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 193 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:
Accommodate HR Compliance projects and question.
– Can we add value to the current HR Compliance decision-making process (largely qualitative) by incorporating uncertainty modeling (more quantitative)?
– What are the Essentials of Internal HR Compliance Management?
– Why should we adopt a HR Compliance framework?
Governance, risk management, and compliance Critical Criteria:
Survey Governance, risk management, and compliance decisions and figure out ways to motivate other Governance, risk management, and compliance users.
– Which HR Compliance goals are the most important?
– Why are HR Compliance skills important?
– How much does HR Compliance help?
Chief compliance officer Critical Criteria:
Paraphrase Chief compliance officer tactics and explore and align the progress in Chief compliance officer.
– 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?
– Is maximizing HR Compliance protection the same as minimizing HR Compliance loss?
– Can Management personnel recognize the monetary benefit of HR Compliance?
Chief governance officer Critical Criteria:
Model after Chief governance officer results and handle a jump-start course to Chief governance officer.
– 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?
Climate governance Critical Criteria:
Align Climate governance quality and question.
– What are the usability implications of HR Compliance actions?
– What are specific HR Compliance Rules to follow?
– How do we maintain HR Compliances Integrity?
Clinical governance Critical Criteria:
Reconstruct Clinical governance failures and interpret which customers can’t participate in Clinical governance because they lack skills.
– Have you identified your HR Compliance key performance indicators?
Collaborative governance Critical Criteria:
Powwow over Collaborative governance decisions and report on developing an effective Collaborative governance strategy.
– What are the success criteria that will indicate that HR Compliance objectives have been met and the benefits delivered?
– What are your most important goals for the strategic HR Compliance objectives?
– How do we Identify specific HR Compliance investment and emerging trends?
Conformity assessment Critical Criteria:
Reconstruct Conformity assessment strategies and track iterative Conformity assessment results.
– What role(s) do or should national/international standards and organizations that develop national/international standards play in critical infrastructure Cybersecurity conformity assessment?
– Among the HR Compliance product and service cost to be estimated, which is considered hardest to estimate?
– Is there a HR Compliance Communication plan covering who needs to get what information when?
– How do we keep improving HR Compliance?
Corporate governance Critical Criteria:
Examine Corporate governance failures and correct better engagement with Corporate governance results.
– What knowledge, skills and characteristics mark a good HR Compliance project manager?
– Who will be responsible for documenting the HR Compliance requirements in detail?
– What are the short and long-term HR Compliance goals?
Cultural governance Critical Criteria:
Nurse Cultural governance tactics and point out improvements in Cultural governance.
– Think about the kind of project structure that would be appropriate for your HR Compliance project. should it be formal and complex, or can it be less formal and relatively simple?
– Do the HR Compliance decisions we make today help people and the planet tomorrow?
Data governance Critical Criteria:
Conceptualize Data governance decisions and intervene in Data governance processes and leadership.
– 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?
– Before any rule is created or any data-related decision is made, a prior decision must be addressed: who gets to make the decision, and when, and using what process?
– Is there an existing data element or combination of data elements that can answer the same question that the proposed new data element is meant to address?
– Is there an organization-wide metadata standard, such as an extension of the dublin core, for use by search tools, multiple repositories, etc.?
– Is there an ongoing data cleansing procedure to look for rot (redundant, obsolete, trivial content)?
– Does the search engine integrate with the taxonomy to improve searches and organize results?
– Are there hiring and training practices especially for metadata and taxonomy positions?
– Where in your organization are your key data processes and players?
– How can the data element influence practice, policy, or research?
– How can we leverage technology advances from other data systems?
– Document distribution: how evenly does it divide the content?
– Does a User interface survey show which search ui is better ?
– Will the data have a high degree of quality if collected?
– Establishing an end-to-end data governance process?
– How do you decide which goals you should pursue?
– What do you want data governance to accomplish?
– Is the information identifiable?
– How do they help search?
– How to build a taxonomy?
– Were not doing what?
Earth system governance Critical Criteria:
Categorize Earth system governance engagements and probe using an integrated framework to make sure Earth system governance is getting what it needs.
– Will HR Compliance have an impact on current business continuity, disaster recovery processes and/or infrastructure?
Ecclesiastical polity Critical Criteria:
Analyze Ecclesiastical polity planning and proactively manage Ecclesiastical polity risks.
– Are we Assessing HR Compliance and Risk?
– How to Secure HR Compliance?
Enterprise risk management Critical Criteria:
Debate over Enterprise risk management strategies and display thorough understanding of the Enterprise risk management process.
– 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?
– 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 is our enterprise Risk Management strategy?
– How do we go about Securing HR Compliance?
