Compliance Check Process

Compliance Checklist

Compliance master list is stored here.

Compliance execution

Compliance check will be done in the monthly basis:

• Each month compliance team will pick 30% projects to execute compliance checklist.
• The master compliance checklist will be cloned to another file and name as df-compliance--. The file will be stored at same root folder with the master checklist. Example: df-compliance-project-201905.
• Each file will contain the sheets for each project that being checked.
• Compliance PIC will create a todo on Basecamp and assign to the PICs of those projects.

Result verification and action

• After the compliance checklist is completed by the PIC of the project, compliance individual will do the clarification round by either:
  • Sit with the PIC to ask questions about the result of the checklist.
  • Assign the checklist for another team member of that project and compare the result.
• PIC of the project will be responsible for the actions to fix the problems discovered during the compliance check session.
• Compliance report will be produced by compliance PIC and will be presented to the whole team during engineering meeting.

Fame or Shame

• Projects that have a good measurement in the compliance session will have “Fame” (TBD)
• Projects that have a bad measurement in the compliance session will have “Shame” (TBD)
  • If you have completed the compliance checklist but failed or cannot explain some categories, it is REQUIRED that you need a proper training on that topic.
• Compliance checklist will be mandatory for the newcomers in order to pass their probation period.

I think the bottom line is what we aim to “audit” - our first attemption to audit (sometimes last year) was mostly technical, and we didn’t run it seriously thus it ended in void (.eg none cares to fix raised issues).

Now that I think about it, and after seeing what happened in setel, the most important thing to run these kind of program is to be transparent AND clearly point out action points & consequences.Transparent here means everyone knows about it .eg what/why/how as well as implicitly aware the consequences of not progressing as planned (bad ranking? khai trừ khỏi đ?ang?)almost all similar audits in Setel happened like this:

1. announcement (why/what/how/expected outcome)
2. progress tracking at team level (which team has done, in progress or no progress)
3. weekly progress announcement & call to action
4. why a team has not started? ask TL for reason & ask him to come up with a plan/tasks
5. all done, announcement of completeness & outcome, phát phiếu bé ngoan

We can leverage 2-3 to put an invisble heavy stone on someone’s back for having to plan it himself to do it properly.

Also it should be noted that all above 5 points above happened publicy - which helps to enforce individuals to aware & participate - seeing others progressing while I don’t even know how to do it is a real stress, forcing me to proactively ask/lookup for more info. That’s where work begins, with consistency it can educate members to fit in our workflow.