What is involved in HR Compliance
Find out what the related areas are that HR Compliance connects with, associates with, correlates with or affects, and which require thought, deliberation, analysis, review and discussion. This unique checklist stands out in a sense that it is not per-se designed to give answers, but to engage the reader and lay out a HR Compliance thinking-frame.
How far is your company on its HR Compliance journey?
Take this short survey to gauge your organization’s progress toward HR Compliance leadership. Learn your strongest and weakest areas, and what you can do now to create a strategy that delivers results.
To address the criteria in this checklist for your organization, extensive selected resources are provided for sources of further research and information.
Start the Checklist
Below you will find a quick checklist designed to help you think about which HR Compliance related domains to cover and 188 essential critical questions to check off in that domain.
The following domains are covered:
HR Compliance, Governance, risk management, and compliance, Chief compliance officer, Chief governance officer, Climate governance, Clinical governance, Collaborative governance, Conformity assessment, Corporate governance, Cultural governance, Data governance, Earth system governance, Ecclesiastical polity, Enterprise risk management, Environmental, social and corporate governance, Environmental governance, Global governance, Good governance, Governance in higher education, ISO 19600, Information Technology, Information governance, Information system, Local governance, Market governance mechanism, Multistakeholder governance model, Network governance, Ocean governance, Open-source governance, Political party governance, Private governance, Project governance, Records management, Regulatory compliance, Risk appetite, Risk management, SOA governance, Security sector governance and reform, Simulation governance, Soil governance, Sustainable Governance Indicators, Technology governance, Transnational governance, Website governance, World Governance Index:
HR Compliance Critical Criteria:
Contribute to HR Compliance management and grade techniques for implementing HR Compliance controls.
– Have you identified your HR Compliance key performance indicators?
– Can we do HR Compliance without complex (expensive) analysis?
Governance, risk management, and compliance Critical Criteria:
Apply Governance, risk management, and compliance failures and oversee Governance, risk management, and compliance management by competencies.
– Consider your own HR Compliance project. what types of organizational problems do you think might be causing or affecting your problem, based on the work done so far?
– What tools do you use once you have decided on a HR Compliance strategy and more importantly how do you choose?
– What are our HR Compliance Processes?
Chief compliance officer Critical Criteria:
Reconstruct Chief compliance officer projects and plan concise Chief compliance officer education.
– What prevents me from making the changes I know will make me a more effective HR Compliance leader?
– Have all basic functions of HR Compliance been defined?
– How can you measure HR Compliance in a systematic way?
Chief governance officer Critical Criteria:
See the value of Chief governance officer tactics and drive action.
– Marketing budgets are tighter, consumers are more skeptical, and social media has changed forever the way we talk about HR Compliance. How do we gain traction?
– What new services of functionality will be implemented next with HR Compliance ?
– How can we improve HR Compliance?
Climate governance Critical Criteria:
Look at Climate governance issues and inform on and uncover unspoken needs and breakthrough Climate governance results.
– How can you negotiate HR Compliance successfully with a stubborn boss, an irate client, or a deceitful coworker?
– How does the organization define, manage, and improve its HR Compliance processes?
Clinical governance Critical Criteria:
Consolidate Clinical governance quality and catalog what business benefits will Clinical governance goals deliver if achieved.
– Will new equipment/products be required to facilitate HR Compliance delivery for example is new software needed?
– What other jobs or tasks affect the performance of the steps in the HR Compliance process?
– What is our HR Compliance Strategy?
Collaborative governance Critical Criteria:
Administer Collaborative governance quality and get answers.
– What management system can we use to leverage the HR Compliance experience, ideas, and concerns of the people closest to the work to be done?
– In a project to restructure HR Compliance outcomes, which stakeholders would you involve?
– How do we Lead with HR Compliance in Mind?
Conformity assessment Critical Criteria:
Guide Conformity assessment adoptions and budget the knowledge transfer for any interested in Conformity assessment.
– What are your current levels and trends in key measures or indicators of HR Compliance product and process performance that are important to and directly serve your customers? how do these results compare with the performance of your competitors and other organizations with similar offerings?
– What role(s) do or should national/international standards and organizations that develop national/international standards play in critical infrastructure Cybersecurity conformity assessment?
