What is workplace compliance and how to achieve it (6 steps)

Workplace compliance is essential for businesses of all sizes. It ensures that organizations adhere to laws, regulations, and internal policies, protecting both the company and its employees.

When you create a culture of compliance, you lay the foundation for smooth operations, clear communication, and a motivated workforce. Employees feel secure knowing that their workplace prioritizes legal and ethical standards. Operationally, a compliant business avoids legal pitfalls and fines, ensuring a seamless and efficient workflow.

In this article, we dive into what workplace compliance is, why it matters, and 6 steps to maintain it effectively.

What is workplace compliance?

Workplace compliance is all about staying in line with local, state, and federal laws, plus your own internal company policies. It covers everything from workplace safety to data security and ethical behavior. Basically, it’s your company’s commitment to doing things the right way. Compliance ensures that your business not only meets legal requirements but also upholds the highest standards of conduct.

Internal and external workplace compliance

1.1. Corporate compliance (Internal)

Corporate compliance involves internal protocols, rules, and codes of conduct that a business implements to maintain high operational standards and avoid conflicts. It focuses on creating a structured environment where employees understand their roles and responsibilities.

1.2. Regulatory compliance (External)

Regulatory compliance refers to following the laws and regulations set by external agencies. These rules can vary widely depending on the industry and location but often include:

• Data and privacy compliance: Regulations such as HIPAA, GDPR, and COPPA govern how businesses handle personal data. Complying to these rules is crucial for protecting sensitive information and avoiding legal penalties.
• Quality management regulations: Standards like ISO27001 ensure that companies maintain high-quality management systems. This is a certification that Joan also upholds. Conforming with these standards helps improve operational efficiency and customer satisfaction.
• Employment regulations: Laws such as OSHA and FMLA protect employee rights and ensure safe working conditions. Adhering to these regulations is essential for maintaining a healthy and productive workforce.

How to ensure compliance in the workplace (6 steps)

1. Set the foundations with documentation

Effective compliance enforcement begins with meticulous documentation. Think of it as the blueprint for your compliance strategy. Without clear, well-documented policies and procedures, even the best compliance initiatives may fall short.

Make sure all documentation is easily accessible to everyone in your organization. Whether it’s a physical copy in the office or a digital version on your intranet, accessibility is key. Employees shouldn’t need to jump through hoops to find the information they need.

 Here’s what you should prepare:

• Employee handbook: This document should outline all company policies, procedures, and expectations. Make sure it covers everything from day-to-day operations to emergency protocols. The goal is to leave no room for ambiguity. When employees understand what’s expected of them, they are more likely to follow through.
• Checklists: Checklists are a powerful tool for ensuring procedures are followed correctly. They help standardize processes, making it easier to track compliance and identify gaps. Employees can use these checklists as a reference, which helps them stay aligned with company policies.

2. Assemble a compliance team

Having a dedicated compliance team is paramount for effective compliance enforcement. In smaller organizations, dedicating one person to these responsibilities can be equally effective. This team or individual acts as the backbone of your compliance framework. They ensure that all regulatory requirements are met and that the company’s internal policies are followed to the letter. 

Their role is to guide, educate, and empower, ensuring that compliance is not just a set of rules to follow but a core value embraced by everyone in the organization. Among their key responsibilities are:

• Conducting internal audits: These audits are essential for ensuring that your business operations adhere closely to both internal policies and regulatory mandates and for identifying and addressing any compliance gaps.
• Consistently tracking industry standards: This involves staying informed about changes in laws, emerging industry trends, and technological advancements. By doing so, the compliance team can recommend timely updates to policies and procedures, ensuring that your organization is always ahead of the curve.

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3. Make compliance tangible not abstract

Making compliance tangible within your organization requires a proactive approach that emphasizes the practical benefits. By highlighting how adherence to regulations contributes to operational efficiency, employee safety, and overall organizational success, you create a workplace where compliance is not just a requirement but a shared value. Here are some ways to cultivate such a workplace culture:

• Focus on benefits not rules: Educate employees on how compliance contributes to a safer, more productive workplace. Illustrate how following regulations enhances operational efficiency and employee well-being.
• Foster open communication: Create an environment where employees feel comfortable discussing compliance issues. Encourage open dialogue to address concerns and improve your practices.
• Implement feedback mechanisms: Establish formal feedback mechanisms such as surveys and suggestion boxes to gather input from employees. Use this feedback to continually improve and refine compliance measures.

