How to Ensure Managerial Compliance With Policies & Procedures

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A good manager can create an effective work environment that boosts business revenue. However, if that manager does not comply with the policies and procedures of a company, the business may have a hard time meeting fairness, production and service goals. Ensuring managerial compliance requires excellent communication, analysis and organizational skills.

Identify Social Issues Among Employees

Study the subordinates under the manager and identify the social issues present in the worker community. Resistance from subordinates has an impact on a manager's ability to comply with and enforce policies and procedures. Understanding the social foundation of the workforce can help you brainstorm about how the manager can overcome social barriers that might run counter to the policies and procedures. Discuss these barriers with the manager.

Create a Clear Set of Disciplinary Actions

Create a clear set of disciplinary actions, such as suspension or docked pay, for managers who do not follow given policies and procedures. Have a meeting about these regulations and provide each manager with a copy. Managers may be more likely to conform to policies and procedures when they know exactly what punishments to expect.

Create a Cooperative Plan to Find Necessary Resources

Conduct a business analysis with the managers to determine exactly what they need in order to enforce the policies and procedures. Some non-compliance may be due to lack of resources rather than a lack of willingness. Come up with a cooperative plan to allocate and establish funds and plans for obtaining the necessary resources.

Offer Rewards for Meeting Goals

Offer some rewards for the managers, like a company picnic when managers meet policy and procedure compliance goals. Announce successes via the company email list serve or on a bulletin board.

Explain the Purpose of Policies and Procedures

Meet with the managers and explain the company goals. Provide statistics that show similar policies and procedures have improved revenue. This way, the managers can understand what is at stake and how the policies and procedures are positive changes rather than hindrances. Managers may have an easier time enforcing policies and procedures when they understand the purpose those policies and procedures serve.

Conduct Regular Reviews of Managers

Conduct monthly or bi-monthly reviews of each manager. Identify the policies and procedures with which the manager has not complied well and establish clearly defined goals for meeting compliance in the future. Be realistic in how much the manager can accomplish or change in these goals, and remember modifications probably won't take hold overnight.

Create a Reporting System

Instruct HR to develop a system by which the manager's employees may report infractions of the policies and procedures. If the manager logistically cannot monitor every employee consistently, this can help the manager identify employees who need to be disciplined. Develop a similar system for reporting excellent compliance so the manager has a way to reward compliant employees.


About the Author

Wanda Thibodeaux is a freelance writer and editor based in Eagan, Minn. She has been published in both print and Web publications and has written on everything from fly fishing to parenting. She currently works through her business website,, which functions globally and welcomes new clients.

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