OAC 173-39-02.12 · Personnel File Compliance Audit

Personnel File Audit & Deficiency Tracking Log

Dulla Care Home Healthcare

Comprehensive audit conducted · Re-audit every 6 months · All deficiencies tracked to resolution

Audit Period

Auditor Name

Audit Date

Next 6-Month Re-Audit

HR Director

⚠️ Audit Policy

HR conducts a comprehensive personnel file audit for all current staff. Missing documents are tracked in this log, requested and obtained within 30 days, and corrected. Staff unable to provide required documentation will be retrained or, if qualifications cannot be verified, removed from service. Files are re-audited every 6 months to ensure ongoing compliance.

#	Employee Name	Position	Hire Date	Audit Date	Docs Present	Docs Missing	Missing Items (List)	Corrective Action Taken	Follow-Up Date	Status	Notes
1
2
3
4
5
6
7
8

Individual Personnel File Document Checklist

Employment Application (Signed & Dated)

Resume / Work History

Previous Employment Verification (Minimum 2)

Personal References (Minimum 2)

I-9 Employment Eligibility Verification

W-4 Tax Withholding Form

Copy of Government-Issued Photo ID

Copy of Social Security Card

BCI Background Check Results

FBI Background Check Results

Nurse Aide Registry Check

ABLE Registry Check

DODD Excluded Provider List Check

OIG / SAM.gov Exclusion Check

Sex Offender Registry Check

Child Abuse & Neglect Registry Check

BMV Driving Record (if transporting)

Proof of Auto Insurance (if transporting)

TB Test Results (Negative)

Physical / Health Screening

CPR / First Aid Certification

Drug Screen Results

Orientation Training Completion

Employee Handbook Acknowledgment (Signed)

Job Description Acknowledgment (Signed)

Confidentiality Agreement (Signed)

Direct Deposit Authorization

Professional License / Certification (if applicable)

Nursing License Verification (if applicable)

Competency Evaluation / Skills Checklist

Annual Training Records

Performance Evaluations

✓ Present: 32✗ Missing: 0N/A: 0Total Required: 32

📋 Deficiency Resolution Protocol

Identify missing documents during comprehensive file audit.
Document missing items in the tracking log above with employee name and specific documents.
Notify employee in writing within 5 business days — request missing documentation.
Set follow-up date within 30 days for document submission.
If documentation not received within 30 days: retrain employee or remove from service if qualifications cannot be verified.
Update log status to "Resolved" once all documents are obtained and filed.
Re-audit all personnel files every 6 months — update audit dates and next re-audit date.

HR Auditor Signature

Signature & Date

HR Director Review

Signature & Date

Administrator Approval

Signature & Date

Dulla Care Home Healthcare · Personnel File Audit & Deficiency Tracking Log · OAC 173-39-02.12 · Re-Audited Every 6 Months · Confidential