HR Compliance Checklist

This HR Compliance Checklist helps small businesses plan their compliance policies by covering labor laws, health and safety acts, employee handbooks, and more.

HR Compliance Checklist



Create A Staffing Plan

1. Do you have the right number of people with the right skills, in the right positions?


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Employee Handbook

1. Do you have the right number of people with the right skills, in the right positions?


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Compliance Issues

1. Does your company fully comply with the Fair Labor Standards Act (FLSA)?


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2. Does your company fully comply with USCIS regulations for verifying employment eligibility?


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3. Does your company have required documented and communicated leaves available for all staff including necessary special leaves for military and emergency fire fighters?


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4. Does your company fully comply with the Civil Rights Act and Title VIl?


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5. Does your company ask illegal questions during the interview process? during employee relations investigations?


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6. Does your company fully comply with the Occupational Safety and Health Act (OSHA)?


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7. Does your company comply with the Health Insurance Portability and Accountability Act (HIPAA)?


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8. Does your company comply with the Age Discrimination in Employment Act (ADEA)?


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9. Does your company comply with ever changing ACA requirements including COBRA?


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Onboarding & Recruiting

1. Do you have an Offer Letter, Employee Information for Payroll, I-9 Employment Verification, Equity Paperwork, and Any Employment Agreements (non-compete, intellectual property, etc.)?


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Regulations Preparedness

1. Do you have a company wide Regulations Outline for Compliance, Safety, and Health?


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Compensation & Benefits

1. Do you have a company pay structure and benefits that are competitive and fair? (Some benefits are voluntary and some are required by law.)


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Performance Management

1. Has your business developed Training Programs and Performance Management Methods?


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Audit Preparation

1. Is your policy information (recruitment, benefits, salary structure, employee relations, etc.) and documents (organizational strategy, safety plan, personnel files, performance evaluations) up-to-date?


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Safety Training

1. Are all your employee’s forklift training up-to-date and in a safe place that is easy to access in case of an OSHA inspection?


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2. Do you have a safety consultant to do regular safety walk-throughs?


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Employee Policy

1. Do you have clear rules and up-to-date policies for employee conduct and responsibility?


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OLCC Compliance

1. Are you compliant with alcohol management training for all staff and do you have OLCC permits on file?


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MSDS Compliance

1. Are your chemicals stored and labeled properly and your Material Safety and Data Sheets (MSDS) up-to-date?


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Job Descriptions

1. Do you have written job descriptions on file for each employee?


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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