– How do your measurements capture actionable HR Compliance information for use in exceeding your customers expectations and securing your customers engagement?
– What other organizational variables, such as reward systems or communication systems, affect the performance of this HR Compliance process?
Corporate governance Critical Criteria:
Familiarize yourself with Corporate governance issues and budget the knowledge transfer for any interested in Corporate governance.
– How do we measure improved HR Compliance service perception, and satisfaction?
– Are there HR Compliance problems defined?
Cultural governance Critical Criteria:
Accelerate Cultural governance governance and probe using an integrated framework to make sure Cultural governance is getting what it needs.
– What are our best practices for minimizing HR Compliance project risk, while demonstrating incremental value and quick wins throughout the HR Compliance project lifecycle?
– How can skill-level changes improve HR Compliance?
Data governance Critical Criteria:
Discourse Data governance issues and modify and define the unique characteristics of interactive Data governance projects.
– Have standard policies and procedures about all aspects of data governance and th edata management lifecycle, including collection, maintenance, usage and dissemination, been clearly defined and documented?
– Does the organization regularly review and revise its data content management policies to assure that only those data necessary for meeting the needs described above are collected and/or maintained?
– Have mechanisms been put in place to de-identify data whenever possible(e.g.,by removing all direct and indirect identifiers)?
– How will decisions regarding these key enterprise data processes be made and monitored?
– Can this data be replaced by a better source of data elsewhere or replace other data?
– Fundamental problem for users: how to search for an image that conveys what you want?
– Is the requestor seeking the information as part of an audit or evaluation program?
– How can the data element influence practice, policy, or research?
– What type of data governance is right for your organization?
– What will data governance look like in your organization?
– What does software development maturity really mean?
– Which data is sensitive, and which can be shared?
– How will decisions be made and monitored?
– What was the project manager best at?
– Do you do hallway usability testing?
– How representative is twitter data?
– What is your organizations purpose?
– Where are those databases located?
– Is there a Change navigation list?
– Can you make a build in one step?
Earth system governance Critical Criteria:
Powwow over Earth system governance quality and cater for concise Earth system governance education.
– Who will be responsible for making the decisions to include or exclude requested changes once HR Compliance is underway?
– What are the top 3 things at the forefront of our HR Compliance agendas for the next 3 years?
– How will we insure seamless interoperability of HR Compliance moving forward?
Ecclesiastical polity Critical Criteria:
Infer Ecclesiastical polity governance and cater for concise Ecclesiastical polity education.
– Can we add value to the current HR Compliance decision-making process (largely qualitative) by incorporating uncertainty modeling (more quantitative)?
Enterprise risk management Critical Criteria:
Model after Enterprise risk management planning and raise human resource and employment practices for Enterprise risk management.
– Has management conducted a comprehensive evaluation of the entirety of enterprise Risk Management at least once every three years or sooner if a major strategy or management change occurs, a program is added or deleted, changes in economic or political conditions exist, or changes in operations or methods of processing information have occurred?
– Does the information infrastructure convert raw data into more meaningful, relevant information to create knowledgeable and wise decisions that assists personnel in carrying out their enterprise Risk Management and other responsibilities?
– Has management considered from external parties (e.g., customers, vendors and others doing business with the entity, external auditors, and regulators) important information on the functioning of an entitys enterprise Risk Management?
– Are findings of enterprise Risk Management deficiencies reported to the individual responsible for the function or activity involved, as well as to at least one level of management above that person?
– Do regular face-to-face meetings occur with risk champions or other employees from a range of functions and entity units with responsibility for aspects of enterprise Risk Management?
– Is a technical solution for data loss prevention -i.e., systems designed to automatically monitor for data leakage -considered essential to enterprise risk management?
– How do you determine the key elements that affect HR Compliance workforce satisfaction? how are these elements determined for different workforce groups and segments?
– Has management taken appropriate corrective actions related to reports from external sources for their implications for enterprise Risk Management?
– Has management taken an occasional fresh look at focusing directly on enterprise Risk Management effectiveness?
– To what extent is Cybersecurity risk incorporated into organizations overarching enterprise Risk Management?
– To what extent is Cybersecurity risk incorporated into organizations overarching enterprise Risk Management?
