10 free HR compliance checklists for US employers without a dedicated HR person: a master annual review, plus hiring, employee records, pay practices, safety, benefits and leave, termination, ADA and equal opportunity, a state requirements worksheet, and a gap log. Download as DOCX.
The first time I ran a compliance check on my own company, I printed a checklist I found online and quit about a third of the way down. It listed obligations with no indication of which ones applied at my headcount, mixed federal rules with one particular state's rules, and was not built to be filled in. I rewrote it by hand on a legal pad, which is a bad use of a Saturday.
These are the blanks I wanted that day. Each one opens in Word or prints on paper: a checkbox against every line, header fields for who reviewed it and when, and a findings block at the end. They cover federal requirements for private employers in the United States, grouped the way the work actually divides rather than by statute.
There are ten documents here, free, with no email required. A master annual review, a detailed checklist for each of the six areas, a disability and equal opportunity checklist, a worksheet for the state layer, and a gap log for what you find. Take the one that matches the question in front of you, or download the whole set as a ZIP.
TL;DR
An HR compliance checklist is a written list of employment obligations a business verifies on a schedule, grouped by area: hiring, employee records, pay practices, safety, benefits, and termination. Federal rules switch on at roughly 1, 15, 20, 50, and 100 employees, with state law on top. Download ten free blanks as DOCX.
What an HR Compliance Checklist Covers
An HR compliance checklist covers six areas of employment obligation: hiring, employee records, pay practices, workplace safety, benefits and leave, and termination. Each area carries federal rules that reach nearly every private US employer, plus a state layer that changes with where your people sit.
Hiring
Postings, applications, interviews, background checks, verification paperwork, and the filings due in the first week.
Employee records
Personnel files, separate medical and verification files, a written retention schedule, and access controls.
Pay practices
Classification, timekeeping, overtime, pay statements, deductions, and final pay timing by state.
Workplace safety
Postings, injury and illness records, reporting deadlines, hazard programs, training, and coverage.
Benefits and leave
Plan documents, enrollment and continuation notices, leave tracking, and state paid leave programs.
Termination
Documentation, final pay, continuation coverage notices, access removal, and post-separation retention.
Grouping matters more than it sounds. Obligations arrive attached to a moment: someone starts, someone gets paid, someone leaves. A checklist organized by statute makes you translate the law into your calendar every time, while one organized by moment can be run on the day the moment happens. For the underlying rules and why each area exists, the HR compliance guide covers the explanation this page assumes.
Federal Coverage and the State Layer
Most federal employment obligations switch on at a headcount. A handful apply from your first employee, and the rest arrive as you grow, which is why a checklist written for a 300-person company lists duties you do not have yet and buries the ones you do.
Employee count
What switches on
Agency
1 or more
Minimum wage and overtime, employment eligibility verification for every hire, new hire reporting, core postings
DOL, USCIS
1 or more
General workplace safety duties and hazard standards in most industries
OSHA
11 or more
Injury and illness log and annual summary, unless the industry is partially exempt
OSHA
15 or more
Disability, genetic information, pregnancy accommodation, and most discrimination rules
EEOC
20 or more
Age discrimination rules and health coverage continuation
EEOC, DOL
50 or more
Family and medical leave at 50 within 75 miles, and shared responsibility at 50 full-time equivalents
DOL, IRS
100 or more
Annual workforce data reporting
EEOC
Two limits on that table. It does not cover industry rules, such as the extra duties that come with commercial drivers, food handling, or federal contracts. And it does not cover the state layer, which is where most of the day to day requirements actually live for a small employer.
Coverage Starts Lower Than Owners Expect
Federal disability and discrimination rules generally begin at 15 employees, age rules at 20, and family and medical leave at 50, according to the EEOC small business resources. State civil rights statutes routinely apply at lower counts, and several reach an employer with a single employee, so being under a federal threshold is not the end of the question.
Check Your State Requirements
These checklists are federal. Minimum wage, paid sick leave, final paycheck deadlines, pay statement contents, required posters, harassment training mandates, and record retention periods are all set at the state or city level, and they change on their own schedules. A remote employee generally brings their home state into scope even when you have no office there. Complete the state and local requirements worksheet in this set for every state where an employee works, cite the official state agency source, and write down the date you verified it. This page is general information, not legal advice.
For the hiring side of that state layer, the new hire compliance checklist by state gives you the per-state onboarding requirements without the research, and it pairs with the hiring checklist below rather than replacing it.
Which Checklist Should You Use?
Start from what prompted the question. A full annual pass starts with the master checklist. A single event, such as a new hire, a departure, or an accommodation request, starts with the area checklist for that event and takes about twenty minutes.
Your situation
Start with
Then add
First compliance review, no HR
Master annual review
State and local worksheet
Hiring often, unsure about paperwork
Hiring checklist
Employee records checklist
Files scattered across email and drives
Employee records checklist
Gap log
Overtime, classification, or timecard questions
Pay practices checklist
Employee records checklist
Field, shop, kitchen, or warehouse work
Workplace safety checklist
Benefits and leave checklist
Just crossed 20 or 50 employees
Benefits and leave checklist
ADA and EEO checklist
Someone leaving this month
Termination checklist
Pay practices checklist
Accommodation request on your desk
ADA and EEO checklist
Employee records checklist
Remote or multi-state team
State and local worksheet
Master annual review
A list of problems you already know about
Gap log and remediation plan
Master annual review
Run the Master First, Then Go Deep
The master checklist is the triage pass. It has six to eight lines per area, so a small team can finish it in an hour and see which area is weakest. Then open the detailed checklist for whichever area produced the most unmet lines, because that is where an hour of real work pays back the most. Do not try to run all ten in one sitting. The full set is designed to be spread across a quarter, with the hiring and termination sheets running per employee in between.
10 Free HR Compliance Checklist Templates
Every document below is a blank. Copy it, download it as DOCX, or take all ten at once. Fill in the brackets with your company name, work every line, and move what you find into the gap log. None of these are certified compliance, and every one carries the same disclaimer: confirm your state requirements and have counsel review anything consequential.
Download All 10 HR Compliance Checklists
Master annual review, six area checklists, ADA and EEO, a state worksheet, and a gap log. Ten separate DOCX files in one ZIP.
