SHRM Personnel File Checklist

Personnel File Audit Checklist to verify US employee records are complete, compliant, and correctly separated across hiring, I-9, payroll, medical, EEO files.

Download as free PDF

GET A DEMO
SIGN UP TO USE TEMPLATE
SIGN UP

SHRM Personnel File Checklist



Main Personnel File — Hiring Records

1. A completed employment application or resume is on file.


Photo Comment

2. A signed offer letter is on file, including job title, start date, and compensation.


Photo Comment

3. A current job description reflecting the employee's actual duties is included.


Photo Comment

4. A signed employment contract or at-will acknowledgment is on file.


Photo Comment

5. Pre-employment background check results are documented and stored.


Photo Comment

6. Drug test results (where applicable) are on file and within policy requirements.


Photo Comment

7. Reference check documentation is included.


Photo Comment

8. Education and credential verification records are on file where the role requires them.


Photo Comment

9. A signed confidentiality, NDA, or non-compete agreement is included where applicable.


Photo Comment

10. The employee's emergency contact information is current.


Photo Comment
Main Personnel File — Ongoing Employment Records

1. The most recent signed performance review is on file.


Photo Comment

2. All prior performance reviews are retained in chronological order.


Photo Comment

3. Promotions, title changes, and compensation adjustments are documented with effective dates.


Photo Comment

4. All leaves of absence are recorded, including type, dates, and return-to-work confirmation.


Photo Comment

5. Completed training records and certifications are on file, with completion dates.


Photo Comment

6. Signed acknowledgment of the employee handbook or policy updates is included.


Photo Comment

7. All written disciplinary actions, performance improvement plans, and warnings are on file.


Photo Comment

8. Disciplinary records include the employee's signature or a notation if signature was refused.


Photo Comment

9. Job transfer or reassignment documentation is on file where applicable.


Photo Comment
I-9 And Work Authorization File

1. A completed Form I-9 is on file for this employee.


Photo Comment

2. Section 1 was completed by the employee on or before their first day of work.


Photo Comment

3. Section 2 was completed by the employer within three business days of the start date.


Photo Comment

4. Supporting identity and work authorization documents were physically examined and recorded.


Photo Comment

5. Any re-verification (Section 3) has been completed for employees with temporary work authorization.


Photo Comment

6. Work authorization expiration dates are tracked and flagged for timely re-verification.


Photo Comment

7. The I-9 is stored separately from the main personnel file in a dedicated I-9 binder or folder.


Photo Comment

8. The I-9 retention period has been calculated (3 years from hire or 1 year after termination, whichever is later).


Photo Comment
Payroll And Tax Records

1. A completed, signed W-4 (and applicable state withholding form) is on file.


Photo Comment

2. The W-4 reflects the employee's current withholding elections; updates are filed promptly.


Photo Comment

3. Pay rate history, including all changes and effective dates, is documented.


Photo Comment

4. Garnishment orders and wage deduction authorizations are on file where applicable.


Photo Comment

5. Timekeeping records (time cards, schedules, or exception logs) are retained per FLSA requirements.


Photo Comment

6. Payroll records are retained for a minimum of three years per FLSA and two years for supporting wage records.


Photo Comment
Medical And Benefits File

1. Medical records, including fitness-for-duty exams and workplace accommodation documentation, are stored separately from the main personnel file.


Photo Comment

2. Benefits enrollment forms and beneficiary designations are on file and current.


Photo Comment

3. FMLA designation notices, eligibility notices, and medical certifications are retained for at least three years.


Photo Comment

4. ADA accommodation requests and supporting documentation are stored separately with restricted access.


Photo Comment

5. Workers' compensation claim records are maintained separately in compliance with applicable state law.


Photo Comment

6. HIPAA requirements for medical record confidentiality and access restrictions are met.


Photo Comment
EEO And Affirmative Action Records

1. EEO data (race, gender, ethnicity) is collected and stored separately from the hiring file.


Photo Comment

2. EEO records are not attached to or visible within the main personnel file.


Photo Comment

3. Affirmative action plan records and EEO-1 filing documentation are retained for the required period.


Photo Comment

4. Access to EEO records is restricted to authorized personnel only.


Photo Comment
Terminated Employee File

1. A resignation letter or termination notice is on file, with a clear reason for separation.


Photo Comment

2. Exit interview documentation is retained.


Photo Comment

3. Final paycheck records, including payout of accrued leave where required, are documented.


Photo Comment

4. COBRA notification documentation is on file where applicable.


Photo Comment

5. The retention period for all file components has been calculated and documented.


Photo Comment

6. Personnel files for terminated employees are retained for a minimum of seven years (or longer per applicable state law or pending litigation holds).


Photo Comment

7. Files subject to active or anticipated litigation holds are flagged and withheld from destruction.


Photo Comment

8. A record destruction schedule is in place for files that have passed their retention period.


Photo Comment
File Security And Access Controls

1. Physical personnel files are stored in a locked cabinet in a secured area.


Photo Comment

2. Access to personnel files is restricted to HR staff and those with a documented need.


Photo Comment

3. A log is maintained for any access to personnel files outside of routine HR use.


Photo Comment

4. Digital personnel records are stored in an encrypted system with role-based access controls.


Photo Comment

5. Multi-factor authentication is required for access to digital HR record systems.


Photo Comment

6. No sensitive employee data (SSN, medical information, EEO data) is stored within a shared or unsecured drive.


Photo Comment

7. Employees' right to inspect their own personnel file is documented and a process is in place to fulfill requests.


Photo Comment

Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

Is this sample what you are looking for?
Sign up to use & customize this template, or create your own custom checklist.

NEW! Try generating a custom checklist with our free AI tool:

AI spark green AI CHECKLIST CREATOR

Easy inspection app for your digital checklists

  • Conduct inspections anytime, anywhere - even offline
  • Capture photos as proof of compliance or areas needing attention
  • Instantly generate and share detailed reports after the inspections
  • Assign & track follow-up tasks, view historical trends on a centralized dashboard
GET A DEMO
START FREE TRIAL
GoAudits care app