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Download the Compliance Checklist Template that has been designed to examine even the basic compliance expectations. The HR manager would read through all of the questions in all of the categories. Depending upon how the questions are honestly answered the HR manager will know what changes must be made to remain in compliance. Be certain to note those areas that may not be in compliance so that they may be properly and immediately addressed.

How To Write

Step 1 – Section 1 – Management –

  • This section will address and questions with regard to management compliance
  • Answer the questions provided with regard to management to see if your organization is in compliance in this department –

Step 2 – Section 2 – Hiring –

  • This section will question hiring practices within the company or organization
  • Answer all of the question with regard to the hiring practices of this organization to provide assurance of compliance (note questionable possibilities)

Step 3 – Section 3 – New Employees –

  • This section will address the compliance issues for new employees such as policy communications, employee handbooks, orientations and much more
  • Read through and answer the list of New Employee compliance policies

Step 4 – Section 4 – Wages and Hours

  • This section will ask questions with regard to compensation level monitoring, exempt/nonexempt employees, time documentation and much more.
  • Read and answer all of the questions in this section and make any notes that may be critical to remaining compliant in this department

Step 5 – Section 5 – Benefits

  • This section will ask about benefits and notices with regard to information about COBRA, FLMA act, are plan documents in compliance with ERISA?
  • Answer this group of questions to be certain that the benefits department is and/or remains in compliance with federal laws and protections for employees to include management

Step 6 – Section 6 – Employee Relations –

  • This section will question employee relations information regarding subjects such as performance evaluations,  performance compensation, abilities for employees to safely lodge complaints, whistle blower policies
  • Read and make note of anything that could possibly violate employee rights as well as company rights to protect the organization

Step 7 – Section 7 – Safety and Security –

  • In this section, questions will be posed with regard to reporting safety hazards, measures to prevent intruders, proper and prompt reporting of illnesses and injuries
  • Read and answer the questions in this section to determine whether or not proper precautions are being taken to protect the people within the company while they are working on the premises

Step 8 – Section 8 – Discrimination and Employee Rights

  • It is vital that this section is not only answered precisely but monitoring is necessary to protect employees and the organization itself. Read all of the questions, if any of the policies are nonexistent or questionable, notes must be made and reported to administration immediately to be certain that compliance is vigilantly in place

Step 9 – Section 9 – Worker’s Compensation –

  • This section will address how the company handles worker’s compensation insurance is available and that all injuries and incidents are fairly and properly investigated
  • Read all information and answer honestly. If there are questionable practices, make note and report to administration or to whomever would correct any issues with worker’s compensation issues

Step 10 – Section 10 – Employee Separation

  • This section will look at how retiring or terminated employee policies are in lawful order.  It will address COBRA notice, exit interviews and timely final compensation
  • Answer the questions in this section to ensure company compliance

Step 11 – Section 11 – Record Keeping and Other Documentation –

  • The final section will address current personnel files. labor poster placement, updated posters and required employee document retention.
  • Read the questions and answer – if there are any discrepancies im compliance policies or if there are no documentation policies in place, make note and notify the appropriate person for corrections