– To what extent is Cybersecurity Risk Management integrated into enterprise risk management?
– Do policy and procedure manuals address managements enterprise Risk Management philosophy?
– How is the enterprise Risk Management model used to assess and respond to risk?
– When you need advice about enterprise Risk Management, whom do you call?
– What are the business goals HR Compliance is aiming to achieve?
– What is our enterprise Risk Management strategy?
Environmental, social and corporate governance Critical Criteria:
Tête-à-tête about Environmental, social and corporate governance tasks and describe the risks of Environmental, social and corporate governance sustainability.
– Do we cover the five essential competencies-Communication, Collaboration,Innovation, Adaptability, and Leadership that improve an organizations ability to leverage the new HR Compliance in a volatile global economy?
– What are your key performance measures or indicators and in-process measures for the control and improvement of your HR Compliance processes?
Environmental governance Critical Criteria:
Understand Environmental governance tasks and handle a jump-start course to Environmental governance.
– How do we ensure that implementations of HR Compliance products are done in a way that ensures safety?
– How do we know that any HR Compliance analysis is complete and comprehensive?
– How would one define HR Compliance leadership?
Global governance Critical Criteria:
Depict Global governance strategies and maintain Global governance for success.
– Does HR Compliance create potential expectations in other areas that need to be recognized and considered?
– Do several people in different organizational units assist with the HR Compliance process?
– What are your most important goals for the strategic HR Compliance objectives?
Good governance Critical Criteria:
Set goals for Good governance outcomes and separate what are the business goals Good governance is aiming to achieve.
– What is the purpose of HR Compliance in relation to the mission?
– What are the long-term HR Compliance goals?
Governance in higher education Critical Criteria:
Deliberate over Governance in higher education governance and explore and align the progress in Governance in higher education.
– How do mission and objectives affect the HR Compliance processes of our organization?
– What are all of our HR Compliance domains and what do they do?
– How do we go about Securing HR Compliance?
ISO 19600 Critical Criteria:
Meet over ISO 19600 risks and know what your objective is.
– A compounding model resolution with available relevant data can often provide insight towards a solution methodology; which HR Compliance models, tools and techniques are necessary?
– What is the source of the strategies for HR Compliance strengthening and reform?
– Is the HR Compliance organization completing tasks effectively and efficiently?
Information Technology Critical Criteria:
Facilitate Information Technology failures and slay a dragon.
– Do the response plans address damage assessment, site restoration, payroll, Human Resources, information technology, and administrative support?
– Does your company have defined information technology risk performance metrics that are monitored and reported to management on a regular basis?
– If a survey was done with asking organizations; Is there a line between your information technology department and your information security department?
– Will HR Compliance have an impact on current business continuity, disaster recovery processes and/or infrastructure?
– How does new information technology come to be applied and diffused among firms?
– The difference between data/information and information technology (it)?
– Do you monitor the effectiveness of your HR Compliance activities?
– When do you ask for help from Information Technology (IT)?
Information governance Critical Criteria:
Consider Information governance results and transcribe Information governance as tomorrows backbone for success.
– How does your organization assess staff training needs and ensure job/role specific information governance training is provided to all staff?
– How is the chief executive or equivalent management board consulted and/or informed of information governance issues?
– What governance arrangements do you have in place to support the current and evolving information governance agenda?
– What is the organizations most effective method of training for information governance knowledge and skills?
– What is the organizations preferred method of training for information governance knowledge and skills?
– In relation to information governance, what are the key challenges or changes facing your organization?
– Does HR Compliance systematically track and analyze outcomes for accountability and quality improvement?
– Are accountability and ownership for HR Compliance clearly defined?
Information system Critical Criteria:
Accelerate Information system goals and be persistent.
– Have we developed a continuous monitoring strategy for the information systems (including monitoring of security control effectiveness for system-specific, hybrid, and common controls) that reflects the organizational Risk Management strategy and organizational commitment to protecting critical missions and business functions?
– On what terms should a manager of information systems evolution and maintenance provide service and support to the customers of information systems evolution and maintenance?
– Has your organization conducted a cyber risk or vulnerability assessment of its information systems, control systems, and other networked systems?
– Are information security events and weaknesses associated with information systems communicated in a manner to allow timely corrective action to be taken?
