Explaining Employee Compliance Simply and Clearly
- Employee compliance with regulations means that both the employee and the employer follow applicable laws, rules, and internal policies
What Employee Compliance Means for Companies
Managing employee compliance means that a company systematically monitors whether employees meet all legal and internal requirements related to their work. The goal is to protect both the company and employees and to prevent fines, accidents, or legal issues.
What Companies Need to Monitor for Employee Compliance
Legal Trainings and Requirements
- Workplace safety, fire safety, driver certifications, data privacy (e.g., GDPR)
- For specialized roles, medical exams, certifications, and licenses
Internal Policies and Company Rules
- Code of conduct, equipment use policies, workplace behavior guidelines
- Confidentiality agreements and safety procedures
Authorizations and Qualifications for Job Tasks
- Does the employee have the required certifications, experience, or training?
- Are they authorized to operate specific machinery, equipment, or handle sensitive information?
Signed Documents and Acknowledgments
- Track who has signed documents (e.g., onboarding forms, training acknowledgments, policy agreements)
- Documents should be easily accessible for audits or inspections
Access Rights, Badges, Keys, and Equipment
- Issuing and returning access credentials (IT system access, keys, company devices)
- Applies to both onboarding and offboarding processes
How to Easily Implement This in Your Business
Create a List of Requirements by Job Role
- Each position has different duties – outline what must be completed (e.g., training, certifications, health screenings).
Use Templates and a Simple System (e.g., Aptien)
- Keep clear records for each employee showing what they have completed, signed, and what authorizations they have.
Set Reminders for Training and Health Screening Renewals
- For example, safety training every 2 years, annual driver or office staff checks, health exams based on risk factors.
Track Compliance During Employee Onboarding and Offboarding
- What new hires must complete
- What must be returned or deactivated when employees leave
Definition of Employee Compliance
Employee Compliance means employees following the company’s policies, procedures, rules, and any laws that apply to their work. It ensures employees act in ways that align with the company’s standards, ethical guidelines, and job expectations.
Key aspects of employee compliance include:
- Workplace Policies: Adhering to company rules such as codes of conduct, anti-discrimination policies, and confidentiality agreements.
- Regulatory Compliance: Following laws and regulations relevant to your industry, including labor laws, safety standards (like OSHA), and data privacy laws (such as GDPR or HIPAA).
- Qualifications, Skills, and Training: Having the necessary qualifications, skills, and training required for the job.
- Ethical Behavior: Acting in ways that represent the company’s values and ethical principles.
- Employees must follow company policies at all times
- Employees must use work devices according to the user manuals and manufacturer guidelines
- Employees receive training and are familiar with company policies and job-related manuals
- The employer follows all applicable labor laws
Why Employee Compliance Matters
- Employee compliance helps small and medium businesses avoid penalties, fines, and legal issues.
How to Ensure and Support Employee Compliance in Aptien
To ensure employee compliance, you can use Aptien tools to focus on two key areas: making sure employees understand the procedures, policies, regulations, and other important documents relevant to their roles, and using job descriptions and requirement catalogs to clearly outline the skills and qualifications needed for each position.
- Help employees get familiar with company policies and procedures here
- Use the job description and employee development plan to guide growth
- Refer to the job requirements catalog for specific position qualifications