List of HR Processes (HRM Procedures) for Compliance-Focused HR Audits
If you’re looking for a clear list of HR processes—with practical HRM procedures you can standardize and audit—this guide lays out the core workflows most organizations need to run HR effectively while meeting key labor-law compliance requirements. SwiftSDS publishes these process areas as an HR audit sub-page so you can quickly compare “what you do today” against “what you should have documented, trained, posted, and enforced.”
For a broader audit framework, pair this page with the SwiftSDS Human resource audit hub and the Human resources compliance audit checklist.
Why a documented list of HR processes matters (especially for compliance)
HR processes are more than operational routines—they’re risk controls. When HRM procedures are consistent and documented, you can:
- Prove compliance during wage/hour, discrimination, or workplace safety investigations
- Reduce “policy drift” across locations and managers
- Standardize records retention, onboarding, training, and postings
- Improve employee experience with predictable, fair practices
If you’re building an audit program, SwiftSDS also covers governance and role clarity in hr mgmt and process ownership in the human resource domain.
The list of HR processes (with actionable HRM procedures)
Below is a practical, audit-friendly list. For each process area, the HRM procedures are the repeatable steps you should document, assign an owner to, and review on a schedule.
1) Workforce planning & job architecture
HRM procedures to document
- Job description creation/approval workflow
- Position control and requisition approvals
- Exempt vs. nonexempt classification review process
- Compensation range governance (market review cadence, approvals)
Compliance tie-ins
- Misclassification risk under the Fair Labor Standards Act (FLSA) (exempt/nonexempt, overtime eligibility). Maintain role documentation that supports classifications.
2) Recruiting & selection
HRM procedures to document
- Consistent interview guides and scoring
- Background check authorization and adverse action steps (where applicable)
- Candidate communications and recordkeeping rules
- Selection decisions and justification retention
Compliance tie-ins
- Equal employment obligations (federal anti-discrimination laws enforced by EEOC). Standardized selection criteria helps reduce disparate treatment and disparate impact risks.
3) Hiring & onboarding
HRM procedures to document
- Offer letter templates and approval paths
- New-hire paperwork checklist and completion timelines
- I-9 completion and reverification process (federal requirement)
- New-hire reporting (state-specific)
- Orientation training plan (handbook acknowledgment, code of conduct)
Audit tip
- Use a structured onboarding file checklist; SwiftSDS also maintains a broader human resources checklist to track required documents and recurring compliance tasks.
4) Timekeeping, scheduling & attendance
HRM procedures to document
- Time entry rules (rounding rules, meal/rest deductions)
- Supervisor approval and edit controls
- Late/absence reporting and discipline steps
- Workweek definition and overtime authorization
Compliance tie-ins
- FLSA wage/hour compliance depends on accurate time records and proper overtime calculations. Confirm your workplaces display the current federal notice: Employee Rights Under the Fair Labor Standards Act.
5) Payroll administration & wage/hour compliance
HRM procedures to document
- Pay cycle calendar and cutoff rules
- Overtime calculation method and premium pay rules
- Final pay procedures (timing varies by state)
- Deductions authorization and audit trail
- Pay statement review and payroll corrections
Compliance tie-ins
- FLSA minimum wage/overtime and recordkeeping requirements. Public-sector/state-local government workplaces may need the specialized notice: Employee Rights Under the FLSA – State and Local Government.
- State wage/hour posters can also be required. For Massachusetts employers, review Massachusetts Wage & Hour Laws.
6) Benefits & leave administration
HRM procedures to document
- Eligibility tracking and enrollment timelines
- Qualifying event changes and documentation
- Leave request intake and designation steps (FMLA, state programs, paid sick leave)
- Benefits vendor oversight and payroll deductions alignment
Compliance tie-ins
- Leave compliance often hinges on consistent notice, eligibility, and documentation. Build manager training into the process so requests are routed properly and timely.
7) Employee relations, discipline & investigations
HRM procedures to document
- Complaint intake channels (anonymous options, anti-retaliation language)
- Investigation steps (triage, interviews, evidence handling, findings memo)
- Corrective action levels and consistency checks
- Separation decisions review (legal/HR approval triggers)
Practical governance
- If you’re refining roles and accountability (HR vs. managers vs. leadership), SwiftSDS discusses guidance on partnering with an hr expert as part of your audit maturity plan.
