How Human Resources Compliance Checklists Can Keep You Out of Trouble

Posted by Kevin D'Arcy on Jul 24, 2014 8:45:00 AM

HR Compliance

Human Resources compliancechecklists are instrumental in ensuring that organizations stay well within the laws governing employment in Canada.

They help not only prepare for audits, but also provide a means to monitor whether business processes are operating efficiently and resources are not being wasted or used ineffectively.

Ultimately, HR compliance checklists are an integral component of more comprehensive HR management systems that serve the dual purpose of boosting business efficiencies and staying compliant.

Below are a few of the ways that Human Resources compliance checklists can help keep your organization out of trouble – both legally and operationally.

  1. They help ensure compliance with federal, provincial and local employment laws

  2. They assist in the development and improvement of organizational policies and practices

  3. They help ensure that your organization is properly tracking and administering hours worked, overtime, absences, vacation, as well as compensation

  4. They help measure HR’s effectiveness, and identify areas for improvement

  5. They can identify strengths and weaknesses in many employment practices, including communications and training

  6. They help HR departments establish and maintain more efficient document management processes

What should be Included in an HR Compliance Checklist?

Not surprisingly, the contents of a Human Resources compliance checklist will vary depending on the size and type of industry. That said, there are a number of elements that organizations of every ilk should include on their checklist. These include:

  • Recruitment and Interviewing Processes – include a note to review your talent acquisition processes. This will help identify if your hiring procedures are aligned with employment laws, including aspects such as equal opportunity employment

  • Hiring Procedures – ensure that once an employee is hired, HR is covering all bases in terms of required legal documentation and employee information collection.

  • All HR Policies – when is the last time you reviewed your HR policies? If it has been a while, your organization may be at risk of noncompliance with current legislation. Ensure that policies are reviewed and updated as necessary.

  • Employee Health & Safety – including this aspect on your Human Resources compliance checklist will help your organization ensure that all health and safety regulations are being adhered to, and mitigate the risks of legal recourse should any incidents transpire.

  • Payment Processes – review all payment processes to ensure that they are in line with employment standards and laws. This element will also help you identify issues like over or underpayment, excessive overtime, unsanctioned absences and more.

There are a number of other elements that can be included on your Human Resources compliance checklist; many are industry specific, and thus will originate from the specific needs/functions or your business. Ultimately, an effective HR compliance checklist will help ensure that your organization is protected against the repercussions of noncompliance, while also helping to identify and correct HR inefficiencies.


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