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HR Compliance Overviews

This page provides helpful tips, best practices, and suggested training courses for the federally-mandated compliance laws such as FMLA, ADA, COBRA, and more. Simply click an applicable link for details on each.

Workplace and Internal Investigations

HR Compliance: What Organizations Must Know

HR compliance refers to the legal and regulatory requirements that govern the employment relationship. These laws apply across the entire employee lifecycle and are enforced at the federal, state, and local levels. Compliance is not optional, and responsibility often falls to HR professionals and managers who must apply complex rules consistently and correctly.

Why HR Compliance Knowledge Is Critical

Because employment laws and enforcement priorities change, HR compliance requires ongoing education�not one-time awareness.

Many compliance issues arise from misunderstanding, inconsistent application, or lack of documentation rather than intentional misconduct. HR professionals are expected to recognize risks, interpret requirements, and guide leaders through decisions that may carry legal exposure. Effective compliance knowledge enables HR professionals to:

Identify and mitigate risk before issues escalate
Apply policies consistently across employees and situations
Support managers in sensitive or high-impact decisions
Protect employee rights while safeguarding the organization

FMLA

Employers covered by the Family and Medical Leave Act (FMLA) must ensure eligible employees can take up to 12 weeks of unpaid, job-protected leave for qualifying family and medical reasons - and up to 26 weeks for military caregiver leave. Compliance includes:

Providing required notices
Correctly determining employee eligibility based on hours worked, length of service, and worksite size
Properly designating leave as FMLA-qualifying and tracking leave accurately
Maintaining health benefits during FMLA leave as if the employee were still working

Ensuring job restoration rights, returning employees to the same or an equivalent position
Protecting employees from interference and retaliation related to FMLA rights
Maintaining accurate records

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ADA

Under the Americans with Disabilities Act (ADA), employers must ensure equal employment opportunities for qualified individuals with disabilities. Key compliance requirements include:

Ensuring non-discrimination in all employment practices, including hiring, promotion, training, and termination
Engaging in the interactive process promptly�
Providing reasonable accommodations (unless they pose an undue hardship)

Maintaining confidentiality of medical information and storing records separately from personnel files
Documenting decisions related to accommodation requests and the interactive process

Suggested Training Courses:

PWFA

Under the Pregnant Workers Fairness Act (PWFA), covered employers must provide reasonable accommodations for employees and applicants with limitations related to pregnancy, childbirth, or related medical conditions unless doing so would create an undue hardship. Key requirements include:

Providing reasonable accommodations such as job modifications, schedule changes, or temporary reassignment, when feasible
Maintaining confidentiality of medical information

Prohibiting adverse actions, including denying opportunities, forcing leave, or retaliating against individuals who request accommodations

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COBRA

Under the Consolidated Omnibus Budget Reconciliation Act (COBRA), employers with group health plans must offer eligible employees and dependents the opportunity to continue health coverage when they experience a "qualifying event" that would result in loss of coverage. Key requirements include:

Providing timely notices, including the general notice, qualifying event notice, election notice, and notice of termination of coverage

Managing election periods and premium payments

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Leave Management

Employers must administer all federal, state, and company-provided leave management laws and programs � think FMLA, ADA, etc. - in a consistent, timely, and legally-compliant manner. Key requirements include:

Determining eligibility for each type of leave and applying rules consistently
Providing required notices and communications within mandated timeframes
Tracking leave usage precisely

Coordinating overlapping leave laws such as the FMLA, ADA, PWFA, and state leave
Providing job protection where applicable

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Payroll

In addition to making sure employees get paid, the Payroll Department is responsible for many time-sensitive and important functions and compliance responsibilities, such as determining if a worker is an employee or a consultant, correctly calculating pay (which involves base pay, OT, and deductions for�taxes, cafeteria and retirement plan contributions, among other things), and meeting the various reporting requirements on a timely basis. HRcertifcation.com offers a number of training courses where you can learn the compliance requirements - and best practice tips - for:

Accurately distributing paychecks
Reporting requirements
Various other payroll functions, such as fraud prevention, establishing paycard, backup, and other important functions

Maintaining confidentiality of medical information and storing records separately from personnel files
Documenting decisions related to accommodation requests and the interactive process

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Cafeteria Plans

Under IRS Section 125, employers offering Cafeteria Plans (e.g., pre-tax elections for health, FSA, HSA, or dependent care benefits) must administer the plan according to strict tax and documentation rules. Key requirements include:

