Free 2026 edition
The HR Compliance Checklist for Small Business
A federal-aligned HR compliance checklist covering the 8 areas small and midsize employers are most often cited for. Download the printable PDF, or run the interactive audit for a scored report with a prioritized action plan.
Why use an HR compliance checklist?
Most HR fines and lawsuits at small companies come from the same short list of preventable issues: an incomplete I-9, a misclassified employee, an outdated handbook, a missing training record. A quarterly HR compliance checklist catches those before they compound — no consultant required.
What the checklist covers
1. Hiring & onboarding
- Written offer letter with pay, classification, and at-will language.
- I-9 completed within 3 business days; W-4 and state withholding on file.
- New-hire reporting filed with the state.
- Signed handbook acknowledgment stored in the personnel file.
- Required federal and state workplace posters displayed (or sent to remote workers).
2. Wage & hour (FLSA)
- Every role reviewed for exempt vs non-exempt in the last 12 months.
- Overtime paid at the higher of federal or state rules.
- Meal and rest breaks provided where state law requires.
- Timekeeping records retained for the full state minimum.
- Final-pay timing procedure documented for voluntary and involuntary terminations.
3. Anti-discrimination & EEO
- EEO policy in the handbook covering all federally protected classes.
- Interview questions screened for illegal topics (age, family status, disability).
- Reasonable accommodation process documented (ADA, Title VII, PWFA).
- EEO-1 report filed if you have 100+ employees.
4. Workplace safety (OSHA)
- OSHA "Job Safety and Health" poster displayed.
- OSHA 300, 300A, 301 logs maintained if you're covered.
- Written safety programs for the hazards actually present in your workplace.
- Injury and illness reporting procedure communicated to employees.
5. Leave (FMLA + state)
- FMLA eligibility, notice, and designation procedures in place if you have 50+ employees.
- State paid sick leave, paid family leave, and pregnancy accommodation tracked per state.
- Military leave (USERRA) procedure documented.
- Leave balances visible to employees and managers.
6. Handbook & required training
- Handbook reviewed within the last 12 months.
- Anti-harassment training current for every state that mandates it (CA, NY, IL, CT, DE, ME, WA).
- Safety and role-specific training tracked with completion records.
- Acknowledgments re-signed when the handbook materially changes.
7. Recordkeeping & retention
- Personnel and medical files stored separately with access controls.
- Payroll records kept 3+ years; I-9s kept 3 years from hire or 1 year post-termination (whichever is later).
- Benefits and ACA records retained per ERISA/IRS windows.
- OSHA exposure records retained for employment + 30 years where applicable.
8. Termination & offboarding
- Termination decisions supported by documented performance history.
- Final paycheck issued within state-required timing.
- COBRA notice sent within 14 days of the qualifying event.
- Company property, system access, and confidential data recovered.
Get the printable PDF
One-page-per-category printable version. Bring it to your quarterly HR review or hand it to a new office manager on day one.
Related HR compliance guides
Frequently asked questions
What is an HR compliance checklist?
An HR compliance checklist is a short self-assessment that confirms your hiring paperwork, pay practices, policies, safety, leave administration, and recordkeeping meet federal, state, and local employment law. Most small businesses run it quarterly.
What should an HR compliance checklist include?
At minimum: I-9s and new-hire paperwork, FLSA exempt/non-exempt classification, EEO and anti-harassment policies, OSHA safety, FMLA and state leave, employee handbook, required posters and training, personnel/medical recordkeeping, and termination procedures.
How often should I use an HR compliance checklist?
Quarterly for the checklist itself, annually for a full HR audit, and any time you cross a headcount threshold (15, 20, 50, 100 employees) or begin employing in a new state.
Is this HR compliance checklist free?
Yes. The PDF is free to download and the interactive scored version is free to run. Paid tiers only unlock the deeper PDF action plan and multi-audit tracking.
Does the checklist cover state law?
The PDF covers the federal baseline every U.S. employer shares. State overlays (paid sick leave, pay transparency, wage-theft notices, anti-harassment training, final-pay timing) vary — layer them per state where you employ people.
Is this legal advice?
No. It is an operational checklist based on common federal HR requirements. Confirm specifics with employment counsel licensed in your state before acting on anything material.
This checklist is a general self-assessment guide and does not constitute legal advice. For specific compliance questions, consult a qualified employment attorney.