1. Master HR Compliance Checklist (Annual Review)
The triage pass across all six areas, with header fields for the review period, headcount, and the states where employees work. Roughly forty-five lines total, a findings summary, and a sign-off block. Start here once a year.
Master HR Compliance Checklist (Annual Review)
MASTER HR COMPLIANCE CHECKLIST (ANNUAL REVIEW)
[Company Name]
Review period: _ Date of this review: _
Completed by: __ Title: __
Employee count on the review date:
States where employees work (include remote): __
Next scheduled review: _
HOW TO USE THIS CHECKLIST
Check the box on every line that is met. Leave it blank for a gap, and write
N/A with a reason where an item does not apply. Every blank becomes one row in
the gap log with an owner and a due date. This document covers federal
requirements that apply to private employers in the United States. State and
local rules sit on top of it, so complete the state and local requirements
worksheet for every state where an employee works, including remote employees.
Where a section raises questions, open the detailed checklist for that area.
SECTION 1: HIRING AND RECRUITING
•[ ] Every open role has a written job description listing essential functions
•[ ] Postings and applications avoid questions banned where we hire
•[ ] The same core interview questions are asked of every candidate for a role
•[ ] Form I-9 Section 1 is signed by the first day of work for every hire
•[ ] Form I-9 Section 2 is completed within three business days of the start date
•[ ] Every hire was reported to the state new hire registry on time
•[ ] Signed offer letters are on file for all current employees
SECTION 2: EMPLOYEE RECORDS AND DOCUMENTATION
•[ ] A personnel file exists for every current and separated employee
•[ ] Medical and disability records are stored separately from personnel files
•[ ] Forms I-9 are stored separately from personnel files, in one binder or folder
•[ ] A written retention schedule exists and nothing is discarded early
•[ ] Handbook acknowledgments are signed and dated by every employee
•[ ] Access to files is limited to people with a business need to see them
•[ ] Emergency contact and direct deposit records are current
SECTION 3: PAY PRACTICES
•[ ] Every role is documented as exempt or non-exempt with the reason recorded
•[ ] Every worker paid on a 1099 has been tested against the employee standards
•[ ] Non-exempt hours are recorded daily and approved by a manager
•[ ] Overtime is paid at one and one half times the regular rate after 40 hours
•[ ] Pay rates meet the highest applicable federal, state, or local minimum
•[ ] Pay statements include every item our state requires
•[ ] Payroll records are retained for the required period
•[ ] Final paychecks were issued within the state deadline for every departure
SECTION 4: WORKPLACE SAFETY
•[ ] Required federal and state posters are displayed where employees can read them
•[ ] Remote employees received the same notices electronically
•[ ] The injury and illness log is current, if we are required to keep one
•[ ] The annual summary was posted from February 1 through April 30
•[ ] Severe injury reporting timelines are documented and known to managers
•[ ] Safety training is completed and the completion records are on file
•[ ] Workers compensation coverage is active and meets state requirements
SECTION 5: BENEFITS AND LEAVE
•[ ] Every benefit plan has current plan documents and a summary plan description
•[ ] Required enrollment and change notices went out on time
•[ ] Continuation coverage notices were sent for every qualifying event
•[ ] Leave entitlements are written down and applied the same way for everyone
•[ ] State paid leave and sick leave accruals are tracked and shown to employees
•[ ] Any state retirement savings mandate has been met or an exemption filed
•[ ] Eligibility is measured on a documented method, not by memory
SECTION 6: TERMINATION AND OFFBOARDING
•[ ] Performance and conduct issues are documented before a separation decision
•[ ] Final pay timing follows the rule of the state where the employee worked
•[ ] Accrued time off is paid out where state law or our policy requires it
•[ ] Continuation coverage election notices are sent within the required window
•[ ] Company property and system access are recovered on the last day
•[ ] Separation agreements use the correct review and revocation periods
•[ ] Records are retained after separation for the full required period
FINDINGS SUMMARY
Total items reviewed: Met: Unmet: N/A:
Highest risk gap identified: __
Target date to close all gaps: _
SIGN-OFF
Reviewer signature: __ Date: _
Owner signature: __ Date: _
DISCLAIMER: This is a sample checklist for general informational purposes only
and is not legal advice. It is a starting point, not a guarantee of compliance.
Requirements vary by state, city, industry, and employee count, and they change.
Confirm current rules for every jurisdiction where you employ people and have an
employment attorney licensed in your state review your practices.
2. Hiring Compliance Checklist
Eight sections from the job description through the first-week filings, including postings, screening, interviews, background check sequencing, and verification timing. Section 1 of Form I-9 is due by the first day and Section 2 within three business days of the start date, per USCIS guidance on Form I-9. Applicant tracking is coming soon to FirstHR, so for now this sheet is the record of how a hire was run.
Hiring Compliance Checklist
HIRING AND RECRUITING COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Roles or hires covered by this review: __
SCOPE
Use this checklist once a year across all hiring, or run it against a single
open role before you post it. Check the box on every line that is met, leave it
blank for a gap, and write N/A with a reason where an item does not apply.
Federal items apply to private employers in the United States. Add your state
and local layer from the state requirements worksheet, because posting rules,
salary history bans, and criminal history timing are set at the state and city
level.
