Compliance Checklist

An HR compliance checklist is typically used by human resources professionals to prepare for a potential HR audit. The HR check list should include information on recruiting and interviewing potential new employees, and a check of your company’s current employment form and any pertinent internal manuals or job descriptions. You may find that your company has not been keeping up with employment laws that govern the type of work that your employees do and this is the perfect time to have these forms updated and in compliance. When you are ready to implement an internal HR program, it is important that you hire an agency that will help you do this.

An HR compliance checklist covers everything from hiring new personnel to training them to maintaining adequate workplace communication to keeping all of these things up to date. When you are ready to start an audit, you can either download template for your entire organization or just part one and start with that. Depending on your size, it may take quite a few months before you get to the point where you are ready to do the next step, which is to submit your completed checklist to the authorities. It is critical to ensure that your company is following all of the relevant Federal, State, and Local laws and this is done through a thorough compliance assessment. You should be prepared to submit a HIPAA notice if there are specific areas of your company that must be compliant with the federal Health Insurance Portability and Accountability Act.

When you begin working on your compliance audit checklist, it will contain general areas that include general OSHA policies, sick leave, dental and professional liability, record keeping and record keeping procedures and equipment, food processing and handling procedures and constructional materials. Each of these areas will need to be addressed separately and you should assign a compliance specialist to handle this for you. Once you identify areas that you feel are most important, you can then begin to create individual bullet points for each. This will allow you to cover each one of the items that are most crucial to you. You should tailor your compliance policy to fit your company and it should be tailor made to cover the most common and most unique areas that your company might come across in a typical day.

The next step in the process is to conduct your first audit of your business value. This should take into consideration what steps you took to become compliant and list the number of violations that were found. If you find that a significant number of errors were made or that the processes were flawed, you should consider revising those processes and take corrective action to make your business more effective and efficient. For example, if you found that an employee was improperly performing a task, you should have an explanation as to why that employee was performing that task and whether the actions that led up to that point were appropriate. Next, you should determine the corrective actions that need to be taken to ensure that any other employees are properly trained. You should conduct your HIPAA audits at random and you should not perform them in conjunction with an HR practice review.

You should continue your HIPAA compliance activities through annual refresher training classes. These training sessions should provide employees with the information that they need to know and clarify procedures that have been implemented to comply with the Security Rule. You should continue to monitor compliance by auditing the companies that had participated in the program through a compliance review. If there are areas of concern, you should take steps to address those concerns and stop the infractions from occurring again. Your company’s failure to maintain its program effectively can result in costly fines and negative publicity.

The third step in developing an effective compliance and risk management plan is to draft an amendment to the Memorandum and Articles of Agreement (M&A) for your company. This plan should be in written form and be signed by all employees who are responsible for a specific area of business. This plan will include procedures that were implemented to identify and correct risks and to monitor those risks. The plan should also detail the costs that would be incurred by your company in correcting or eliminating any identified risks. Once these procedures are in place, your company can move forward successfully on its journey towards Financial Institution Management Level 3.