201 File Management Audit Report-Angeles

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• Objectives

• 201 File Management Policy

201 FILE MANAGEMENT

200 File

• Is the 2O0 files compiled, complete the existing documents and ready to convert to 2O1 file?

  Yes

  No

  N/A

• Is the passport completely filled up all personal informations, with ID picture, signature & stamps?

  Yes

  No

  N/A

• Is the interview guide completely fill in all the information needed?

  Yes

  No

  N/A

• Is the employment data form completely filled up all information of the applicant?

  Yes

  No

  N/A

• Is the draw a person test checked and have comment with the interviewer?

  Yes

  No

  N/A

• Is the essay test checked and have comment with the interviewer?

  Yes

  No

  N/A

• Are the test profile accurately scored by classification such as; Intellectual Evaluation, Employee Aptitude Test, Applicant Risk Profiler?

  Yes

  No

  N/A

• Is the resume checked, reviewed, verified and had a remarks by the interviewer?

  Yes

  No

  N/A

201 File

• Are the 2O1 file folders appropriately labeled with Surname, First Name Middle Name of employee printed in a paper using black ink pasted on the upper left side of last page of the folder?

  Yes

  No

  N/A

• Is the 2O1 file organized, complete documents attached and accurately filed chronologically?

  Yes

  No

  N/A

• Is the pre-employment orientation form filed in 2O1 with score, has a comment/suggestions, signed by the facilitator and attendees?

  Yes

  No

  N/A

• Is the Employment Offer Letter filed in 2O1 and signed by the newly hired employee to ensure that he/she read and accept employment offer including the date effective, duties and responsibilities and salary rate?

  Yes

  No

  N/A

• Is the employment agreement filed in 2O1,signed by the newly hired employee and the FIG-RPMSC Vice President for Operations?

  Yes

  No

  N/A

• Is there an attachment of PEME to ensure that he/she physically fit?

  Yes

  No

  N/A

• Is there SSS E-1 form or SSS Card Number submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there Philhealth # or Card Number submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there HDMF # or Card Number submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there TIN # submitted and filed in 201 file?

  Yes

  No

  N/A

• Is there a copy of valid diploma submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there a copy of valid transcript of records submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there a copy of valid NBI/Police clearance submitted and filed in 2O1 file?

  Yes

  No

  N/A

• Is there a copy of valid NSO filed in 2O1 file?

  Yes

  No

  N/A

• Is there a copy of sketch of permanent address filed in 2O1 file?

  Yes

  No

  N/A

• Are the 2O1 file properly organized and fastened

  Yes

  No

  N/A

• Are the color coding scheme implemented orderly?

  Yes

  No

  N/A

• White - for indirect employee<br>

  Yes

  No

  N/A

• Blue - for direct employee

  Yes

  No

  N/A

• Yellow - for confidential employee

  Yes

  No

  N/A

Active & Active File Employee

• Are the Active and In-Active Files separately filed in the documentation room?

  Yes

  No

  N/A

• Is there a monitoring system (database) to monitor the active and in-active files?

  Yes

  No

  N/A

• Is there a requisition form to be use for requesting of records for storage?

  Yes

  No

  N/A

• Is the requisition form signed and approved by the record owner for proper storage?

  Yes

  No

  N/A

• Are the records/files together with the requisition form received by the custodian?

  Yes

  No

  N/A

• Is there an updating list of records under custodian storage?

  Yes

  No

  N/A

• Is the monitoring and updating system for safekeeping of records properly monitored?

  Yes

  No

  N/A

Disposal of In-Active File Employee

• Are the records/files identifying for disposal?

  Yes

  No

  N/A

• Is there a requisition form to be use for requesting of records for disposal?

  Yes

  No

  N/A

• Is the requisition form for records disposal signed & approved by the record owner?

  Yes

  No

  N/A

• Is the requisition form submitted & received by the custodian ?

  Yes

  No

  N/A

• Is there a masterlist of records in updating and monitoring of records disposal?

  Yes

  No

  N/A

• Findings

• Recommendation