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Employee File Audits: Do you remember? – Business BEactive

Employee File Audits: Do you remember?

When you’re running a business, it’s tough to remember all of the little things to stay in compliance, or just stay organized. Call Business BEactive to help get your files in order for 2016. Regardless of the business type, you’re bound to have at least one employee, so let’s get the file/s right. Here’s an example of what an audit form should look like:

Audit form needs to be modified based on the specific documents you want to verify are in employee personnel files.]
Employee Name ______________________________


Date of Hire _________________


Employment/Orientation Records

  • Application or resume (keep in medical/confidential file if it has protected information on it)
  • Offer letter
  • Confidentiality/ noncompete agreement
  • Handbook acknowledgment  (latest revision date_____________)
  • Drug testing policy acknowledgment
  • Drug testing consent form
  • Background check consent form
  • ______________________

Performance Records

  • Performance evaluation forms
  • Self-evaluations
  • Relevant disciplinary warnings and performance improvement plans
  • ____________________________

Training Records

  • _________________  Required training/certification
  • _________________  Required training/certification
  • General new-hire safety training checklist or acknowledgment
  • ________ safety training
  • Sexual harassment training acknowledgement

Remove the following types of documents from employee personnel files:

  • I-9s and any copies of identification
  • Investigation notes and reports
  • Any drug test or background check results
  • Payroll records containing SSNs or other protected information, including W-4s and garnishments
  • Medical or confidential records, including anything that has protected information such as a date of birth, medical information, marital status, religious beliefs, etc. including:
    • Benefit enrollment forms for current year, beneficiary forms, benefit claims
    • Leave of absence documentation (FMLA and non-FMLA), disability or WC documentation




Audit Completed by _________________________________


Date ______________


– See more at: http://www.shrm.org/templatestools/samples/hrforms/articles/pages/auditfilesample.aspx#sthash.yRMreT9r.dpuf

Auditing can be a difficult process if you don’t have the knowledge or time. See more here and call Marie, today!