How to maintain workplace compliance: types and best practices

For modern businesses, a lack of workplace compliance can have serious and lasting consequences, and fines, reputational damage, and operational disruptions aren’t even the worst of them. In severe cases, a compliance violation could lead to lawsuits, prosecution, or a complete organizational shutdown.

Taking a proactive approach to work compliance is the only way to protect your company from those risks, but it isn’t always easy. Some businesses struggle to keep up with constantly evolving laws and regulations, while others don’t have the right tools in place.

In this article, we’ll dig deeper into what compliance in the workplace means and the different types businesses have to maintain. You’ll also learn some compliance best practices and solutions you can use when implementing them.

What is workplace compliance? #

Workplace compliance refers to the processes, procedures, and policies organizations use to ensure they’re following any and all government and industry requirements. The meaning of work compliance extends to laws, regulations, and internal policies, addressing everything from employee behavior to physical security, safety protocols, and access control.

These are examples of compliance at work:

• A company’s IT department shields sensitive employee information using proper data protection practices.
• The human resources (HR) department at a business monitors employee activity to identify and resolve issues related to discrimination or harassment.
• A business holds regular training drills and posts clear signs to meet facility security requirements.
• To maintain compliance with privacy and safety laws, an organization uses a visitor management system to track guest entries and prevent them from accessing restricted areas.

These compliance in the workplace examples represent just a few of the ways it comes into play. In one form or another, compliance affects every business leader, department head, and employee, requiring a collaborative effort to achieve consistency and encourage adherence throughout your organization.

Types of workplace compliance #

Workplace compliance isn’t one-size-fits-all. It differs from one business to the next, depending on the structure, size, and focus. Let’s look at some of the typical kinds of compliance most organizations have to consider.

Legal compliance #

One of the most important types of workplace compliance is legal, in part because violations in this area can have some of the biggest impacts. Legal compliance includes labor laws at the federal, state, and local level, covering issues such as:

• Wages and hours, including minimum wage, child labor, and overtime
• Anti-discrimination laws, such as Title VII
• Workplace safety and health
• Employee rights, including privacy

Although requirements are specific to your business’s location and industry, some major regulations apply to a wide range of organizations.

For example, in the United States, the Occupational Safety and Health Act (OSHA) requires companies to provide employees with a workplace free from safety hazards. OSHA performs workplace inspections and investigations to confirm businesses are using safe practices. For instance, employers are required to provide appropriate personal protective equipment (PPE) based on the type of work taking place and clearly label hazardous chemicals.

Another key law is the General Data Protection Regulation (GDPR), which states businesses must protect the data of residents of the European Union (EU). GDPR requires organizations to implement appropriate safeguards for personal data. In practice, many companies use measures like access controls (often including MFA for sensitive systems), clear privacy notices, and disciplined handling of HR/payroll data .

Security compliance #

Facility security compliance addresses some of the same points as legal compliance, such as employee privacy and safety. However, it approaches those concerns from the perspective of physical and digital infrastructure and security policies.

One of the primary frameworks in this aspect of compliance is SOC 2, or System and Organization Controls 2, which was created by the American Institute of Certified Public Accountants. SOC 2 reports commonly assess how an organization controls logical and physical access, typically using measures like controlled entry (badges/keys/credentials and sometimes biometrics), visitor procedures, and auditable logs.

Another significant regulatory standard is ISO 27001, the international standard for establishing, implementing, maintaining, and continually improving an Information Security Management System (ISMS). To obtain ISO 27001 certification, companies have to prove they’re ensuring confidentiality and integrity when handling sensitive company information, using measures such as access control.

To follow both these and other regulatory requirements, organizations typically use badge and access audits. They review access logs for unusual activity, verify user permissions are appropriate, and ensure any lost badges have been deactivated. They also must confirm badges or other credentials are adequately secure to prevent unauthorized access.

Workplace safety compliance #

Safety is another core component of workforce compliance. OSHA and ISO 45001 outline organizational requirements, including the need for an emergency action plan (EAP). Depending on the size of your company, you may need a written plan detailing how your organization will respond to emergency situations. Businesses must also have clear evacuation routes, assign rescue or medical roles to qualified employees, and provide regular training and drills for staff.

