Managing policies and procedures and ensuring employees follow them can be challenging—especially at scale—even for organizations committed to compliance management and aware of the critical role policies and procedures play.
You may be experiencing these challenges at your organization.
- We’ve experienced a serious mishap/lawsuit/fine/citation/failed audit.
- Employees don’t know that policies and procedures exist.
- People aren’t using policies and procedures (or we’re not sure).
- Content is out-of-date or employees have the wrong version.
- Preparing for audits is extremely costly and stressful.
- Policy and procedure reviews are too time consuming.
- Our auditors have difficulty accessing information.
- Management lacks visibility.
If this is all too familiar, there are a few ways to improve your compliance management with policies and procedures.
The Impact of Policies and Procedures in Compliance Management
Policy and procedure issues impact the entire organization.
Employees
When employees don’t follow policies and procedures, it can lead to inconsistent practices, increased risks, critical errors, and significant legal or financial consequences.
Outdated policies that don’t align with current laws, regulations, or internal processes create confusion, increase non-compliance risks, and expose the organization to serious legal, financial, and reputational harm. For example, employees using the wrong version of a policy can have severe repercussions.
If policies aren’t trusted to be accurate, employees won’t rely on them—wasting the time and resources invested in their development.
Auditors and Regulators
Auditors rely on policies and procedures as proof of compliance. If they can’t easily find or understand the necessary information, or if documentation doesn’t align with actual practices, it can decrease confidence in your organization’s compliance. This can lead to more expensive audits, fines, shutdowns, or even litigation.
Reviewers and Approvers
A manual process often leads to bottlenecks in review and approval cycles. A cumbersome process can frustrate reviewers and approvers, many of whom are highly paid managers—making delays both inefficient and costly.
Management
Management must see the big picture and play a key role in shaping the organization’s principles and direction. Clear insights into operations and controls enable them to develop policies and procedures that effectively mitigate risk and ensure compliance.
Proven Best Practices for Compliance Management
To address challenges and enhance compliance, consider these best practices:
Prioritize Policies and Procedures
Compliance starts with leadership and may require a shift in mindset. Often, organizations overlook policy communication until issues arise. Management must take a proactive role, recognizing the link between effective communication and organizational value.
- Clearly convey that using policies and procedures is part of every employee’s role.
- Introduce this expectation during onboarding to set the tone early.
- Leadership should consistently communicate the organizational and personal benefits of adhering to policies and procedures.
Dedicate Resources
In many organizations, managing policies and procedures is treated as a secondary task, passed between departments with no formal ownership. This siloed approach leads to inefficiencies.
- Assign dedicated roles or teams to manage policy and procedure functions, particularly in larger enterprises.
- Part-time efforts are insufficient—specialized focus is essential to ensure success.
Focus on the Content
Non-compliance often stems from issues with policy content. Leaders should identify barriers and address the root causes, such as:
- Employees see compliance as unnecessary or relying on memory.
- Content being irrelevant, inaccessible, or inconsistent.
- Confusing terminology, poor formatting, or conflicting sources (e.g., memos, training, directives).
To improve usability:
- Write clear, concise, and well-organized content tailored to all stakeholders—employees, reviewers, auditors, and management.
- Ensure content is easy to locate and understand, reducing frustration and improving adoption.
- Streamline audits with well-structured documentation, saving time and reducing costs.
Conduct Periodic Reviews
Regularly review and update policies and procedures to align with actual practices, laws, and industry standards.
- Perform annual reviews at a minimum and automate review processes where possible.
- Implement tools to flag documents requiring updates when changes occur.
Monitor Usage and Gather Feedback
Tracking policy usage and collecting feedback are crucial for ongoing improvement.
- Use attestation, testing tools, and analytics to measure engagement and identify gaps.
- Provide employees with tools to suggest improvements, ensuring content evolves with their needs.
- Involve end users in the process to create more practical and effective policies.
By implementing these practices, organizations can mitigate compliance risks, streamline processes, and foster a culture of accountability and efficiency.
Improve Compliance Management with Zavanta
Improving compliance management with Zavanta simplifies the complexities of adhering to regulations by providing a centralized platform for managing policies, procedures, and work instructions. Zavanta ensures that your content is always up-to-date, accessible, and compliant with industry standards, minimizing risks of errors and gaps in communication. The platform’s automation features streamline tasks such as document updates, approvals, and distribution, ensuring that everyone stays informed of critical changes in real time. By reducing manual effort and eliminating inconsistencies, Zavanta empowers organizations to maintain compliance with ease and confidence.
Reach out to our team to learn more.
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