I compiled this DOLE audit checklist for DOLE audit or joint assessment in order for you prepare ahead of time. You can also refer to this DOLE audit checklist if you wish to perform self assessment of your company. There might be additional requirements based on your size and industry, however, this is a good starting point. You will only be given 10 days to comply if DOLE found problems during joint assessment. Having these things now will give you more time later to prepare whatever additional requirement they might ask.
This DOLE audit checklist is long but I organized it in multiple parts for easier reading. Some samples and templates are also provided so you have something to use as reference.
Payroll documents for the last 3 years
You should retain at least 3 years of payroll document in your establishment for DOLE audit and other purposes. They will use these documents to make sure that your payroll computation is correct. With these documents, they will check if you are following the minimum wage rate, paying overtime pays with correct rates, leaves, ND, SSS, PHIC, HDMF, 13th month pay etc. Usually, they also make random interviews to employees just to cross check their answer with the figures with your documents. These documents are.
- Pay slips and proof that the employees received their salary. The proof can be a received signature in the pay slip or proof of bank transmittal to the employee’s bank account.
- Payroll registers (Monthly and per period) – this contains the summary of all earnings and deductions for each employee. Payroll-Register-Per-Period.xls (341 downloads) Payroll-Register-Per-Month.xls (262 downloads)
- Copy of your leave and overtime forms if your company requires approval of leaves and overtime work
- SSS Form R5 with proof of payment – this is the monthly form needed when paying SSS contributions
- SSS Form R3 with stamp or proof of submission to SSS – this is the report submitted to SSS to update the employee contribution.
- HDMF Form MCRF with proof of payment – this is the monthly form needed to pay HDMF contributions of employees
- PHIC Form RF-1 with proof of payments and submission to PHIC
- HDMF STLRF for HDMF Loans if applicable
- SSS ML1 and ML2 for SSS Loans if applicable
For the items 4 to 9, DOLE audit those documents to make sure that you are making deductions and contributions to your employees SSS, PHIC and HDMF account. This is also to make sure that whatever amount you deducted from the employees are properly remitted to the government agencies.
DOLE, OSHC and OSHS Required Policies
- HIV and AIDS Workplace Policy and Program
- TB Prevention in the Workplace
- Alcohol Free Workplace Program
- Drug Free Workplace Program
- Breastfeeding Policy
- Anti-sexual Harassment Policy and Procedures
- Hepatitis B Prevention in the Workplace
- Formation of Committee on Decorum and Investigation on Sexual Harassment Policy
- Formation of Safety Committee
In our previous article DOLE Required Policies and Templates we discussed these policies in more details and we also provided templates. Please visit the article for more details about these policies.
DOLE Registration and Other Reports
- OSHS Registration Form for Rule 1020 – This is the registration form for Occupational Health and Safety Standard which should be submitted in the DOLE office nearest to your establishment or office. You have to show the submitted form during DOLE audit or joint assessment. Registration-Form-for-Rule-1020-OSHS.xls (428 downloads)
- Annual Medical Report – This report should be submitted to DOLE once a year regardless if there is or no sickness incident in the calendar year. You have to show the submitted report during DOLE audit. OSHS-Annual-Medical-Report.doc
- Annual Work Accident / Illness Exposure Report Data Report – This report should be submitted to DOLE once a year regardless if there are or no work accident happened during the reporting period. You have to present the submitted report during DOLE audit. OSHS-Annual-Work-Accident_Illness-Exposure-Data-Report.doc
- Matrix of Employees –matrix of your employees by age classification. You can prepare this once you receive a notice that they will conduct an audit since this matrix should contain the most recent data. Matrix-of-Employees.xls
- Employee Roster – A matrix of employees and their salary. The same with the matrix of employees, you can prepare this once you received a notice for DOLE audit or joint assessment because this should contain the most recent data of your employees. Employee-Roster.xls
Safety Signs and Equipment Needed to Be Present in your Business Establishment
Your establishment should have the following
- Clear and visible signs for exits, nursing station, medical/first-aid kit locations
- Fire exit and emergency lights
- Medicine box with medicines
- Cooler or refrigerator for lactating moms
- You might be also required to have your own clinic depending on your size
Training and Certifications
- Basic Occupational Safety and Health (BOSH) training and certification. Your safety committee should have a Safety Officer who completed training for BOSH. There are many DOLE accredited BOSH training providers. You should be able to find one through google. The training usually last for 1 week.
- First Aid training and certificate of completion – at least one member of your safety committee should be a trained and certified first aider. You should send your first aider to Philippine Red Cross to get the training, they usually conduct this training every week and it’s also a one week training. As the date of this writing, the fee is around 2,000 to 2,500php.
DOLE (Department of Labor and Employment) is actively conducting joint assessment procedures where they visit business establishments for audit. The purpose of this joint assessment is to help business owners comply with DOLE, OSHS (Occupational Health and Safety Standards) and OSHC (Occupational Safety and Health Center) policies and regulations. It is best if you this these DOLE audit checklist even if you are not yet notified for audit.