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Out-Dated Compliance Processes Could Land You in Court

Out-Dated Compliance Processes Could Land You in Court

Every organisation should know exactly who is responsible for compliance, health and safety and controlling risk across their organisation. They should also be fully aware of the penalties the organisation can be subject to if there is an incident involving a case of non-compliance.

More often than not, it’s the Facilities, Estates, or Health and Safety Manager who is responsible for ensuring that all the relevant checks are done – but under health and safety law, it’s the employer who’d be liable for any incidents that result in injury, illness or worse. The scary thing is that breaches in legislation, or failure to comply to regulations, can result in fines, insurance claims or even court appearances.

Particularly in Care Organisations, the duty towards maintaining proper compliance and health and safety practices goes far beyond just protecting employees. Their main commitment must be to maintain a safe environment for the residents and patients. And to do this, the employer must ensure the whole estate and all of its assets are maintained properly and are fully compliant at all times, because ultimately it’s their responsibility.

To be able to manage their responsibilities effectively, Care Organisations need to have efficient processes in place to track and manage data and operational information. What needs doing, where, when and by whom? These processes, and how well they’re implemented, will have a profound impact on compliance and overall safety within the organisation.

A lot of organisations tend to use a number of unintegrated and manual processes to track and manage data, including the consistent use of offline documents and multiple unlinked systems. But what are the potential pitfalls?


Consider the following questions.

Without a centralised system in place:

  • How do organisations ensure that members of staff are aware of what they are required to do? And how do they manage this information?
  • How, on a site with multiple buildings do they identify where maintenance is needed and where assets are located?
  • How can the employer get visibility of how well the organisation is performing?
  • How is something flagged as overdue or non-compliant?

Online reminders, offline documents. Offline checklists, online schedules. This scattered approach can quickly become overwhelming and extremely hard to manage. Plus, there is always a danger of documents being lost or destroyed. How would an organisation recover from a loss of information? How would you pick back up where you left off? Key questions all organisations should consider.


When the sheer volume of critical compliance data reaches the levels of a care home or hospice, these manual processes simply aren’t sustainable.

Care organisations with large operational teams need to be able to rely on clear and regular communication to ensure that every member of staff is aware of their responsibilities. With multiple unlinked systems (and without a standard internal data management process), there’s a very serious risk that information will be improperly managed and could result in legislation breaches.

One missed check or asset service that results in an incident could cost an organisation thousands of pounds, or worse still, land the owners in court.

Are your processes “Inspection Friendly”?

With such a huge back catalogue of critical operational information, Care Organisations need to store information securely and make it readily available for board members, trustees, and any inspection bodies.

The evolution of data management in the Care Sector has been driven by the increased frequency and intensity of inspections from organisations such as the Care Quality Commission.

At the drop of a hat, Care Organisations must be able to provide evidence of compliance certificates, service receipts, invoices, insurance policies, staff training files and demonstrate that they’re running a safe an efficient environment. Therefore, having a single online location to reference data will make inspection processes far more efficient.

With this in mind, and with evolving processes and ever changing requirements, traditional data storage methods are fast becoming out-dated and there is a real need for more accessible and reliable data management solutions.

What measures can Care Organisation take to improve their processes?

Although the owner of the organisation (the employer) is ultimately responsible for the entire estate, they don’t often deal with the day-to-day management of operations. So what measures can they take ensure that the entire organisation is being managed properly and its assets and estate are compliant?

The key is the way in which the data is tracked and managed.

Care Homes, Hospices, and Nursing Homes all need to be able to demonstrate to inspection bodies that their estate is being properly managed, and this information needs to be easily accessible - therefore they are moving towards online compliance and asset management.

An online compliance and asset management solution, allows data and information to be tracked and managed from one central location. It allows staff in operational roles (maintenance, facilities, estates) to drive efficiency within the organisation by using one location to create and assign jobs, track assets, manage compliance checks, create reminders, store documents, monitor performance – all driven by email alerts.

Subsequently, with the help of visual dashboard reporting, this gives the owners of the organisation peace of mind that the management of the estate is structured and efficient.

So back to the earlier questions. This time, with a centralised system in place:

  • How do organisations ensure that the relevant members of staff are aware of what they are required to do? And how do they manage this information?
    • Staff members receive email alerts relating to jobs they have been assigned, that are due and that become overdue. Data is stored in separate modules displaying the task name, location, responsible user and the job status.
  • How, in a multi-site, multi-building organisation do they identify where maintenance is needed and where assets are located?
    • A location specific asset register helps to identify where assets sit and therefore which part of the estate the maintenance tasks or compliance checks are required.
  • How can the employer get visibility of how well the organisation is performing?
    • Data reports and email alerts give information on completed and overdue tasks, non-compliant assets or lapsed policies. Using visual dashboard reporting, management teams can see an overview of the estate as a whole and how it’s performing.
  • How is something flagged as overdue or non-compliant?
    • With a system driven by email alerts, the responsible user receives automated email messages relating to assigned tasks that are due soon, or become overdue or non-compliant. These instances of non-compliance are also flagged up visually within the system.

Using an online system underpinned by automated email alerts ensures that responsible employees are notified of duties and no tasks or checks are missed.

More significantly, it gives senior management teams full visibility on how well their organisation is performing, and peace of mind that every possible care is being taken to provide a safe environment for residents, staff and visitors.

Recommended: Sypro Compliance & Asset Manager (CAM)

Sypro CAM is an online Compliance & Asset Management system that is being used by Hospices and Care Homes across the UK.

The system is used to track and manage compliance checks, assets, maintenance schedules, HR documents, policies, procedures and more. It can store historical documents such as asset servicing certificates, compliance documents, invoices and photos to keep a history of operational activity and can be used to reference information during inspections.

Using automated email reminders, responsible users are notified of tasks that are assigned, due and overdue. This improves efficiency within the organisation and drives improved performance of staff.

The system includes a fully integrated Helpdesk which allows staff members to email tickets in the system without needing to log in – giving greater flexibility to the organisation.

Storing and managing information from one location removes the need for multiples systems and processes and helps the Senior Management Team to monitor performance of the whole organisation.

Enquire about Sypro CAM today and find out how it can help your organisation improve efficiency and ensure compliance.

Get in touch with us now on 0845 838 5697 to discuss how Sypro could help you.

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