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 177 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, Soil governance, Sustainable Governance Indicators, Technology governance, Transnational governance, Website governance, World Governance Index:

HR Compliance Critical Criteria:

Familiarize yourself with HR Compliance quality and differentiate in coordinating HR Compliance.

– 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 management system can we use to leverage the HR Compliance experience, ideas, and concerns of the people closest to the work to be done?

– Which customers cant participate in our HR Compliance domain because they lack skills, wealth, or convenient access to existing solutions?

Governance, risk management, and compliance Critical Criteria:

Understand Governance, risk management, and compliance projects and observe effective Governance, risk management, and compliance.

– Will new equipment/products be required to facilitate HR Compliance delivery for example is new software needed?

– What are your most important goals for the strategic HR Compliance objectives?

– Have all basic functions of HR Compliance been defined?

Chief compliance officer Critical Criteria:

Reason over Chief compliance officer decisions and report on the economics of relationships managing Chief compliance officer and constraints.

– Do the HR Compliance decisions we make today help people and the planet tomorrow?

– How likely is the current HR Compliance plan to come in on schedule or on budget?

– Is Supporting HR Compliance documentation required?

Chief governance officer Critical Criteria:

Add value to Chief governance officer results and raise human resource and employment practices for Chief governance officer.

– What new services of functionality will be implemented next with HR Compliance ?

– Is there any existing HR Compliance governance structure?

– What is Effective HR Compliance?

Climate governance Critical Criteria:

Meet over Climate governance issues and figure out ways to motivate other Climate governance users.

– How important is HR Compliance to the user organizations mission?

– Are there recognized HR Compliance problems?

– How can we improve HR Compliance?

Clinical governance Critical Criteria:

Interpolate Clinical governance issues and devote time assessing Clinical governance and its risk.

– Will HR Compliance have an impact on current business continuity, disaster recovery processes and/or infrastructure?

– How can we incorporate support to ensure safe and effective use of HR Compliance into the services that we provide?

Collaborative governance Critical Criteria:

Analyze Collaborative governance tactics and inform on and uncover unspoken needs and breakthrough Collaborative governance results.

– What other organizational variables, such as reward systems or communication systems, affect the performance of this HR Compliance process?

– What vendors make products that address the HR Compliance needs?

– How do we Lead with HR Compliance in Mind?

Conformity assessment Critical Criteria:

Powwow over Conformity assessment tasks and tour deciding if Conformity assessment progress is made.

– Record-keeping requirements flow from the records needed as inputs, outputs, controls and for transformation of a HR Compliance process. ask yourself: are the records needed as inputs to the HR Compliance process available?

– What role(s) do or should national/international standards and organizations that develop national/international standards play in critical infrastructure Cybersecurity conformity assessment?

– What other jobs or tasks affect the performance of the steps in the HR Compliance process?

Corporate governance Critical Criteria:

Scan Corporate governance governance and describe which business rules are needed as Corporate governance interface.

– Think about the people you identified for your HR Compliance project and the project responsibilities you would assign to them. what kind of training do you think they would need to perform these responsibilities effectively?

– How do we ensure that implementations of HR Compliance products are done in a way that ensures safety?

– To what extent does management recognize HR Compliance as a tool to increase the results?

Cultural governance Critical Criteria:

Mix Cultural governance engagements and report on the economics of relationships managing Cultural governance and constraints.

– What tools do you use once you have decided on a HR Compliance strategy and more importantly how do you choose?

– Who will provide the final approval of HR Compliance deliverables?

– Why should we adopt a HR Compliance framework?

Data governance Critical Criteria:

Think about Data governance issues and look at it backwards.

– Have data stewards (e.g.,program managers) responsible for coordinating data governance activities been identified and assigned to each specific domain of activity?

– Is there an organization-wide metadata standard, such as an extension of the dublin core, for use by search tools, multiple repositories, etc.?

– Is the data already collected/maintained or is similar data that might meet the need commonly collected?

– Have you ever sat in a meeting where everyone has a different number for the same performance measure?

– What if youre still trying to create collections of policies, rules, and data definitions?

– Is the requestor seeking the information as part of an audit or evaluation program?

– Backup considerations how often. how does it get refreshed when there is a crash?

– Does your organization have strict hierarchical, command-and-controls protocols?

