HR Compliance Starter Pack template

This pack provides a structured framework for HR compliance, employee lifecycle management, and organisational risk control. It is designed for audits, operational governance, and ongoing HR best practice.

1. HOW TO USE THIS

• Complete quarterly or as part of an annual HR audit cycle
• Assign clear ownership for each HR risk area
• Prioritise high-risk items for immediate action
• Track progress and retain evidence of improvements over time

2. ESSENTIAL HR POLICY CHECKLIST

Core policies (legal / high priority)

• Disciplinary Policy
• Grievance Policy
• Health & Safety Policy
• Data Protection (GDPR) Policy
• Equal Opportunities / EDI Policy
• Flexible Working Policy
• Family Leave Policies ( Maternity, Paternity, Adoption, Shared Parental Leave )

Operational policies

• Sickness absence management
• Annual leave policy
• Remote / hybrid working policy
• Performance management policy
• Probation policy
• Whistleblowing policy

Behaviour & culture policies

• Code of conduct
• Anti-harassment and bullying policy
• Social media policy
• Diversity, equity & inclusion statement

Good practice additions

• Menopause policy
• Mental health & wellbeing policy
• Learning and development policy
• Expenses policy

3. HR RISK ASSESSMENT

Purpose

To systematically identify, assess, and mitigate HR-related risks. This checklist can be used as a working document to audit compliance and track actions.

4. RECRUITMENT COMPLIANCE & FAIR HIRING STANDARDS

• Structured recruitment processes are used
• Inclusive, bias-free job adverts are applied
• Structured interviews and scoring matrices are used
• Right to work, references and screening checks are completed
• All hiring decisions are evidence-based and documented

5. EMPLOYEE MANAGEMENT GUIDE

Recruitment and onboarding

• Use structured job descriptions and fair selection processes
• Carry out right to work checks
• Provide written contracts on or before day one
• Implement a clear onboarding plan

Day-to-day management

• Set expectations and hold regular 1:1 meetings
• Document key conversations
• Address issues early and consistently

Performance management

• Use probation periods effectively
• Set measurable goals
• Provide continuous feedback
• Escalate where required

Absence management

• Track absence consistently
• Conduct return-to-work interviews
• Identify patterns (e.g. Bradford Factor)

Employee relations

• Follow fair and consistent processes
• Ensure right to be accompanied is respected
• Keep accurate records of formal actions

Offboarding

• Conduct exit interviews
• Ensure final pay and holiday accuracy
• Remove system access promptly

6. WORKPLACE WELLBEING & DUTY OF CARE

• Mental health support pathways are accessible
• Reasonable adjustments are consistently applied
• Stress and workload risks are monitored
• Early intervention is used where concerns arise

7. MANAGER CAPABILITY & ACCOUNTABILITY

• Managers are trained in core HR policies
• Clear escalation routes to HR are understood
• Performance, absence and conduct are managed consistently
• HR is engaged early in complex cases

8. DATA PROTECTION & HR SYSTEMS GOVERNANCE

• Employee data is stored securely with restricted access
• Retention periods are defined and followed
• Subject access requests are handled appropriately
• Leaver data is removed in line with policy

9. HR REPORTING & METRICS

• Absence trends are monitored
• Turnover and retention are tracked
• Employee relations cases are reviewed
• Recruitment effectiveness is measured

10. POLICY GOVERNANCE & REVIEW FRAMEWORK

• Policies are reviewed at least annually
• Ownership and accountability are clearly assigned
• Version control is maintained
• Changes are communicated to employees

11. NEXT STEPS

• Complete a full HR policy audit against this handbook
• Conduct a HR risk assessment and assign owners
• Train managers on key processes and expectations
• Implement a 12-month compliance review cycle