Getting compliance policies right

In highly regulated sectors like finance, healthcare or energy, practical, well-written policies are the backbone of compliance. Strong policies tell everyone what to do and why – ensuring the business follows the law and industry rules. A robust compliance program fosters trust and transparency and cultivates a culture of integrity in your organisation. Conversely, weak or outdated policies can lead to penalties, lost reputation or even customer harm. A good compliance programme can therefore help avoid legal missteps and penalties whilst boosting morale and efficiency.

For busy compliance officers and in-house counsel, the bottom line is this: solid policies mean fewer headaches down the line. They guide staff, protect your customers, and keep regulators happy.

What Makes a Policy Comprehensive?

A comprehensive policy isn’t just a page of boilerplate text found on the internet. It explains its purpose, scope and procedures in plain language, aligned with legal requirements. Most effective policies include these core parts:

• Purpose statement: Why the policy exists (e.g. safety, data protection).
• Scope: Who and what it covers (e.g. all staff, certain departments).
• Policy statement: The high‑level rule or principle (the “what”).
• Responsibilities: Who does what – roles and duties for compliance (the “who”).
• Procedures: Step-by-step instructions for implementation (the “how”).
• Definitions/Glossary: Clear meanings for any technical terms.

Each section should be written in clear, easy-to-understand language. Jargon or legalese only creates confusion – if staff can’t quickly grasp the rules, they’re less likely to follow them. Importantly, every policy must align with actual laws and regulations. If you’re in healthcare, this might mean embedding HIPAA or TGA requirements; in finance, it means APRA/ASIC rules or AML laws; in energy, it could be environmental or safety standards. Embedding legal requirements as policy rules keeps your team in line with regulators.

A policy must also be actionable in day-to-day operations. It should answer the question “What do I actually do?” If a policy says “Handle data securely,” the procedures should show exactly how: e.g. “Encrypt emails with patient info,” or “Lock filing cabinets after hours.” Realistic examples or checklists can help. The goal is to prevent confusion.

Keeping Policies Up to Date

A policy isn’t a “set-and-forget” document. Regulations and best practices change constantly, so policies must be living documents. Unforeseen issues that can be avoided by addressing it in the policy may also arise. Regular reviews are essential. If you rely on old policies, you risk non-compliance – and surprises. Outdated policies can leave your organization at risk because they may fail to comply with new laws and regulations, or they simply don’t reflect business processes as they change over time. Keeping policies current not only avoids penalties, but also helps your team follow a consistent approach.

Communicating Policy Changes

Updating policies is one thing – telling people about those changes is just as important. Updates must reach the relevant staff quickly and clearly. Don’t bury new rules in a forgotten handbook – announce them through every appropriate channel (email, intranet, team meetings, etc.) so they’re visible.

Timeliness is key. A delayed or obscure notice can mean employees unknowingly follow an old rule. Instead, aim to inform teams as soon as a change is finalised, and emphasise what has changed. Explain the rationale behind updates – people are much more receptive if they understand the reason. The goal is to make policy changes part of the normal workflow – when everyone knows the new rules and the reasons behind them, compliance naturally improves.

Each policy should also have corresponding training which is mandatory, and regularly undertaken by any staff that are required to comply with it.

Tips for Easy-to-Follow, Compliant Policies

Finally, some extra pointers to make your policies both legally sound and user-friendly:

• Plain language: Write policies in straightforward English. Avoid legalese or acronyms.
• Align with obligations: Explicitly link each policy to the rules it enforces. If a law requires X, your policy should say “we do X as follows…” This not only ensures compliance but helps staff see the concrete link to the law.
• Use real examples or scenarios: For complex rules, include a brief example (“For instance, if client data needs to be shared, you must get written consent…”) or an FAQ section. Seeing how a policy works in a practical case helps understanding.
• Link to procedures: If a policy has a separate detailed procedure or form, link them together. For instance, an expense policy could link directly to the digital approval form. This way, employees don’t have to guess the steps – the instructions are just a click away.
• Consistent naming and organization: Give each policy a clear, descriptive title and version date. Consistency makes it easy to search and ensures no policy is overlooked.
• Visual aids: Where possible, use charts, tables or flow diagrams. A decision tree for escalation or a timeline for incident response can make a dense policy much clearer. Even a simple bullet-point checklist at the start (“At a glance: Who, What, When, Where”) can help busy staff grasp the essentials.
• Training and reminders: Embed policies in onboarding and refresher courses. Use short quizzes or alerts to keep people engaged. Regular reminders (e.g. a short drill-down on a policy topic in a team meeting) help reinforce the rules.
• Solicit feedback: Policies work best when they match reality. Involve end-users early (ask department heads to review drafts) so procedures make sense on the ground. A policy that’s too cumbersome will be ignored, so use feedback to balance compliance with usability.

By following these tips, you’ll create policies that check the compliance boxes and actually get followed. The result is an easier life for compliance teams and a more confident, aware workforce.

Need Help?

Managing policies in regulated industries is complex, but you don’t have to do it alone. At Attune Legal, we have extensive experience helping businesses draft and review policies that meet legal requirements and work in practice. If you need support – whether writing new policies, conducting an audit of your existing handbook, or training your staff – please get in touch. Drop us a line at hello@attune.legal or book in with us for friendly advice or a no-obligation quote. We’ll be happy to help you get your policies in tune!