– Would an information systems (is) group with more knowledge about a data production process produce better quality data for data consumers?
– What does the customer get from the information systems performance, and on what does that depend, and when?
– What are the principal business applications (i.e. information systems available from staff PC desktops)?
– Why Learn About Security, Privacy, and Ethical Issues in Information Systems and the Internet?
– What are information systems, and who are the stakeholders in the information systems game?
– Who is the main stakeholder, with ultimate responsibility for driving HR Compliance forward?
– How secure -well protected against potential risks is the information system ?
– Is HR Compliance dependent on the successful delivery of a current project?
– What does integrity ensure in an information system?
– Is authorized user access to information systems ensured?
– How are our information systems developed ?
– Is security an integral part of information systems?
Local governance Critical Criteria:
Weigh in on Local governance tactics and get the big picture.
– What sources do you use to gather information for a HR Compliance study?
– What are the record-keeping requirements of HR Compliance activities?
Market governance mechanism Critical Criteria:
Have a meeting on Market governance mechanism failures and ask what if.
Multistakeholder governance model Critical Criteria:
Discuss Multistakeholder governance model failures and get answers.
– Who is responsible for ensuring appropriate resources (time, people and money) are allocated to HR Compliance?
Network governance Critical Criteria:
Consider Network governance results and reinforce and communicate particularly sensitive Network governance decisions.
– Are assumptions made in HR Compliance stated explicitly?
– What are the Essentials of Internal HR Compliance Management?
Ocean governance Critical Criteria:
Conceptualize Ocean governance failures and test out new things.
– For your HR Compliance project, identify and describe the business environment. is there more than one layer to the business environment?
– What are current HR Compliance Paradigms?
Open-source governance Critical Criteria:
Huddle over Open-source governance results and develop and take control of the Open-source governance initiative.
– Will HR Compliance deliverables need to be tested and, if so, by whom?
– How do we go about Comparing HR Compliance approaches/solutions?
Political party governance Critical Criteria:
Bootstrap Political party governance engagements and adjust implementation of Political party governance.
– How much does HR Compliance help?
Private governance Critical Criteria:
Familiarize yourself with Private governance leadership and look in other fields.
– What is the total cost related to deploying HR Compliance, including any consulting or professional services?
– How do we make it meaningful in connecting HR Compliance with what users do day-to-day?
Project governance Critical Criteria:
Huddle over Project governance management and look for lots of ideas.
– What will be the consequences to the business (financial, reputation etc) if HR Compliance does not go ahead or fails to deliver the objectives?
– How will you measure your HR Compliance effectiveness?
– Are there recognized HR Compliance problems?
Records management Critical Criteria:
Collaborate on Records management tactics and correct better engagement with Records management results.
– Have records center personnel received training on the records management aspects of the Quality Assurance program?
– Do HR Compliance rules make a reasonable demand on a users capabilities?
Regulatory compliance Critical Criteria:
Think carefully about Regulatory compliance risks and customize techniques for implementing Regulatory compliance controls.
– Does HR Compliance include applications and information with regulatory compliance significance (or other contractual conditions that must be formally complied with) in a new or unique manner for which no approved security requirements, templates or design models exist?
– In the case of public clouds, will the hosting service provider meet their regulatory compliance requirements?
– Regulatory compliance: Is the cloud vendor willing to undergo external audits and/or security certifications?
– What is Regulatory Compliance ?
Risk appetite Critical Criteria:
Graph Risk appetite planning and look at the big picture.
– How do we revise the risk appetite statement so that we can link it to risk culture, roll it out effectively to the business units and bring it to life for them. How do we make it meaningful in connecting it with what they do day-to-day?
– What may be the consequences for the performance of an organization if all stakeholders are not consulted regarding HR Compliance?
– Is there a clearly defined IT risk appetite that has been successfully implemented?
– Risk appetite: at what point does the risk become unacceptable?
Risk management Critical Criteria:
Familiarize yourself with Risk management decisions and point out Risk management tensions in leadership.
– Which is the financial loss that the organization will experience as a result of a security incident due to the residual risk ?
– Is remote maintenance of organizational assets approved, logged, and performed in a manner that prevents unauthorized access?
