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The HR Checkup Laundry List
Following are the areas covered in the typical Level 5 HR Checkup:


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


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


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
    • 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


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)


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)


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


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
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Level 5 Advantage, Inc. © 2011


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