How to Improve Document Compliance: 7 Practical Steps to Cut Audit Frustration

Compliance headaches never seem to end, right?

If you’re always chasing missing documents or worrying about an upcoming audit, you’re not alone.

What happens a lot is inconsistent processes make it hard for your team to stay on top of compliance demands and recordkeeping.

PwC found that 60% of organizations cite poor document management as a major reason compliance risks and inefficiency spiral. That means wasted time, more pressure, and way too much stress when leadership comes knocking.

But you can actually streamline document compliance pretty easily with the right steps in place.

In this article, I’m going to show you exactly how to improve document compliance at your company, with seven steps you can start with today—so your next audit doesn’t feel like crisis mode.

You’ll get practical ways to boost audit-readiness, save time, and protect your company’s reputation.

Let’s get started.

1. Define Clear Document Policies

Are document rules in your company clear enough?

If your team isn’t sure which document standards to follow, real compliance can start falling apart fast.

What usually happens is people use their own judgment, which means policies end up being ignored or misinterpreted and you’re left scrambling during an audit.

According to AIIM, only 28% of companies have clearly defined and consistently enforced document policies. That leaves the remaining majority exposed to uncertainty and inconsistent compliance, making audits that much more stressful.

If staying compliant feels unpredictable, this is probably the root of it.

Clear document policies are your first safety net.

That’s because when you spell things out, everyone knows exactly what to do — from how documents should be named to what needs reviewing before storage. This is one of the simplest ways to start if you want to improve document compliance.

I always advise leaders to write out and share document rules with their team. Having clear written guidelines will help everyone stay on the same page, even as requirements change.

For example, set standards for file naming, retention periods and access permissions right inside your document management software. Give specifics about which documents are confidential, who approves drafts, and how revisions are tracked. Being clear means you reduce missteps and make those audits way less stressful.

This foundational step saves you time later.

Having policies in black and white empowers your staff, keeps your company out of trouble, and sets a strong base for every other compliance action you’ll need.

Ready to simplify your compliance efforts? Start a FREE trial of FileCenter and see how clear rules can be enforced effortlessly with our software.

2. Centralize Your Document Storage

Messy folders make audits far harder than they should be.

If your files are scattered across email, desktops, or random drives, your team will waste precious time tracking down documents.

What I usually see is that this creates stress any time an audit hits because no one is fully confident they’re pulling the latest file or even the right one.

According to Nucleus Research, 68% of organizations report reduced time spent searching for documents after centralizing storage with a DMS. That saved time lets you focus on the audit itself rather than hunting for paperwork.

So unless you centralize your storage, you risk continued frustration and unnecessary exposure. But there’s actually an easier fix here.

Centralizing your document storage changes everything.

By moving all of your docs into a single source of truth, you give everyone easy access and instant search. This directly tackles wasted time and data chaos, which are real risks for compliance.

If you set storage rules and put everything in one well-organized place, you quickly reduce errors from files that go missing or aren’t up to date.

Let me give you a practical example—using DMS software with smart search means you pull a record in seconds rather than hunting through inboxes or asking around. This is essential for anyone figuring out how to improve document compliance before an audit even starts.

You’ll notice the relief almost immediately.

Centralizing storage just makes compliance less stressful and makes audit prep feel achievable, especially when leadership is watching for real process change.

3. Implement Strong Version Control

Version headaches slow everyone down, right?

Without strong version control, your team risks using outdated files, missing updates, and causing confusion during audits.

I’ve seen so many situations where people waste time digging through old attachments for the latest version instead of focusing on the actual compliance work. Not only does this create unnecessary friction, but it also opens the door for costly mistakes and compliance gaps you might not notice until it’s too late.

According to IDC, lack of version control causes 83% of knowledge workers to spend time every day looking for or recreating documents. That’s time you could use to improve processes, not chase paperwork.

All of this increases stress for you during audits and makes it harder to keep your company safe from compliance headaches. So what can you do?

Here’s one way to bring order to the chaos.

By rolling out strong version control, you make sure everyone works with the right file, every time. This step is absolutely essential if you’re serious about reducing audit pain and tightening up compliance.

Your document management tool should track changes automatically so no one is ever confused or left out of the loop. With proper setup, every document edit gets logged, and you can always roll back to the right version when needed.

Examples I’ve seen include automatic version labeling, audit trails showing who made which change and when, and workflows that prevent old drafts from sneaking into final reports. If you want to start improving document compliance for your team, getting reliable version control in place is a step that pays off quickly.

It’s just one of those fixes that immediately makes life easier.

Besides making audits run smoother, it also cuts down on errors, keeps everyone accountable, and shows clients and regulators you take their standards seriously.

4. Automate Document Workflows

Manual workflows can slow audits to a crawl.

If you rely on manual document routing, you’re probably spending hours chasing approvals and status updates.

What I’ve noticed is that manual document processes drain your team’s energy, plus they make it tough to prove compliance when auditors come knocking. You end up duplicating efforts and wasting time tracking down who signed off on what.

According to Aberdeen Group, organizations that automate document workflows see a 35% average reduction in document processing costs. That means fewer headaches just making sure every document is handled right and nothing slips through the cracks.

If you’re feeling that pain, it might be time to rethink your approach and move toward automation.

Automation can take the frustration out of compliance.

