HR Compliance Risk Assessment

About This Tool

Identify potential HR compliance risks and get actionable recommendations for risk mitigation. This assessment helps you:

Evaluate compliance across key HR areas
Identify potential compliance gaps
Get prioritized recommendations
Access relevant compliance resources

Watch: How to Use This Tool

Compliance Risk Assessment Tutorial

Organization Information

Organization Size

Industry

Employment Law

Core employment law compliance requirements

Hiring Practices

Do you have standardized job applications that comply with state/federal laws?

Are interview questions reviewed to avoid discriminatory topics?

Do you conduct proper employment eligibility verification (I-9)?

Are background check procedures compliant with FCRA requirements?

Wage & Hour Compliance

Are employees properly classified (exempt vs. non-exempt)?

Do you maintain accurate time records for non-exempt employees?

Are overtime calculations and payments correct?

Do you comply with state-specific wage and hour requirements?

Termination Procedures

Do you have documented termination procedures?

Are final paychecks issued within required timeframes?

Do you conduct exit interviews?

Are separation agreements reviewed by legal counsel?

Workplace Safety & Health

OSHA and workplace safety requirements

Safety Program

Do you have a written safety program?

Are safety trainings conducted regularly?

Are workplace accidents properly documented and investigated?

Are required safety postings displayed?

Emergency Procedures

Do you have emergency evacuation plans?

Are first aid kits readily available?

Are emergency contacts posted and updated?

Are fire extinguishers properly maintained?

Benefits & Leave Administration

Benefits and leave management compliance

Benefits Administration

Are benefit plans ERISA compliant?

Are required notices provided to employees?

Is benefits documentation properly maintained?

Are ACA requirements being met?

Leave Management

Do you have FMLA procedures in place?

Are state-specific leave requirements met?

Is medical leave properly documented?

Are leave policies consistently applied?

Equal Employment & Non-Discrimination

Equal employment opportunity and non-discrimination compliance

EEO Policies

Do you have written EEO policies?

Are discrimination complaints properly investigated?

Is required EEO training conducted?

Are reasonable accommodations properly handled?

Harassment Prevention

Do you have anti-harassment policies?

Is harassment training conducted regularly?

Are complaint procedures clearly communicated?

Are investigations properly documented?

HR Documentation & Recordkeeping

Personnel records and documentation requirements

Personnel Files

Are personnel files properly maintained and secured?

Are medical records kept separate and confidential?

Are required records retained for appropriate periods?

Is access to personnel files properly restricted?

Data Security

Are employee records protected from unauthorized access?

Do you have data breach response procedures?

Are electronic records properly backed up?

Is sensitive information properly disposed of?