What Scuba Diving Can Teach You About Policy Management: Three Key Lessons

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What do policy management and scuba diving have in common? The need to mitigate risk, use the right equipment and prioritize training.

You might not imagine that scuba diving and policy management could have much in common.  But in fact, they’re more alike than you might think. Here are three lessons from scuba diving that I hope will help you take a “deeper dive” into your policy management program’s effectiveness.

Plan Your Dive, Dive Your Plan

There’s a saying among scuba divers: “Plan your dive, dive your plan.”  In other words,  to minimize risk when you dive, make sure you take the time to develop a safe plan—and then stick with it.  When divers stray from their plan they can put themselves in situations they are not prepared for. 

Successful policy management, like scuba diving, necessitates the development of appropriate plans to mitigate risk. A thoughtful plan for policy management is critical—and when an organization strays from their plan, they can be exposed to potential safety issues or regulatory violations

To build a strong plan, companies need to take the time to conduct a complete risk assessment. Then ethics and compliance officers, along with senior executives and representatives from business units across the firm need to develop and implement policies that fit their unique risk profile.  From there, if employees are not aware of these policies, or they are not enforced or followed, that organization is going to put itself in situations it is not prepared for. 

Do you have a plan?

  • When was the last time your company conducted a risk assessment?
  • Do you know who creates your policies, as well as the standards and methods used to implement and enforce them?
  • Are your employees aware of all policies and procedures appropriate for their role?
  • Are your policies consistently enforced?

Get the Right Equipment—and Take Care of It

Regardless of your experience, if you do not have the proper equipment when you dive—or you have the right equipment, but it’s not well-maintained—there is potential for finding yourself in a troubling situation. Imagine jumping off a boat, and starting your decent. You’ve just spotted hundreds of beautiful tropical fish on a coral reef when, all of a sudden, air starts to leak from your equipment. Your perfect dive was brought to a grinding—and dangerous—halt because you hadn’t checked and maintained your equipment. 

The purpose of scuba diving equipment is to keep the diver safe and help them navigate the unexpected.  Likewise, the purpose of an automated policy management system that’s well-maintained (one that has up- to-date policies, stays current with best-practice workflows, distribution and attestation strategies)  will help protect your organization, and make it better-equipped to manage regulations and the unknown. 

Is your policy management “equipment” well-maintained?

  • Does your company have a centralized repository for all policies, procedures and other key documents?
  • Are your policies and other key documents reviewed periodically?
  • Does your legal team review high risk policies to ensure compliance with current laws and regulations?
  • Can your employees find the most current version of any assigned policy in less than three minutes?

Prioritize Training

Diver's Alert Network (DAN) created a report in 2010 found that one of the leading contributing factors in diver fatalities were inadequate training for the dives being attempted. Divers that treat their scuba training as a "one and done" course are making a big mistake—and putting themselves at risk.

The importance of initial training and continuing education is just as important with policy management. Companies need to train and communicate appropriate policies to employees when they join the company and on an ongoing basis.  Companies that consider giving employees a binder of policies or emailing them a policy as training are making a big mistake. Training on policies should, at minimum, involve being able to track whether employee has read and understood the policy—through attestations, quizzes or other methods.

Have your employees read—and do they understand—your policies?

  • Is your training for policy management sufficient?
  • Do you maintain meticulous records to track that your employees have read and understood the policies that are applicable to their role?
  • Do you have a process in place to ensure all new employees are trained on applicable polices?
  • Do your employees attest to policies and documents on a set, regular schedule?

Staying Prepared & Protected

If your company is as prepared as a scuba diver, then there is a good chance your policy management program is set up to reduce risk and protect the safety or your company’s people, reputation and  bottom line. 

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