1. BEFORE THE POSTING
•[ ] A written job description exists and lists the essential functions
•[ ] Physical and schedule requirements reflect the job as it is actually done
•[ ] The role is classified as exempt or non-exempt before the pay range is set
•[ ] The pay range is set in good faith and documented
•[ ] Any degree or experience requirement is job related and consistently applied
2. THE JOB POSTING
•[ ] The posting avoids wording that signals a preference on a protected basis
•[ ] An equal opportunity statement appears on the posting
•[ ] A pay range appears where the state or city requires one
•[ ] A benefits description appears where the state requires one
•[ ] Remote postings account for the rules of every state we accept applicants from
•[ ] The posting is retained with the date it ran
3. APPLICATION AND SCREENING
•[ ] The application form has been reviewed against state law this year
•[ ] Salary history questions are removed where they are banned
•[ ] Criminal history questions appear only at the stage state law allows
•[ ] Voluntary self-identification is kept separate from the application
•[ ] Screening criteria are written down and applied to every applicant
•[ ] Any assessment or test is job related and validated
4. INTERVIEWS
•[ ] The same core questions are asked of every candidate for the same role
•[ ] Interviewers are briefed on questions that cannot be asked
•[ ] Interview notes record job related observations only
•[ ] Accommodation requests during the process are handled and documented
•[ ] Scorecards or notes are retained with the applicant record
5. BACKGROUND AND REFERENCE CHECKS
•[ ] A standalone written disclosure is given before any consumer report
•[ ] Written authorization is obtained from the candidate
•[ ] A pre-adverse action notice with a copy of the report is sent before a denial
•[ ] The candidate is given the required time to respond before a final decision
•[ ] A final adverse action notice is sent when a report drives the decision
•[ ] Drug testing, where used, follows the rules of the state involved
6. OFFER AND WORK AUTHORIZATION
•[ ] The offer letter states pay, classification, and at-will status where applicable
•[ ] The offer letter is signed and stored before the first day
•[ ] Form I-9 Section 1 is completed by the employee on or before day one
•[ ] Form I-9 Section 2 is completed within three business days of the start date
•[ ] The current edition of Form I-9 is in use
•[ ] Electronic verification is used consistently if we participate at all
•[ ] Reverification dates are calendared where documents expire
7. FIRST WEEK FILINGS
•[ ] The hire was reported to the state new hire registry within the deadline
•[ ] Form W-4 and the state equivalent are on file
•[ ] State notices required at hire were delivered and acknowledged
•[ ] Required posters and notices reached remote hires electronically
•[ ] Handbook acknowledgment was signed and filed
8. RECORDS
•[ ] Applications and resumes for non-hires are retained for the required period
•[ ] Hiring records are stored where they can be produced on request
•[ ] Records are kept longer when a charge or claim is pending
NOTES AND FOLLOW-UP
Gap: __ Owner: _ Due: _
Gap: __ Owner: _ Due: _
Gap: __ Owner: _ Due: _
DISCLAIMER: Sample checklist for general information only, not legal advice.
Hiring rules vary by state and city and change often. Confirm current rules for
every jurisdiction where you hire, including remote roles, and have counsel
review your process before you rely on it.
3. Employee Records Compliance Checklist
File structure, contents, retention, access, and electronic records. It is the checklist to run if you have never separated medical records from personnel files. The retention section pairs with the guide to how long to keep employee records and the walkthrough on organizing employee files.
Employee Records Compliance Checklist
EMPLOYEE RECORDS AND DOCUMENTATION COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Number of employee files reviewed: Storage location: _
SCOPE
Employee files are the first thing an agency asks for and the most common place
a small employer has gaps. Work through this checklist file by file, or sample
ten files if your team is larger. Check the box on every line that is met, leave
it blank for a gap, and write N/A with a reason where an item does not apply.
1. FILE STRUCTURE
•[ ] Every current employee has one personnel file with a consistent structure
•[ ] Separated employees have complete files retained under the schedule
•[ ] Medical, disability, and accommodation records sit in a separate file
•[ ] Forms I-9 are stored apart from personnel files so they can be produced alone
•[ ] Investigation files are stored separately with restricted access
•[ ] Payroll records are stored where payroll runs, and are retrievable
2. PERSONNEL FILE CONTENTS
•[ ] Signed offer letter or employment agreement
•[ ] Signed handbook acknowledgment for the current handbook version
•[ ] Signed policy acknowledgments for conduct, harassment, and safety policies
•[ ] Job description matching the role as it is performed today
•[ ] Compensation history with effective dates
•[ ] Performance reviews, coaching notes, and any corrective action
•[ ] Training completion records
•[ ] Emergency contact information
3. FORMS AND FILINGS
•[ ] Form W-4 on file for every employee, with state equivalents where required
•[ ] Form I-9 complete, signed, and dated on both sections
•[ ] No expired or unnecessary document copies retained with the I-9
•[ ] Direct deposit authorizations on file
•[ ] Benefit enrollment or waiver forms on file
4. RETENTION SCHEDULE
•[ ] A written retention schedule exists and names an owner
•[ ] Payroll and wage records are kept for at least three years
•[ ] Records supporting wage computations are kept for at least two years
•[ ] Personnel and employment action records are kept at least one year
•[ ] Forms I-9 are kept three years after hire or one year after separation, whichever is later
•[ ] Injury and illness records are kept for five years
•[ ] Benefit plan records are kept for six years
•[ ] Retention holds are applied when a claim or charge is pending
•[ ] Nothing is destroyed without checking the schedule first
5. ACCESS, PRIVACY, AND SECURITY
•[ ] Access is limited to people with a business need
•[ ] Paper files are in a locked cabinet in a locked room
•[ ] Digital files are permissioned, not stored in a shared open drive
•[ ] Social security numbers are not used as identifiers in day to day systems
•[ ] Employee requests to inspect their file are handled under state law
•[ ] Departing manager access is removed as part of offboarding
6. ELECTRONIC RECORDS
•[ ] Electronic signatures capture who signed, what version, and when
•[ ] Scanned records are legible and complete, including both sides
•[ ] Backups exist and have been restored successfully at least once
•[ ] The system can export a complete file if an agency requests one
FINDINGS
Files missing a signed handbook acknowledgment:
Files missing a complete Form I-9:
Files with medical records stored in the wrong place:
Other: __
DISCLAIMER: Sample checklist for general information only, not legal advice.
Retention periods vary by record type and by state, and some states set longer
periods than federal law. Confirm your requirements and have counsel review your
retention schedule before you destroy any record.
Still Using Spreadsheets for Onboarding?
Automate documents, training assignments, task management, and track onboarding progress in real time.
Classification, timekeeping, wages and overtime, pay statements, tax filings, transparency, and separation pay. Federal rules require payroll records to be kept three years, with wage computation records kept two, per the Department of Labor recordkeeping fact sheet. Run it alongside the guide to exempt versus non-exempt status.
Pay Practices Compliance Checklist
PAY PRACTICES COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Pay periods covered: _ Number of employees:
SCOPE
Wage and hour errors are the most expensive mistakes a small employer makes,
because they repeat every pay period and accrue interest and penalties. Work
through this checklist against one recent pay period, then spot check a second
one. Check the box on every line that is met, leave it blank for a gap, and
write N/A with a reason where an item does not apply.
