Non-Compliance… It Happens, and It Hurts

By Phara McLachlan

How is it compliance is generally reactive versus proactive? Just as we often find ourselves vigorously brushing and flossing when we get our dental reminder, or attempt a crash diet just before bathing suit season, we typically get ourselves interested in compliance when we know an audit is just around the corner or you’ve had an audit and have been penalized…

All of these things happen, and for the most part, all of them can be painful!

In order to avoid the rush of an audit looming, get proactive!

Compliance assures validation that your assets are held under appropriate controls which mitigates risk, reduces costs, and improves process efficiencies

There are a lot of aspects to compliance, so here is a simple compliance checklist:

  1. Take an assessment of your current environment
  2. Recognize what is being done right and wrong, and highlight the gap
  3. Define the scope of the compliance project
  4. Identify who the various area owners are, and get clarity on the expectations
  5. Set deadlines for meeting expectations
  6. Follow up and ensure compliance is met
  7. Adopt an on-going, proactive strategy to staying up on regulations
  8. Establish a compliance steering committee and ensure resource commitment
  9. Assemble a Compliance Audit Team (CAT) to conduct internal audits and report findings
  10. Hold team accountable for legislative updates and compliance

Remember to check federal, state, city, county, global, and industry specific regulations and legislation. Create a legislative and regulatory action plan that includes L&R requirements. Ensure your compliance steering committee agenda includes current and to-be legislation that affects your organization.

Ignorance may be an excuse, but ignorance is not bliss.

About the Author

Phara McLachlan is the CEO of Animus Solutions, Inc.