Employee file audit checklist


Introduction


An employee file audit checklist is a tool used by HR professionals to help ensure that employee files are complete and up-to-date. The checklist can be used to audit both physical and electronic files.

The purpose of an employee file audit is to confirm that the information contained in an employee file is accurate and up-to-date. This is important for two reasons: first, it ensures that the employer has accurate information on hand in case of an emergency, and second, it helps to prevent fraud or other criminal activity.

An employee file audit checklist should include items such as:
-A complete list of all required documents
-Date each document was added to the file
-Signature(s) verifying that the documents are accurate

The checklist should also include a section for notes where the auditor can document any discrepancies or other concerns.

Purpose

The purpose of an employee file audit is to ensure that all required documentation is complete and up-to-date. This checklist can be used as a guide to help you audit your employees’ files.

  • [ ] Job descriptions – Are job descriptions on file and up-to-date?
  • [ ] Employee applications – Are employee applications on file?
  • [ ] Resumes – Are resumes on file?
  • [ ] Employment contracts – Are employment contracts on file and up-to-date?
  • [ ] Job offer letters – Are job offer letters on file?
  • [ ] Background check reports – Are background check reports on file?
  • [ ] Reference checks – Are reference checks on file?
  • [ ] performance reviews – Are performance reviews on file and up-to-date
    Scope

This audit checklist is designed to help you ensure that your employee files are complete and up-to-date. It can be used as a self-audit or as part of an external audit.

The checklist covers the following areas:

  • Personal details
  • Employment history
  • Education and training
  • Professional qualifications and memberships
  • Reference checks
  • Criminal record checks
  • Salary and benefits information
  • Performance reviews

Once you have completed the checklist, you should review your findings with your HR team to ensure that all relevant information is included in the employee files.

Definitions


An employee file is a collection of Form I-9, EEO-1, and performance reviews that chronologically documents an employee’s time with your company. The attending physician completes the medical certification portion of the Form I-9, which documents an employee’s eligibility to work in the United States. The EEO-1 report is filed annually and captures information about your workforce by job category, race, and gender. Finally, performance reviews document an employee’s job performance over time.

The term “employee file audit” refers to the process of reviewing these documents to ensure compliance with federal and state laws, as well as company policy.

The following is a checklist of items to look for when conducting an audit of your company’s employee files:

· Form I-9 – Ensure that each employee has a complete and accurate Form I-9 on file, and that it is signed by both the employer and employee.

· EEO-1 Report – Verify that the most recent EEO-1 report is on file and accurately reflects your workforce demographics.

· Performance Reviews – Review a sample of performance reviews to ensure that they are objective and consistent with company policy.

References

-Name
-Position
-Company
-Dates of Employment
-Phone Number
-Email Address

-Job Title
-Department
-Supervisor’s Name
-Starting Salary
-Ending Salary

performance reviews from the previous five years
letters of commendation or discipline from the previous five years

previous job evaluations from the previous five years

Procedures

Before an audit can take place, all employee files must be gathered and reviewed for accuracy and compliance. This checklist will help you ensure that you have all the necessary documents and information to complete a successful audit.

File Audit

  1. Review the most recent performance evaluations for each employee in the file. Evaluations should be current and completed within the last six months.
  2. Check that each employee has a current resume on file. Resumes should be updated at least every six months, or more often if the employee has had a significant change in job duties.
  3. Ensure that each employee has a signed copy of the company’s policy manual. The manual should be signed and dated, and should reflect any changes that have been made since the last update.
  4. Confirm that all required documentation is present in each file, including:
    -A copy of the employee’s application
    -A copy of the employee’s most recent performance evaluation
    -A copy of the employee’s resume
    -A copy of the company’s policy manual, signed and dated by the employee
    Checklist
  • gather your materials
  • check that you have everything you need
  • do a test run with a small amount of coffee to make sure the grind is right and the measurements are accurate
  • make adjustments as needed

Appendices

appendices


Leave a Reply

Your email address will not be published.