– What is the current process for tuning this organization s data?

– what is the difference between data governance and it governance?

– Are multiple sections responsible for the requested data?

– How can nonprofits switch to a data-informed culture?

– What will your data governance program focus on?

– How can data governance be implemented?

– Is the data confidential or protected?

– Why is lack of data governance urgent?

– How is data collected and accessed?

– Where are those databases located?

– Security. should it be encrypted?

– Who should be represented?

Earth system governance Critical Criteria:

Canvass Earth system governance projects and suggest using storytelling to create more compelling Earth system governance projects.

– Is HR Compliance dependent on the successful delivery of a current project?

– Is HR Compliance Realistic, or are you setting yourself up for failure?

– How will you measure your HR Compliance effectiveness?

Ecclesiastical polity Critical Criteria:

Think carefully about Ecclesiastical polity visions and learn.

– In a project to restructure HR Compliance outcomes, which stakeholders would you involve?

– Are we Assessing HR Compliance and Risk?

– What threat is HR Compliance addressing?

Enterprise risk management Critical Criteria:

Face Enterprise risk management goals and look in other fields.

– 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?

– How do we Improve HR Compliance service perception, and satisfaction?

– What is our enterprise Risk Management strategy?

Environmental, social and corporate governance Critical Criteria:

Unify Environmental, social and corporate governance goals and shift your focus.

– What are the short and long-term HR Compliance goals?

– Is a HR Compliance Team Work effort in place?

Environmental governance Critical Criteria:

Interpolate Environmental governance leadership and acquire concise Environmental governance education.

– How do your measurements capture actionable HR Compliance information for use in exceeding your customers expectations and securing your customers engagement?

– How does the organization define, manage, and improve its HR Compliance processes?

Global governance Critical Criteria:

Illustrate Global governance management and balance specific methods for improving Global governance results.

– Which individuals, teams or departments will be involved in HR Compliance?

– What are the usability implications of HR Compliance actions?

– What are specific HR Compliance Rules to follow?

Good governance Critical Criteria:

Powwow over Good governance leadership and perfect Good governance conflict management.

– What about HR Compliance Analysis of results?

Governance in higher education Critical Criteria:

Have a session on Governance in higher education management and pioneer acquisition of Governance in higher education systems.

– 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?

– How will we insure seamless interoperability of HR Compliance moving forward?

– How do we keep improving HR Compliance?

ISO 19600 Critical Criteria:

Examine ISO 19600 risks and create a map for yourself.

– What tools and technologies are needed for a custom HR Compliance project?

– What are all of our HR Compliance domains and what do they do?

Information Technology Critical Criteria:

Gauge Information Technology visions and finalize specific methods for Information Technology acceptance.

– 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 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?

– Do those selected for the HR Compliance team have a good general understanding of what HR Compliance is all about?

– Who is responsible for ensuring appropriate resources (time, people and money) are allocated to HR Compliance?

– 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)?

Information governance Critical Criteria:

Distinguish Information governance goals and test out new things.

– What are your results for key measures or indicators of the accomplishment of your HR Compliance strategy and action plans, including building and strengthening core competencies?

– Can we add value to the current HR Compliance decision-making process (largely qualitative) by incorporating uncertainty modeling (more quantitative)?

– 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?

– In relation to information governance, what are the key challenges or changes facing your organization?

– What is the organizations preferred method of training for information governance knowledge and skills?

Information system Critical Criteria:

Probe Information system strategies and adopt an insight outlook.

– 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?

– 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?

– How secure -well protected against potential risks is the information system ?

– Is unauthorized access to information held in information systems prevented?

– What does integrity ensure in an information system?

– What are the Essentials of Internal HR Compliance Management?

– 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:

Shape Local governance leadership and improve Local governance service perception.

– Is the HR Compliance organization completing tasks effectively and efficiently?

– How do we go about Comparing HR Compliance approaches/solutions?

Market governance mechanism Critical Criteria:

Talk about Market governance mechanism decisions and summarize a clear Market governance mechanism focus.

– What business benefits will HR Compliance goals deliver if achieved?

– How is the value delivered by HR Compliance being measured?

– Are there HR Compliance problems defined?

Multistakeholder governance model Critical Criteria:

Debate over Multistakeholder governance model management and find answers.

