It is a necessity that when you run a business, you must be able to comply with the rules that govern the industry you are in. This comes with submitting certain documents and getting special permits in order to operate. This rings true for your personnel and employees as well. One of the most common lawsuits filed concerns an employee versus his or her employer.
This is why a company’s HR department should be able to comply with the rules that govern the state in regards to the proper way of handling and managing employees. This can help keep the organization from facing lawsuits alleging that it’s violating the law, and for those tasked with this responsibility, an HR compliance checklist is a great tool that can help simplify the process. To learn more about this let us discuss this further below. If you need help preparing this checklist, we’ve got a list of HR compliance checklist samples that are downloadable for free on this page.
10+ HR Compliance Checklist Samples
1. HR Resources Compliance Checklist
2. HR Compliance Standars Checklist
3. HR Audit Compliance Checklist
4. Basic HR Audit Compliance Checklist
5. End-Of-Year HR Compliance Checklist
6. New Year HR Compliance Checklist
7. Payroll HR Compliance Checklist
8. HR Compliance Checklist for Ontario Employers
9. HR Compliance Checklist Hiring Practices
10. HR Compliance Onboarding Checklist
11. Investigative HR Compliance Checklist
What is an HR Compliance Checklist?
The art of managing employees can be complicated and tedious at times. Most especially if you are required to handle more than a hundred staff. That being said, certain rules and regulations apply to protect not only the employees but the employer as well. Every business must work by a set of rules governing hiring, promotions, firing, and other personnel-related matters. Some of these are imposed by local, or the national state, and some are less directly related to specific laws. This is why complying with these rules and laws is important if not you would risk ruining the business and are unable to further operate. To ensure these rules are followed, an HR compliance checklist is a handy tool that will help and guide the team, making sure they have everything covered.
There are so many factors to consider when it comes to complying with government laws and even the company’s own policies, which is why you need a checklist to write everything down. Also depending on what type of industry your business is currently in, this also has its own set of rules when it comes to employee management.
How To Prepare an HR Compliance Checklist
A checklist can be used for personal or business matters, as this tool is quite handy when there is a need to remember what to do, making sure you get the tasks done efficiently. Since something as important yet complex as HR compliance needs careful attention, there is a necessity to have an HR compliance checklist on-hand. So what do you need to include in this checklist? Let us discuss this below.
I. Laws and Policies
First, you need to identify what kind of rules, laws, and policies apply to your current business when it comes to managing personnel. There are laws that govern all types of business, and then there are some that are exclusive to the industry your business is in. Once you are able to organize these, then you are able to slowly build up your list.
II. Organizing the Checklist
Since there are a handful of components you need to consider, it’s best to break these down into categories. Here are the major details that should be more or less included in the checklist.
- Hiring practices which are recruitment and interviewing
- Health, safety and security
- Employee handbook
- HR policies and procedures
- Labor and employment laws
- Employee benefits and payroll compliance
- Policies regarding sexual harassment, bullying, and drugs
- Termination and retirement
- Conflict resolution
- Employee training and development
There may be others you need to include in the list, make sure to do your research and check which is applicable in your industry.
III. Under Each Category
After breaking down each category, break this down further and list down the details which fall under each category. For example, when it comes to hiring employees there are several things you need to go over such as preparing job postings, screening potential employees, setting up interviews and many more. Basically, each category also has its own individual tasks that need to be accomplished.
IV. On Preparing the Checklist
Preparing the checklist works best when you use our templates, or if you want to personalize the checklist to fit your company’s standards, then you may opt to open up a Microsoft Excel file and start from there.
V. Setting Priorities
It is important to regularly go over your list, and make sure that you are able to address each issue one by one. Remember, an HR compliance audit ensures the company or organization is, in fact, in compliance with applicable laws and regulations. So if you tend to miss something, this may affect your company’s operations.
What are the risk and penalties for non-compliance?
Depending on the rules and laws of your state, your company may be subjected to hefty penalties, legal action or worst case scenario you might be instructed to temporarily seize operations.
What is compliance auditing?
Compliance auditing is the process of ensuring that a business organization has complied with the laws, rules, and regulations governing its business. Without it, you may risk a lot of things, internally and externally. The business could be penalized, sued, or even closed.
Is HR Auditing compulsory?
It may not be compulsory, but it is recommended so that the team is able to identify their weakness and what they may lack.
With an HR compliance checklist, you and your team will be able to identify and check what your business lack and what you need to accomplish to make sure you are able to properly manage the employees within the organization.
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