• HRx

Mid-Year HR Compliance and Checklist Check-Up

So here we are, about to close in on completing complete our 5th month of business for 2019. Is it just me, or does time really seem to go by faster than it ever did before? Things certainly aren't slowing down, that is for sure. We work to keep up with the pace of change by organizing and staying one (or two, if we are really on top of things) steps ahead. In order to stay ahead and keep our heads above water, we are focusing on HR audits.


If you ask the folks in human resources, compliance is about one of the least favorite tasks for any HR professional, but here at HRx, we kind of like the audit season. It is a time where we can work through what we had done did in the past, and review our the practices we are currently using. We can focus on the areas that we have up and coming coming up which need to be addressed for mid-year compliance tasks.


For that reason, here is a quick snapshot of some areas for HR compliance items coming up, and some good HR audits to consider reviewing.







Compliance Checklist Items:


5500 Filing (normal filing 7/31/2019 for calendar year plan, but with extension 10/15/2019)

When is the Form 5500 due? The Form 5500 must be filed within 7 months of the close of the PLAN year.

  • It is possible to extend this due date by an additional 2 1/2 months by filing Form 5558 with the Internal Revenue Service, prior to the due date of the Form 5500.

  • A Summary Annual Report (SAR) must be distributed to plan participants within nine (9) months after the close of the plan year.

  • A copy of the Form 5500 must be provided to participants upon written request.


PCORI Fee - Self-Funded Groups (7/31/2019)

The Patient-Centered Outcomes Research Institute (PCORI) fee supports the Patient-Centered Outcomes Research Trust Fund, which will conduct comparative effectiveness research. 

  • Self-funded plans established and maintained by an employer or employee organization to provide accident and health coverage are subject to the fee. There are certain exceptions.

  • Health FSAs and HRAs are subject to the fee, unless they qualify as "excepted benefits."

EEO-1 Filing Requirements – (5/31/19 Part 1 and 9/30/19 Part 2)

  • EEO-1 filers (employers with 100 or more employees and federal contractors with 50 or more employees each year) should begin preparing to submit Part 2 data for calendar year 2017, in addition to data for calendar year 2018, by September 30, 2019, in light of the court's recent decision in National Women's Law Center, vs. Office of Management and Budget. (according to EEOC)

  • Filers should continue to use the currently open EEO-1 portal to submit Component 1 data from 2018 by May 31, 2019.


"Ban the Box" legislation for State of CO


Criminal history information - limits on advertisements and applications - permissible uses. (a) ON AND AFTER SEPTEMBER 1, 2019, AN EMPLOYER WITH ELEVEN OR MORE EMPLOYEES, AND ON AND AFTER SEPTEMBER 1, 2021, ALL EMPLOYERS, SHALL NOT:

  • (I) STATE IN AN ADVERTISEMENT FOR AN EMPLOYMENT POSITION THAT A PERSON WITH A CRIMINAL HISTORY MAY NOT APPLY FOR THE POSITION;

  • (II) STATE ON ANY FORM OF APPLICATION, INCLUDING ELECTRONIC APPLICATIONS, FOR AN EMPLOYMENT POSITION THAT A PERSON WITH A CRIMINAL HISTORY MAY NOT APPLY FOR THE POSITION; OR

  • (III) INQUIRE INTO, OR REQUIRE DISCLOSURE OF, AN APPLICANT'S CRIMINAL HISTORY ON AN INITIAL WRITTEN OR ELECTRONIC APPLICATION FORM.

(b) AN EMPLOYER MAY OBTAIN THE PUBLICLY AVAILABLE CRIMINAL BACKGROUND REPORT OF AN APPLICANT AT ANY TIME.


HR Focused Audit Checklists:

  • I-9 Audits

  • Employee File Audits

  • Record-keeping Audits

  • Handbook Review

  • Policy and Procedure Review

  • Job Description Review

  • Compensation Bench-marking


This is by NO means an all-inclusive look, but instead some good reminders and things to keep in mind as we roll into our 3rd Quarter. Give us a shout if you have any questions around any of these areas, OR if you have some good audits you perform, we would love to learn about those as well!

25 views

Phone: 970-372-7885 | 303-668-8899

Email: hr@hrxservices.com