File Audit to Employee Checklist
File Audit to Employee Checklist
General Information
-
Employee Name: Dell Stokes
-
Employee ID: 123456
-
Department: Marketing
-
Auditor Name: [Your Name]
-
Audit Date: October 17, 2050
Checklist Items
File Organization
-
Employee files are organized consistently.
-
Files are stored securely (physical/digital).
-
Appropriate access controls are in place for sensitive information.
Employee Documentation
-
Employment application/resume is present.
-
An offer letter/contract is included.
-
Tax forms (e.g., W-4, I-9) are on file.
-
Background check documentation is included (if applicable).
Performance and Development
-
Performance evaluations are documented and signed.
-
Training and development records are maintained.
-
Promotions or disciplinary actions are documented.
Compensation and Benefits
-
Payroll records are up to date.
-
Benefit enrollment forms are present.
-
Records of any salary changes or bonuses are documented.
Compliance and Legal
-
All mandatory employee documents are signed and dated.
-
Records of any grievances or complaints are on file.
-
Documentation of employee’s rights and responsibilities is provided.
Termination and Exit Documentation
-
Exit interview records are completed.
-
Final pay and benefits information is documented.
-
Return of company property is recorded.
Retention and Disposal
-
Employee files are retained per company policy and legal requirements.
-
Documentation of any file destruction is maintained.
Auditor's Signature: [Your Name]
Date: October 17, 2050
Instructions
-
Review each item carefully.
-
Check off each item as it is verified.
-
Provide comments or additional notes as necessary.
-
Ensure that all findings are documented and follow up on any discrepancies.