Network governance Critical Criteria:

Scrutinze Network governance leadership and use obstacles to break out of ruts.

– Is there a HR Compliance Communication plan covering who needs to get what information when?

Ocean governance Critical Criteria:

Talk about Ocean governance outcomes and track iterative Ocean governance results.

– Do we monitor the HR Compliance decisions made and fine tune them as they evolve?

– When a HR Compliance manager recognizes a problem, what options are available?

Open-source governance Critical Criteria:

Shape Open-source governance projects and drive action.

– Are assumptions made in HR Compliance stated explicitly?

– Why are HR Compliance skills important?

Political party governance Critical Criteria:

Devise Political party governance risks and proactively manage Political party governance risks.

– Risk factors: what are the characteristics of HR Compliance that make it risky?

– What potential environmental factors impact the HR Compliance effort?

Private governance Critical Criteria:

Review Private governance outcomes and document what potential Private governance megatrends could make our business model obsolete.

– What role does communication play in the success or failure of a HR Compliance project?

– What is our HR Compliance Strategy?

Project governance Critical Criteria:

Closely inspect Project governance risks and devise Project governance key steps.

Records management Critical Criteria:

Experiment with Records management adoptions and remodel and develop an effective Records management strategy.

– 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?

– Have records center personnel received training on the records management aspects of the Quality Assurance program?

– How do we Identify specific HR Compliance investment and emerging trends?

Regulatory compliance Critical Criteria:

Study Regulatory compliance planning and finalize the present value of growth of Regulatory compliance.

– 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 prevents me from making the changes I know will make me a more effective HR Compliance leader?

– How do we manage HR Compliance Knowledge Management (KM)?

– What is Regulatory Compliance ?

Risk appetite Critical Criteria:

Study Risk appetite strategies and correct Risk appetite management by competencies.

– 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?

– Does HR Compliance systematically track and analyze outcomes for accountability and quality improvement?

– Is there a clearly defined IT risk appetite that has been successfully implemented?

– What sources do you use to gather information for a HR Compliance study?

– Risk appetite: at what point does the risk become unacceptable?

Risk management Critical Criteria:

Confer re Risk management governance and define Risk management competency-based leadership.

– Does your company provide end-user training to all employees on Cybersecurity, either as part of general staff training or specifically on the topic of computer security and company policy?

– Do you participate in sharing communication, analysis, and mitigation measures with other companies as part of a mutual network of defense?

– Do we have a formal escalation process to address Cybersecurity risks that suddenly increase in severity?

– Is our Cybersecurity function appropriately organized, trained, equipped, staffed and funded?

– Do your response plans include lessons learned and mechanisms for continual improvement?

– Could a system or security malfunction or unavailability result in injury or death?

– Do you have a defined operating model with dedicated resources for IT risk?

– Do you actively monitor regulatory changes for the impact of ITRM?

– How do you assess vulnerabilities to your system and assets?

– Does the board have a conflict of interest policy?

– How are risks currently identified, assigned and mitigated?

– Are regular risk assessments executed across all entities?

– What scope do you want your strategy to cover?

– Can risk management overcome cognitive biases?

– Why is Risk Management needed?

– Can keys be easily copied?

– Is there a plan in place?

SOA governance Critical Criteria:

Derive from SOA governance visions and oversee SOA governance management by competencies.

– 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?

– Do we all define HR Compliance in the same way?

Security sector governance and reform Critical Criteria:

Scan Security sector governance and reform outcomes and define what our big hairy audacious Security sector governance and reform goal is.

– Who will be responsible for deciding whether HR Compliance goes ahead or not after the initial investigations?

– Does HR Compliance analysis isolate the fundamental causes of problems?

– Think of your HR Compliance project. what are the main functions?

Soil governance Critical Criteria:

Define Soil governance governance and devote time assessing Soil governance and its risk.

– Are accountability and ownership for HR Compliance clearly defined?

Sustainable Governance Indicators Critical Criteria:

Guard Sustainable Governance Indicators goals and test out new things.

– Can we do HR Compliance without complex (expensive) analysis?

Technology governance Critical Criteria:

Explore Technology governance planning and finalize the present value of growth of Technology governance.

– Who are the people involved in developing and implementing HR Compliance?

Transnational governance Critical Criteria:

Revitalize Transnational governance results and optimize Transnational governance leadership as a key to advancement.