1. CLASSIFICATION
•[ ] Every role has a written exempt or non-exempt determination on file
•[ ] Exempt roles meet both a duties test and the salary basis requirement
•[ ] Exempt salaries meet the current federal and state thresholds
•[ ] Job titles are not being used as a substitute for the duties test
•[ ] Every 1099 worker has been tested against the employee standards
•[ ] Contractor agreements match how the work is actually directed
•[ ] Interns and volunteers, if any, meet the applicable tests
2. TIMEKEEPING
•[ ] Non-exempt employees record actual start, stop, and break times
•[ ] Time records are approved by a manager each pay period
•[ ] Rounding, if used, does not systematically favor the company
•[ ] Off the clock work is prohibited in writing and enforced in practice
•[ ] Time spent on training, travel, and pre-shift tasks is counted correctly
•[ ] Remote non-exempt employees record time the same way onsite staff do
•[ ] Time records are retained for the required period
3. WAGES AND OVERTIME
•[ ] Every employee is paid at least the highest applicable minimum wage
•[ ] Overtime is paid after 40 hours in a workweek at the correct rate
•[ ] Daily overtime rules are applied where the state requires them
•[ ] Bonuses and commissions are included in the regular rate where required
•[ ] The workweek is defined in writing and does not shift to avoid overtime
•[ ] Tipped, piece rate, or commission pay meets the applicable minimums
•[ ] Meal and rest break rules are followed and premiums paid where owed
4. PAY STATEMENTS AND FREQUENCY
•[ ] Pay frequency meets the state minimum
•[ ] Pay statements show every element the state requires
•[ ] Deductions are authorized in writing and permitted by law
•[ ] Reimbursable business expenses are paid where the state requires it
•[ ] Pay rate change notices are issued where the state requires them
5. PAYROLL TAX AND FILINGS
•[ ] Federal and state deposits are made on the correct schedule
•[ ] Quarterly and annual returns were filed on time
•[ ] Forms W-2 and any information returns were issued by the deadline
•[ ] State unemployment accounts are registered in every state with an employee
•[ ] Garnishments and support orders are processed and remitted on time
6. TRANSPARENCY AND EQUITY
•[ ] Pay ranges are documented and defensible for each role
•[ ] Pay is reviewed for gaps between employees doing comparable work
•[ ] Employees are not discouraged from discussing their own pay
•[ ] Posting and disclosure rules are met in every state where we hire
7. SEPARATION PAY
•[ ] Final pay deadlines by state are documented and followed
•[ ] Accrued time off is paid where law or policy requires
•[ ] Outstanding expense reimbursements are included in final pay
FINDINGS
Misclassification risk identified: __
Pay period corrected: _ Amount: _
Owner for follow-up: __ Due: _
DISCLAIMER: Sample checklist for general information only, not legal advice, and
not tax or payroll advice. Wage and hour rules vary by state and city and change.
Confirm current rates, thresholds, and deadlines with your state labor agency and
have counsel review any classification decision.
5. Workplace Safety Compliance Checklist
Postings, injury records, serious event reporting, hazard programs, training, and coverage, with a site walk block at the end. Employers with ten or fewer employees are partially exempt from routine injury logs, and low-hazard industries are too, which the OSHA recordkeeping rules set out. The forms 300 and 301 guide explains the log itself.
Workplace Safety Compliance Checklist
WORKPLACE SAFETY COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Sites covered: __ Employees at each site:
SCOPE
Safety obligations reach nearly every private employer in the United States,
including office employers, and some states run their own plans with stricter
rules. Recordkeeping duties depend on headcount and industry. Walk each site,
then check the box on every line that is met, leaving it blank for a gap.
1. POSTINGS AND NOTICES
•[ ] The federal job safety and health poster is displayed
•[ ] Federal wage, equal opportunity, and leave posters are current
•[ ] State required posters are current and displayed at each site
•[ ] Posters are in a place employees pass and can read without asking
•[ ] Remote employees received the same notices electronically
•[ ] Additional language versions are posted where the workforce needs them
2. RECORDKEEPING
•[ ] We have confirmed whether our headcount and industry require an injury log
•[ ] The injury and illness log is complete and current for this year
•[ ] Each recordable case has a corresponding incident report
•[ ] The annual summary was certified by a company executive
•[ ] The annual summary was posted from February 1 through April 30
•[ ] Logs and reports are retained for five years
•[ ] Any required electronic submission was filed by the deadline
3. REPORTING SERIOUS EVENTS
•[ ] Managers know a work related fatality must be reported within 8 hours
•[ ] Managers know an inpatient hospitalization, amputation, or loss of an eye must be reported within 24 hours
•[ ] The reporting phone number and process are posted where supervisors see them
•[ ] A single person is named as the reporting owner, with a backup
4. HAZARDS AND PROGRAMS
•[ ] A written safety program exists and names an owner
•[ ] A hazard assessment has been completed for each work area
•[ ] Chemical inventory and safety data sheets are current and accessible
•[ ] Labels on secondary containers are correct
•[ ] Personal protective equipment is provided, fitted, and used
•[ ] An emergency action plan exists and exits are marked and clear
•[ ] First aid supplies are stocked and someone is trained to use them
•[ ] Equipment inspections and maintenance are logged
•[ ] Any state specific program requirement has been identified and met
5. TRAINING
•[ ] New hires receive safety orientation before performing hazardous tasks
•[ ] Task specific training is delivered in a language employees understand
•[ ] Refresher training is scheduled and tracked
•[ ] Completion records are signed and dated
•[ ] Supervisors are trained on incident response and reporting
6. WORKERS COMPENSATION AND RETALIATION
•[ ] Coverage is active and meets the requirement in every state with employees
•[ ] The carrier notice is posted where required
•[ ] Injury reporting instructions are given to employees, not just supervisors
•[ ] Employees who report a hazard or an injury are protected from retaliation
•[ ] Return to work practices are documented and applied consistently
SITE WALK NOTES
Hazard observed: __ Corrected on: _
Hazard observed: __ Corrected on: _
Hazard observed: __ Corrected on: _
DISCLAIMER: Sample checklist for general information only, not legal advice.
Safety requirements depend on industry, headcount, equipment, and state plan.
Confirm current obligations with the federal and state agencies that cover your
worksites and have a qualified safety professional review your program.
