Documenting and communicating various aspects of the employment relationship can feel daunting for small businesses, especially when HR isn’t a full-time function. However, maintaining and using the right forms and policies can help reduce costly mistakes, demonstrate compliance, and create a more consistent employee experience as a business grows. The following are some essential forms and policies to consider.
KEY POINTS
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Which HR forms are considered must-haves for employers?
Employers must maintain certain forms to comply with federal, state and local laws, and to help administer HR policies and practices. Here are 14 types of forms for your workplace.
1. Employment applications
These forms provide a consistent way to collect applicant information and can help support fair hiring practices. Be sure to review these forms regularly to ensure they comply with applicable laws and best practices. For instance, several state and local jurisdictions have prohibited employers from asking about pay history and certain other information on application forms.
2. Offer letters
This correspondence documents key employment terms. In the offer letter, include the job title, supervisor, location, work hours, starting pay, and an abbreviated summary of benefits. Additionally, clearly state the conditional nature of the offer and identify any contingencies that could lead to withdrawal, such as results of a background check, drug testing, references, and/or the individual's inability to demonstrate work eligibility. Also, make clear that the offer letter shouldn’t be considered an employment contract.
3. Emergency contact forms
An emergency contact form lets you know who to contact in the case of an emergency. This form should be completed within the employee's first few days of work. Capture contact details and emergency information without relying on informal records.
In California, employers must provide each employee with an opportunity to name an emergency contact for situations in which they are arrested or detained at the worksite, during work hours or while otherwise performing job duties. Employers must provide this opportunity to new employees at the time of hire.
4. Tax withholding forms (e.g., Form W-4)
All new employees must complete a federal Form W-4. This form tells the employer how much federal income tax to withhold from the employee's pay. Some states also require a tax withholding form. Check your state law to ensure compliance. Employers should ask each new hire to complete a W-4 by the end of the employee's first day of work. Withholding forms are often updated on an annual basis, so make sure you are using the latest version.
5. Form I-9
Under federal law, all employers must ensure that a Form I-9 is timely and properly completed for each employee hired after November 6, 1986. The form is used for verifying the identity and employment authorization of individuals hired for employment in the United States. Section 1 of the form must be completed by the end of the employee's first day of work for pay. Section 2 of the form must generally be completed within 3 business days of the employee's start date.
6. Direct deposit authorizations
In most states, direct deposit is permitted only if the employee voluntarily authorizes it. Typically, the employee's consent must be in writing. If you use the RUN Powered by ADP® platform, you can allow your employees to update their own direct deposit information via Employee Access®.
7. Receipt of company property form
If you provide employees with equipment, tools or other company property, use this form to document what was provided to the employee. This can help ensure that all property is returned and accounted for at the time of separation.
8. Handbook acknowledgments
After providing new hires with a copy of your employee handbook , ask them to sign a form acknowledging that they have received, understand and are responsible for complying with all company policies. Make sure you give employees enough time to read and ask questions about the handbook before they are required to sign the acknowledgment form. Obtain signed acknowledgments when you first issue the handbook, at the time of hire for new employees, and whenever you make changes to the handbook.
9. Leave requests
When possible, ask employees to submit requests for leave in writing. In some situations, employers may also request certification of the need for leave. Where leave is required under law, the government agency responsible for enforcement may provide sample forms. For instance, the Department of Labor provides sample forms for leave requests covered by the Family and Medical Leave Act (FMLA).
10. Reasonable accommodations requests
Under the Americans with Disabilities Act and Title VII of the Civil Rights Act, employers must provide reasonable accommodations to qualified applicants and employees with a disability, or sincerely held religious beliefs and practices, unless doing so would cause an undue hardship on the business.
Some states have similar requirements that apply to smaller employers, and certain states have laws that require accommodations in additional circumstances, such as when an employee has a pregnancy-related condition. While employees aren't required to make these requests in writing (or even use the term "reasonable accommodation"), make sure you thoroughly document the request, any follow-up discussions, and the resulting accommodation.
11. Performance and discipline documents
Document all performance and disciplinary events, whether positive or negative. This includes annual performance reviews, rewards and recognitions, promotions, and disciplinary action, including written and oral warnings, and performance improvement plans. Make sure you have multiple avenues by which employees can submit complaints, including a complaint form.
