Compliance Management in ERPNext


One of the features missing in the HR Module is compliance management. There ought to be a way of capturing violations of company policy and applying the appropriate penalty to the offending employee

Any ideas on the best way to implement this with custom scripts/doctypes?


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Would also like to know about this.


Still hoping for some feedback here. Hopefully someone can give some pointers on how best to go about this


@Tropicalrambler Alain has a design for this that he’s working through right now. Here’s the framework in the github issue. I would encourage you to engage with him to understand and/or contribute to the design.

Hi @tmatteson

Many thanks for the pointer. Will check it out


Hi @Tropicalrambler ,

Thanks for the work you’re doing on the Legal module. I just went through the proposed design on Github and it’s great though it seems more focused on compliance management for the organization as a whole. I’m wondering if this is something that can be used to manage individual employees

What I had in mind was something like a ‘Non-Compliance’ form that would capture the following data:

  1. Employee Information (ID, Name, Department, Reports To)
  2. Non-Compliance Type (Attendance, Conduct, Appearance etc)
  3. Details (Description of policy violation)
  4. Date
  5. Action (Warning, Penalty)
  6. Penalty Points (If Penalty is selected in ‘Action’ field above)
  7. Remarks

There should be a ‘Non-Compliance Type’ DocType where the different types of violations can be listed and the accompanying penalty points

There should also be a field probably in ‘HR Settings’ where the percentage value of a penalty point is set. This refers to a percentage of the Gross Pay


There should be a ‘Non-Compliance Penalty’ deduction in Salary Slips similar to Loan Repayment. Whenever Salary Slips are generated, the system should automatically set the value of the Non-Compliance Penalty by multiplying the total Penalty Percentage for the payment period by the Gross Pay for the employee


Once the Non-Compliance/Penalty system is in place, it becomes easier to link with other DocTypes in the system. For example, an ‘Absent’ attendance record could be set to automatically generate a Non-Compliance record. Same logic could be applied to Tasks or To-Dos assigned to employees which have exceeded due date etc

I believe this is basically how it works in most organizations. Looking forward to comments and/or suggestions

Kind regards,

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Regarding your question for individual employees, YES. We will add this as well, to support both company-wide, employee-wide, and asset-wide (Trucks, motorcycles, boats, ships, aircraft, etc. any vehicle!)

Will incorporate your functionality as well.


That’s awesome! Will be happy to support the effort

Many thanks

@wale Can you join the Ag working group call on Friday? We’re going to be taking this up in our discussion. Send Alain or myself your Telegram handle and we’ll add you to the group

Hi Guys… May I know if this was been pushed?

Also wondering if this is still being worked on. I work in a very heavily regulated industry so I’m mapping out a solution of my own as a custom module, but it would be great if this was built into ERPNext!

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