The 4Cs of Compliance

One of the questions that we commonly ask clients when they raise issues around misconduct or bullying or discrimination or harassment is: “Do you have a policy and/or procedure on that?”

The next question, if they say that they do, is: “Have you followed that policy and/or procedure?”

It is remarkable how many times the answer to these questions is: “I’m not sure” or “I don’t know”

And that can be a problem because, if you haven’t followed your own policies and procedures, you will really struggle to demonstrate the fairness of whatever action you have taken on an issue especially if it has involved disciplinary action up to and including termination of employment.

Many business owners have written policies and procedures on HR and WHS matters because they have been told that they have to have them to be compliant but is that all that you need to do to be compliant?

Why do we have policies and procedures?

There are multiple reasons:

1. They show that we understand and acknowledge our legal obligations as employers and what commitments we make in this regard
2. They explain to our employees and others who enter our workplaces what the rules are and what they are accountable for
3. They detail how we will deal with certain matters in the workplace
4. They are designed to deliver consistency in the way that management deals with issues to assure fairness and legal compliance

So what do you need to do to achieve all of that?

Our 4C Model

The reality is that compliance involves a lot more than having a policy and procedure – compliance is really about what happens in practice, not just what is on paper.

This is where our 4Cs come in

C1: COMMITMENT: We demonstrate acknowledgement and intention through formulation of formal policy and consultation and communications with stakeholders

C2: CAPABILITY: We invest in the resources that are necessary to give the policy life – the procedures, the people, the tools and other resources

C3: COMPETENCY: We provide our people and those with specific responsibilities, with the training, coaching and support that they need to play their roles in line with our policies and procedures and hold them accountable for doing so

C4: CULTURE: We consistently apply the policy and processes competently to embed them in everyday practice always seeking to improve and adapting to changes in our needs and regulatory requirements.

A question for you

When you look at the 4Cs above, do you have any gaps in compliance?

We can help. Call us on 1300 108 488 or message us in the “Tell us what you need help with” box below to arrange your free first consultation.