The HR Checkup Laundry List Following are the areas covered in the typical Level 5 HR Checkup:
EMPLOYMENT DOCUMENTATION
All documents relating to the employment or termination of all current employees and any former employees terminated within the last 3 years, including, but not limited to, the following:
Employee files - for current and terminated within last 3 years
Employment offers, agreements and contracts
Confidentiality agreements
Wage and salary adjustments
Leave of absences
I-9 forms and identification documents
Performance reviews
Disciplinary actions
Employee Health and Safety
OSHA logs
Injury/illness investigation reports
Worker comp reports
Relocation information
Immigration documents
Expatriate agreements
Consolidated Omnibus Budget Reconciliation Act (COBRA) of 1985
Pre and post employment documents:
Employment verifications from outside agencies
Criminal background checks
Previous employment history
Verification of education
Reference checks
Employee training records
COMPANY POLICIES AND PROCEDURES
All documented company policies and procedures related, either directly or indirectly, to the employment relationship between the company and its employees including, but not limited to:
Employee handbook
Employment related posters
Performance review policy
Corporate travel policy
Expense reimbursement policy
Mobile phone policy
BENEFITS
All financial and non-financial employee benefits documentation including, but not limited to, the following:
Medical plan
Summary plan descriptions (SPD)
Plan enrollment forms for all enrollees.
Plan opt-out forms
Dental plan
SPD
Plan enrollment forms for all enrollees.
Plan opt-out forms
COBRA
Administrative documents
Third party administrative agreements
COBRA notification letters
401(k)
Full documents and descriptions
Third party administration agreements
Annual discrimination test results including ADP, ACP, Multiple Use, and Top Heavy
Plan enrollment forms for all enrollees.
Plan opt-out forms
Employee Stock option plan
Policy and administrative documentation for any other financial and non-financial employee benefit plans not listed above
PAYROLL
This is not a payroll audit. This portion of the Assessment will relate exclusively to documentation of payroll actions only.
Vacation and time off forms submitted
Vacation accrual data
Bonuses paid
Commission payments
All documentation relating to changes in the following:
Wages and salaries
Wage and Hour status
Employment status401(k)
HIRING PRACTICES
Assessment of the policies, forms and processes centered on recruitment and on-boarding:
Processes and documentation for checking:
Candidate references
Candidate/employee criminal background
Candidate education
Candidate employment history
Candidate/employee credit history
Current employment application
Staffing process
Recruiting Process
Pre employment testing
Pre employment physicals
Employment Requisitions
Templates for employment offers, agreements and contracts
New hire start package (forms/documentation)
Declined employment offers (for the last two years)
TEMPORARY AND CONTRACT PERSONNEL
This portion of the Assessment is designed to confirm proper classification of temporary and contract personnel under current Internal Revenue Service (IRS) AND State Franchise Tax Board (SFTB) guidelines.
Contracts and agreements for all;
Temporary agencies
Contractor agencies
Independent contractors and consultants
Staffing process
List of all current and past (within the last 2 years) contract and temporary personnel including:
Positions
Unit/department/region assigned
ORGANIZATIONAL DEVELOPMENT
This portion of the Assessment focuses on organizational effectiveness and how well the company communicates across the organization at a strategic and tactical level, how well the company develops individual employees, and to what degree the company plans for future growth and succession.
Organizational Alignment
Corporate Communications
Succession Planning Employee training and development
