Compliance File

About the Compliance File

A Compliance File is a structured collection of documents that demonstrates how an organization meets specific regulatory requirements and industry standards.

These files serve as a comprehensive record-keeping system, protecting organizations from legal risks while providing clear evidence of their commitment to following established guidelines.

Examples of documents that are typically stored in a Compliance File are contracts, audit reports, cerrifications, results of external advisory/ consultation, risk assessment and decision-making reports, non-disclosure agreements, privacy protocols, worker safety protocols and inspection records, and other records that prove compliance with applicable rules and regulations.

The contents of a Compliance File vary by profile of the employee/ worker. For example, in cases of a EU Posted Worker profile different documents must be filed than a Commuter profile or a Remote Worker profile.

Compliance File Confidentiality!

The Compliance file contains sensitive documentation regarding legal requirements, regulatory adherence, and internal control measures. This strict separation from employee files helps maintain clear boundaries between personnel records and compliance documentation. Access to this file is restricted to authorized compliance officers, legal department personnel, and senior management on a need-to-know basis. Even during external audits or investigations, the confidentiality of these documents must be maintained to protect the organization's legal strategy and sensitive compliance matters.