Check adherence to working hours and overtime regulations
6
Inspect record-keeping of employee leaves (sick, vacation, maternity, etc.)
7
Evaluate termination procedures and any outstanding unemployment claims
8
Examine safety and health policies
9
Review measures for preventing and addressing harassment and discrimination
10
Approval: Compliance Officer to review gathered data
11
Check compliance with federal Equal Employment Opportunity laws
12
Review compliance with Americans with Disabilities Act (ADA) regulations
13
Inspect adherence to Family and Medical Leave Act (FMLA) laws
14
Evaluate wage law compliance (Fair Labor Standards Act - FLSA)
15
Review health and retirement benefits under Employee Retirement Income Security Act (ERISA)
16
Analyze compliance with Occupational Safety and Health Act (OSHA)
17
Approval: Manager to review compliance findings
18
Prepare audit report
19
Discuss audit findings and recommend action steps with relevant management team
Compile a list of employees
Gather information about all employees in the organization. This task is crucial for the HR compliance audit checklist as it provides the foundation for all other tasks. The desired result is to have a comprehensive list of employees with accurate and up-to-date information. You may encounter challenges such as missing or incomplete employee records. In such cases, reach out to relevant departments or individuals to gather the necessary information. Required resources: HRIS system, employee records, contact information.
Confirm the correct classification of each employee as either exempt or non-exempt, and contractor or permanent. This task ensures compliance with employment laws and regulations. The desired result is to accurately classify all employees. You may encounter challenges related to misclassification or ambiguous job roles. Consult with relevant departments or legal advisors to resolve any uncertainties. Required resources: Employee list, job descriptions, legal expertise.
1
Exempt
2
Non-exempt
1
Contractor
2
Permanent
Gather employment contracts and agreements
Collect and review the employment contracts and agreements for all employees. This task ensures compliance with legal and contractual obligations. The desired result is to have all relevant employment documentation readily accessible for review. Potential challenges may include missing or outdated contracts. In such cases, reach out to the HR department or legal advisors to obtain the necessary documents. Required resources: Document management system, HR department, legal expertise.
Review compensation and benefits packages
Evaluate the compensation and benefits packages offered to employees. This task aims to ensure compliance with relevant laws and industry standards, as well as employee satisfaction. The desired result is to have a comprehensive understanding of the compensation and benefits provided. Potential challenges may include complex compensation structures or discrepancies in benefits. Consult with the HR department or compensation specialists to clarify any uncertainties. Required resources: Compensation and benefits documentation, HR department.
1
Health Insurance
2
Retirement Plan
3
Paid Time Off
4
Flexible Spending Account
5
Employee Assistance Program
1
Tuition Reimbursement
2
Company Car
3
Stock Options
4
Childcare Subsidy
5
Fitness Subsidy
Check adherence to working hours and overtime regulations
Ensure compliance with working hour regulations and proper management of overtime. This task aims to prevent violations and protect employee rights. The desired result is to confirm adherence to working hour limits and appropriate compensation for overtime work. Potential challenges may include inaccurate time tracking or inconsistent policies. Consult with the HR department or payroll specialists to address any discrepancies. Required resources: Time tracking records, HR department, payroll system.
Inspect record-keeping of employee leaves (sick, vacation, maternity, etc.)
Review the record-keeping procedures for employee leaves, including sick leave, vacation leave, maternity leave, and other types of approved absences. This task ensures compliance with leave policies and regulations. The desired result is to have accurate and well-documented leave records for all employees. Potential challenges may include incomplete or improperly documented leave requests. Consult with the HR department or leave administrators to address any issues. Required resources: Leave records, HR department, leave management system.
1
Sick Leave
2
Vacation Leave
3
Maternity Leave
4
Paternity Leave
5
Personal Leave
Evaluate termination procedures and any outstanding unemployment claims
Assess the termination procedures followed by the organization and review any outstanding unemployment claims. This task ensures compliance with termination laws and minimizes potential legal risks. The desired result is to identify any areas of improvement in the termination process and address outstanding claims if necessary. Potential challenges may include incomplete termination documentation or unresolved claims. Consult with the HR department or legal advisors to handle such situations. Required resources: Termination documentation, HR department, legal expertise.
1
Exit Interviews Conducted
2
Final Paycheck Issued
3
Return of Company Property
Examine safety and health policies
Review the organization's safety and health policies to ensure compliance with regulations and promote a safe working environment. This task aims to protect the well-being of employees and prevent workplace accidents or hazards. The desired result is to have robust safety and health policies in place. Potential challenges may include outdated policies or inadequate training. Consult with the HR department or safety officers to address any deficiencies. Required resources: Safety and health policies, HR department, safety training materials.
Review measures for preventing and addressing harassment and discrimination
Evaluate the organization's measures to prevent and address harassment and discrimination in the workplace. This task aims to promote a respectful and inclusive work environment and ensure compliance with equal employment opportunity laws. The desired result is to have effective policies and procedures in place to prevent and address harassment and discrimination. Potential challenges may include incomplete reporting mechanisms or inadequate employee training. Consult with the HR department or diversity and inclusion specialists to address any gaps. Required resources: Harassment and discrimination policies, HR department, training materials.
1
Policy Statement
2
Training Programs
3
Anonymous Reporting Mechanism
4
Investigation Procedures
5
Disciplinary Actions
1
Age
2
Race
3
Gender
4
Religion
5
Disability
Approval: Compliance Officer to review gathered data
Check adherence to working hours and overtime regulations
Will be submitted
Inspect record-keeping of employee leaves (sick, vacation, maternity, etc.)
