HR Document Checklists
The Human Resources division in an organization typically deals with a wide range of compliance and regulatory related documents. Majority of the documents and their records keeping needs are driven by key contexts around the State and Country where the organization is located, The Industry associated with the firm, and the nature of business being performed, among other aspects.
Few of the most widely used documents for organizations operating in the US are outlined and summarised in the form of Checklists that can be readily leveraged by HR personnel for their utilization.
Pre-Employment Documents
● Job Description: This document outlines the job duties, responsibilities, and qualifications for a specific role and position.
● Application Form: Captures applicant information for screening.
● Resume and Cover Letter: Applicant documents showcasing their skills and experience.
● Background Check Authorization: Permission to conduct background checks.
● Reference Check Forms: To gather information on past performance.
Employee Onboarding Documents
● Offer Letter: Details the position, compensation, and start date.
● New Hire Forms: Capture personal information, emergency contacts, tax withholdings, etc.
● Employee Handbook: Provides company policies, benefits, and expectations.
● Benefits Enrollment Forms: Allow choices for health insurance, retirement plans, etc.
● Non-Disclosure Agreement (NDA): Protects confidential company information.
Employment Documents
● Performance Reviews: Regular evaluations of employee performance.
● Disciplinary Action Records: Document any disciplinary actions taken.
● Salary Review and Promotion Documents: Records of salary changes and promotions.
● Training Records: Track employee participation in training programs.
● Time Off and Leave Requests: Track vacation days, sick leave, etc.
Separation Documents
● Resignation Letter: Formal notification of an employee's resignation.
● Termination Notice: Outlines the reason for employment termination.
● Severance Agreement (if applicable): Details separation terms and compensation.
● Exit Interview Questionnaire: Gathers feedback from departing employees.
● Benefit Continuation Forms: Options for continuing health insurance after leaving.
Compliance Documents
● I-9 Form: Verifies an employee's eligibility to work in the US.
● Tax Withholding Forms (W-4): Determine federal income tax withholding.
● Other Regulatory Forms: Depending on location and industry, there may be additional mandatory documents.
If an organization is located in the State of California, the California State’'s strict employment laws can add some more specific documentation requirements to the standard HR checklist listed above.
A revised checklist is shown here with specific adherence to California State regulatory needs.
Pre-Employment
● All the standard documents mentioned previously.
● Required State Posters: California mandates displaying workplace posters on various topics like minimum wage, harassment, and meal breaks https://www.dir.ca.gov/wpnodb.html.
Employee Onboarding
● Required State Pamphlets: New hires must receive pamphlets on topics like sexual harassment, disability insurance, and paid family leave https://www.shrm.org/in/topics-tools/tools/forms/california-new-hire-notices-checklist.
● California Withholding Certificate (DE 4): Needed alongside the federal W-4 form for state income tax withholding https://edd.ca.gov/siteassets/files/pdf_pub_ctr/de4.pdf.
Employment
● Meal & Rest Break Acknowledgment: Documents employee understanding of California's mandated breaks https://www.dir.ca.gov/dlse/faq_mealperiods.htm.
● State Leave Request Forms: Track usage of California-specific leaves like pregnancy leave or kin care leave https://www.shouselaw.com/ca/labor/leave-laws/kin-care-leave/.
Separation
● All the standard documents mentioned previously.
Compliance
● California Employer Identification Number (EI Number): Required for state employment tax purposes https://edd.ca.gov/en/payroll_taxes/public_entity_employers/.
Additional Reference
● California Chamber of Commerce HR Forms and Checklists: https://hrcalifornia.calchamber.com/
