Staying on top of Compliance

We all do our best to stay on top of compliance, but it seems to be a never-ending maze to get through.  Just as you get one process set up, a new administration changes the rule.  And now we have to navigate the implementation of local and state laws – and how those impact federal regulations.  Human Resources professionals always begged owners not to open in California due to the regulations, but now many states have so many regulations our heads are spinning!

The US Department of Justice provided guidance this year in their document Evaluation of Corporate Compliance.  They spell out what prosecutors look for when bringing a case against an organization.  While hopefully we will never rise to this level of non-compliance, the tips are those that we can implement in our businesses to ensure we stay on the “right” side of the Department of Justice!

Here are 7 things to consider in your organization: 

1. Do your senior leaders walk the walk? Through their words and actions, do they model and encourage proper compliance.
2. Is there a pattern of evaluating decisions and processes for compliance? Keep notes and evaluations of issues that your organization may have discussed to ensure compliance.
3. Are your policies and procedures evaluated on a regular basis? Take time to assess your HR function. You can download our HR Assessment Checklist here.
4. Training must not only be provided – but effective. How do you train managers on their compliance obligations….and does it work?
5. What is in place for confidential reporting? Do employees trust the system and is it effective?
6. Have disciplinary actions taken place against those that don’t comply? Document the reasons people are let go where it supports your ethics and compliance policies.
7. Vendors are not exempt – how do you monitor 3^rd party compliance? Be sure you know what your vendors are doing within your organization and their own policies.

This list is a way to check in and think about your systems.  The theme of the document from the Department of Justice is one of ongoing vigilance to the issues of business compliance and ethics.  By instilling a culture of ethical behavior and documentation, human resources can support the business in compliance.