6. Benefits and Leave Compliance Checklist
Coverage thresholds, plan documents, enrollment, continuation coverage, leave, and retirement programs. This is the sheet that catches a growing company, because several obligations land in the same year headcount crosses 20 and then 50. Pair it with the explanations of family and medical leave and continuation coverage qualifying events.
Benefits and Leave Compliance Checklist
BENEFITS AND LEAVE COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Plan year: _ Full-time equivalent count:
SCOPE
Benefits obligations switch on at headcount thresholds, and several of them
arrive in the same year a growing company crosses 20 and then 50 employees. Run
this checklist at the start of each plan year and again whenever headcount
changes materially. Check the box on every line that is met, leave it blank for
a gap, and write N/A with a reason where an item does not apply.
1. COVERAGE AND THRESHOLDS
•[ ] Current headcount and full-time equivalent count are calculated and written down
•[ ] The method used to count full-time equivalents is documented
•[ ] Continuation coverage obligations at 20 or more employees have been assessed
•[ ] Family and medical leave obligations at 50 or more employees have been assessed
•[ ] Shared responsibility obligations at 50 or more full-time equivalents have been assessed
•[ ] State thresholds lower than the federal ones have been checked
2. PLAN DOCUMENTS AND DISCLOSURE
•[ ] Every benefit plan has a current written plan document
•[ ] A summary plan description has been distributed to participants
•[ ] Summaries of material modifications went out after plan changes
•[ ] A summary of benefits and coverage is provided for health plans
•[ ] Annual reporting was filed where the plan is required to file
•[ ] Plan records are retained for six years
3. ENROLLMENT AND ELIGIBILITY
•[ ] Waiting periods match the plan document and do not exceed legal limits
•[ ] New hire enrollment windows are tracked and enforced
•[ ] Open enrollment materials and deadlines were communicated in writing
•[ ] Life event changes are documented with dates and supporting evidence
•[ ] Waivers are signed and filed for employees who decline coverage
•[ ] Eligibility is applied consistently, with no informal exceptions
4. CONTINUATION COVERAGE
•[ ] An initial rights notice is provided when coverage begins
•[ ] Qualifying events are logged with the date they occurred
•[ ] Election notices are sent within the required window after each event
•[ ] Premium payment tracking is in place for people on continuation
•[ ] State continuation rules for smaller employers have been checked
5. LEAVE
•[ ] Every leave type we offer is written down with eligibility rules
•[ ] Family and medical leave notices and designations are issued on time
•[ ] Leave balances and usage are tracked per employee
•[ ] State paid family and medical leave contributions are remitted where required
•[ ] Paid sick leave accrual, carryover, and usage follow the state or city rule
•[ ] Jury duty, voting, military, and bereavement leave rules are documented
•[ ] Pregnancy and lactation accommodations are provided and documented
•[ ] Leave decisions are recorded and applied the same way for everyone
6. RETIREMENT AND OTHER PROGRAMS
•[ ] Any state retirement savings mandate has been met or an exemption filed
•[ ] Deferrals are deposited as soon as they can reasonably be segregated
•[ ] Required participant notices were delivered on time
•[ ] Pre-tax accounts have current plan documents and nondiscrimination testing
•[ ] Fringe benefits are treated correctly for tax purposes
FINDINGS
Threshold crossed this year: _ Date: _
Notice not sent on time: __
Owner for follow-up: __ Due: _
DISCLAIMER: Sample checklist for general information only, not legal advice, and
not tax or benefits advice. Benefit and leave rules vary by plan, state, and
headcount and change frequently. Confirm your obligations with your plan advisor,
your carrier, and counsel before acting.
7. Termination Compliance Checklist
Run this one per departure, not once a year. It covers the decision file, notice obligations, final pay, benefits, paperwork, property and access, and what happens after the last day. Final pay timing is a state rule, which the guide to final paychecks for terminated employees covers state by state.
Termination Compliance Checklist
TERMINATION AND OFFBOARDING COMPLIANCE CHECKLIST
[Company Name]
Employee: __ Role: __
Last day worked: _ Separation type: _
Completed by: __ Date: _
SCOPE
Run this checklist for every separation, voluntary or involuntary, before the
last day where possible. Most separation claims come from timing and paperwork,
not from the decision itself. Check the box on every line that is met, leave it
blank for a gap, and write N/A with a reason where an item does not apply.
1. BEFORE THE DECISION
•[ ] Performance or conduct issues are documented with dates
•[ ] The employee received notice of the issue and a chance to respond
•[ ] The decision is consistent with how comparable situations were handled
•[ ] The decision is not close in time to protected activity or a leave request
•[ ] Any accommodation or leave request has been resolved and documented
•[ ] A second reviewer has looked at the file before the decision is final
•[ ] Any contract, offer letter, or handbook commitment has been checked
2. GROUP AND NOTICE OBLIGATIONS
•[ ] Whether this is part of a larger reduction has been assessed
•[ ] Advance notice requirements for mass layoffs have been checked
•[ ] State notice rules that apply to smaller reductions have been checked
3. FINAL PAY
•[ ] The state deadline for the final paycheck is identified and calendared
•[ ] All hours worked through the last day are included
•[ ] Accrued and unused time off is paid where law or policy requires
•[ ] Commissions and bonuses earned are calculated and included
•[ ] Approved expense reimbursements are included
•[ ] Deductions from final pay are permitted in that state and authorized
•[ ] The pay statement shows every element the state requires
4. BENEFITS
•[ ] The benefits end date is confirmed and communicated in writing
•[ ] The qualifying event is logged with its date
•[ ] The continuation coverage election notice is sent within the required window
•[ ] State continuation rules are checked where they apply
•[ ] Retirement plan distribution options are explained
•[ ] Outstanding leave balances and any state plan claims are addressed
5. NOTICES AND PAPERWORK
•[ ] Any state required separation notice or pamphlet is delivered
•[ ] Unemployment information is provided where the state requires it
•[ ] A separation agreement, if used, gives the correct review and revocation time
•[ ] A separation agreement does not restrict protected rights or agency reporting
•[ ] The employee is told how to request a copy of their personnel file
6. PROPERTY, ACCESS, AND DATA
•[ ] Company property returned and logged: laptop, phone, keys, cards, tools
•[ ] Email, systems, and building access are disabled on the last day
•[ ] Company data on personal devices is removed or accounted for
•[ ] Shared accounts and administrator credentials are transferred
•[ ] Customer, vendor, and payroll notifications are handled
7. AFTER THE LAST DAY
•[ ] The personnel file is complete and moved to separated employee storage
•[ ] Retention clock is applied under the retention schedule
•[ ] A reference policy is in place and a single owner handles reference calls
•[ ] Exit interview notes, if any, are stored where they will be reviewed
•[ ] Knowledge transfer and open work items were handed over
SIGN-OFF
Manager: __ Date: _
Reviewer: __ Date: _
DISCLAIMER: Sample checklist for general information only, not legal advice.
