Employee Compliance

Employee Compliance tracks mandatory regulatory and policy obligations for each Employee: I-9 employment eligibility, EEO voluntary self-identification, safety and harassment training, background checks, work authorization renewals, and custom items defined in Compliance Type.

Unlike Employee Document—which stores files—Employee Compliance records status, completion dates, renewal schedules, structured I-9/EEO fields, and optional verification attachments. Scheduled jobs warn HR before expiry and mark stale records Expired.

Help URL: smoothhiring.com/help/hrms/documents-compliance/employee-compliance

Table of Contents

1. Overview
2. Who this is for
3. Compliance Type setup
4. Desk paths
5. Step-by-step: create compliance record
6. Step-by-step: I-9 tracking
7. Step-by-step: EEO voluntary data
8. Step-by-step: renewals and expiry
9. Status lifecycle
10. Key fields
11. Scheduled jobs
12. Tips
13. Troubleshooting
14. Related guides

Overview

Employee Compliance complements e-signatures: a signed I-9 PDF may live in Employee Document while the structured I-9 workflow lives here.

Who this is for

Employee Self Service typically does not edit compliance records—employees provide data through onboarding portal sections instead.

Compliance Type setup

Configure master data at /app/compliance-type before creating employee records:

Create types that mirror your handbook: annual harassment training, OSHA safety orientation, background check clearance, I-9, EEO survey, etc.

Desk paths

Step-by-step: create compliance record

1. Navigate to /app/employee-compliance → Add Employee Compliance.
2. Employee (required) — select worker.
3. Compliance Type (required) — pick configured type; Category fetches automatically.
4. Status — start at Pending or In Progress.
5. As work progresses:
   • Set Completion Date when requirement satisfied.
   • Attach Verification Document (certificate PDF, background report).
   • Enter Document Reference Number if external ID exists.
6. When fully satisfied, set Status = Complete.
   • Verified By and Verified On auto-populate on save if empty.
7. Set Expiry Date when compliance time-limits apply (work authorization end date, training validity).
8. Next Renewal Date may auto-calculate when Requires Renewal is set on Compliance Type and Completion Date is entered.

Step-by-step: I-9 tracking

For Compliance Type names containing "I-9", the form reveals I-9 Form Details:

Section 1 — Employee completes

1. Employee completes Section 1 on paper, PDF, or e-sign outside this form.
2. HR checks Section 1 Complete (Employee) when attestation received.
3. Record List A document or List B + List C combinations in text fields:
   • List A Document — single document proving identity and authorization
   • List B Document — identity document
   • List C Document — employment authorization document

Section 2 — Employer completes within 3 business days

1. HR physically examines documents (or uses authorized remote procedure per your policy).
2. Check Section 2 Complete (Employer).
3. Attach copy of completed I-9 as Verification Document if stored digitally.
4. Set Status = Complete with Completion Date.

Section 3 — Reverification

When work authorization expires:

1. Check Section 3 Complete (Reverification) after new documents examined.
2. Update Expiry Date and List A/B/C fields.
3. Create follow-up Employee Compliance or renew same record per your SOP.

Pair with Employee Document rows for scanned List A/B/C images.

Step-by-step: EEO voluntary data

For EEO-related Compliance Types, the EEO Information (Voluntary) section appears:

Data is voluntary under federal EEO guidelines. Store only what employees provide through onboarding or HR intake. Use Notes for collection method (portal section, paper form date).

Set Status = Complete when survey recorded. EEO data typically has no expiry unless your reporting cycle requires annual re-collection—configure Compliance Type renewal if needed.

Step-by-step: renewals and expiry

1. On Complete records with Expiry Date, monitor list view sorted by expiry.
2. Scheduler check_expiring_compliance emails HR Managers when expiry is within 30 days (Complete status only).
3. Scheduler mark_expired_compliance daily sets Expired when Expiry Date < today and status was Complete.
4. To renew:
   • Create new Employee Compliance or revert status to In Progress
   • Complete training / reverification
   • Update Completion Date; system recalculates Next Renewal Date from Compliance Type Renewal Period (Months)
   • Set new Expiry Date

Status lifecycle

Validation on save:

• Past Expiry Date forces Expired status via check_expiry.
• Complete without verified user auto-fills Verified By / Verified On.

Key fields

Scheduled jobs

Registered in hrms/hooks.py:

Ensure HR Manager role users have valid email addresses to receive alerts.

Tips

• Create Compliance Types before hire batch so HR uses consistent names in reports.
• Use In Progress during background check pending—avoid marking Complete until clear.
• Separate I-9 document scans from I-9 compliance record—file scans in Employee Document; track sections here.
• Set Expiry Date on work authorization compliance even when Employee Document also tracks visa PDF.
• Requires Renewal + Renewal Period automates Next Renewal Date—reduces manual calendar tracking.
• Non-Compliant status flags exceptions for management review without deleting history.
• Notes field documents who collected EEO data and when—for audit responses.

Troubleshooting

Related guides

• Documents & Compliance Overview
• Employee Documents
• Signature Templates
• Employee Onboarding
• Employee Records
• Company Setup

Last updated: May 2026

Smooth LMS (training)