Let Us Guide You Through Your InfoSec & Compliance Journey.
Learn how to use the Compyl Platform.
Watch all Security Session Episodes
Real-world stories on how we help our customers.
No matter how careful you are, no matter how much you’ve invested in training and prevention, non-compliance is bound to happen at some point or another.
Left unchecked, it can cause serious issues for your business. Read on to learn some of the best ways to report a compliance issue and get your company back on track.
There are several methods you can use to bring compliance-related problems to the forefront. Here are 10 of the most useful avenues and strategies for highlighting these issues.
When you spot a compliance issue, your go-to response might be to speak directly with managers or supervisors. This is a great way to put immediate attention to the issue and get started with remediation efforts.
It can also help build relationship-based trust. Some employees may feel more comfortable reporting to someone they know and trust, and this, in turn, can help foster strong internal dynamics where everyone feels that they can come to each other when something goes wrong. This is key to creating a culture of compliance.
Most organizations have some type of internal reporting system that allows staff to report compliance issues directly to the company. For example, you might dedicate an email address where employees can send their complaints, or establish an online portal.
The good thing about having an internal reporting system is that it protects reporter confidentiality. Many employees may fear coming forward in person, so an anonymous, online system offers a great alternative for those who would like to report quietly.
Every company culture is different, and some employees may––for good reason––opt to report through an external tool. Whistleblower hotlines are among the top ways to report a compliance issue. They’re typically managed by third-party providers to ensure confidentiality.
Hotlines are often available around the clock, making them a great option for those who need to report an urgent compliance issue or speak with someone after standard business hours. Organizations should make employees aware of these hotlines and encourage them to use them whenever necessary.
These are similar to whistleblower hotlines but serve a dual purpose. Rather than simply providing a channel for employees to report issues, they offer professional guidance on correcting the issue and ensuring compliance in the future.
Anonymous surveys are a great way to gather information on non-compliance. Whether you choose to distribute them the old-fashioned way (by paper) or the modern way (online), be sure to encourage employees to provide as much detail as they can. The more you know about the incident, the more effectively you can respond.
For creative-minded teams, developing a company mobile app for compliance management may be an option. Mobile reporting apps are extremely convenient for employees and can be helpful for fostering user engagement.
What’s more, they allow for multimedia reporting. For example, if you experience a compliance issue around workplace safety, an employee could take a picture of the unsafe work environment and upload it through the app, providing a more detailed, actionable report.
Exit interviews are conducted to gather feedback from employees who are leaving the company and are one of the best ways to report a compliance issue. These interviews offer insight into systemic issues or cultural problems that may not be evident through other reporting channels.
If a group of employees notices a compliance issue, they may talk amongst themselves and decide to gather as a group to decide what should be done. Then, they can report the issue together, sharing multiple perspectives and adding a deeper layer of credibility to the complaint.
Peer reporting systems encourage employees to report compliance issues they observe among their colleagues. They help employees hold each other accountable––not to snitch, but to foster a culture of shared responsibility for compliance.
Staff meetings can provide a safe, familiar place for employees to share their compliance concerns. Rather than having to schedule a whole meeting around concerns, which can be unnerving for some employees, issues can be brought up in a more natural setting.
The average large company uses 175 applications to operate their business, and that number grows each year. With more devices and applications at play, compliance––especially in regard to data privacy––has become more critical than ever. Even minor instances of non-compliance can cost organizations tens of thousands of dollars if not handled swiftly.
But monetary costs aren’t the only reason to stay on top of compliance issues. Organizations that fail to comply with regulatory standards face increased scrutiny from customers, stakeholders, and other industry players. This can impact business success in more ways than one.
By reporting compliance issues as soon as they are identified, employees and others play a key role in offsetting the penalties of non-compliance. You never want to leave an issue unresolved for so long that it spirals out of control. Addressing non-compliance issues right away is the best way to mitigate damage.
Regardless of the reporting method(s) you choose to employ, there are a few tips you can follow to encourage more efficient reporting:
Remember, compliance is an ongoing effort in which everyone must play a part. You may not get things right the first time, and that’s okay. The important thing is to keep learning, keep educating, and encourage reporting at the first sign of trouble. That way, you can jump straight in and tackle the problem head-on.
Proper reporting requires a comprehensive strategy that tackles compliance from multiple angles. Compyl allows companies to monitor all relevant compliance frameworks from a single platform, making it easier than ever for them to find ways to report a compliance issue. To learn more about how we can help with compliance and reporting, contact us today.