Final pay deadlines, notice requirements, and separation agreement rules vary by
state and by the employee's age and circumstances. Confirm the rules for the
state where the employee worked and have counsel review any separation agreement.
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Coverage, job descriptions and essential functions, the interactive process, medical file handling, nondiscrimination and harassment, accessibility, and postings. If a request has already landed on your desk, the reasonable accommodation guide walks the process and the ADA policy templates give you the written policy this checklist asks whether you have.
ADA and EEO Compliance Checklist
ADA AND EEO COMPLIANCE CHECKLIST
[Company Name]
Reviewed by: __ Date: _
Total employees, counting all weeks this year and last:
SCOPE
Federal disability and equal opportunity rules generally reach employers at 15
or more employees, and age discrimination rules at 20 or more, but many states
apply their own standards at far smaller headcounts, some at a single employee.
Complete the coverage section first, then work through the rest. Check the box
on every line that is met, leave it blank for a gap, and write N/A with a reason
where an item does not apply.
1. COVERAGE
•[ ] Employee count has been calculated using the weeks worked standard
•[ ] Federal coverage thresholds have been checked against that count
•[ ] State civil rights thresholds have been checked for every state we operate in
•[ ] Public accommodation obligations for our customer facing spaces have been assessed
2. JOB DESCRIPTIONS AND ESSENTIAL FUNCTIONS
•[ ] Every role has a current written job description
•[ ] Essential functions are separated from marginal ones
•[ ] Physical, sensory, and schedule requirements reflect the real job
•[ ] Requirements that screen out people with disabilities are job related and necessary
•[ ] Descriptions are reviewed when the work changes, not only at hire
3. THE ACCOMMODATION PROCESS
•[ ] A written accommodation policy exists and tells employees how to ask
•[ ] Requests are accepted verbally, not only on a form
•[ ] A named person receives requests and starts the interactive process
•[ ] Each request is answered within a documented timeframe
•[ ] Medical information requested is limited to what is needed
•[ ] Alternatives are considered before any request is denied
•[ ] Denials record the reason, including undue hardship analysis where claimed
•[ ] Accommodations in place are reviewed when the role or need changes
•[ ] Pregnancy related and lactation accommodations are handled under the same process
•[ ] Religious accommodation requests follow a parallel documented process
4. MEDICAL INFORMATION AND FILES
•[ ] Medical and accommodation records are in a separate confidential file
•[ ] Access is limited to those who need to know
•[ ] Supervisors receive only the restriction, not the diagnosis
•[ ] Genetic and family medical history is not collected or retained
•[ ] Any post-offer medical exam is applied to all entrants in the same job category
5. NONDISCRIMINATION AND HARASSMENT
•[ ] A written equal opportunity policy covers every protected category
•[ ] An anti-harassment policy names more than one person to receive complaints
•[ ] Complaints are investigated promptly and the outcome is documented
•[ ] Retaliation is prohibited in writing and monitored in practice
•[ ] Required harassment prevention training is completed where the state mandates it
•[ ] Training completion records are retained
6. ACCESSIBILITY
•[ ] Entrances, restrooms, and work areas have been reviewed for barriers
•[ ] Readily achievable barrier removal items are logged with dates
•[ ] The application process is usable by candidates with disabilities
•[ ] Digital tools employees must use have been reviewed for accessibility
•[ ] Requests for an accessible format are handled and tracked
7. POSTINGS AND REPORTING
•[ ] The federal equal opportunity poster is displayed and current
•[ ] Remote employees received the same notice electronically
•[ ] Workforce data reporting obligations at 100 or more employees have been checked
•[ ] Federal contractor obligations, if any, have been assessed separately
FINDINGS
Open accommodation requests: Oldest request date: _
Barrier removal items open: Owner: __
Training completion rate:
DISCLAIMER: Sample checklist for general information only, not legal advice.
Disability and equal opportunity obligations depend on headcount, state law, and
the nature of your facilities. Confirm your coverage and have an employment
attorney licensed in your state review your accommodation practices.
9. State and Local Requirements Worksheet
One page per state, with fields for wage rules, hiring rules, leave and benefits, safety and posters, training, separation, and records, plus a source line and a verification date on every section. It is a place to record what you find, not a source of answers. Start with the states where paid leave rules bite, such as those in the guide to paid sick leave laws by state.
State and Local Requirements Worksheet
STATE AND LOCAL HR REQUIREMENTS WORKSHEET
[Company Name]
Completed by: __ Date verified: _
Copy one page of this worksheet for every state where an employee works.
WHY THIS WORKSHEET EXISTS
The other checklists in this set cover federal requirements that apply to
private employers across the United States. Almost every one of them has a
state layer on top, and a remote employee pulls their home state into scope
even when the company has no office there. Fill one worksheet per state, cite
the official state source, and record the date you verified it.
