The Human Resources Compliance Checklist: What You Need To Know About

Human Resources Compliance Checklist

The Human Resources Compliance Checklist: What You Need To Know About

Rochelle van Rensburg | Oct, 6 2020

Human-resource managers use an HR policy checklist to plan for an HR audit. Government agencies need structured HR audits, but organizations may benefit from annual audits, as well.

Those advantages include:

  • Keeping the business compliant with employment laws.
  • To design manuals to recruit and retain staff, and to help them achieve superior efficiency.
  • Improves the credibility of the firm.
  • Ensuring that the company processes yield results.
  • Ensuring that the organization incorporates best practices for its policies.

Let’s take a closer look at what needs to be included in a human resources compliance checklist.

Interviewing and Hiring

The HR checklist should provide information on hiring and interviewing new staff, and updating the current application form and any existing job requirements. Significant focus should be put on compliance with the Americans with Disabilities Act and the Fair Employment and Housing Act.

This checklist should also emphasize defining at-will employment. It should detail the interview protocols about the relevant issues and who is performing the interviews. Lastly, the recruiting and interviewing section should evaluate how the organization validates references in compliance with employment law.

Procedures for Recruiting

The checklist may include checking the offer documents, contracts, and new-hire orientations under recruiting procedures. It should provide a review of records issued upon hiring, with particular focus on Title VII, which relates to prejudice against workers on the grounds of religion, sex, ethnicity, national origin, or color, as well as the Age Discrimination in Employment Act.

Safety Section

Employers must ensure compliance with the Occupational Safety and Health Act requirements and report any other workplace safety problems. For example, for businesses using chemicals, the safety checklist must include techniques for chemical protection and legally approved hazard communications. It should also have a provision to inspect the physical environment to ensure the wellbeing of staff and customers is emphasized.

Procedures and Policies

The checklist should include reviewing the handbook for employees and the policies and practices for the company. A re-evaluation analysis helps to ensure that the business meets all federal and state employment laws.

These regulations contain the following:

  • Health benefits
  • Pregnancy disability benefits and leave
  • Family and health leave
  • COBRA and jobless opportunities

The HR checklist should also note when evaluating these policies:

  • Rehabilitation services
  • Requirements for drug and alcohol-free workplaces
  • Ergonomics issues
  • Equal pay

Human Resources

I-9 Forms

For every employee, the company should have a completed I-9 on record, apart from the regular employee record. This form, which is filled out when recruiting a new employee, requires that you review and record their records for verification. Copies of these documents must be made and added to the latest edition of I-9 through August 31, 2019.

Social Networking

Businesses should establish a policy of social networking at work which includes some of the following guidelines:

  • Supervisors and administrators should not look at the personal social media accounts of their employees.
  • The social media posts of staff members are secured — even when they are critical towards management.
  • During working hours, social networking sites should be banned.
  • NLRB regulations advise employers not to dictate to staff what they can or can not post on social media.
  • Supervisors should be discouraged from using social media sites to “like” or “follow” staff.

Employee Handbook

The employee handbook of a company should provide instructions required for all employees. It is the core document for staff regarding their employment and human resources concerns. All the following provisions should be discussed comprehensively in the employee manual.

The Equal Employment Opportunity policy should adhere to all federal, state, and local regulations and should be reviewed frequently.

The checklist should include the following dress code- related guidelines:

  • Intense hair color
  • Extreme body piercings
  • Distracting hair color
  • Aromas and scents that may annoy staff or customers

Policies on the use of mobile phones may include:

  • Photographs taken during working hours.
  • Mobiles programmed to vibrate during operating hours.
  • Security problems surrounding mobile phones like speaking or text while driving.

You could also have workplace posters prominently displayed in the office alongside the employee handbook. According to federal law, you should have at least six copies of all required posters

Sexual Harassment, Bullying, and Drugs

Your organization should provide mandatory training to all managers and staff on sexual assault. Your business should take a firm stand against harassment too. Bullying may occur at work or in cyberspace and could be emotional or physical. The organization should provide a system for staff to report any form of bullying anonymously.

In addition, you can introduce a Drug-Free Workplace Policy to help lower the workers’ compensation premiums and to avoid or address substance problems in the workplace.

DiSC Program

Implementation of a DiSC personality evaluation software helps you to attract the best employees by assessing whether candidates are:

  • “Type A”
  • People-oriented
  • Hard-working
  • Detail-oriented
  • Multitaskers

Checklist for Affirmative Action, EEO, and Veterans

If you have federal government contracts of at least $50,000, and more than 50 personnel, and you are covered by Affirmative Action and must maintain your Affirmative Action plan annually.

As of 2017, you must file statements about EEO-1 and VETS 4212.

EEO-1 reports are due March 31, 2018, and emphasize on the need to contain payment information from W-2 forms.

The Vietnam Era Veterans’ Readjustment Assistance Act necessitates VETS 4212 reports by September 30 every year. Companies are required to send this report if they fall into one the following classifications:

  • The company has 50 staff members and an Affirmative Action Plan
  • The organization has at least 100 employees

Service Hours

The Department of Labor defines working time as any hours during which a staff member is working. Employers must pay workers for this time, even if it was unapproved. This could include food, travel time, overtime, home-work, and any other time spent performing job duties.

Develop a mobile policy for home use for work purposes, even when work is not planned. Have a system whereby employees can reliably monitor the amount of time they spend working and be aware of when employees are on the clock.

Some staff members are considered exempt, and if they do any job, they must earn a paycheck every week. Make sure that the workers are appropriately listed as exempt or non-exempt.

Executive Education

The organization should provide management training, with the following issues in mind:

  • Diversity and Abuse Awareness
  • Performance reviews
  • Handling difficult staff
  • Counseling and dismissing employees

Unemployment Benefits

Employees who are dismissed during the interim period, usually 90 days, are do not qualify for unemployment benefits. Those who are dismissed for behavior reasons or leave without cause are also disqualified from unemployment pay. However, staff members who are dismissed for performance reasons will typically receive benefits.

Want to learn more about the Human Resources Compliance Checklist?

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