Last Updated on 03 May 2023
As remote work becomes more common, businesses must adjust their compliance strategies to ensure that their remote workers are meeting industry standards. Compliance is essential, particularly for businesses operating in regulated industries such as healthcare, finance, and government. Compliance failures can result in significant penalties and legal issues.
Remote work creates unique compliance challenges for businesses. Remote workers have access to sensitive information and data, require access to digital communication channels, and may engage in unethical behaviour. Additionally, remote work can create communication and monitoring issues, making it difficult for businesses to ensure that their remote workers are meeting industry standards consistently.
In this blog, we’ll provide a comprehensive compliance checklist for remote workers to ensure that your team is meeting industry standards. By implementing these strategies, you can protect your business from costly mistakes and ensure that your employees are meeting compliance requirements.
Develop an Acceptable Use Policy (AUP)
An Acceptable Use Policy (AUP) is a policy that outlines how employees may use company-owned devices, software, and data. It outlines the acceptable behaviour, responsibilities, and activities of employees and aims to protect the company from cybersecurity threats, regulatory violations, and legal liabilities.
When developing an AUP for remote workers, ensure that it includes guidelines relating to the use of personal devices, VPN, and Wi-Fi networks. Additionally, it should specify which information technology resources workers can access remotely, including cloud systems, email and messaging applications, and document repositories.
Moreover, the AUP should outline the consequences of violating company policies, as well as the procedures for monitoring and enforcing them. Ensure that all remote workers acknowledge and sign the AUP, which should be regularly updated based on changes in company policy and compliance regulations.
Conduct a Risk Assessment
Conducting a risk assessment can help identify areas of non-compliance that require attention. A risk assessment involves a systematic evaluation of potential vulnerabilities and threats that could impact company operations, data, or intellectual property.
Start by identifying all potential risks and vulnerabilities, such as unauthorized access, data breaches, malware infections, and social engineering attacks. Consider factors that may increase the risk, such as the use of personal devices for work purposes or access of company information through unsecured Wi-Fi networks.
Next, develop a risk management plan that outlines how to address the identified risks and vulnerabilities. Plan implementation should include the implementation of security controls, such as multi-factor authentication (MFA), data encryption, and the use of firewalls and virtual private networks (VPNs).
Implementing a continuous monitoring strategy to detect potential security threats is also critical. Consider utilizing an integrated suite of monitoring tools that enables the tracking of system logs, network activities, and security incidents.
Develop a Cybersecurity Plan
A cybersecurity plan is a comprehensive strategy to protect company information and assets from cyber threats. Its objectives include threat prevention, detection, response, and recovery.
Developing a cybersecurity plan for remote workers involves identifying potential cyber threats and outlining how to prevent and respond to them. The cybersecurity plan should detail the strategies and tools used to protect against common cyber threats, such as phishing, malware, and ransomware attacks.
Moreover, it should specify the procedures for responding to incidents, such as data breaches and malware infections. Ensure that the cybersecurity plan includes a disaster recovery plan, which outlines how the company will recover data and systems in the event of an attack.
Provide Secure Remote Access
Remote access refers to the ability to access company networks, applications, and systems from outside the company’s physical premises. Remote workers require secure remote access to perform their work, and the process should meet industry standards.
Provide remote workers with secure access protocols, such as VPNs and Multi-factor authentication (MFA). Also, establish an Identity and Access Management (IAM) framework that enables remote workers to request access to company information and systems.
Ensure that remote workers understand the secure remote access process and the policies relating to the use of VPNs and MFA. Also, provide regular training to keep remote workers up-to-date on changes in industry standards.
Secure Document Management
Secure document management is essential for remote workers, who may access and share sensitive data and information. A document management system provides secure storage, retrieval, and control of documents, reducing the risk of data breaches and unauthorized access.
Ensure that remote workers have access to the document management system and that documents are stored appropriately. Utilize digital signatures to approve documents and establish version control to track changes made to documents.
Furthermore, ensure that documents containing sensitive information are encrypted and made accessible only to authorized personnel. Also, document the life cycle of documents to help maintain compliance with regulatory obligations.
Establish Compliance Standards
Establishing compliance standards for remote workers is a key strategy to ensure that workers meet the regulations concerning their industry. Compliance standards provide a framework for ensuring that employees meet industry standards, reduce the risk of non-compliance, and protect the company from legal liabilities.
Ensure that all remote workers are aware of the regulations that apply to your industry and that they understand how to comply with those regulations. Use compliance software that provides remote workers with access to relevant regulations and tracks their compliance status.
Moreover, establishing a compliance team responsible for monitoring and ensuring compliance standards can help the company stay up-to-date on regulatory changes, identify potential risks, and develop strategies to mitigate the risks.
Implement Third-Party Validation
Third-party validation is an essential component of remote compliance strategies. Third-party experts can provide an unbiased evaluation of your compliance practices, assess the effectiveness of your remote compliance strategies, and provide recommendations for improvement.