STATE PROFILE
Employees working in this state: Remote: Onsite:
Cities with their own ordinances that apply: __
State labor agency website: __
Date verified: _ Next verification due: _
1. WAGE AND HOUR
State minimum wage: _ Local minimum wage: _
Daily overtime rule: __
Meal and rest break rule: __
Pay frequency requirement: __
Pay statement items required: __
Expense reimbursement rule: __
Source: __
2. HIRING
Salary history ban: __
Criminal history timing rule: __
Pay range in postings required: __
New hire reporting deadline: __
Notices required at hire: __
Source: __
3. LEAVE AND BENEFITS
Paid sick leave rule: __
Paid family and medical leave program: __
State family leave law and threshold: __
State continuation coverage rule: __
Retirement savings mandate: __
Source: __
4. SAFETY AND POSTERS
State plan or federal jurisdiction: __
State specific safety program required: __
Required state posters: __
Workers compensation requirement: __
Source: __
5. TRAINING AND POLICY
Harassment prevention training required: __
Training deadline and frequency: __
Policies required by state law: __
State civil rights threshold: __
Source: __
6. SEPARATION
Final pay deadline, voluntary: __
Final pay deadline, involuntary: __
Time off payout rule: __
Separation notice required: __
Source: __
7. RECORDS
State retention periods that exceed federal: __
Employee file inspection rights: __
Source: __
VERIFICATION LOG
Checked by: _ Date: _ Changes found:
Checked by: _ Date: _ Changes found:
DISCLAIMER: Sample worksheet for general information only, not legal advice. It
is a place to record what you find, not a source of the answers. Use official
state and local government sources, confirm the effective date of every rule you
record, and have counsel licensed in that state review anything consequential.
10. Compliance Gap Log and Remediation Plan
Three gap records with a risk ranking guide, corrective action, preventive change, owner, due date, and evidence of closure, plus a summary and approval block. Print more pages as you need them. This is the document that converts a completed checklist into work that actually gets done.
Compliance Gap Log and Remediation Plan
COMPLIANCE GAP LOG AND REMEDIATION PLAN
[Company Name]
Review this log relates to: __ Date: _
Plan owner: __ Next status check: _
HOW TO USE THIS LOG
Every No on a checklist becomes one row here. Rank each gap by exposure, not by
how easy it is to fix, then assign one named owner and one date. A gap with no
owner is not a plan. Review the log on a fixed cadence until every row is closed.
RISK RANKING GUIDE
High: money owed to employees, missing verification records, missing required
coverage, missed statutory deadlines, or anything an agency can assess directly.
Medium: missing signed acknowledgments, incomplete documentation, or policies
that exist but are not applied consistently.
Low: process improvements and housekeeping with no direct exposure.
GAP RECORD
Gap number: Checklist and section: __
What is missing or wrong: __
Who or what is affected: __
Risk ranking: [ ] High [ ] Medium [ ] Low
Exposure if unfixed: __
Corrective action: __
Owner: __ Due date: _
Preventive change so it does not recur: __
Status: [ ] Open [ ] In progress [ ] Closed Closed on: _
Evidence of closure: __
GAP RECORD
Gap number: Checklist and section: __
What is missing or wrong: __
Who or what is affected: __
Risk ranking: [ ] High [ ] Medium [ ] Low
Exposure if unfixed: __
Corrective action: __
Owner: __ Due date: _
Preventive change so it does not recur: __
Status: [ ] Open [ ] In progress [ ] Closed Closed on: _
Evidence of closure: __
GAP RECORD
Gap number: Checklist and section: __
What is missing or wrong: __
Who or what is affected: __
Risk ranking: [ ] High [ ] Medium [ ] Low
Exposure if unfixed: __
Corrective action: __
Owner: __ Due date: _
Preventive change so it does not recur: __
Status: [ ] Open [ ] In progress [ ] Closed Closed on: _
Evidence of closure: __
SUMMARY
Total gaps: High: Medium: Low:
Gaps closed this cycle: Gaps carried forward:
Date all high risk gaps closed: _
APPROVAL
Plan owner signature: __ Date: _
Business owner signature: __ Date: _
DISCLAIMER: Sample document for general information only, not legal advice.
Correcting some gaps, including unpaid wages or misclassification, carries its
own rules and risks. Involve an employment attorney before you self-correct
anything that touches pay, classification, or a pending complaint.
How to Run the Review With These Blanks
Set aside a half day, name one person to own it, and work top to bottom without skipping lines. The mechanics are simple. What makes a review useful is the discipline of treating a line you cannot answer as a gap, because an unknown and a gap carry the same exposure until somebody checks.
1
Pick the sheets that match the question
The master annual review for a full pass, or the single area checklist for a specific event such as a hire, a departure, or an accommodation request.
2
Fill in the header and the counts
Review date, who is completing it, current headcount, and every state where an employee works. Coverage and deadlines both depend on those numbers, so guessing here undermines the rest.
3
Work every line without skipping
Check the box where an item is met and leave it blank where it is not. Not applicable needs a reason you could explain out loud, and an item you cannot answer stays unmet until someone verifies it.
4
Add the state layer
One state and local worksheet per state, filled from official state agency sources, with the verification date recorded so the next reviewer knows how stale it is.
5
Move every unmet line into the gap log
Rank by exposure, not by how easy the fix is. One named owner, one due date, one preventive change so the same gap does not reappear at the next review.
For the methodology behind a full review, including how to scope it and how to prioritize what you find, the HR audit walkthrough covers the process these documents are the paperwork for. If you would rather work by deadline than by area, the HR compliance calendar lays the year out month by month.
Compliance Checks Without an HR Department
A company with HR runs this quarterly with a specialist per area. A company without HR has an owner who discovers an obligation the week it becomes a problem. The fix is not more diligence. It is a smaller review that actually happens, run by one named person on a date in the calendar.
Who should own the review?
One person, usually the owner, the operations lead, or the office manager. Split the sheets by who already does the work, but keep a single gap log. A review owned by everyone is owned by no one.
How long does it really take?
The master checklist takes about an hour for a small team. Each detailed area checklist takes twenty to forty minutes. The state worksheet takes the longest the first time and very little after that.
What if we find something serious?
Stop and get advice before self-correcting anything involving unpaid wages, worker classification, or a pending complaint. Fixing those wrong can create a bigger problem than leaving them found and documented for a week.
Where do most small employers fail?
Verification paperwork completed late or left unsigned, medical records filed with personnel records, missing handbook acknowledgments, classification decided by job title, and posters that were current on the day the business opened.
How do we keep it from decaying?
Attach the recurring items to the event that triggers them rather than to a memory. Hiring and termination checklists run per employee. The annual pass goes on the calendar with the tax deadlines, not on a list of intentions.
Do we need software for this?
Not to run the review. Paper works. Software helps with what comes after: distributing a policy, collecting signatures, storing records where they can be produced, and proving who acknowledged what and when. Applicant tracking is coming soon to FirstHR.
None of this requires an HR department. It requires one owner, a date, and a written record of what was checked. The rest of the compliance templates in this library cover the policies these checklists ask whether you have.
