If you are in HR, you’re no stranger to compliance management, forms, and deadlines—though keeping them all in order may be a different story. We want to be sure you are equipped with the right information to keep everything on track throughout the year, from ACA to FLSA.

That is why we put together the HR compliance calendar, to bring you an important list of dates and deadlines you need to know to keep your workplace on track.

In this month’s compliance calendar, you will find the key topics to keep your Company up-to-date including employee awareness and required or recommended training.

*NEW: Monthly Compliance Calendar Consultations – As a client of Guardian HR you already know how valuable it is to receive assistance from your dedicated consultant but did you know you also have a compliance consultant available to you as well.  We will review your overall HR practices and procedures and set you up on a 12-month compliance agenda where you will have monthly meetings with your compliance consultant who will help you implement our recommendations. Ask your Dedicated Consultant to get you started with your Compliance Consultant today.  There’s no additional cost.
  • Not applicable to HUB100 or GHR Hotline Clients

Holidays

  • Columbus Day and Indigenous People’s Day – Second Monday in October

Important Dates and Deadlines for this Month

October 25

  • The deadline to submit and certify your 2019/2020 EEO-1 Component 1 data. is NOW Monday, October 25, 2021. Please note that this new deadline is the FINAL DEADLINE per eeocdata.org and all eligible filers MUST submit data by this date. No additional changes to the filing deadline will be made. Organizations can file their information through the new EEO-1 Component 1 Online Filing System.

Topics to Discuss and/or Review

1.Employee Handbook check-in.

  • Begin the process of editing handbook for updated version.
  • It is recommended to review the Company employee handbook annually to comply with frequent changes in employment law.

 

2. Review all Company policies i.e., Vacation, attendance, benefits, dress code, discipline, new laws, etc. For clients with access to the Forms Library, references to this section can be found throughout the Forms Library. For law updates, reach out to your dedicated HR Manager

  • Use employee count to determine if there are applicable laws that now apply (this varies State-to-State and certain local requirements apply).
  • Discuss with appropriate management any policies that may require revision.
  • Note anything to add/delete or revise for Annual Handbook Review.

 

3. Review or create (if applicable) policies for Company Credit Cards, Fuel Cards, Use of Personal Vehicles or Company Vehicles. For clients with access to the Forms Library, references to this section can be found in the folder “Company Property.”

  • See “Company Credit Card Policy.” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Credit Card Acknowledgement Form” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Fuel Card Policy.” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Employee Use of Personal or Company Vehicles.” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”

 

4. Review any Company Property agreements or Return of Company Property Request letters. For clients with access to the Forms Library, references to this section can be found in the folder “ Company Property.”

  • See “Company Property Agreement.” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Agreement to Return and Care for Company Equipment” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Return of Company Property” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “Uniform Agreement” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”

 

5. Review Company Property, Confidential and Personal Information Policies. For clients with access to the Forms Library, references to this section can be found in the folders “Agreements”, “ Company Property”, “National Labor Relations Board (NLRB)” and “Privacy and Confidentiality.”

  • See “Company Property; Confidential and Personal Information Policy” For clients with access to the Forms Library, this document can be found in the folder “Company Property.”
  • See “External Communications Policy” For clients with access to the Forms Library, this document can be found in the folder “Privacy and Confidentiality.”
  • Discuss with employees the importance of the security of propriety business information.
  • Is there a specific member of management that an employee should refer to speak or respond to media inquiries on behalf of the Company?
  • Determine if the Company requires Non-Disclosure Agreements.
  • Are rules effective?
  • Do policies comply with employees’ right to discuss wages and/or working conditions?

 

6. Determine and discuss options for Travel, Mileage, and Expense Reimbursement policies. For clients with access to the Forms Library, references to this section can be found in the folders “Compensation and Payroll” and the “Exempt vs. Non-Exempt” folder in the “Policies & Templates” subfolder specifically the document, “Travel Policy – nonexempt employee.”

  • Check federal, state, and local laws for mileage reimbursement rates. (Rates vary city to city and state to state).
  • Does the Company provide tuition or educational expense reimbursement?
  • Do employees use their own equipment for business use (for example, personal cell phones, cars, computers, etc.?).

 

7. Review Technology Resources, Social Media, Mobile Device and Media Contact Policies. For clients with access to the Forms Library, references to this section can be found in the folders “National Labor Relations Board (NLRB)” and “Technology” folder.

  • See “Electronic Surveillance Policy” For clients with access to the Forms Library, this document can be found in the folder “Technology.”
  • See “Mobile Device Policy” For clients with access to the Forms Library, this document can be found in the folder “Technology.”
  • See “Personal and Company-Provided Portable Communication Devices” For clients with access to the Forms Library, this document can be found in the folder “Technology.”
  • See “Use of Communications and Computer Systems” For clients with access to the Forms Library, this document can be found in the folder “Technology.”
  • See “Use of Social Media” For clients with access to the Forms Library, this document can be found in the folder “Technology.”
  • Do policies comply with National Labor Relations Board (NLRB)?
  • Does the Company provide and monitor Technology Resource Use?
  • Who has access to Technology Resources and who authorizes use or enforces compliance? (i.e., IT Controller, etc.).
  • Does the Company monitor work areas via Electronic Surveillance?

 

8. Discuss employment trends, options, and opportunities for the Company with appropriate management. For clients with access to the Forms Library, references to this section can be found in the folders, “Benefits” and “HR Helpers & Guidelines.”

  • Research and pull benchmark data on current employment trends.
  • Discuss implementing “Well Being” Programs.
  • Discuss various benefit programs.
  • Conduct Employee Satisfaction Survey.

 

9. Brainstorm and discuss options for workforce engagement for the upcoming year. For clients with access to the Forms Library, references to this section can be found in the folders, “Hiring” in the subfolder “Talent Acquisition” and “HR Helpers & Guidelines.”

  • Discuss tactics to keep employees committed to the Company and enthusiastic about their work.
  • Discuss Talent Acquisition tactics.
  • Conduct Staff Satisfaction Surveys.

 

10. Review Company observed Holidays, add any changes to the new year’s Employee Calendar.

  • Certain states have special Holiday requirements, please check. For clients with access to the Forms Library, references to this section can be found in the folder, “Vacation, PTO, Holidays” in the subfolder “Holiday.”

 

11. Complete and Submit Guardian HR Employee Handbook Questionnaire. For clients with access to the Guardian HR website, using your login credentials, you can complete the Guardian HR Employee Handbook Questionnaire and upload any applicable documents to submit the Company’s Employee Handbook for creation/review.

Tips

More information in reference to the topics discussed in this month’s compliance calendar can be found in our comprehensive online Forms Library, which is available to members 24/7.

Note: This calendar is designed to help our clients review the key human resources-related reporting and notice requirements that may apply to their organizations. Please note that this list is for general reference purposes only and is not all-inclusive. Many of the compliance requirements are complex ERISA or other statutory legal filings and responsibilities may vary depending on your company’s plans. We encourage you to consult with your insurance brokers, plan administrators, and/or your ERISA and tax advisors for further guidance.

For the most current information on certain tax-related or benefit-related documents or forms provided by the IRS, or other sources, please check with a tax professional, benefit professional, and/or the correlating websites (i.e. irs.gov/LatestForms, etc.).