Environmental, social and corporate governance Critical Criteria:
Air ideas re Environmental, social and corporate governance management and get going.
– What are all of our HR Compliance domains and what do they do?
– What are our HR Compliance Processes?
– Are there HR Compliance Models?
Environmental governance Critical Criteria:
Meet over Environmental governance outcomes and define Environmental governance competency-based leadership.
– What will be the consequences to the business (financial, reputation etc) if HR Compliance does not go ahead or fails to deliver the objectives?
– What is the source of the strategies for HR Compliance strengthening and reform?
– What are current HR Compliance Paradigms?
Global governance Critical Criteria:
Start Global governance risks and gather Global governance models .
– Do several people in different organizational units assist with the HR Compliance process?
– Is HR Compliance Realistic, or are you setting yourself up for failure?
– How can the value of HR Compliance be defined?
Good governance Critical Criteria:
Extrapolate Good governance decisions and innovate what needs to be done with Good governance.
– How do mission and objectives affect the HR Compliance processes of our organization?
– How likely is the current HR Compliance plan to come in on schedule or on budget?
Governance in higher education Critical Criteria:
Add value to Governance in higher education decisions and describe which business rules are needed as Governance in higher education interface.
– Which individuals, teams or departments will be involved in HR Compliance?
– Are assumptions made in HR Compliance stated explicitly?
– Do we have past HR Compliance Successes?
ISO 19600 Critical Criteria:
Prioritize ISO 19600 governance and probe using an integrated framework to make sure ISO 19600 is getting what it needs.
– what is the best design framework for HR Compliance organization now that, in a post industrial-age if the top-down, command and control model is no longer relevant?
– What may be the consequences for the performance of an organization if all stakeholders are not consulted regarding HR Compliance?
– Do those selected for the HR Compliance team have a good general understanding of what HR Compliance is all about?
Information Technology Critical Criteria:
Survey Information Technology quality and frame using storytelling to create more compelling Information Technology projects.
– 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?
– How does new information technology come to be applied and diffused among firms?
– The difference between data/information and information technology (it)?
– When do you ask for help from Information Technology (IT)?
– What business benefits will HR Compliance goals deliver if achieved?
Information governance Critical Criteria:
Conceptualize Information governance engagements and stake your claim.
– 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?
– In what ways are HR Compliance vendors and us interacting to ensure safe and effective use?
Information system Critical Criteria:
Prioritize Information system visions and perfect Information system conflict management.
– 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?
– Are information systems and the services of information systems things of value that have suppliers and customers?
– 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?
– Have the types of risks that may impact HR Compliance been identified and analyzed?
– Is unauthorized access to information held in information systems prevented?
– Are accountability and ownership for HR Compliance clearly defined?
– Who will provide the final approval of HR Compliance deliverables?
– What does integrity ensure in an information system?
– Is authorized user access to information systems ensured?
– Is security an integral part of information systems?
Local governance Critical Criteria:
Disseminate Local governance results and display thorough understanding of the Local governance process.
– 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?
– 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?
Market governance mechanism Critical Criteria:
Investigate Market governance mechanism engagements and budget for Market governance mechanism challenges.
– How does the organization define, manage, and improve its HR Compliance processes?
– Are there recognized HR Compliance problems?
Multistakeholder governance model Critical Criteria:
Familiarize yourself with Multistakeholder governance model planning and get the big picture.
– What are your key performance measures or indicators and in-process measures for the control and improvement of your HR Compliance processes?
Network governance Critical Criteria:
Sort Network governance governance and achieve a single Network governance view and bringing data together.
– 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?
– Are there any easy-to-implement alternatives to HR Compliance? Sometimes other solutions are available that do not require the cost implications of a full-blown project?
– How would one define HR Compliance leadership?
Ocean governance Critical Criteria:
Have a meeting on Ocean governance tactics and frame using storytelling to create more compelling Ocean governance projects.
Open-source governance Critical Criteria:
Derive from Open-source governance projects and point out improvements in Open-source governance.
– How will we insure seamless interoperability of HR Compliance moving forward?
– What tools and technologies are needed for a custom HR Compliance project?
– Have all basic functions of HR Compliance been defined?
Political party governance Critical Criteria:
Match Political party governance projects and spearhead techniques for implementing Political party governance.
– To what extent does management recognize HR Compliance as a tool to increase the results?
– What is the purpose of HR Compliance in relation to the mission?
Private governance Critical Criteria:
Have a session on Private governance governance and intervene in Private governance processes and leadership.
– What prevents me from making the changes I know will make me a more effective HR Compliance leader?
– How can you measure HR Compliance in a systematic way?
Project governance Critical Criteria:
Administer Project governance management and track iterative Project governance results.
– What are the barriers to increased HR Compliance production?
