When developing a risk management plan for your practice, there are a number of areas to focus on. This general list will get you started, but it is very important that you identify and evaluate the risks unique to your own practice.

HR Activity
Potential Considerations
Compensation and benefits
  • Who has signing authority?
  • How many signatures are required?
  • Are there checks and balances?
Hiring
  • Was a complete screening completed on potential applicants?
  • Were provincial human rights laws observed?
  • Is there a set probationary period?
  • Were promises made to the candidate that cannot be honored?
  • Did the employee sign off on the policies and contract of employment before being hired?
Occupational Health and Safety
  • Do we provide safe working conditions and do we conduct safety checks regularly?
  • Do we provide adequate training for staff?
  • Do we ensure the use of appropriate clothing and safety equipment?
  • Do we have adequate policies, procedures, and committee in place?
Employee Supervision
  • Do we provide sufficient orientation and training?
  • Do we provide adequate supervision (especially for activities that occur off-site or after hours)?
  • Do we have a performance management system in place?
  • Are personal information protection guidelines followed?
Employee Conduct
  • Do we have clearly written position descriptions for all positions?
  • Do we follow up when the parameters of the job description are not respected?
  • Do we provide thorough orientation and training?
  • Do we provide an employee handbook?
  • Do we have comprehensive policies and procedures?
  • Do we provide ongoing training about our policies and procedures?
  • Do we retain written records of performance issues?
  • Do we ensure that organizational valuables are secure?
  • Do we have cash management procedures?
  • Do we have adequate harassment policies and procedures?
Exiting Employee

  • Do we retrieve organizational information and equipment that a dismissed employee used (especially from home)?
  • Do we ensure that all access codes, passwords, etc are de-activated?
  • Do we conduct an exit interview?
  • Do we record lieu time and vacation balances?