Compliance
Ensuring adherence to labor laws and regulations.
Workflow
- 01Policy Dissemination
- 02Compliance Monitoring
- 03Incident Reporting
- 04Corrective Action
If you change this
It implies 3 topics across one module.
See the path ahead →Why it matters
Most workforce compliance failures are not decisions. They are expiries nobody was watching: a ticket that lapsed, a visa that ended, training that was assigned and never completed.
- Expiry is silent: Nothing fails on the day a licence lapses except the legal position.
- Evidence matters as much as compliance: Being compliant without being able to prove it fails an audit identically.
- It can stop operations: In regulated and safety-critical work, one expired document can halt a site.
The workflow
- 01
Obligation register
What applies, to which roles, under which instrument or regulation.
- 02
Capture
Evidence collected at onboarding and on renewal — certificate, licence number, expiry.
- 03
Monitoring
Expiry dates tracked with lead time, not on the day.
- 04
Escalation
Approaching expiry notifies the person, then the manager, then blocks assignment.
- 05
Verification
Evidence checked against the issuing authority where that matters.
- 06
Reporting
Compliance position reportable by area, role and obligation.
The control that actually works is blocking assignment on expiry. Reminders inform; the block prevents. In safety-critical work the block is the only thing an investigator will accept as a control.
What you need in place
- Role-based obligation mapping: Which roles need what, maintained as roles change.
- Expiry tracking with lead time: Enough notice to renew, not enough to forget.
- Integration with rostering: An expired qualification should prevent the shift assignment.
- Evidence storage: The document, not just a tick box.
- Right to work re-checks: Where visas have end dates.
Questions to ask
01Blocking
Does an expired qualification prevent assignment, or only warn?
Warnings are ignored at volume.
02Coverage
Do we know which obligations apply to each role?
If this lives in someone's head, it is not a register.
03Evidence
Can we produce the certificate, not just the record that one existed?
Auditors ask for the document.
04Right to work
How are expiring visas monitored?
Continuing to employ someone without work rights is the employer's liability.
05Contractors
Are non-employees covered by the same checks?
They are usually the gap.
Metrics and KPIs to track
Compliance rate
Employees current against all applicable obligations.
Approaching expiry
Obligations expiring within the notice window.
Expired and still assigned
The number that should be zero.
Evidence completeness
Obligations with retrievable supporting documents.
Alongside this