Have you done a staff or personnel file audit lately, how legal is your admin?

Do you know what information you actually should have on each of your staff members’ personal files? The more interesting question is the trouble that you can incur if you do not have your ducks in a row. Now for the audit, are you actually compliant? 

My suggestion is that if you do not behold this responsibility for yourself only and that you have a designated HR person that is specifically responsible for this duty. I would also suggest a regular file audit checking all the files ensuring that all the required documentation is up to date. You know by now that if something is not nailed down to the floor the likelihood is very good that it could go missing. Not stolen, just misplaced and for the love of you just cannot find it when you need it. 

Staff File Auditing

• Interview and selection Admin. 
• Sexual and Criminal offenses Act.
• I.D. Copy
• Personal Tax Numbers and or Registration.
• Bank Account Details.
• Proof of Address.
• Employment Contracts.
• Job Description.
• Performance evaluations.
• Company Rules.
• Disciplinary Code.
• Injury on Duty form and Copy of I.D.
• Medical Reporting.
• Incident Register and Reporting of an Incident.
• In case of emergency contact details.
• ZERO TOLERANCE FORM
• Uniform Issue Form.

• Payroll Service.
• UIF
• UIF Claims back for first-time employees.
• PAYE
• Leave Application Form.
• Leave summary.
• Sick Leave.
• SARS Compliance and Tax Returns.
• ETI Claims.  
• COVID Tax Relief.
• TERS.
• SDL. 
• EMP201
• IRP-5
• IT3

• Training Tracking.
• SKILLS PLAN DEVELOPMENT.
• EMPLOYMENT EQUITY PLAN. 
• Acknowledgment of Training Form.

• Health and Safety and PPE.
• Occupational Health and Safety Act.
• Exit Interviews Documentation.
• UI.19 Document.
• Letter of Service Document.
• Retrenchment Process.
• Notification of the possibility of retrenchments.
• Notification of Retrenchment.
• Final Payslip.
• UI.19
• Certificate of Service document.

It might not be sustainable for a small start-up business to employ a designated HR person and this function could be outsourced to ensure that you remain on the correct side of the law. Below you will find a compact outline for conducting an organizational Human Resource audit.

•  Organizational vision and mission statement? 
• What are the objectives of the organization? 
• Payroll. Is there a payroll system? 
• How are employee working hours recorded?
• Policies. Does the organization have an employee handbook or written policies? 
• How often are these policies reviewed?
• Salary administration.  
• How recently was the salary structure updated?
• Are employees happy with the current structure and system?
• Recruitment. What is the hiring process? 
• Where do you find suitable candidates? 
• How many positions are currently open? 
• Does the organization have up-to-date job descriptions for each position in the organization?
• Orientation. Does the organization have a formal or informal new-hire orientation process? 
• Who is responsible for orientation? 
• Who is responsible for new employee onboarding?
• Who is responsible for new employee training?
• Performance Reviews. 
• Are employees aware of their performance areas?
• Are performance reviews conducted regularly? 
• How often? 
• Do they have an established format? 
• Are managers and employees happy with the current process?
• Are employees given timeous feedback on their performance reviews?
• Files. Are employee files maintained securely? 
• Are all employee files updated monthly?
• Are medical and financial records and other protected information kept separately from employee files? 
• Safety. Does the organization have a Health and Safety plan? 
• Where is it maintained? 
• Is there a health and safety committee?
• Posters. Are employment posters up-to-date? 
• Where are they posted?
• Training. Has the organization conducted supervisor or employee training?
• Employee relations. Does the organization have unresolved grievances or open investigations? 
• What is the frequency of investigations, and is there a pattern to the issues?

An employee handbook is a document that communicates your company’s mission, policies, and expectations. Employers give this to employees to clarify their rights and responsibilities while they’re employed with the company.

See our suggestions in a later document for your convenience.