Harassment Training Completion Audit

Inspection template for auditing completion of mandatory harassment prevention training against applicable state, city, or employer deadlines, with follow-up on overdue, missing, or incomplete records.

Audit Scope and Jurisdiction

• Audit period and employee population are defined
  Verify the audit specifies the review period, employee group, and training cycle being tested.
• Applicable jurisdiction and deadline requirement documented
  Confirm the audit identifies the governing state, city, or employer policy deadline used for compliance testing.
• Training cycle requirement identified
  Confirm whether the requirement is initial hire training, annual training, or another recurring cycle.
• Audit source roster matches HR or LMS population
  Confirm the employee list used for the audit matches the authoritative HRIS or learning management system roster.

Training Assignment and Completion Status

• Required employees were assigned harassment prevention training
  Verify all employees in scope were assigned the correct training module for their jurisdiction and role.
• Completion rate for in-scope employees
  Enter the percentage of in-scope employees who completed the required training.
• All completions occurred on or before the deadline
  Confirm each employee completed training by the applicable due date.
• Overdue or missing completions identified
  Document whether any employees are overdue, missing, or have incomplete training records.
• Employees with late completion are listed
  Record the count of employees who completed training after the deadline or have not completed it.

Record Review and Evidence

• Completion certificates or LMS transcripts are available
  Verify evidence exists for each completed employee, such as a certificate, transcript, or LMS completion record.
• Evidence includes employee name, course title, and completion date
  Confirm each record clearly shows the employee identity, training title, and completion date.
• Records are legible and retrievable
  Confirm training records can be accessed promptly and are readable without missing pages or corrupted files.
• Retention period requirement documented
  Record the retention rule used for training evidence and whether the organization is meeting it.
• Privacy and access controls are appropriate
  Confirm training records are stored with appropriate access restrictions and confidentiality controls.

Corrective Actions and Escalation

• Non-compliant employees have a corrective action plan
  Verify overdue or missing completions have assigned follow-up actions, owners, and due dates.
• Make-up training or re-assignment has been scheduled
  Confirm make-up sessions, re-enrollment, or alternative completion methods are scheduled for affected employees.
• Manager and HR escalation completed
  Confirm the issue has been escalated to the appropriate manager, HR partner, or compliance owner.
• Root cause of non-completion documented
  Identify the reason for non-completion, such as leave status, termination timing, assignment error, or access issue.

Audit Sign-Off

• Overall audit result
  Select the final outcome of the audit based on completion status and evidence review.
• Inspector comments
  Summarize notable deficiencies, non-conformances, and follow-up actions.
• Corrective action due date
  Enter the date by which all open corrective actions must be completed.
• Inspector signature
  Signature confirming the audit review is complete and accurate.