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Compliance can be a real beast for organizations, and ignoring it comes at significant peril. According to a study by the Ponemon Institute, the average overall cost of non-compliance is $14.82 million. But don’t fret! With the right knowledge and preparation, you can avoid these kinds of penalties. Read on to learn how to ensure compliance in the workplace and stay on the right side of the law.
Maintaining workplace compliance is no easy feat, but it can be done with the right approach. Here are some tips for getting started.
Different rules apply to companies in various industries. Consider the nature of your business and geographical scope. It is helpful to consult with legal experts who understand your industry. Larger companies often have in-house legal departments that deal with these issues. However, if you are a smaller company or otherwise lack this sort of in-house support, you may need to hire an external legal advisor that specializes in compliance to help you get set up properly.
Once you’ve determined your unique compliance requirements, be sure to document them for your staff. This is key to them learning how to ensure compliance in the workplace. You can start by creating a strong internal framework that accounts for your company’s risks and activities. Some of the most important elements of an effective compliance program include:
Be sure to provide ongoing training and support. Your compliance needs will likely change over time, and it’s important to keep employees updated on best practices through continued training.
Errors are prone to happen, and that’s why audits are essential for ensuring compliance in the workplace. Audits give companies a chance to review the programs and processes being followed. Think of an internal audit the way you’d conduct routine maintenance of a vehicle. Audits allow companies to catch problems early and fix them.
Run regular internal audits to spot vulnerabilities before engaging external audit agencies. If those agencies find issues, it may lead to heavy fines. Rather than using their own people to conduct internal audits, some companies prefer to outsource. Third-party auditors can spot errors that your people may be oblivious to.
Compliance isn’t a set-it-and-leave-it thing. Laws and business regulations are constantly changing, and you need to stay up to date with these changes if you want to ensure ongoing compliance. Implement policy changes whenever needed. Keep your staff in the loop by updating your employee handbook. This can keep everybody on the same page.
Your company might be compliant in the books, but long-term compliance requires a certain team culture that doesn’t focus solely on the technical stuff. Here’s how you can create that sort of work environment.
Consider reinforcing policies through compliance training. The more familiar your employees are with guidelines, the less likely they will be to make mistakes. This training should cover various ways to address regulatory issues. It should also discuss who to contact in case of compliance breaches.
Remove the stigma of compliance failure by turning negatives into positive outlooks. If an employee does not comply with a specific policy, address it with them and provide them with ideas on how to improve in the future. Set realistic goals and deadlines for improvement.
It is important to also provide data security, privacy, and governance training. Employees need to understand the importance of upholding data ethics in a company. This can mitigate risks and prevent them from violating data regulations, which can be costly.
Include workplace safety and anti-discrimination training. Ensure that every employee understands what’s required of them. Employee training should be an ongoing process, and is especially important when updating policies.
Software tools, such as visitor management programs, can help you keep tabs on who enters and leaves the workspace on a daily basis. You can also use automation tools to manage repetitive tasks like report generation and data collection. This can free up time for employees to spend on more complex or worthwhile tasks.
Likewise, AI-based compliance software can analyze large data sets to identify areas that are at risk of non-compliance. You can then mitigate these risks and avoid costly fines by acting swiftly. You might also use technology to store data that is essential for future audits.
Business decisions should never be made in a vacuum, and this is especially true when it comes to compliance. Empower your employees to make decisions that reflect your commitment to adhering to all legal regulations and company policies.
Offer guidance on how to handle ethical dilemmas. For example, if an employee discovers that one of their coworkers is violating company policy, they may struggle to balance transparency and compliance with personal loyalties. These kinds of situations are never easy, which is why it’s crucial to establish training and guidelines to help employees navigate them and remain compliant.
An effective compliance culture requires defined mechanisms for reporting concerns and potential violations. This isn’t to encourage snitching, but to promote transparency within your organization. It’s important to tackle issues head-on and as soon as possible in order to mitigate damage.
Whether you choose to implement a software reporting tool or go with the good, old-fashioned word of mouth, set clear policies and expectations for communicating violations. A clear process is key to getting employees onboard with the program and encouraging them to support a compliance culture.
Learning how to ensure compliance in the workplace is certainly easier said than done, but it’s far from impossible, especially if you’ve got a team of experts by your side. Compyl makes it easy to stay on top of all relevant frameworks, including HITRUST and PCI. Contact us today to see how we can help you meet your compliance requirements.
