HR Compliance Checklist: A Guide for Business Owners

June 9, 2021 | Iowa Businesses Show Resilience During Pandemic Audrey Faber, Human Resources Generalist, Focus One Source,

A Human Resource (HR) compliance checklist is a great tool to have around to keep business practices compliant. When it comes to HR, "too safe" does not exist. Labor laws are constantly evolving, and growing business owners need to keep up with these changes.

Employee Handbook - This is the best way to communicate expectations to employees and keep everyone on the same page when it comes to policies and

procedures. Here are a few fundamental aspects that you should include:

  • Handbook Acknowledgement
  • At-Will Employment Policy
  • Code of Conduct
  • Benefits
  • Additional topics to keep in mind: leave of absence, overtime, parental leave, and more.

Employee Onboarding - The initial interview and hiring process should be included in your compliance checklist.

Hiring Process - Review job application forms, job descriptions, offer of employment letter templates, any applicable contracts, and the overall onboarding process. Keep these documents and procedures up to date with internal changes and laws and regulations.

I-9 Form - Every employee should have a completed I-9 in their records. This document is kept separate from the employee's personal file.

Personnel File - A personnel file is a folder used for storing employee-specific HR documents.

  • Include: the employee's application, any recognition, or disciplinary notices they have received, and copies of their performance reviews.
  • Do Not Include: any private or personal information regarding the employee, any information about their background checks, or any drug screens.

Laws and regulations are constantly changing, which means keeping up with internal business practices is critical. Use this as a starting point when creating an HR Compliance checklist for your business.