighting the priority of the proposed activities.

In this case, saving the company’s money can be achieved by limiting the number of departments being studied, highlighting the highest priority areas for research, from the point of view of the company’s management, of areas of work with personnel, as well as by using, if possible, indirect methods of collecting information (surveys, questionnaires, analysis documents).

After the assessment, selection of information sources 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 a personnel audit begins.

After each individual stage of the implementation of the personnel audit program and assessment 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 carrying out the 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 HR audit work, it is proposed to conduct a preliminary analysis of the state of HR and test the hypothesis that “the best departments have the most effectively built personnel management system and the best resources” (a personnel management system can exist and function, but at the same time not be formalized, do not have common standards and, accordingly, differ from unit to unit.) , and accordingly 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 more in-depth analysis and assessment 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
• collecting information about the practice of working with personnel in the department

In order to minimize the cost of work, it is possible to assess the performance of departments ( economic efficiency, labor productivity), their ranking and determination of the minimum required number of units in each category: “best”, “average”, “worst”. This will save time and money.

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

if necessary, preparing a report on problem areas in working with personnel, possible ways their decisions, determination priority areas personnel and organizational work and the need for a more in-depth analysis of the HRM system