Information

  • Document No.

  • Audit Title

  • Client / Site

  • Conducted on

  • Prepared by

  • Personnel

    Personnel Files
  • Are I-9 files complete and filed ?

  • Are Employee applications available and in employee files ?

  • Are credentials and certifications in employee files?

  • Are W-4's complete and in employee files?

  • Are employee status and and job title in employee files ?

  • Is there a Handbook acknowledgement in employee files ?

  • Are performance reviews, citations, and corrective action documentation in employee files ?

  • Is there a benefit election (if applicable) form in employee files ?

  • Are FMLA documents complete and filed ?

  • Are there other documents added to employee or HR files not previously mentioned?

  • Time and Attendance
  • Is there a method for tracking Time and Attendance ?

  • How is break time calculated / recorded ?

  • Are there any state laws that superseded any federal regulations?

  • How is overtime calculated ?

  • Who approves time/ attendance and overtime ?

  • Is the employee made aware (and acknowledges) of any changes to his/her time and attendance ?

  • Handbook and Job Descriptions
  • Does the location have a complete list/description of each job performed and FLSA classification for each ?

  • Does the location have an employee handbook and is there a process for acknowledgement?

  • Does the location have an organizational chart depicting full and pastime employees ?

  • Interview/Application Process
  • Does the location have an application for employment that communicated federal and state regulations for employment?

  • Who does the interviewing for employment ?

  • Are background checks performed for each employee ?

  • Is drug testing performed for each employee prior to employment ?

  • Does the location perform random drug testing on all employees during the course of their employment ?

  • Federal , State and Local Mandated Posting
  • FLSA ?

  • FLMA ?

  • Other ?

  • Training and Certification
  • Is there a company orientation for all employees ?

  • Is MSDS/HASCOM included in either orientation or training ?

  • Who trains and/or certifies where required ?

  • Are training and certification records filed for each employee when required ?

The templates available in our Public Library have been created by our customers and employees to help get you started using SafetyCulture's solutions. The templates are intended to be used as hypothetical examples only and should not be used as a substitute for professional advice. You should seek your own professional advice to determine if the use of a template is permissible in your workplace or jurisdiction. You should independently determine whether the template is suitable for your circumstances.