Records management Critical Criteria:
Confer over Records management tasks and mentor Records management customer orientation.
– Have records center personnel received training on the records management aspects of the Quality Assurance program?
– In a project to restructure HR Compliance outcomes, which stakeholders would you involve?
Regulatory compliance Critical Criteria:
Illustrate Regulatory compliance goals and cater for concise Regulatory compliance education.
– What are the disruptive HR Compliance technologies that enable our organization to radically change our business processes?
– 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?
– How do we ensure that implementations of HR Compliance products are done in a way that ensures safety?
– What is Regulatory Compliance ?
Risk appetite Critical Criteria:
Own Risk appetite strategies and diversify by understanding risks and leveraging Risk appetite.
– 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?
– How do your measurements capture actionable HR Compliance information for use in exceeding your customers expectations and securing your customers engagement?
– Is there a clearly defined IT risk appetite that has been successfully implemented?
– Risk appetite: at what point does the risk become unacceptable?
– Is there any existing HR Compliance governance structure?
Risk management Critical Criteria:
Transcribe Risk management leadership and remodel and develop an effective Risk management strategy.
– Will our actions, process, program or procedure result in the loss of revenue, workforce downtime, litigation, or increased resource expenditure?
– Has Cybersecurity been identified in the physical security plans for the assets, reflecting planning for a blended cyber/physical attack?
– Does the company have a log monitoring capability with analytics and alertingalso known as continuous monitoring?
– Have you broken down your risks into the COSO ERM categories: Strategic, Financial Reporting, Operating and Regulatory?
– Do you have a clear management framework or a document that describes the governance of your organization?
– What information is generated by, consumed by, processed on, stored in, and retrieved by the system?
– Are recovery activities communicated to internal stakeholders and executive and management teams?
– Are any problems that cause schedule slips identified as risks prior to their occurrence?
– How much should we invest in Cybersecurity (and how should those funds be allocated) ?
– What is our approach to Risk Management in the specific area of social media?
– Where do organizations locate their Cybersecurity Risk Management programoffice?
– How do we measure the effectiveness of our Cybersecurity program?
– Is Key staff identified, what happens if they leave?
– Has the ERM initiative been mandated by the regulators?
– How do you report cyberattacks?
– What are the Threats?
– Can HR Compliance be learned?
– How do we categorize risk?
SOA governance Critical Criteria:
Discuss SOA governance outcomes and find out what it really means.
– Who sets the HR Compliance standards?
Security sector governance and reform Critical Criteria:
Study Security sector governance and reform results and observe effective Security sector governance and reform.
– What are our best practices for minimizing HR Compliance project risk, while demonstrating incremental value and quick wins throughout the HR Compliance project lifecycle?
– What are the business goals HR Compliance is aiming to achieve?
Simulation governance Critical Criteria:
Drive Simulation governance failures and do something to it.
– Do we monitor the HR Compliance decisions made and fine tune them as they evolve?
– What new services of functionality will be implemented next with HR Compliance ?
Soil governance Critical Criteria:
Exchange ideas about Soil governance risks and develop and take control of the Soil governance initiative.
– Does HR Compliance appropriately measure and monitor risk?
– Is a HR Compliance Team Work effort in place?
Sustainable Governance Indicators Critical Criteria:
Have a round table over Sustainable Governance Indicators projects and get the big picture.
– What potential environmental factors impact the HR Compliance effort?
Technology governance Critical Criteria:
Refer to Technology governance failures and point out Technology governance tensions in leadership.
– Do we aggressively reward and promote the people who have the biggest impact on creating excellent HR Compliance services/products?
Transnational governance Critical Criteria:
Brainstorm over Transnational governance results and triple focus on important concepts of Transnational governance relationship management.
– What role does communication play in the success or failure of a HR Compliance project?
Website governance Critical Criteria:
Bootstrap Website governance management and diversify disclosure of information – dealing with confidential Website governance information.
– Why is HR Compliance important for you now?
– What is Effective HR Compliance?
World Governance Index Critical Criteria:
Analyze World Governance Index risks and find the essential reading for World Governance Index researchers.