12. Training and development record-keeping records
Employers should thoroughly document all training activities and retain records of employee attendance at all completed trainings. Records should include the name of the employee, the date of training, the type of instruction and the training provider.
13. Reimbursement requests and business expense forms
If employees travel for work, or incur other business-related expenses, instruct them to maintain an expense log and submit reimbursement requests in writing. With some employees continuing to work remotely, you may want to review your reimbursement policy to make sure it accounts for any additional business expenses that employees may incur.
14. Separation notices and termination-related forms
The termination process is a delicate one for employers. Not only is there the human factor that makes it difficult to let someone go, but it also comes with risk of complaints and potential lawsuits. To help promote consistency, consider using a guide to help manage the process and ensure that you follow all appropriate steps, including documenting the reason for separation, complying with final pay requirements, providing the employee with benefits information, furnishing state-required required separation notices and forms, and ensuring the return of company property.
Which policies are considered must-haves for employers?
One of the key steps to creating an effective employee handbook is determining what policies to include. Some laws require employers to provide information to employees via a written policy. Policies are also important for communicating company expectations and requirements. Here are nine policies that are considered must-haves for employee handbooks.
1. "At-will" employment statement
This statement reiterates that, absent certain exceptions such as an express or implied contract or public policy, either you or the employee can terminate the employment relationship at any time and for any reason, as long as the reason is a lawful one. It's a best practice to prominently display this statement in the beginning of your employee handbook (except in Montana, where at-will employment isn’t recognized). Reinforce at-will status in your handbook acknowledgment form as well.
2. Anti-harassment policy
A growing number of jurisdictions are requiring employers to maintain a written policy on preventing harassment in the workplace. Keep in mind that your state or local law may require specific information to be included in the policy, such as how employees may file complaints with the state or local agency. Even if your jurisdiction doesn't require a written policy, it's a best practice to have one.
3. Nondiscrimination policy
Federal, state and local laws prohibit employers from discriminating against applicants and employees on the basis of certain protected characteristics, such as age, race, sex, and religion, among others. Some jurisdictions require a policy addressing discrimination. Even in the absence of a requirement, it's a best practice to have a policy that includes all characteristics protected under federal, state and/or local laws.
4. Employment classification policy
It's a best practice to clearly define employment classifications, such as full-time, part-time, exempt or non-exempt, since an employee's classification can dictate eligibility for benefits and overtime pay.
5. Leave and time off benefit policies
These policies address company rules and procedures related to holidays, vacation, or leave required by law (such as sick leave, voting leave, family leave, and domestic violence leave). Some leave laws may require a written policy. Check your state and local law to ensure all leave requirements are included in your employee handbook.
6. Meal and break period policy
A policy on meal and break periods informs employees of the frequency and duration as well as any rules or restrictions related to break periods. Rest periods, lactation breaks, and meal periods must be provided in accordance with federal, state and local laws.
7. Timekeeping and pay policies
Among other the things, the policy should direct non-exempt employees to record all of the time they work and expressly prohibit off-the clock work (however, if employees do perform off-the clock work, you must pay them for this time). Require non-exempt employees to confirm their work hours at the end of each pay period and inform them that they should report any errors in their time record immediately.
A policy on paydays should let employees know the frequency of paydays (this frequency must comply with state law), the methods available for receiving pay, and any special procedures for when a payday falls on a holiday or when an employee is absent from work.
8. Employee conduct, attendance and punctuality policies
Attendance policies make it clear that employees must be ready to work at their scheduled start time each day and provide procedures for informing the company of an unscheduled absence or late arrival. It's also a best practice to have policies on standards of conduct, drug and alcohol abuse, disciplinary action, confidentiality, conflicts of interest, and workplace violence.
9. Reasonable accommodations policies
Under the Americans with Disabilities Act, Pregnant Workers Fairness Act and Title VII of the Civil Rights Act, employers must provide reasonable accommodations to qualified applicants and employees with a disability, pregnancy, or with sincerely held religious beliefs and practices, unless doing so would cause undue hardship.
Some states have similar requirements that apply to smaller employers, and some states and local jurisdictions have laws that require accommodations in additional circumstances. Some of these laws also require employers to have a written policy on reasonable accommodations. It’s a best practice to have a policy in your handbook even if it isn't required.
Conclusion
With federal, state and local laws and your particular business needs as your guides, make sure you carefully consider which HR forms to use and which policies to include in your employee handbook.
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