Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Personnel
- Personnel Files
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Are I-9 files complete and filed ?
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Are Employee applications available and in employee files ?
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Are credentials and certifications in employee files?
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Are W-4's complete and in employee files?
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Are employee status and and job title in employee files ?
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Is there a Handbook acknowledgement in employee files ?
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Are performance reviews, citations, and corrective action documentation in employee files ?
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Is there a benefit election (if applicable) form in employee files ?
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Are FMLA documents complete and filed ?
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Are there other documents added to employee or HR files not previously mentioned?
Time and Attendance
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Is there a method for tracking Time and Attendance ?
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How is break time calculated / recorded ?
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Are there any state laws that superseded any federal regulations?
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How is overtime calculated ?
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Who approves time/ attendance and overtime ?
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Is the employee made aware (and acknowledges) of any changes to his/her time and attendance ?
Handbook and Job Descriptions
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Does the location have a complete list/description of each job performed and FLSA classification for each ?
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Does the location have an employee handbook and is there a process for acknowledgement?
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Does the location have an organizational chart depicting full and pastime employees ?
Interview/Application Process
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Does the location have an application for employment that communicated federal and state regulations for employment?
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Who does the interviewing for employment ?
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Are background checks performed for each employee ?
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Is drug testing performed for each employee prior to employment ?
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Does the location perform random drug testing on all employees during the course of their employment ?
Federal , State and Local Mandated Posting
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FLSA ?
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FLMA ?
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Other ?
Training and Certification
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Is there a company orientation for all employees ?
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Is MSDS/HASCOM included in either orientation or training ?
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Who trains and/or certifies where required ?
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Are training and certification records filed for each employee when required ?