Switching to automated document workflows cuts down on bottlenecks and keeps everything organized. It makes it much easier to improve compliance, especially when regulatory rules are always changing.

No one loves chasing signatures or approvals manually, and automating those steps saves both time and sanity for your team.

These automated workflows handle things like approvals, routing forms to the right people, and tracking document status, which is exactly what you need if you’re serious about getting document compliance right. For example, you could set up your document management software so any policy draft gets instantly routed to legal for review, then pushed to HR for final sign-off, all without manual intervention.

It’s genuinely a game-changer for efficiency.

That’s why automation fits perfectly if you want to spend less time on admin and more time proactively managing compliance.

5. Secure Document Access Controls

Weak access controls can create serious security gaps.

If your documents aren’t locked down, you could be exposing sensitive client records or non-public company reports to the wrong people.

The real risk is that everyone with generic access sees more than they should and you might not even realize it until something goes wrong.

Recent research from Verizon found that 62% of data breaches in 2023 happened because the right controls on sensitive documents just weren’t there. That’s a big number—and it highlights how easily things can slip through the cracks.

This is why getting access right is one of the biggest struggles for compliance-minded teams who just want audit-ready processes in place.

Here’s the fix you need.

Making document access secure is the best way to prevent unauthorized sharing or mistakes that lead to compliance headaches.

Not every document should be an open book—I usually set role-based permissions so only those who truly need to view or edit get credentials. With this granular control in place you can apply a “need-to-know” rule that stops accidental leaks in their tracks.

Some document management tools even let you track who viewed what, and when. That audit trail shows exactly who’s been in a sensitive file, which is what regulators want to see in your process for improving document compliance.

It’s a practical way to stay protected.

When access is secure by design, you spend less time worrying about careless mistakes and more time focused on getting compliance ticked off your to-do list.

Ready to secure your documents effortlessly? Start a FREE trial of FileCenter today and see how it simplifies access control and compliance for your team.

6. Conduct Regular Compliance Audits

Regular checks can save you from major headaches.

If you’re skipping audits, you might be missing risky compliance gaps that go undetected for months.

These issues can build up fast, especially when small errors are left unresolved over time instead of being caught and fixed early. The longer you wait, the more hidden problems can lead to painful audits, costly mistakes, even regulatory trouble down the road.

Gartner found that 42% of organizations that conduct regular compliance audits report fewer than half as many compliance incidents compared to those who audit less often. This basically means making audits routine can cut your risk dramatically.

If you want to avoid compliance headaches, there’s a simple move you can make.

Regular audits could be your strongest defense.

I’ve seen first-hand that when you run scheduled compliance audits, your team always has a pulse on where your documents stand—and it gets much easier to spot issues before they grow.

By making time for these audits, you actually keep your document processes predictable and under control which is probably what leadership is hoping to see from you.

Auditing can be as simple as picking a monthly cadence, using your document management tool’s built-in reporting, and flagging any odd or missing files for review. This approach shows exactly how to improve document compliance in a practical, ongoing way, so nothing slips through the cracks.

That’s what gets you real peace of mind.

Put simply, regular compliance audits give you control back, cut your risks, and help demonstrate to leadership or auditors that you’re always staying ahead.

7. Train Your Team for Compliance

Staff mistakes can drag down your compliance scores.

It’s tough to keep everyone on the same page if no one truly understands what’s required for document compliance.

What often happens is you roll out new policies, but your team doesn’t know how to follow them—and that ends up causing avoidable errors or even data exposures. People rely on old habits or guesswork, which makes audits stressful when the stakes are high.

Companies with formal document management training see 30% higher user adoption rates and fewer errors according to ARMA International. That basically means mistakes (and the headaches they bring) drop dramatically when you actually show people the ropes.

If team members aren’t sure what compliance means, you’ll keep seeing the same problems—and audits will stay a source of frustration.

Training is your shortcut to better compliance.

With the right training, your staff gets what needs to be done to stay compliant, which is a game changer if you’re trying to cut down on audit stress and errors.

The thing is, compliance training isn’t just slide decks and sign-offs. Interactive workshops and scenario-based practice help people grasp real-life risks and catch mistakes before they get serious.

Letting people shadow audits or giving them hands-on examples often does more than you think—suddenly, compliance isn’t abstract, it’s part of what your team does daily. Learning how to improve document compliance really starts with making sure everyone gets hands-on time, not just a policy to read.

This is why making training a real process matters.

It ensures everyone is on the same page, which boosts your audit readiness and saves you from messy, expensive errors down the line.

Conclusion

Paperwork chaos makes audit season miserable.

For anyone in a small business, chasing lost files and stressing over compliance mistakes zaps your time and energy.

Here’s something powerful—Forrester found that 70% of businesses report improved audit readiness after solid document management strategies. That translates into less risk and less fear when the regulators come calling.

There’s a smarter path here.

The seven practical steps in this article give you ways to turn compliance hassles into real wins—saving time, boosting team confidence, and keeping your company safe when it matters.

When I look at how to improve document compliance, I know these fixes truly work. Just ask anyone who’s seen audit anxiety drop after centralizing files or finally nailing down version control.

Try one step today—maybe set clear policies or train your team—and see how fast things start to change for you.

Lower stress and better audit scores are waiting.

Ready to reduce audit stress? Start a FREE trial of FileCenter and see how quick document compliance improvements can be for your business.