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
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
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
Coursera: Regulatory Compliance Specialization. (2022) https://www.coursera.org/specializations/regulatory-compliance