Compliance Resources

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Compliance systems, often part of HR software suites, help monitor and measure employee and policy adherence to laws, regulations, and functional metrics designed by the business. Compliance parameters include health, safety, privacy, security, compensation, work hours, holidays and dismissal procedures.

Various available compliance software applications provide IT support for in-house compliance programs, to ensure comprehensive monitoring, investigation, auditing, control, reporting and archiving of compliance-related information and activities. Utilization of these and other compliance-oriented tools provides both internal and external assurances, e.g., to clients, regulatory agencies, employees, management, customers, affiliates and shareholders, that compliance-related incidents will be rare, or if reported, effectively managed.

Although compliance software exists in quite diverse forms, IBM's Tivoli Compliance Insight Manager, illustrates the features, functionality and purposes of one key dimension of compliance-security.

Compliance comprises the process through which an organization fulfills its basic HR responsibilities, as well observes the rules and regulations of the local jurisdiction. This is an important function performed by the HR department, as it will help maintain employee morale, as well as prevent the organization from violating any labor regulations. As a useful tool to facilitate compliance, modern compliance software applications are available, featuring a very broad range of compliance-related functionality.

There are also several common, more traditional tools used by organizations to ensure compliance. Firstly, the employee handbook is used to convey to all employees the organization's philosophy, together with the legally-mandated policies, procedures and practices. By having all of these set out in black and white, all employees are expected to understand them and perform their job duties accordingly. Secondly, job description manuals are used to let each employee know what is expected of him or her at the job level. They also serve as clear guidelines of the do's and don'ts. Thirdly, an organization can either distribute workplace safety manuals or conduct safety briefings to reinforce to its staff the importance of workplace safety, as well as the procedures to follow to prevent accidents or what to do in the event of one. Fourthly, HR policies are also regularly reviewed to ensure their compliance with diversity and non-discriminatory requirements.

In addition, the organization will also conduct regular HR audits, at various levels, to ensure that there is full compliance on the range of issues. This could be done on-site or outsourced to an external service provider. In the event of the discovery of non-compliance, corrective measures should be immediately taken.

International, global companies and other organizations must manage a special layer of compliance in the form of cross-cultural compliance issues and possible conflicts, e.g., determining the jurisdiction of authority governing issues such as appropriate dress and conduct in Middle Eastern countries. Failure to act in compliance with the vested authority can lead to consequences for the company as well as the employees in breach.

Burdens of compliance aside, proof of compliance can function as a useful promotion and marketing tool, e.g., confirmation of compliance with worker safety or environmental regulations.
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