10-Point Compliance Audit Checklist

What this checklist is

A one-page working checklist for reviewing the ten areas where missing records most often become audit findings. It is deliberately short: the aim is to complete it, not to admire it.

The download is a plain text file so it works on any computer, prints cleanly, and can be pasted into your own template.

Who should use it

• HR and compliance officers running a first internal review.
• Office managers in small companies where no dedicated compliance role exists.
• Agencies and teams preparing for a client audit, certification visit, or internal audit.
• Anyone who has just inherited a filing cabinet and needs to know what is inside it.

What’s included

1. Company registration and renewal checks
2. Employment contract checks
3. Wages and payroll records
4. Provident fund and social security
5. Working hours and leave
6. Health and safety
7. Statutory registers
8. Separation and final settlement
9. Grievance handling
10. Document storage, backups, and retention

Each line is phrased as something you can verify, not something you can assume.

How to use it

1. Download and print the checklist, or open it in a text editor.
2. Add columns for status, owner, and target date next to each item.
3. Complete one section a day for two weeks, or all ten in two half-day sessions.
4. Sample rather than read everything: for 40 employees, review 10 complete files.
5. Record every gap with the observation, the risk, the owner, and a date.
6. Re-test the gaps six weeks later and keep both records.

What “good” looks like

• Every active employee has a signed contract, and payroll matches it.
• Attendance, leave, and overtime reconcile with the salary sheet.
• Statutory contributions are deposited, and the acknowledgements are on file.
• Safety equipment has an inspection record, not just a tag on the wall.
• Registers are current, and each one has a named owner.
• Grievance and disciplinary files exist, with outcomes recorded.

Limitations and safety notes

• This is a working document for internal review, not legal advice and not a compliance certificate. Requirements change, and they differ by sector and organisation. Verify current obligations with the relevant authority before relying on any item.
• It covers the areas I check first, not every obligation that could apply to you.
• The text file contains no macros and no scripts. It cannot run anything on your computer.

Sources for checking current requirements (Nepal)

• Department of Labour and Occupational Safety: dol.gov.np
• Ministry of Labour, Employment and Social Security: moless.gov.np
• Social Security Fund: ssf.gov.np
• Department of Foreign Employment (for recruitment agencies): dofe.gov.np

Version history

• 1.0 — 20 August 2026: first release.
• Last reviewed: 4 October 2026. The 10 areas are unchanged; the guide above was added.

I use this checklist alongside the article How I Run a Basic HR Compliance Check in a Nepali Company, which explains the review process step by step.