– Do you have a consumer communication plan or a way of dealing with customer perceptions and expectations?
– Do you adapt ITRM processes to align with business strategies and new business changes?
– Do you have an enterprise-wide risk management program that includes Cybersecurity?
– Who in your organization is responsible for developing risk management policy?
– Do we evaluate security risks associated with proposed software?
– User Involvement: Do I have the right users?
– What is the system-availability requirement?
– What are the basics of HR Compliance fraud?
– How do users perceive security -what is it?
– How do we prioritize risks?
– What risks do we face?
– How do we categorize risk?
SOA governance Critical Criteria:
Review SOA governance management and oversee SOA governance requirements.
– Which customers cant participate in our HR Compliance domain because they lack skills, wealth, or convenient access to existing solutions?
Security sector governance and reform Critical Criteria:
Closely inspect Security sector governance and reform failures and test out new things.
– Who will provide the final approval of HR Compliance deliverables?
Simulation governance Critical Criteria:
Add value to Simulation governance projects and question.
– How do you incorporate cycle time, productivity, cost control, and other efficiency and effectiveness factors into these HR Compliance processes?
Soil governance Critical Criteria:
Face Soil governance tasks and define Soil governance competency-based leadership.
– What is our formula for success in HR Compliance ?
Sustainable Governance Indicators Critical Criteria:
Drive Sustainable Governance Indicators issues and overcome Sustainable Governance Indicators skills and management ineffectiveness.
– Do we monitor the HR Compliance decisions made and fine tune them as they evolve?
Technology governance Critical Criteria:
Frame Technology governance visions and catalog what business benefits will Technology governance goals deliver if achieved.
– What potential environmental factors impact the HR Compliance effort?
Transnational governance Critical Criteria:
Study Transnational governance strategies and report on developing an effective Transnational governance strategy.
– Do we all define HR Compliance in the same way?
Website governance Critical Criteria:
Collaborate on Website governance failures and forecast involvement of future Website governance projects in development.
– Does the HR Compliance task fit the clients priorities?
World Governance Index Critical Criteria:
Win new insights about World Governance Index risks and diversify by understanding risks and leveraging World Governance Index.
– What will drive HR Compliance change?
This quick readiness checklist is a selected resource to help you move forward. Learn more about how to achieve comprehensive insights with the HR Compliance Self Assessment:
Author: Gerard Blokdijk
CEO at The Art of Service | theartofservice.com
Gerard is the CEO at The Art of Service. He has been providing information technology insights, talks, tools and products to organizations in a wide range of industries for over 25 years. Gerard is a widely recognized and respected information expert. Gerard founded The Art of Service consulting business in 2000. Gerard has authored numerous published books to date.
To address the criteria in this checklist, these selected resources are provided for sources of further research and information:
HR Compliance External links:
Prospera®: HR Compliance. Expert Guidance
Title IX Coordinator/HR Compliance Specialist – …
Governance, risk management, and compliance External links:
Career Path – Governance, Risk Management, and Compliance …
Chief compliance officer External links:
[PDF]From Tim Halevan, Chief Compliance Officer, CUNA …
Robert Ham, Chief Compliance Officer and VP Operations …
General Counsel & Chief Compliance Officer Daniel Follis, Jr.
