Compliance problem? Don’t let history repeat itself. At least, not on your watch. This requires two things:
- Fix the problem. Use your investigations and corrective action procedures to find out what went wrong, and fix it. This could involve updating policies and procedures, in-servicing staff, returning overpayments, disciplining employees, or other corrective actions. Test (audit) and re-test to make sure the problem is fixed.
- Get better. Once the problem is fixed, dig deeper to learn why it happened. What went wrong? Do we have a supervision problem? Are we understaffed? Do some of our processes need improvement? Go beyond the standard corrective actions of policy updates, training and discipline.
Don’t lose hope.
Each compliance problem is also an opportunity to advance compliance (just be sure to consult your legal counsel along the way). Don’t be afraid to conduct more audits and find more problems. Once you start looking under the rocks, you will find more problems (nobody is perfect). Embrace these problems, and watch your organization improve. By embracing compliance failures and thinking creatively to make your organization better, your team will see that you take compliance seriously and care about doing the right thing. In other words, you will foster a culture of compliance.
To read all posts in the Compliance Culture Building Blocks series, click here.