After the Review: Fix, Sign, and Store
A completed checklist is evidence of nothing on its own. What matters is the gap log behind it: what was missing, who owned it, when it closed, and what changed so it stays closed. Many gaps at a small company resolve into the same two actions, which is distributing a written policy and collecting a signature for it.
That is where an employee handbook and its acknowledgment do most of the work, along with the individual policies a review flags as missing, such as a written harassment policy with more than one route for complaints.
The checklists above work on their own, on paper. To close the loop without paper, FirstHR distributes each policy with built-in e-signature, records who acknowledged which version and when, and keeps the signed copies with the employee profile through document management, so the record that proves a gap was closed sits next to the document that closed it. FirstHR is an onboarding and HR platform, not a law firm, and it does not run payroll or administer benefits, so connect those separately and take legal questions to counsel. Applicant tracking is coming soon to FirstHR.
Key Takeaways
An HR compliance checklist is a written list of employment obligations verified on a schedule, grouped by hiring, records, pay, safety, benefits, and termination.
Federal obligations switch on at headcount thresholds of roughly 1, 15, 20, 50, and 100 employees, so a checklist built for a large company lists duties a small one does not have yet.
State and local rules set most of the day to day requirements, and a remote employee brings their home state into scope even without an office there.
Run the master checklist once a year, and run the hiring and termination checklists per employee rather than annually.
A line you cannot answer counts as a gap, and every gap needs one named owner, one due date, and one preventive change.
These are starting points, not certified compliance. Verify current state requirements and have an employment attorney review anything consequential. This is general information, not legal advice.
Frequently Asked Questions
What is an HR compliance checklist?
An HR compliance checklist is a written list of the employment obligations a business verifies on a schedule, with a place to mark each one as met, not met, or not applicable. It exists because compliance failures at small companies almost never come from not knowing the law. They come from a deadline slipping while the person responsible was busy. A usable checklist is grouped by area rather than by statute: hiring, employee records, pay practices, workplace safety, benefits and leave, and termination. That grouping matches how the work actually reaches your desk. The output is not the completed checklist itself. It is the list of gaps, each with a named owner and a due date, which is what turns a review into a fix.
What should be on an HR compliance checklist?
At a minimum, a small employer checklist should cover: verification and onboarding paperwork for every hire, including Form I-9 timing and new hire reporting; personnel files with medical and verification records stored separately; a written retention schedule; exempt and non-exempt classification with the reasoning recorded; timekeeping, overtime, and pay statement rules; required federal and state postings, including electronic delivery to remote staff; injury and illness recordkeeping where it applies; benefit plan documents, notices, and leave tracking; and separation steps covering final pay timing, continuation coverage notices, and access removal. On top of that sits the state layer, which sets its own rules on minimum wage, paid sick leave, final pay deadlines, required training, and posting requirements.
How often should a small business run an HR compliance review?
Once a year is the working standard for a full review, with three triggers that force an extra one. The first is a headcount change that crosses a threshold, because obligations arrive at roughly 15, 20, 50, and 100 employees and they do not announce themselves. The second is hiring into a new state, including a remote hire, which pulls that state’s wage, leave, posting, and separation rules into scope on day one. The third is a change in what you do: a new pay structure, a new benefit plan, a new worksite, or a first layoff. Between full reviews, most of the ongoing work is per hire and per separation, which is why the hiring and termination checklists in this set are built to be run one employee at a time.
What is an ADA compliance checklist for employers?
An employer ADA compliance checklist verifies the practices that disability law touches: whether job descriptions separate essential functions from marginal ones, whether employees know how to request an accommodation and whether requests are accepted verbally, whether a named person runs the interactive process, whether each request gets a documented decision within a set timeframe, whether medical information is limited to what is needed and stored in a separate confidential file, whether supervisors receive only the work restriction rather than the diagnosis, and whether physical and digital access barriers have been reviewed. Federal disability obligations generally begin at 15 employees, but many states apply their own standards at much smaller headcounts, so coverage is the first thing to check rather than an assumption.
Which federal employment laws apply to a small business?
Several apply from your first employee, including federal minimum wage and overtime rules, employment eligibility verification for every hire, new hire reporting, and general workplace safety duties. Others switch on as you grow. Federal disability, genetic information, pregnancy accommodation, and most discrimination rules generally begin at 15 employees. Age discrimination rules and health coverage continuation generally begin at 20. Family and medical leave applies at 50 employees within 75 miles, and the shared responsibility rules for health coverage apply at 50 full-time equivalents. Workforce data reporting begins at 100 employees. Because states set their own thresholds and many are lower, a business that is under a federal threshold can still be covered by state law.
What HR records do I have to keep, and for how long?
Federal retention periods differ by record type, so a single blanket rule will get something wrong. Payroll and wage records are generally kept three years, with the records that support wage computations kept two. Personnel and employment action records are generally kept at least one year, and longer once a charge or claim is pending. Employment eligibility verification forms are kept three years after the hire date or one year after separation, whichever is later, and stored separately so they can be produced on their own. Injury and illness records are generally kept five years, and benefit plan records six. Several states set longer periods, so build one written schedule that takes the longest applicable period for each record type and name an owner for it.
Do these checklists cover state requirements?
No, and that is deliberate. These checklists cover federal requirements that apply to private employers across the United States, because those are the same for everyone. The state layer changes with every state where an employee sits, and it moves often enough that a hard-coded list goes stale fast. The set includes a state and local requirements worksheet instead: one page per state where you record the minimum wage, paid sick leave rule, final pay deadline, required posters and notices, training mandates, and retention periods, along with the official source and the date you verified it. Remote employees matter here. An employee working from another state generally brings that state’s rules with them, even when your company has no office there.
Who should run the compliance review if we have no HR person?
One named person, usually the owner, the operations lead, or the office manager, with a calendar entry and a fixed half day set aside. The failure mode at a small company is not a bad reviewer, it is a review that belongs to everyone and therefore to no one. Split the work if you need to: whoever runs payroll takes the pay practices checklist, whoever handles hiring takes the hiring and records checklists, and the owner takes benefits, safety, and termination. Keep the gap log in one place regardless of who filled in which sheet, because the log is what carries the work forward. For anything touching classification, unpaid wages, or a pending complaint, bring in an employment attorney rather than self-correcting.