Maintaining a written plan document that meets IRS Section 125 requirements and outlines all eligible benefits and election rules
Providing required notices and ensuring participants understand plan terms and election deadlines

Applying plan rules consistently and non-discriminatorily to avoid favoring highly compensated or key employees
Maintaining records and compliance testing (e.g., nondiscrimination testing) to preserve the plan's tax-favored status

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HSAs

Health Savings Accounts (HSAs) must be administered in accordance with IRS rules to maintain their tax-advantaged status. Key requirements include:

Providing required disclosures and ensuring employees understand account rules and tax implications
Ensuring HSA eligibility, including enrollment in a qualified High-Deductible Health Plan (HDHP) and no disqualifying coverage

Adhering to annual contribution limits and properly managing employer contributions
Maintaining appropriate records and reporting

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Compensation

Employers must design and administer compensation plans in a manner that is fair, transparent, and compliant with applicable laws. Key requirements include:

Providing required disclosures and communicating plan details to employees
Adhering to federal, state, and local wage and hour laws, including minimum wage, overtime, exempt/non-exempt classifications, and pay-frequency rules

Ensuring nondiscrimination and pay equity, avoiding disparities based on protected characteristics and complying with equal pay laws
Documenting plan terms clearly, including eligibility, pay structures, incentives, and performance metrics

Suggested Training Courses:

Compensation Training & Certification Program

Retirement Plans

Employers must administer retirement plans in accordance with ERISA and IRS rules, as well as the rules of its plan documents. This ensures the plan remains compliant, protects participant benefits, avoids penalties, and maintains tax-qualified status. Key requirements include:

Providing required disclosures and notices, such as Summary Plan Descriptions (SPDs), fee disclosures, and Form 5500 filings
Maintaining accurate records for eligibility, vesting, contributions, distributions, and compliance documentation
Ensuring all operations align with stated rules and provisions
Acting in participants' best interests (Fiduciary responsibilities)

Monitoring and communicating plan performance
Performing required nondiscrimination and compliance testing to ensure the plan does not disproportionately favor highly compensated employees
Properly handling distributions and rollovers according to plan rules and IRS regulations

Best Practices

FAQs

Glossary

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Workplace and Internal Investigations

A workplace investigation is a formal process used by employers to look into a complaint, concern, or misconduct involving employees.

Employers must conduct workplace investigations in a legally compliant, consistent, and fair manner to address complaints of misconduct, harassment, retaliation, discrimination, policy violations, or fraud and abuse. The goal is to gather facts, determine what happened, and take appropriate action based on company policy and legal requirements. Key requirements for handling an investigation include:

Performing a prompt and impartial investigation of complaints
Ensuring compliance with employment laws such as anti-discrimination, harassment, whistleblower, and retaliation protections
Ensuring that investigations are defensible, transparent, and aligned with regulatory and organizational standards

Documenting all steps of the investigation, including interviews, evidence collected, and findings
Taking appropriate corrective or disciplinary action based on findings and following policy and legal requirements

Suggested Training Courses:

More About Compliance Requirements For HR Departments

Examples of HR Compliance Requirements

HR compliance responsibilities commonly include:

Wage and hour laws, including overtime and timekeeping
Leave administration and accommodations
Anti-discrimination, harassment, and retaliation protections
Workplace health, safety, and privacy obligations
Employee classification and recordkeeping standards

Each area carries documentation, timing, and enforcement requirements that must be handled accurately.

Complex and High-Risk Administration Areas

Certain compliance topics are particularly challenging, even for experienced HR professionals, such as:

Intermittent or reduced-schedule leave
Disability and religious accommodations
Multi-state employment compliance
Employee classification and pay practices
Managing performance or discipline involving protected activities

Training helps HR professionals navigate these situations with confidence and consistency.

Common Compliance Gaps and Errors

Organizations frequently encounter compliance issues due to:

Inconsistent application of policies
Incomplete or poorly maintained documentation
Lack of manager training
Outdated policies that no longer reflect current law
Reactive decision-making rather than proactive planning

Targeted HR education reduces these risks and strengthens decision-making.

The Role of Training and Certification

HR compliance is strengthened through ongoing education and professional certification. Training helps reduce errors, improve documentation practices, and ensure HR decisions are defensible and aligned with legal requirements.

HRcertification.com offers training and certification programs on many federally-mandated compliance areas. The training courses are designed to build practical compliance knowledge and demonstrate expertise that employers trust.