Chief governance officer External links:
Chief Governance Officer, OSGE | Devex
Climate governance External links:
Experiments in climate governance – A systematic review …
Climate Governance Initiative – 4 Photos – Organization
Clinical governance External links:
Clinical governance (Book, 2003) [WorldCat.org]
[PPT]Clinical Governance – University of Pittsburgh
Collaborative governance External links:
“Collaborative Governance and Anticorruption in …
Welcome to Collaborative Governance
Consortium on Collaborative Governance | Bedrosian …
Conformity assessment External links:
ABCAB | Accreditation Board for Conformity Assessment …
Conformity assessment – ISO
Corporate governance External links:
[PDF]CORPORATE GOVERNANCE ANNUAL …
Program on Corporate Governance – About the Program
BDO Center for Corporate Governance and Financial Reporting
Cultural governance External links:
What do we mean by Cultural Governance? – YouTube
Cultural governance in contemporary China: popular …
[PDF]Cultural Governance and Development in Vietnam
Data governance External links:
Data Governance Analyst Jobs, Employment | Indeed.com
Data Governance – Do Job Titles Matter? – DATAVERSITY
What is data governance (DG)? – Definition from …
Earth system governance External links:
Earth System Governance Project – Home | Facebook
Earth system governance. Ruling climate across society
Earth System Governance | The MIT Press
Ecclesiastical polity External links:
Of the laws of ecclesiastical polity – Internet Archive
Ecclesiastical Polity Archives – The Calvinist International
Enterprise risk management External links:
GSA launches Enterprise Risk Management Playbook
Riskonnect: Integrated Enterprise Risk Management …
[PDF]Guide to Enterprise Risk Management – Office of The …
Environmental, social and corporate governance External links:
Environmental, social and corporate governance – …
Environmental governance External links:
Environmental governance | UN Environment
Environmental Governance | A research collaboration …
Global governance External links:
Global Governance, Risk & Compliance | Exiger
CFR Unveils Global Governance Agenda – Infowars
The Challenge of Global Governance | The Nation
Good governance External links:
ISEGG – Institute for Service Excellence and Good Governance
The Good Governance Awards, 2017
Governance in higher education External links:
[PDF]Shared Governance in Higher Education
ISO 19600 External links:
La gestión del compliance – ISO 19600 – YouTube
ISO 19600:2014 – Compliance management systems — Guid…
Information Technology External links:
Rebelmail | UNLV Office of Information Technology (OIT)
OHIO: Office of Information Technology |About Email
Umail | University Information Technology Services
Information governance External links:
Information Governance Initiative
Exterro – E-Discovery & Information Governance Software
Information system External links:
[PDF]National Motor Vehicle Title Information System
National Motor Vehicle Title Information System
National Motor Vehicle Title Information System (NMVTIS)
Local governance External links:
Lancaster ISD – Policy On Line – Section B – LOCAL GOVERNANCE
Staff – Institute for State and Local Governance
DeLoG – Decentralisation & Local Governance
Network governance External links:
Globalization, Edu-Business and Network Governance: …
Network governance: PwC
“Wicked Water Problems: Can Network Governance …
Ocean governance External links:
Ocean Governance | U.S. Department of the Interior
Ocean Governance for Sustainability – Challenges, …
Why people matter in ocean governance: Incorporating …
Political party governance External links:
On Malawi political party governance | Malawi Nyasa …
Private governance External links:
Ed Stringham: Private Governance | Mises Institute
Public & Private Governance Flashcards | Quizlet
Project governance External links:
400: IT PROJECT GOVERNANCE – OIT
NuGet Project Governance | Microsoft Docs
[PDF]IT Project Governance Manual Version 1
Records management External links:
Records Management Policy | Policies & Procedures
[PDF]TITLE Records Management Manual. Archives and …
Title and Records Management | Loan Portfolio Servicing
Regulatory compliance External links:
Chemical Regulatory Compliance – ChemADVISOR, Inc.
GlobalCompliancePanel – Regulatory Compliance …
Regulatory Compliance Association Reviews – …
Risk appetite External links:
[PDF]A Comprehensive Risk Appetite Framework for Banks
Risk Appetite – BrightTALK
[PDF]RISK APPETITE AND TOLERANCE – NYBA – New York …
Risk management External links:
Risk Management Jobs – Apply Now | CareerBuilder
Risk Management Job Titles | Enlighten Jobs
SOA governance External links:
SOA What? Why You Need an SOA Governance Framework | CIO
SOA governance technologies – Gartner IT Glossary
Security sector governance and reform External links:
[PDF]Security Sector Governance and Reform – OSCE
Security Sector Governance and Reform: Guidelines for …
Simulation governance External links:
[PDF]Simulation governance: New technical …
Simulation Governance Althea de Souza – ESRD
Technology governance External links:
[PDF]SP14-04 Technology Governance, Strategy, and …
[PDF]Information Technology Governance
Information Technology Governance Committee – Just …
Transnational governance External links:
Transnational Governance, Deliberative Democracy, and …
Website governance External links:
About | Website Governance
Website Governance | Smith College
World Governance Index External links:
World Governance Index and Pakistan’s Trade Deficit – …
WGI abbreviation stands for World Governance Index