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Employment Practices Toolkit

Checklist for Audits

What should you be auditing?

Hiring Issues

  • Review employment application form
  • Review personnel files, medical files and I-9 forms (all maintained separately) and process
  • Audit work visas and immigration issues
  • Interviewing and hiring process
  • Background check process and forms
  • Offer letter form
  • Review independent contractor agreement, if applicable

 

Executive Contracts and Compensation Issues

  • Employment contracts
  • Bonuses/incentive pay policies/plans
  • Restrictive covenant and confidentiality agreements

 

Other Forms/Policies and Procedures

  • Employee handbook
  • Arbitration agreement
  • Telecommuting/teleworking policy and agreement
  • Job descriptions
  • Personnel change notice forms
  • FMLA policy and forms (when the Company reaches 50 employees)
  • Substance abuse testing (if desired)

 

Other Items To Audit

  • Ensure proper posters are on bulletin boards
  • Compliance with applicable record keeping requirements
  • Wage-hour/wage-payment issues (Exempt vs. non-exempt status)
  • Working conditions — OSHA issues (ventilation, temperature, air quality)
  • Workers’ compensation cost containment issues (ergonomic keyboards, computer screens, carpel tunnel issues)
  • Threatened/pending litigation and administrative agency complaints

 

Training

  • EEO/sexual harassment training, legally required in some states

 

Employee Counseling and Discipline

  • Performance evaluation form
  • Employee counseling form (verbal and written warnings, discharge)

 

Termination Issues 

  • Severance/separation pay and the use of separation agreements with general releases
  • Review exit interview form
  • Letter notifying employee of termination and COBRA forms
  • Neutral reference policy and procedures

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Article created by Jackson Lewis and republished here with permission.

Disclaimer

The information provided in this resource does not constitute legal, medical or any other professional advice, nor does it establish a standard of care. This resource has been created as an aid to you in your practice. The ultimate decision on how to use the information provided rests solely with you, the PolicyOwner.