Non Compliance in the Workplace – How to Fix it

If non compliance in the workplace is frustrating your efforts at documenting additional policies and procedures for some core business activities, it is time for a change.

What is keeping you from developing them? The answer – evidence that some of the policies and procedures are often not being read or followed.

Worse still, processes are being randomly modified, or you could have made some hiring mistakes.

These situations are ripe for creating chaos in the business culminating in a lot of customer dissatisfaction because of a poor customer experience.

This article provides  8 steps on how to set up a compliance framework to eliminate non compliance in the workplace. Financial compliance is usually separate and handled by the accounts department.

Foundational Requirements to Eliminate Non Compliance in the Workforce

Assign an Owner(s) for Oversight

Non-Compliance in the Workplace
Regulatory Requirements

Having accountability owners will ensure that responsibility of the execution of the different elements of the framework is clearly defined. These owners will work as a team with functional representatives.

Review and Compile Regulatory Requirements

The first step in the development of a compliance framework for your business is the review and compilation of applicable laws and regulations.

Knowing what is expected of you, if specific reports must be submitted to governmental agencies, and when, are important considerations. Industry best practices must also be reviewed.

The oversight team will regularly review the dynamic compliance environment; update processes and practices based on new and changing regulations and communicate new policy recommendations and implementation changes as required.

Document Policies, Procedures and Checklists

Ensure documented policies and procedures are created for critical business compliance related activities. Review these regularly.

Use Tools to Optimize

Use Software and Automation Where Possible

Simplify the process using the right tools for manual or repetitive activities such as data entry, copying and pasting, monitoring  which usually introduce errors.

Ensure that the software you select incorporates the most current policies and legislation.

Communicate Policies, Procedures and Changes

Non-Compliance in the Workplace
Automate Manual Repetitive Tasks

All departments of the business must be made aware of documented policies and procedures. Communication should be in multiple ways, and everyone  is expected to follow them.

Explain the reasoning behind the change in policies or procedures. Random modifications must not be encouraged outside of the compliance framework, no matter how good of an idea they may appear to be.

Doing this will only open the door to non compliance.

Ensure Compliance Documents are Easily Accessible

Employees must have easy access to compliance documents and know where to find them. They must be easy to find for reference purposes when necessary.

Training and Audits

Provide Frequent Training for Non Compliance in the Workplace

Providing regular training for employees will reinforce your compliance framework and employee expectations. This will help eliminate mistakes as their familiarity increases.

Schedule Regular Compliance Audits

Scheduled compliance audits force your entire organization to make sure its procedures and processes are current and compliant.

Furthermore, audits bring to light any gaps or bottlenecks in your compliance plan and can serve as a good enforcement tool.

Some non-compliance in the workplace arise from a lack of enforcement or consequences.

Lack of enforcement sends a message that company policies and procedures are not important, giving the “green light” to other employees not to take them seriously.

When employees do not adhere to policies and procedures put in place, ensure that consistent consequences are applied, no matter who is involved.

Conclusion – How to Avoid Non Compliance in the Workplace

Creating a compliance framework will help in addressing non compliance in the workplace.

While you can create the framework by yourself with in-house resources, the expertise, time, cost savings, and enhanced compliance BCINC provides is worth exploring

Related Articles

Document Management Framework – How to Develop


Coursera: Regulatory Compliance Specialization. (2022)

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