5 Steps to Ensure Compliance with Policies and Procedures

Creating effective policies and procedures isn’t just about following regulations. It also requires teamwork, the right tools to share information, and ways to check if employees understand them. Using automated systems can make these tasks easier, saving time and effort.

Here are 5 steps to ensure compliance and what to consider when choosing the right software:

• Meet with department leaders to make sure policies and procedures work well for every team.
• Choose the right format for your policies so they’re easy for your audience to understand.
• Make policies and procedures easy to access for all employees.
• Set deadlines for employees to acknowledge they’ve reviewed each policy or procedure.
• Measure employees’ understanding of the policies and procedures to ensure they know what to do.

By following these steps, your company can create a safer and more efficient workplace.

​1. Involve Leadership for Better Compliance

To make sure policies are followed, start by involving leaders from every department. Policies are often created by someone who may not fully understand what each team does. Even a short 30-minute meeting with department leaders can help. This ensures that:

• There are no misunderstandings.
• The right terminology is used.
• Employees see the value and importance of their work.

By including leadership in the process, policies will be more effective and better suited to the organization’s needs.

2. Pick the Best Format for Your Team

​Every department is unique, with different routines, experiences, and personalities. To help employees follow policies and procedures, share them in a way that works best for each team. Meeting with department leaders can help you understand how to deliver policies effectively.

For example, if employees don’t have computers but do have company smartphones, video presentations might be the best way to share policies. Choosing the right format makes it easier for employees to understand and follow the rules.

3. Make Policies Easy to Find

Organize your policies in a way that’s simple and logical. Employees from any department should be able to find the policies they need in just three clicks. This helps prevent frustration and encourages them to stay compliant.

Here’s how to organize your folders:

• By department.
• By policy type (e.g., “Fire Drill Procedure” under Management).

Share the links to these folders with managers so they can guide their teams to the right resources.

4. Set a Deadline for Policy Acknowledgment

Setting deadlines for employees to acknowledge policies isn’t just about marking dates on a calendar. It’s about ensuring understanding and compliance. Here’s how to do it:

• Hold weekly manager meetings after the policies are created and shared. These meetings help managers create plans to ensure their teams understand and follow the rules.
• Send email reminders to managers about deadlines and policies.
• Include contact information (like a phone number or email) in reminders so employees know who to reach out to with questions.
• Use policy management software to streamline the process. Tools like SP Policy Manager, built into SharePoint, can help manage policies efficiently while keeping everything secure and accessible through your company’s systems.

5. Measuring Understanding Effectively

Each policy or procedure should be handled individually. For basic policies, simple “I agree” responses might be enough, but for more important ones, you need to go further to make sure employees truly understand them.

To improve compliance, try:

• Practice runs to let employees apply what they’ve learned.
• Quizzes to test their understanding and reinforce key points.

These steps help ensure everyone knows how to follow the rules.

Five Steps to Automate Policy Management

1. Work with Division Leaders
Meet with team leaders to make sure policies and procedures can be implemented effectively.

2. Choose a Program for Custom Certifications
Use a tool that lets you create quizzes and certifications tailored to your policies. This helps employees remember key details.

3. Select the Best Format for Your Team
Look for software that supports multiple formats like Word, PowerPoint, mp3, or mp4. This ensures policies are presented in a way that suits your audience.

4. Make Policies Easy to Access
Pick a program that allows flexible folder organization and has permission controls. This reduces clutter and ensures users can quickly find what they need.

5. Set Deadlines and Notifications
Use a program that sends reminders to the right people about tasks, overdue items, or policy renewals. This keeps everyone on track.

Find the best way to check how well employees understand your policies and procedures. You can automate this process to make it more efficient. Tools with features like automated alerts, central discussion boards, and workflows can save time when creating, sharing, and auditing policies.