Personnel File Audit Checklist

Confirm that the executed offer letter with agreed-upon compensation, start date, and employment terms is present in the file.

Ensure the original job application or resume submitted during the hiring process is retained in the personnel file.

Verify that the signed disclosure and authorization forms for background screening are on file per FCRA requirements.

Confirm that notes or records from reference checks conducted prior to hiring are included in the file.

Ensure the employee signed an acknowledgment confirming their understanding of at-will employment terms at hire.

Verify that the most recent federal W-4 withholding form is on file and reflects the employee's current elections.

Check that all sections of the I-9 form are properly completed, signed, and that re-verification dates have not lapsed.

Ensure applicable state and local tax withholding forms are completed and filed for the employee's work location.

Confirm that a signed direct deposit form with current banking information is on file for payroll processing.

Verify that any required non-disclosure or confidentiality agreements were signed at hire and are retained in the file.

Verify that the employee signed the handbook receipt acknowledging they received and reviewed company policies.

Ensure documentation of completed anti-harassment and discrimination prevention training is present in the file.

Confirm that records of completed workplace safety training sessions and certifications are filed for the employee.

Verify the employee signed the company code of conduct or ethics policy acknowledgment form.

Ensure the employee acknowledged receipt and understanding of the company's data privacy and acceptable use policies.

Confirm that the employee completed and signed any required conflict of interest disclosure forms at hire or annually.

Confirm that records of the current salary or hourly rate, along with any pay change history, are on file.

Ensure signed benefits enrollment or waiver forms for health insurance, retirement plans, and other benefits are present.

Verify that any promotion letters, transfer agreements, or role change documentation is filed chronologically.

Check that signed variable compensation agreements detailing bonus structures or commission plans are included in the file.

Verify that approved leave requests, FMLA documentation, and return-to-work certifications are properly filed.

Confirm that completed performance evaluation forms for each review period are signed by the employee and supervisor.

Ensure all written warnings, performance improvement plans, and disciplinary notices are documented and signed.

Verify that individual development plans or goal-setting documents from each review cycle are retained in the file.

Check that formal recognitions, awards, or commendation letters received by the employee are included in the file.

Confirm that follow-up notes and outcome records for performance improvement plans are present and completed.

Verify that all medical information, disability documentation, and health records are stored in a separate confidential file.

Ensure that workplace investigation records and related correspondence are maintained separately from the personnel file.

Confirm that self-identification forms for race, ethnicity, and veteran status are kept in a separate confidential file.

Review who has access to the personnel file and confirm that access is limited to authorized HR personnel only.

Ensure the file is organized with clearly labeled sections, documents are in chronological order, and nothing is misfiled.

Confirm that digital copies of personnel file documents are backed up securely and accessible in case of physical file loss.