4. Train and onboard your employees

Effective training programs transcend mere knowledge transfer; they equip employees with the essential skills and mindset to navigate regulatory landscapes confidently and make meaningful contributions to organizational objectives. Here’s how to improve your training programs:

• Interactive learning: Engage employees with interactive workshops, simulations, and role-playing exercises. These hands-on experiences help reinforce understanding and application of compliance principles in real-world scenarios.
• Customized paths: Recognize diverse roles within your organization by offering customized learning paths. Sales teams might focus on ethical sales practices, while HR professionals could delve into labor laws and regulations.
• Measurable Outcomes: Implement metrics to evaluate the effectiveness of training efforts. Track metrics such as knowledge retention rates and compliance audit results to continuously improve training programs.

5. Leverage technology

Technology can greatly contribute to your compliance efforts, streamline operations, enhance accuracy, and proactively address regulatory challenges. From automating routine tasks to fortifying data security and enabling real-time monitoring, technology empowers businesses to maintain compliance effectively and adapt swiftly to evolving regulatory landscapes.

• Automation: Implementing automated systems for data collection, analysis, and reporting reduces human error and ensures accuracy in compliance efforts.
• Monitoring and alerts: Utilizing real-time monitoring tools and alerts allows organizations to promptly detect and respond to compliance issues or deviations.
• Data security: Enhancing data security measures through encryption, access controls, and secure cloud solutions safeguards sensitive information and ensures adherence with data protection regulations.
• Audit trail: Maintaining comprehensive digital audit trails provides transparency and accountability, crucial during regulatory audits. By harnessing technology in these ways, businesses not only mitigate risks but also foster a proactive compliance culture.

Integrating solutions like Joan can amplify these benefits significantly.

• Joan Visitor Management: Features visitor registration, document signing and visitor consent. It can generate compliance reports that include information such as visitor logs, check-in and check-out times, and other information.

• Joan Desk: Helps manage workspace efficiently while maintaining high safety standards. It provides insights into employee presence, aiding in workspace management during emergencies while preserving safety protocols.

• Data security: Joan places a high priority on data security by storing minimal information and surpassing industry standards. Its enterprise-grade security and GDPR compliance ensure robust protection for sensitive data.

6. Fortify your efforts with workplace security

Workplace security measures not only protect employees and assets but also align with regulatory requirements, fortifying your compliance efforts on multiple fronts. Here’s how to strengthen workplace compliance through robust security strategies:

• Access control: Essential for maintaining workplace security, especially concerning employee access. This not only enhances physical security but also aligns with compliance requirements for safeguarding sensitive information and assets. Integrated systems like the Joan Visitor Management System further support these efforts by providing a comprehensive approach to managing visitor access.
• Leverage technology: Use modern security technologies like access control systems, surveillance cameras, and alarms to bolster physical security in your workplace. 
• Culture of security: Foster a workplace culture that encourages ongoing security training, empowering employees to spot and address potential threats effectively.

For more insights on workplace security, read our dedicated blog post where we explore additional tips and practical strategies for implementing robust security measures.

How to deal with non-compliance in the workplace?

Non-compliance, whether intentional or unintentional, disrupts the harmony and efficiency of your business. When you find any issues, you should address them immediately by starting with an open conversation with the non-compliant employee. Approach this dialogue with a calm demeanor, aiming to understand the root cause of their behavior. Is it a misunderstanding of the rules, a lack of training, or perhaps personal issues affecting their performance? Listening without judgment can reveal a lot and set the stage for resolution.

Once you’ve identified the cause, clearly reiterate the company policies and the importance of compliance. Explain not just the what, but the why these rules are in place and how they protect both the company and its employees. People are more likely to adhere to rules when they understand their purpose. Then, outline the consequences of continued non-compliance. Be specific about what actions will be taken if the behavior persists, and ensure these consequences are consistently applied across the board. This helps in establishing a fair and predictable environment.

How to monitor compliance in the workplace?

Monitoring workplace compliance is an ongoing effort that requires vigilance, consistency, and the right tools. This is where your compliance team will be most helpful, acting as the eyes and ears of your organization’s adherence to laws, regulations, and internal policies. To keep things running smoothly, your compliance team should conduct regular internal audits, which will help spot any non-compliance issues early, giving you a chance to fix them before they become major headaches.

But don’t stop there. Embrace technology to bolster your efforts. Real-time monitoring tools and software can provide a constant watch over your operations, immediately flagging any deviations from your established protocols. This way, you’re not just reacting to problems, you’re preventing them.

Implement strategies, leverage technology

Succeeding in today’s complex regulatory landscape is more than just adhering to the rules; it’s about fostering a culture of accountability, safety, and efficiency.

By prioritizing thorough documentation, positive reinforcement, ongoing training, and leveraging cutting-edge technology, organizations can confidently meet compliance standards. 

Contact us for more insights on how we can help achieve your compliance objectives while cultivating a positive workplace environment.