DQ Responses Oct 15

Q1. Please read below paragraph and write your opinion in 150 words with intext citations and references needed.

Compliance is one of the most important aspects of any business. It exists to protect the company, employees, stakeholders, and customers. However, compliance requirements vary according to the industry and business activities.

To stay legally compliant with your organization, the company needs to meet both internal and external business compliance requirements such as filing proper paperwork, paying taxes, and keeping everything on the record. Corporate compliance may follow safety guidelines to ensure that they are complying with local, state, and federal law. “When in compliance, the organization, employees, and third-party vendors will behave according to the laws and standards of the regulatory and industry bodies.” (Comply, 2021).

If I were in a situation where someone at my organization is not staying compliant, I will first talk to that person and understand why he or she is not following the compliance requirements. Sometimes, employees do not understand their obligations, therefore, I will first listen to that person and then recommend seeking professional legal expertise such as human resources.

Human Resources department would be able to explain what our obligations in the organization are and what are the consequences of noncompliance. For example, one of the possible consequences of noncompliance is audit. When organizations do not follow compliance, audit put closer inspection of business processes and financials which leads to financial penalties which can happen when organizations fail to fulfill its obligations.

Organizations that practice noncompliance may fall out of business and be forced to suspend operations. In my opinion, if I am in a situation where many employees are not following compliance, I would prefer not to work for the organization anymore because it reflects the value and ethics of the people. It destroys trust in customers and confidence. Noncompliance damages the brand’s reputation and trust in the company which limit future opportunities.

Q2. Please read below paragraph and write your opinion in 150 words with intext citations and references needed.

Mainly, non-compliance refers to a person's failure to act within the stated rules or regulations. Non-compliant behavior can either be deliberate or unintentional, depending on the situation. Some examples of noncompliance include showing up late for work, harassing customers or employees, and disregarding health and safety regulations (Leering et al., 2020). There are multiple measures of dealing with a person who is non-compliant in the organization. They are as follows;

First, it is essential to stay level-headed. There are a few tips for communicating and managing non-compliant workers;

Start a conversation: It is instrumental to always meet face-to-face with those causing workplace problems (Palanisamy et al., 2020). Creating an open discussion with such individuals implies discussing non-compliant behavior and discovering if there are underlying causes for such actions.

Keep calm: Keeping calm when addressing those with non-compliant behavior is vital. If they grow angry, it is important not to rise to their level as it may become harder to come up with a solution to the issue.

There is a critical need to explain to the employee why the rules and policies have been put in place. Also, discuss the reasons why certain responsibilities have been allocated to them. They sometimes require understanding or clarification of why their behaviors are deemed non-compliant or disrespectful. It is also important to educate them on the consequence of their actions. The next step is determining reasonable limits and sticking to them (Palanisamy et al., 2020). Some people who exemplify unwanted behavior will often attempt to push the limits, including the organization. Setting boundaries and informing them of those limits can assist them in negating the issues. Again, it is imperative to ascertain the limits before situations arise. Lastly, positive motivation can assist compared to negative reinforcement. Creating bonuses or rewards for their accomplishments could help improve their behaviors.