HRB Toolkit

Back to duty path kits

Compliance & Governance

What needs qualified review, source control, documentation, or retained evidence?

Route qualified review, source control, documentation, and retained evidence.

Start here

HRB Compliance File Index Compliance Audit Index Regulatory Routing Record Notice Checklist & Delivery Evidence Log Plan Document Checklist

Common tasks

Organize plan, notice, reimbursement, and review files.
Route COBRA, Medicare/MSP, HIPAA, ERISA, tax, and claims questions.
Check source/version control and delivery evidence.
Maintain audit and compliance file indexes.

Suggested sequence

Index the compliance file and evidence locations.
Check plan documents, notices, and source/version control.
Route special review issues before advising.
Capture delivery, review, and decision evidence.
Use documentation health to keep materials current.

Core resources

ERISA Evidence File Checklist SPD/SMM Distribution Checklist Notice Resource Library & Source Control Flow COBRA Review Record Medicare / MSP Review Record Nondiscrimination Review File Claims & Appeals Procedure Checklist Broader Compliance Checklist Compliance Calendar HRA Documentation Stack Reference

Evidence to retain

Evidence Capture Loop ERISA & Tax Evidence File Notice Checklist & Delivery Evidence Log

Review triggers

Legal interpretation
Tax treatment
ERISA plan document issue
COBRA event
Medicare/MSP issue
HIPAA/privacy issue
Claims or appeals issue
Notice timing or delivery uncertainty

Handoff resources

Human Review Checkpoint Register Escalation Protocol Builder Documentation Health Check

Related duty paths

Strategy & Plan Design

Finance & Funding

Employee Experience