Checklist
Portrait + landscapeBroader Compliance Checklist
Use this checklist to identify compliance topics outside the core HRA workflow that may require evidence, ownership, or qualified review.
Resource Library
Govern, Document & Improve
Maintain compliance records, evidence, review checkpoints, governance practices, and continuous improvement.
Browse all resources27 resources
Decision Record
Portrait + landscapeCOBRA Review Record
Document the facts, applicability questions, responsible parties, and qualified-review conclusions associated with COBRA obligations.
Evidence File
Portrait + landscapeCompliance Audit Index
Indexes the records, checkpoints, and supporting evidence needed for a structured compliance audit review.
Evidence File
Portrait + landscapeContinuous Improvement Log
Captures recurring issues, lessons, decisions, and follow-up actions used to improve HRB operations over time.
Checklist
Portrait + landscapeDocumentation Health Check
Reviews whether key plan, process, decision, and evidence records are present, current, and usable.
Evidence File
Portrait + landscapeERISA and Tax Evidence File
Organize ERISA and tax source materials, reviewed facts, decisions, and professional guidance into a traceable evidence record.
Checklist
Portrait + landscapeERISA Evidence File Checklist
Confirm that the documents, decisions, distribution evidence, and review records expected in an ERISA evidence file are present and current.
Evidence File
Portrait + landscapeEvidence Library and Evidence File System
Explains how to organize source records, decision evidence, and supporting files into a usable evidence library.
Worksheet
Portrait + landscapeGovernance Maturity Assessment
Assesses the strength and consistency of HRB governance, documentation, controls, and review practices.
Guide
Portrait + landscapeHR Review Triggers and Boundary Guide
Identify situations that should be routed to employer HR and clarify where broker, vendor, and HR responsibilities begin and end.
Reference
Portrait + landscapeHRA Documentation Stack Reference
Map the core plan, notice, decision, operating, and evidence records that make up a maintainable HRA documentation stack.
Evidence File
Portrait + landscapeHRB Compliance File Index
Organizes the core records and evidence used to maintain an accessible HRB compliance file.
Guide
Portrait + landscapeHRB Compliance File Index Toolkit
Use this toolkit to establish, populate, and maintain a compliance-file index with owners, source records, review dates, and evidence locations.
Evidence File
Portrait + landscapeHuman Review Checkpoint Register
Records where human review is required, who owns it, what evidence is needed, and how completion is documented.
Decision Record
Portrait + landscapeMedicare and MSP Review Record
Document Medicare and secondary-payer facts, open questions, coordination responsibilities, and conclusions supplied by qualified reviewers.
Worksheet
Portrait + landscapeMetrics That Matter Scorecard
Helps select and review practical measures of plan performance, participant experience, operations, and governance.
Evidence File
Portrait + landscapeNondiscrimination Review File
Organize the workforce facts, testing inputs, design decisions, evidence, and professional conclusions used in a nondiscrimination review.
Checklist
Portrait + landscapeNotice Delivery Checklist and Evidence Log
Confirm required notice steps and record when, how, and to whom each communication was delivered, including supporting evidence.
Workflow
Portrait + landscapeNotice Resource Library Source-Control Flow
Map how notice templates move through source verification, qualified review, approval, publication, version control, and retirement.
Evidence File
Portrait + landscapePitfall Mitigation Evidence Record
Record a known risk, the mitigation selected, responsible owners, supporting evidence, and the follow-up used to verify effectiveness.
Checklist
Portrait + landscapePlan Document Checklist
Use this visual checklist to confirm the core plan documents, amendments, notices, approvals, and distribution records that require attention.
Reference
Portrait + landscapePolicy Infrastructure Watchlist
Track policy, regulatory, market, and operational infrastructure developments that may require review of current assumptions or controls.
Evidence File
Portrait + landscapeRecurring-Issue Continuous Improvement Log
Track repeated operational issues, root causes, corrective actions, owners, and observed results to support systematic improvement.
Template
Portrait + landscapeRegulatory Routing Record Template
Document a regulatory question, relevant facts, source materials, routing decision, reviewer ownership, and the response returned to the team.
Decision Record
Portrait + landscapeSection 125 Review Record
Document Section 125 facts, payroll and contribution arrangements, open questions, and conclusions supplied through qualified legal or tax review.
Checklist
Portrait + landscapeSPD and SMM Distribution Checklist
Confirm review, approval, timing, recipient, delivery, and evidence steps associated with SPD and SMM distribution.
Guide
Portrait + landscapeUploaded Evidence Storage Guide
Use this planning guide to define how a future evidence system could classify, protect, retain, retrieve, and link uploaded records. The library does not accept or store uploads.