Compliance in safety also refers to access restrictions, particularly in preventing unauthorized individuals from entering hazardous or restricted areas, such as laboratories or data centers. This might involve using barriers or identification systems, including cards, biometrics, and other credentials.

Employee behavior and access policies #

Last but far from least is employee compliance, specifically with regard to behavior and access authorizations. This is a breakdown of some of the central aspects of this kind of compliance:

• EEOC: The Equal Employment Opportunity Commission safeguards employees from hostile or discriminatory behavior. It requires companies to prevent and eliminate inappropriate conduct based on protected traits, such as gender, race, or religion, and maintain a safe, non-hostile work environment.
• Sign-in tracking: Automating record-keeping for attendance, security, and policy adherence helps companies meet legal requirements, including labor laws. It makes company activity and employee behavior transparent and creates an objective audit trail.
• Guest check-ins: If you collect visitor personal data (names, photos, IDs, signatures), privacy laws like GDPR (EU) and CCPA/CPRA (California) require you to handle it responsibly. Use clear notice, secure storage, limited retention, and processes to support access/deletion requests where applicable.

HR managers, workplace operations leads, security teams, and compliance officers are all responsible for ensuring their businesses abide by these requirements. Doing so is essential not only to avoiding violations but also to maintaining employee trust, preventing excessive turnover, and creating a positive work atmosphere.

Employee compliance vs. visitor compliance #

One of the distinctions businesses have to draw when developing their compliance strategies is the difference between employee and visitor requirements. Knowing what separates them will help your organization address every facet of both.

The primary difference between employee and visitor compliance is the length and intensity. Employee compliance is an ongoing, in-depth effort to ensure workers adhere to company policies, laws, and procedures. That typically means providing regular training, monitoring policy adherence, and using internal access control for personnel.

Visitor compliance, on the other hand, is temporary for each individual guest. It focuses on pre-entry screening, temporary access credentials, and short-term safety protocols for guests who may not be familiar with your facility.

While visitors may not be at your business for long, remember their actions can result in significant compliance violations, and it’s your responsibility (not theirs) to make sure that doesn’t happen. Providing them with clear, immediate education and strong restrictions is vital.

Best practices for maintaining compliance at work #

Compliance is challenging for many businesses, particularly when facing new rules or standards. Use these best practices to ensure security and safety compliance within your organization:

1. Establish clear policies for safety, security, data management, access control, and other requirements, and distribute them to all employees.
2. Provide regular, engaging training, focusing not only on how employees can maintain compliance but also on why it’s so important, both to them as individuals and the company as a whole.
3. Conduct frequent audits for each area of compliance, making note of potential violations or vulnerabilities.
4. Use technology to track employee activity, compliance risks, training completion, and policy adherence.
5. Stay up-to-date on laws and regulations, and regularly revisit policies and make adjustments based on changes.

These strategies will better position you to implement an effective compliance program that’s easy to manage, follow, and update as needed.

Leverage the right tools for stronger compliance #

Companies can manage compliance in hybrid and in-person environments using tools capable of bridging physical spaces and digital policies. One popular option is a visitor management system, which allows you to collect guest data, screen visitors before their arrival, and require document signing prior to entry.

Perhaps the most important solution is an access control system. Solutions like Kisi can directly support your compliance efforts, offering advantages such as:

• Real-time logs documenting everyone who is currently on-site
• Role-based access based on employee roles, training, and permissions
• Zone control to prevent workers from entering restricted areas without proper authorization

With Kisi, you can also set up visitor and employee policies which help with audits, incident response, and internal rule enforcement.

When you select your compliance tools, remember they’re more effective when they have integration capabilities. For example, using a centralized platform for access logs, visitor management, video surveillance, and credential-based controls simplifies your audits and stops unauthorized individuals from entering secure areas.

Achieve Consistent Compliance with Help from Kisi #

In the age of rapidly changing laws and technologies, compliance has never been more critical to business success. Following state, local, and federal regulations and laws can save your organization significant time, stress, and money and support your long-term success.

Kisi is proud to offer future-proof solutions to help businesses achieve and maintain compliance in all areas of their operations. Reach out to get a free demo or request a quote for a tailored system for your organization’s unique needs.