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DOLE Audit Checklist for Joint Assessment

August 28, 2016 by Jayson Acob Yanuaria 1 Comment

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.

1. 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.
2. Payroll registers (Monthly and per period) – this contains the summary of all earnings and
deductions for each employee. Payroll-Register-Per-Period.xls (477 downloads) Payroll-
Register-Per-Month.xls (386 downloads)
3. Copy of your leave and overtime forms if your company requires approval of leaves and
overtime work
4. SSS Form R5 with proof of payment – this is the monthly form needed when paying SSS
contributions
5. SSS Form R3 with stamp or proof of submission to SSS – this is the report submitted to
SSS to update the employee contribution.
6. HDMF Form MCRF with proof of payment – this is the monthly form needed to pay HDMF
contributions of employees
7. PHIC Form RF-1 with proof of payments and submission to PHIC
8. HDMF STLRF for HDMF Loans if applicable
9. 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.

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DOLE, OSHC and OSHS Required Policies

10. HIV and AIDS Workplace Policy and Program


11. TB Prevention in the Workplace
12. Alcohol Free Workplace Program
13. Drug Free Workplace Program
14. Breastfeeding Policy
15. Anti-sexual Harassment Policy and Procedures
16. Hepatitis B Prevention in the Workplace
17. Formation of Committee on Decorum and Investigation on Sexual Harassment Policy
18. 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

19. 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 (715 downloads)
20. 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
21. 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
22. 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
23. 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

24. Clear and visible signs for exits, nursing station, medical/first-aid kit locations
25. Fire exit and emergency lights
26. Medicine box with medicines
27. Cooler or refrigerator for lactating moms
28. You might be also required to have your own clinic depending on your size

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Training and Certifications

29. 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.
30. 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.

http://msme.ph/dole-audit-checklist-joint-assessment/