Employee compliance audit

Who it's for: HR, team leads and compliance teams reviewing staff records.

Records & eligibility

1. Is a signed employment contract on file? YesNo
2. Has right-to-work or identity verification been completed and recorded? YesNo
3. Are emergency contact details current? YesNo
4. Have background checks been completed where the role requires them? YesNo

Qualifications & training

5. Are required qualifications or licences for the role on file and valid? YesNo
6. Has mandatory induction training been completed and recorded? YesNo
7. Has role-specific training been completed in the last 12 months? YesNo
8. Is there a training plan for skills gaps identified in the last review? YesNo

Conduct & policies

9. Has the employee acknowledged the code of conduct? YesNo
10. Has the employee acknowledged the data protection policy? YesNo
11. Has a performance review been completed in the last 12 months? YesNo
12. Have any disciplinary matters been closed and documented? YesNo

Access & equipment

13. Do system access rights match the current role? YesNo
14. Is company equipment issued to the employee recorded? YesNo
15. Is multi-factor authentication enabled on the employee’s accounts? YesNo
16. Is there a documented process to remove access when the employee leaves? YesNo

For each answer, record a short reason and attach supporting evidence (certificates, logs, photos) where available. These questions reflect general good practice; adapt them to the standards and laws that apply to you.