What is Compliance?

A compliance management process is the act of planning, organizing, controlling, and leading activities to ensure compliance with all applicable laws and regulations.

*Source: https://www.getsmarter.com

To ensure compliance, follow these steps:

1. Stay up to date with ever-changing laws and regulations
2. Document policies and procedures.
3. Train employees on policies and procedures and ensure adherence
4. Schedule regular internal audits
5. Utilize the appropriate tools and software (e.g., eQMS) to help simplify compliance

*Source: https://genesishrsolutions.com

To implement a compliance program, perform these steps:

1. Establish written policies, procedures and standards of conduct
2. Determine who will oversee, monitor, and enforce the compliance program
3. Train employees on program requirements
4. Keep lines of communication open for employees to ask compliance questions, report issues, or address ethical concerns
5. Implement a monitoring and auditing system to measure the effectiveness of the program and identify risks
6. Develop a plan to enforce standards of conduct in a timely manner
7. Take corrective action when necessary

*Source: https://www.powerdms.com

Monitoring policy compliance can involve:

• Periodic training and quizzes to verify that employees have a good understanding of the latest policies
• Review of staff-completed training checklists
• Review of business transactions such as travel expense reports
• Review of quality process checks and outcome data
• Review of performance metrics for certain business activities

*Source: https://www.corporatecomplianceinsights.com