Will be submitted
Evaluate termination procedures and any outstanding unemployment claims
Will be submitted
Examine safety and health policies
Will be submitted
Review measures for preventing and addressing harassment and discrimination
Will be submitted
Check compliance with federal Equal Employment Opportunity laws
Ensure compliance with federal Equal Employment Opportunity (EEO) laws, which prohibit discrimination in employment based on various protected characteristics. This task aims to protect employee rights and minimize legal risks. The desired result is to confirm adherence to EEO laws and have appropriate policies and procedures in place. Potential challenges may include inadequate data collection or discriminatory practices. Consult with the HR department or legal advisors to address any issues. Required resources: EEO policies, HR department, legal expertise.
1
Age
2
Race
3
Color
4
Religion
5
Sex
1
Equal Pay
2
Non-Discrimination
3
Reasonable Accommodation
4
Retaliation Protection
5
Affirmative Action
Review compliance with Americans with Disabilities Act (ADA) regulations
Assess the organization's compliance with the Americans with Disabilities Act (ADA), which prohibits discrimination against individuals with disabilities. This task aims to ensure equal opportunities and reasonable accommodations for disabled employees. The desired result is to confirm adherence to ADA regulations and have appropriate policies in place. Potential challenges may include inaccessible facilities or inadequate accommodation processes. Consult with the HR department or ADA compliance specialists to address any deficiencies. Required resources: ADA regulations, HR department, accessibility guidelines.
1
Facility Accessibility
2
Reasonable Accommodations
3
Communication Assistance
4
Medical Privacy
5
Job Restructuring
Inspect adherence to Family and Medical Leave Act (FMLA) laws
Monitor compliance with the Family and Medical Leave Act (FMLA), which provides eligible employees with unpaid leave for family or medical reasons. This task ensures employee rights are protected and legal requirements are met. The desired result is to have accurate FMLA records and proper administration of leave requests. Potential challenges may include incomplete or delayed FMLA documentation. Consult with the HR department or FMLA specialists to address any issues. Required resources: FMLA guidelines, HR department, FMLA tracking system.
1
Worked for the Company for at least 12 Months
2
Worked at least 1,250 Hours in the Past 12 Months
3
Employed at an FMLA-covered Worksite
Evaluate wage law compliance (Fair Labor Standards Act - FLSA)
Assess compliance with the Fair Labor Standards Act (FLSA) regulations, which govern minimum wage, overtime pay, and child labor standards. This task aims to ensure fair compensation practices and prevent violations. The desired result is to confirm adherence to FLSA laws. Potential challenges may include misclassification of employees or improper calculation of overtime. Consult with the HR department or legal advisors to address any discrepancies. Required resources: FLSA regulations, HR department, payroll records.
1
Federal Minimum Wage
2
State Minimum Wage
3
Classification Minimum Wage
4
Tipped Employee Minimum Wage
5
Youth Minimum Wage
1
Time-and-a-half
2
Fluctuating Workweek Method
3
Belonging to a Specific Industry
Review health and retirement benefits under Employee Retirement Income Security Act (ERISA)
Examine the organization's health and retirement benefits to ensure compliance with the Employee Retirement Income Security Act (ERISA). This task aims to protect employee benefits and ensure proper administration. The desired result is to confirm adherence to ERISA regulations and have appropriate policies in place. Potential challenges may include inadequate plan documentation or non-compliant fiduciary practices. Consult with the HR department or benefits specialists to address any deficiencies. Required resources: ERISA guidelines, HR department, benefit plan documents.
1
Medical Insurance
2
Dental Insurance
3
Vision Insurance
4
Prescription Drug Coverage
5
Wellness Programs
1
401(k)
2
Pension Plan
3
Employee Stock Ownership Plan (ESOP)
4
Profit Sharing Plan
5
Defined Benefit Plan
Analyze compliance with Occupational Safety and Health Act (OSHA)
Evaluate compliance with the Occupational Safety and Health Act (OSHA), which sets standards for workplace safety and health. This task aims to prevent accidents and ensure employee well-being. The desired result is to confirm adherence to OSHA regulations and have appropriate policies and procedures in place. Potential challenges may include inadequate safety practices or unresolved safety hazards. Consult with the HR department or safety officers to address any deficiencies. Required resources: OSHA regulations, HR department, safety inspection reports.
1
Emergency Evacuation
2
Fire Safety
3
First Aid/CPR
4
Hazard Communication
5
Personal Protective Equipment (PPE)
Approval: Manager to review compliance findings
Will be submitted for approval:
Review health and retirement benefits under Employee Retirement Income Security Act (ERISA)
Will be submitted
Analyze compliance with Occupational Safety and Health Act (OSHA)
Will be submitted
Review compliance with Americans with Disabilities Act (ADA) regulations
Will be submitted
Inspect adherence to Family and Medical Leave Act (FMLA) laws
Will be submitted
Evaluate wage law compliance (Fair Labor Standards Act - FLSA)
Will be submitted
Prepare audit report
Compile all the findings and observations from the HR compliance audit into a comprehensive report. This task summarizes the results and highlights the areas of compliance and any areas that require improvement or corrective actions. The desired result is to have a well-structured and informative audit report. Potential challenges may include organizing and analyzing large amounts of data. Utilize report templates or consult with auditors to ensure clarity and accuracy. Required resources: Audit findings, data analysis tools, report templates.
Discuss audit findings and recommend action steps with relevant management team
Schedule and conduct a meeting with the relevant management team to share the audit findings and discuss recommended action steps. This task ensures appropriate communication and alignment for resolving any compliance issues identified. The desired result is to have a collaborative discussion and agreement on the necessary actions. Potential challenges may include resistance to change or conflicting priorities. Engage in open dialogue and provide supporting evidence to address any concerns. Required resources: Audit report, meeting room, management team availability.
