Policies, Procedures and Penalties


In today’s work environment companies are required to follow a broad range of legal regulations or show they have the required policies and processes in place to obtain or maintain certifications. In many cases, communicating these requirements to affected employees is accomplished through the distribution of policy manuals, many that are still paper based. Even if they are available through a portal or shared drive, there is still no easy way to ensure employees have seen and read the most current of a policy. When employees do their jobs based on a lack, or out-of-date information, there is an increased risk of non-compliance. The result is a company can face the potential for lawsuits, fines, or other penalties. In addition, workplace safety issues could lead to potential injuries with the associated human and financial impacts.

A survey by GuideSpark found that 43% of millennial employees and 30% of non-millennial employees hadn’t read most of their employee handbooks. More than one-third of employees didn’t even know where their handbooks were anymore.

How does a company ensure their employees not only have the required policies available at all times, but that they have also read the policy, so they understand their fiduciary duties? If the employees do not have an easy way to access the correct policies, how will they know what they are supposed to do?


A crucial element of risk management is the ability to track who has seen and acknowledged that they have reviewed the policy. This requires more than just a sign-off sheet or an email. These approaches are difficult to track and there is no automated method to ensure the employee has read the document. If you cannot measure if an employee has received and read the required policies, you cannot manage the issue. This is especially true when you send out or publish new versions on a shared drive – did the employee indicate they had reviewed version 2, 5, 8? How do you ensure the employee is looking at the right version? If it was just sent via email – did they keep it? If they search for it, do they find the right one? If it is on a shared drive – when did they review the policy, has it been updated and did they find the right version? Tracking this as the number of employees, policies and versions increases over time becomes increasingly complex.

The right solution should let you to easily track every step of this process. Employees are notified of a new policy or change to an existing policy, using the communications tools used in your environment (email, chat, notifications). You know when they opened the document, when they electronically indicate they have reviewed the document and have the insight to know if they have read the document or have just indicated that they have read the document and completed a “phantom” review.

You need the ability to have a full audit of who read what (and if they really did read it), when they did it and what version they were reading to provide the protection your company may require if there is any legal action that might impact your company’s financial and or brand.

How can you easily and efficiently address many of these issues? SavvyDox is a cloud-based or on premise solution that offers:

·       Automated distribution of the latest version of the content being reviewed to ensure no one is reviewing something that is out of date. Recipients are notified using the communications infrastructure you have in place that they have received a new policy. In addition, if they are using our native applications, they will see new documents and the open task to review the document. Using our web-based interface, they are provided with a list of open tasks.

·       Automated highlighting of changed pages from version to version to provide focus for employees so they can read what is new or has changed.

·       Automated reporting of what pages a user has read, status of assigned tasks with due dates and completion dates. This provides a quick overview of what is on track and what requires attention and follow-up. In addition, with SavvyDox’s document intelligence tools, when you publish an updated version an employee who reads the pages that have changed will be reported as having read all the pages if they had completely read the previous version. If preferred, the updated policy can be published as a new document and the employee will have to read the entire document to qualify as having completely read the document.

·       Advanced access control lists to add / remove any users as required to deliver or revoke documents. This can be integrated with your existing directory service so new employees immediately receive everything they need when they join the company and employees who have left lose access to all documents.

·       Support for multiple platforms, ensuring users always have access to the documents they need whether in the office or on the road.

SavvyDox can be used as a standalone solution or complement your current CM solution to improve the efficiency of your policy and procedure process and improve your bottom line.