Please be reminded that the information given here is given as suggestions that can assist you with your risk management program. These suggestions are not given as legal advice, therefore, before use, please review with your legal advisor and/or accountant as you feel necessary.  This self audit is given as suggestions that cover important elements that should be reviewed, but it is not intended to be exhaustive in its coverage of this area.  

When reviewing your employee and volunteer procedures and forms today, there is little difference from the view of the court. Thus, the forms and procedures for both should be very similar to meet the demands of today's culture.  Here are some important elements that should be reviewed as to the risk that they might present to your organization.

1. Does the organization's business form meet the business and activities of the organization in such a way so as to provide the proper ease of business and protection for itself, the employees and the volunteers?
2. Have the proper required forms been properly filed with the appropriate entity for the setup and operation of the organization? Some forms expire, some do not; do these need to be checked?
3. Have appropriate sexual misconduct procedures and sign-offs been put in place for the organization?
4. Have background checks and screening procedures been done properly?
5. Do the employees and volunteers understand the proper way and timing of reporting required child abuse and molestation issues when presented with them?
6. Are employees and volunteers given information regarding the risk factors and how to deal with them as they represent your organization when they travel?
7. Are employee and volunteer health risks properly protected as they travel?
8. Have good health and physical considerations been shared with your employees and volunteers so that they are able to offer their best performance for the organization?
9. Have the benefits and practices of the organization been properly explained, understood and signed off on as such?
10. When disputes arise, and they often do, have the employees and volunteers been told of the channels of binding arbitration to work with for their disagreements and legal activities, instead of law suits, and have they signed that they would agree to arbitration for settleing disputes?
11. Do your employment and volunteer forms include the fact that the position is at will and that either party many terminiate the relationship without cause?
12. Do all employee and volunteers understand there is a probationary period set by the organization that is agreed to by signing on the application as such?
13. Is there an annyal review of all procedures and forms that involve employment and volunteer postions as these pertain to the organization and the persons postion within the oraganization?
14. Have payroll forms been properly explained to the employee and completed properly?
15. Do applications and other forms meet suggested guidelines and include suggested phrases for the protection of the organization, the employee and the volunteer?
16. Have all employees and volunteers been explained the expected line of authority for the organization to them and signed off as understood?
17. Have payroll procedures been properly explained and agreed with between the employee and the organization?
18. Have termination and discipline procedures been explained and signed off on as understood by each volunteer and employee?
19. Are your training and orientation practices appropriate for the position the volunteer or employee is to be involved with?
20. Have work space considerations been reviewed so as to meet OSHA and other health risk qualifications factors?
21. Employee and volunteer annual reviews are a necessary part of the staffing process. Are these revies done each year and noted to avoid aspects of possible neglect with possible misunderstanding of responsibilities and organizational requirements of performance? 
22. For some postions continuing education requirements are necessary so that the employee and volunteer are current with all aspects of the position and the current expectations of it.
23. Have the employees and volunteers been properly trained with any and all equipment they are expected to use, for their own protection and the protection of the organization?
24. A place for the signature and date is necessary for all forms for employees and volunteers and kept indefinitely by the organization.. 
25. All forms and copies of procedures should be kept on file indefinitely; a digital copy will usually meet the legal requirements for this.
26. Have you reviewed your responsibilites for workers' compensation? Click here for current information on this:   http://www.phelpsfinancial.com/summary/p/38
27. Have you reviewed your responsibilities for the I-9 form, required for all employees to prove their right to work?  http://www.phelpsfinancial.com/node/view/47
28. Ohio employers, have you reviewed your responsibilities for the required new hire program? Click for information on this:  http://www.phelpsfinancial.com/node/view/49
29. Have you reviewed your responsibilites for current OSHA regulations and your organization's need to comply?  Click here for information:  
30. Have you reviewed your responsibilities for the current HIPPA regulations and your organization's need to comply? Click here for information: http://www.phelpsfinancial.com/summary/p/764

The organizational risk manager can certify that each item has been reviewed as it applies to the organization and its relationship with each employee and volunteer.

Signature __________________________  Position _______________________ Date _________