8) Performance management
HRM procedures to document
- Goal setting cadence and templates
- Review cycle dates and calibration
- Performance improvement plan (PIP) criteria and approvals
- Documentation standards and retention
Compliance tie-ins
- Well-kept performance records support non-discriminatory decision-making in promotions, discipline, and terminations.
9) Learning, training & policy acknowledgments
HRM procedures to document
- Required training matrix by role (harassment prevention, safety, supervisory training)
- Policy distribution and acknowledgment tracking (handbook, IT, confidentiality)
- Retraining cadence and completion follow-up
Audit tip
- Treat training completion like a compliance control: define owners, due dates, and escalation paths.
10) Health, safety & workplace postings
HRM procedures to document
- Safety training and incident reporting flow
- OSHA recordkeeping roles (as applicable)
- Workplace poster inventory (federal/state/local), posting locations, update cadence
Compliance tie-ins
- Posting requirements can be jurisdiction-specific. For multi-site employers, standardize a “poster compliance check” per location. If you operate in Ohio, maintain a location file tied to Ohio (OH) Labor Law Posting Requirements.
- Massachusetts public employers should also ensure the required safety notice is posted: Massachusetts Workplace Safety and Health Protection for Public Employees.
- If you place temporary workers in Massachusetts, review the posting requirement under the Temporary Workers Right to Know law: Your Rights under the Massachusetts Temporary Workers Right to Know Law.
11) Offboarding, terminations & final pay
HRM procedures to document
- Resignation vs. involuntary separation workflow
- Final pay timing checklist and approvals
- Benefits termination and COBRA/state continuation notices (as applicable)
- Company property return and system access removal
- Exit interview standards and documentation retention
Compliance tie-ins
- Final pay rules and required notices vary by state and sometimes locality. If you have employees in Maryland, use Maryland (MD) Labor Law Posting Requirements as part of your location compliance file; if you’re operating within the county level, maintain county-specific tracking like Harford County, MD Labor Law Posting Requirements.
12) HR records management & privacy
HRM procedures to document
- Personnel file structure (what goes where; medical/confidential segregation)
- Access controls and manager visibility rules
- Retention schedule (by record type)
- Litigation hold procedures
- Secure disposal (paper and electronic)
Audit tip
- Create a “records map” for where each document lives (HRIS, payroll system, benefits portal, shared drive) and who can access it.
How to use this list in an HR audit (SwiftSDS approach)
- Inventory: mark which processes exist, which are informal, and which are undocumented.
- Standardize: convert informal practices into short SOPs (one page each is fine).
- Assign owners: every process needs a responsible role and backup.
- Test controls: sample 5–10 employee files/pay periods to confirm the procedure matches reality.
- Verify postings by location: tie each site to the correct jurisdiction page (for example, Ohio (OH) Labor Law Posting Requirements) and confirm posters are current and displayed.
For terminology and structure questions that often come up during audits, SwiftSDS also clarifies naming conventions in human resource or human resources and points to continuous learning sources in best human resources blogs.
FAQ: List of HR processes (HRM procedures)
What’s the difference between “HR processes” and “HRM procedures”?
HR processes are the functional areas (recruiting, payroll, onboarding). HRM procedures are the step-by-step instructions that make each process consistent, auditable, and repeatable (who does what, when, using which forms/systems).
How often should we review our HR processes for compliance?
At minimum, annually—and also whenever you expand into a new state/locality, change payroll systems, or have a major policy update. Posting requirements should be checked more frequently, especially for multi-state employers.
Which HR process creates the most legal risk?
Common high-risk areas are wage/hour (timekeeping and payroll), classification, and employee relations/investigations. These areas connect directly to documentation quality and consistent execution—two things an HR audit can improve quickly.
If you want to turn this list into a step-by-step audit plan, start with the SwiftSDS Human resources compliance audit checklist and map each checklist item back to the HRM procedures above.