HR Risk Assessment Checklist Template
Proactively safeguard your organization with our HR Risk Assessment Checklist. Identify potential liabilities, ensure legal compliance, and build a resilient HR framework - all in one easy-to-use template.
This Template was installed 4 times.
Legal and Regulatory Compliance
Assess adherence to relevant employment laws and regulations (e.g., EEOC, FLSA, ADA).
Last EEOC Compliance Training Date
State Wage & Hour Law Compliance Status
Number of Active Discrimination Claims
Summary of Recent Legal Audits and Findings
ADA Compliance Status
Copy of most recent I-9 audits
Date of last FLSA audit
Data Security and Privacy
Evaluate the security of employee data and compliance with privacy regulations (e.g., GDPR, CCPA).
Data Encryption Status
Number of Employee Records
Access Control Review Frequency
Last Data Security Audit Date
Data Privacy Regulations Compliance
Other (Specify)
Employee Relations and Workplace Culture
Assess risks related to employee morale, conflict resolution, and potential legal claims (e.g., discrimination, harassment).
Frequency of employee surveys conducted?
Number of formal complaints received in the past year?
Summary of key findings from recent employee feedback?
What types of training are provided to managers regarding employee relations?
Date of last Workplace Culture Assessment?
Does the company have a formal mediation process?
Description of the company's policy on addressing employee grievances
HR Technology and Systems
Identify vulnerabilities and risks associated with HRIS, payroll systems, and other HR technology.
Current HRIS System
Number of Employees Using HR Technology
Last Security Audit of HR Systems
Security Protocols Implemented
Description of Data Backup Procedures
Third-party vendor risk management process
Compensation and Benefits
Review pay equity, benefits compliance, and potential risks related to compensation practices.
Average Salary Increase Percentage
Pay Equity Analysis Conducted?
Healthcare Cost Trend Analysis (Percentage)
Last Benefits Audit Date
Benefits Offered (Select all that apply)
Summary of Executive Compensation
Recruitment and Hiring
Evaluate risks associated with hiring practices, background checks, and compliance with employment eligibility verification.
Background Check Authorization Received?
Date Application Received
Required Skills Verified?
Offer Letter Sent?
Number of Applicants Interviewed
Notes on Candidate's Interview Performance
E-Verify Status?
Performance Management
Assess fairness and consistency in performance evaluations and potential legal challenges related to performance-based decisions.
Last Performance Review Date
Review Method (e.g., Self, Manager, 360)
Overall Performance Rating (1-5)
Key Accomplishments during Review Period
Areas for Improvement
Performance Goals Achieved?
Employee Signature
Manager Signature
Termination and Offboarding
Review termination processes to minimize legal risks and ensure compliance with relevant laws.
Termination Date
Reason for Termination (Detailed)
Termination Type
Final Paycheck Amount
COBRA Notification Sent Date
Termination Documentation (Signed Forms)
Return of Company Property Status
Exit Interview Notes
HR Policies and Procedures
Evaluate the adequacy and effectiveness of HR policies and procedures in mitigating risks.
Policy Review Frequency
Last Policy Review Date
Policies Reviewed in Current Cycle (Select All That Apply)
Summary of Changes Made (If Any)
Updated Policy Documents (Upload)
Communication Method of Policy Updates
Employee Acknowledgement Rate (Percentage)
Notes on Policy Interpretation or Enforcement Challenges
Business Continuity and Disaster Recovery
Assess HR's preparedness for business disruptions and ability to maintain essential functions.
Number of critical HR systems
Last Disaster Recovery Plan Review Date
Summary of Key HR Functions Requiring Continuity
Critical HR Data Backup Locations
Next Scheduled DR Test Date
DR Test Type
Contact Information for Key HR Personnel (Emergency)
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