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 | http://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
HR Compliance | Paychex
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:
A Chief Governance Officer Could Give You an Advantage
Chief Governance Officer Jobs, Employment | Indeed.com
Climate governance External links:
It’s time for new climate governance – from below
Clinical governance External links:
[PPT]Clinical Governance – University of Pittsburgh
Clinical governance (Book, 2003) [WorldCat.org]
Clinical Governance Essays – ManyEssays.com
Collaborative governance External links:
Welcome to Collaborative Governance
“Collaborative Governance and Anticorruption in …
Consortium on Collaborative Governance | Bedrosian …
Conformity assessment External links:
ABCAB | Accreditation Board for Conformity Assessment …
Conformity assessment – ISO
Corporate governance External links:
DowDuPont Inc. – DowDuPont Corporate Governance
Weinberg Center for Corporate Governance
Corporate Governance – About Us | Aetna
Cultural governance External links:
Cultural governance in contemporary China: popular …
[PDF]Cultural Governance and Development in Vietnam
Cultural Governance in Contemporary China: “Re …
Data governance External links:
Data Governance – Do Job Titles Matter? – DATAVERSITY
[PDF]Data Governance Overview – Oklahoma – Welcome to …
What is data governance (DG)? – Definition from …
Earth system governance External links:
Earth System Governance Project – Home | Facebook
What is EARTH SYSTEM GOVERNANCE? What does …
Earth System Governance | The MIT Press
Ecclesiastical polity External links:
Of The Laws Of Ecclesiastical Polity by Richard Hooker
Enterprise risk management External links:
ERM Software | Enterprise Risk Management & GRC …
GSA launches Enterprise Risk Management Playbook
Riskonnect: Integrated Enterprise Risk Management …
Environmental, social and corporate governance External links:
Environmental, social and corporate governance – …
Environmental governance External links:
Environmental Governance | A research collaboration …
Environmental governance | UN Environment
Global governance External links:
Global Governance Monitor – cfr.org
Good governance External links:
ISEGG – Institute for Service Excellence and Good Governance
The Good Governance Awards, 2017
Governance.io – Software for good Governance
Governance in higher education External links:
[PDF]Shared Governance in Higher Education
ISO 19600 External links:
Palestra Normas ISO 19600 e ISO 37001 – YouTube
ISO 19600:2014 – Compliance management systems — Guid…
ISO 19600 Toolkit – pecb.com
Information Technology External links:
OHIO: Office of Information Technology |About Email
Rebelmail | UNLV Office of Information Technology (OIT)
Umail | University Information Technology Services
Information governance External links:
Information Governance Initiative
Information system External links:
National Motor Vehicle Title Information System
National Motor Vehicle Title Information System (NMVTIS)
[PDF]National Motor Vehicle Title Information System
Local governance External links:
Local Governance » Centers » Texas Public Policy …
Local Governance Review – news.gov.scot
[PDF]LOCAL GOVERNANCE ACT – navajochapters.org
Network governance External links:
Nonprofit Network – Nonprofit Network Governance
Network Governance | The Exchange Network
UTSCAP Network Governance – UTSW Medicine
Ocean governance External links:
Ocean Governance | U.S. Department of the Interior
International Ocean Governance | Project AWARE
Ocean Governance for Sustainability – Challenges, …
Political party governance External links:
On political party governance – The Nation Online
Private governance External links:
Ed Stringham: Private Governance | Mises Institute
[PDF]Merging Public and Private Governance: How Disney’s …
Public & Private Governance Flashcards | Quizlet
Project governance External links:
[PDF]IT Project Governance Manual Version 1
Project Governance Plans: Execution and Oversight
400: IT PROJECT GOVERNANCE – OIT
Records management External links:
Title and Records Management | Loan Portfolio Servicing
Records Management Policy | Policies & Procedures
[PDF]TITLE Records Management Manual. Archives and …
Regulatory compliance External links:
Regulatory Compliance Association Reviews – …
Regulatory Compliance Certification School | CUNA
Regulatory Compliance Consulting for Money Managers
Risk appetite External links:
[PDF]A Comprehensive Risk Appetite Framework for Banks
[PDF]RISK APPETITE AND TOLERANCE – NYBA – New York …
What is risk appetite? – Definition from WhatIs.com
Risk management External links:
Risk Management – ue.org
Driver Risk Management Solutions | AlertDriving
Risk Management Jobs – Apply Now | CareerBuilder
SOA governance External links:
SOA What? Why You Need an SOA Governance Framework | CIO
SOA Governance Standards | OCIO
SOA Governance: How to Manage Development and Use …
Security sector governance and reform External links:
Security Sector Governance and Reform: Guidelines for …
[PDF]Security Sector Governance and Reform – ETH Z
[PDF]Security Sector Governance and Reform – OSCE
Simulation governance External links:
Simulation Governance Althea de Souza – ESRD
[PDF]Simulation governance: New technical …
Simulation Governance | Industries | UL
Technology governance External links:
[PDF]SP14-04 Technology Governance, Strategy, and …
[PDF]Information Technology Governance
Information Technology Governance Committee – Just …
Transnational governance External links:
From Trade Liberalisation to Transnational Governance …
Website governance External links:
Website Governance | Smith College
About | Website Governance
World Governance Index External links:
World Governance Index and Pakistan’s Trade Deficit – …
WGI abbreviation stands for World Governance Index