Consider partnering with third-party validation providers that specialize in compliance or have experience with your industry. This can help ensure the effectiveness of the validation process, particularly in industries like healthcare or finance, where regulations are more strict.
Conduct Regular Employee Training
Regular employee training is a fundamental component of ensuring compliance practices, particularly in a remote work environment. Remote workers need to stay up-to-date with compliance requirements and should receive regular training on new regulations, updated policies, and best practices.
Ensure that all remote workers complete compliance training before they start working remotely and that they receive regular refresher training to stay up-to-date. Establishing a culture of continuous learning and providing access to online compliance training (e.g., online courses, webinars, workshops, etc.) can enhance employee compliance practices.
Monitor and Control Employee Behaviour
Remote workers can pose a significant compliance risk by engaging in unethical or illegal behaviour. Monitoring and controlling employee behaviour can minimize the risk of compliance issues.
Use employee monitoring software that tracks the actions of remote workers and monitors their productivity levels. Ensure that employees are aware of the monitoring software and that their privacy rights are protected.
Establishing clear sanctions for non-compliance is also important. Employees who violate compliance policies should face sanctions, such as loss of access to company systems and data, suspension, or termination.
Regularly Review and Update the Compliance Business Continuity Plan
The Compliance Business Continuity Plan is a document that outlines procedures and strategies for ensuring business operations in the event of unexpected disruptions, such as cyber-attacks or natural disasters.
Ensure that the Compliance Business Continuity Plan is reviewed and updated regularly based on changes in industry regulations and the organizational structure of the company. Remote workers should also be regularly informed of any changes made to the plan.
Monitor and Respond to Security Incidents
Remote work can increase the risk of security incidents, including data breaches, malware infections, and phishing attacks. Organizations must have a comprehensive incident response plan in place to detect and respond to security incidents.
Make sure that remote workers understand the incident response plan and that they know how to report security incidents. Use security monitoring tools to detect and respond to security incidents in real-time, and implement procedures for incident investigation and recovery.
Additionally, organizations should regularly review and update the incident response plan to ensure that it remains up-to-date with industry standards and best practices.
Protect Confidential Information and Intellectual Property
Remote workers may have access to confidential information and intellectual property, which increases the need for secure data protection measures. Establish policies and procedures for safeguarding confidential information and intellectual property.
Create digital rights management policies that prevent unauthorized access to data and restrict the distribution, copying, or modification of sensitive information. Regularly review access permissions and adjust them as necessary to ensure that only authorized personnel have access to confidential data and information.
Consider implementing data loss prevention (DLP) solutions that prevent sensitive information from being transmitted outside the company’s network. Regularly monitor data access, transmission, and use to detect potential data breaches or data misuse.
Ensure Compliance with Privacy Regulations
Organizations must ensure that their remote workers comply with privacy regulations, such as the General Data Protection Regulation (GDPR) and the Health Insurance Portability and Accountability Act (HIPAA).
Implement policies and procedures that ensure compliance with privacy regulations, such as data encryption, access restrictions, and anonymization. Regularly review and update privacy policies and procedures to ensure compliance with the latest industry regulations.
Provide regular privacy training to remote workers to enhance their understanding of privacy regulations and their role in maintaining data privacy. Additionally, organizations must appoint a data privacy officer who is responsible for ensuring compliance with privacy regulations.
Protect Against Insider Threats
Insider threats pose one of the most significant risks to security and compliance in remote work environments. Organizations must take steps to protect against insider threats by monitoring and controlling access to sensitive data and resources.
Implement identity and access management (IAM) policies that limit access to sensitive data and IT resources based on the principle of least privilege. Monitor and analyze access logs to identify suspicious activity or potential insider threats.
Develop policies and procedures that prohibit insider threats, such as data theft, unauthorized access, or sabotage. Regularly review and update these policies and procedures to comply with industry standards and best practices.
Regularly Conduct Audits and Assessments
Regular audits and assessments can help organizations identify gaps in their compliance practices and implement corrective measures. Audits and assessments can be conducted internally or by a third-party auditor.
Use auditing and assessment tools to review compliance practices, policies, and procedures. Conduct gap analyses and identify areas that require improvement. Develop corrective measures and strategies to address these gaps and ensure compliance with industry standards.
Additionally, organizations should conduct regular penetration testing and vulnerability assessments to identify potential security risks and implement corrective measures.
Remote work has become an indispensable part of business operations, but it creates unique compliance challenges. By implementing the compliance checklist we provided, your business can ensure that remote workers are meeting industry standards and that your compliance practices are up-to-date.
Employers must take a proactive approach when developing remote compliance strategies, particularly in regulated industries. This includes conducting risk assessments, developing cybersecurity plans, and implementing secure document management.
That said, regular employee training, third-party validation, and regular review and update of the Compliance Business Continuity Plan are crucial components of effective remote compliance strategies. By following these steps, businesses can maintain compliance standards while continuing to enjoy the benefits of remote work arrangements.