Compliance management touches many parts of your business—it’s not just a concern for your legal team. Compliance management includes several key areas. Here’s a look at the main components that make up effective compliance management.
Steps to Implement Compliance Management in Your Business
1. Set Clear Policies and Procedures
- Outline key processes and internal policies – such as workplace safety, code of conduct, and equipment use. Simple, easy-to-understand documents are sufficient for employees.
2. Review Compliance in Key Areas
- Confirm that employees meet requirements (training, certifications),
- ensure equipment and devices comply with standards and have current inspections,
- verify that work areas are safe and meet legal regulations.
3. Train Employees and Keep Them Informed
- Having policies isn’t enough – employees need to know them. Start with basic training (e.g. workplace safety, ethics, data privacy), then track training and update as needed.
4. Maintain Equipment and Devices Properly
- Keep up with inspections, maintenance, and calibrations. Store manuals and inspection reports, and schedule checks based on legal requirements and manufacturer guidelines.
5. Conduct Regular Risk Assessments
- Identify potential areas for violations or safety issues. Integrate risk management with compliance since they are closely linked.
6. Perform Internal Reviews and Audits
- Conduct internal audits once or twice a year using checklists or audit forms to spot gaps and areas for improvement.
7. Use a Compliance Management Tool (e.g. Aptien)
- Centralizing training records, inspections, documents, and audits saves time and simplifies external audits. For small businesses, easy-to-use software with minimal setup is best.