– Have you identified your HR Compliance key performance indicators?

Website governance Critical Criteria:

Chat re Website governance adoptions and arbitrate Website governance techniques that enhance teamwork and productivity.

– 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 is the total cost related to deploying HR Compliance, including any consulting or professional services?

World Governance Index Critical Criteria:

Reconstruct World Governance Index leadership and perfect World Governance Index conflict management.

– How can you negotiate HR Compliance successfully with a stubborn boss, an irate client, or a deceitful coworker?


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

[email protected]


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.

External links:

To address the criteria in this checklist, these selected resources are provided for sources of further research and information:

HR Compliance External links:

Sex Discrimination laws & HR compliance analysis – BLR

Job Information: HR Compliance Coordinator Job

Prospera®: HR Compliance. Expert Guidance

Chief compliance officer External links:

Chief Compliance Officer Support – Consumer Banking

Tommy Sneed, Chief Compliance Officer – TN.Gov

Clinical governance External links:

Clinical Governance Essays – ManyEssays.com

Essay about Clinical Governance – 3470 Words

Collaborative governance External links:

Collaborative Governance: The Case of WNC EdNET « …

Portland State PSU Online | Collaborative Governance

Publications | Collaborative Governance

Conformity assessment External links:

AB-CAB – Accreditation Board for Conformity Assessment …

Corporate governance External links:

Proxy Insight | Voting & Corporate Governance Information

Weinberg Center for Corporate Governance

Briefing: Governance | Davis Polk | Corporate Governance

Data governance External links:

Data Governance | CDE

What is data governance (DG)? – Definition from WhatIs.com

Data Governance Analyst Jobs, Employment | Indeed.com

Earth system governance External links:

Earth System Governance Project – Home | Facebook

Enterprise risk management External links:

ERMA – Enterprise Risk Management Academy

GSA launches Enterprise Risk Management Playbook

Enterprise Risk Management Programs & Resources | …

Environmental governance External links:

The Global Environmental Governance Project – Home | Facebook

Global governance External links:

Global Governance Watch©

Good governance External links:

TASB Good Governance

good governance | Stay Exempt

The Good Governance Awards, 2017

Governance in higher education External links:

[PDF]Shared Governance in Higher Education – Luna …

Information Technology External links:

Information Technology Services – UTMail

Student Email | Information Technology

Box @ IU | University Information Technology Services

Information governance External links:

Information Governance | BakerHostetler

InfoGovCon: The Information Governance Conference 2017

Information system External links:

National Motor Vehicle Title Information System (NMVTIS)

National Motor Vehicle Title Information System: For …

National Motor Vehicle Title Information System (NMVTIS)

Local governance External links:

Equality Indicators – Institute for State and Local Governance

The Hague Academy for Local Governance – Home | Facebook

[PDF]State and Local Governance – Wisconsin Department …

Market governance mechanism External links:

Market governance mechanism – iSnare Free Encyclopedia

Network governance External links:

Network governance: PwC

Ocean governance External links:

MA Ocean Governance – Home | Facebook

Ocean Governance for Sustainability – Challenges, …

Private governance External links:

Public & Private Governance Flashcards | Quizlet

Project governance External links:

Project Governance Meetings – PM Majik

Records management External links:

EnTrust Records Management

Records Management Training for State Agencies and …

Records Management Policy | Policies & Procedures

Regulatory compliance External links:

Anti-kickback & Stark Compliance — Regulatory Compliance

Regulatory Compliance testing and certification

Brandywine Drumlabels – GHS Regulatory Compliance …

Risk appetite External links:


Risk management External links:

irmi.com – Risk Management | Insurance Education

“Billions” Risk Management (TV Episode 2017) – IMDb

Risk Management Job Titles | Enlighten Jobs

SOA governance External links:

SOA governance technologies – Gartner IT Glossary

Security sector governance and reform External links:

[PDF]Security Sector Governance and Reform – ETH Z

Technology governance External links:

Article – Technology Governance

[PDF]SP14-04 Technology Governance, Strategy, and …

Information Technology Governance Committee (ITGC)

Transnational governance External links:

Private Transnational Governance of Economic …

Website governance External links:

Website Governance | Smith College

World Governance Index External links:

WGI abbreviation stands for World Governance Index

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