Reviewing and Updating Standard Operating Procedures (SOPs)
Reviewing and Updating SOPs: Legal Compliance Tips by WKA Advocates
Standard Operating Procedures (SOPs) are the backbone of daily operations in any organization. They guide employee behavior, ensure consistency, support regulatory compliance, and protect businesses from legal risks. However, SOPs must evolve with changes in law, operations, and technology.
In Kenya’s fast-changing regulatory environment, outdated SOPs can lead to non-compliance penalties, financial losses, litigation, or reputational harm. At WKA Advocates, we help businesses review and update SOPs to meet Kenyan legal requirements, industry standards, and internal policy frameworks.
Whether you’re running a manufacturing plant, managing a healthcare facility, operating a financial institution, or leading an NGO, this guide highlights how, when, and why you must legally review and update SOPs.
What Are Standard Operating Procedures (SOPs)?
SOPs are formal documents that outline how specific tasks should be completed. They help to:
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Standardize processes
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Minimize errors
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Improve safety and quality
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Ensure compliance with laws and regulations
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Provide legal protection during audits or disputes
They are essential in all departments—HR, finance, procurement, IT, legal, logistics, and customer service.
Why Reviewing SOPs Is a Legal Requirement in Kenya
Many businesses treat SOPs as purely operational tools, but they are legally binding within the organization. Courts, regulators, and auditors can rely on your SOPs during investigations or disputes. Failure to keep SOPs current can result in:
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Breach of statutory obligations
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Regulatory non-compliance
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Legal disputes with employees
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Breaches of data protection laws
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Safety incidents and WIBA claims
WKA Advocates recommends both scheduled and event-triggered SOP reviews to remain compliant and reduce liability.
When Should You Review or Update SOPs?
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Regularly (Annually or Semi-Annually): Especially in high-risk sectors like healthcare, construction, and finance.
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After Legal or Regulatory Changes: E.g., updates to the Employment Act, Data Protection Act, or tax laws.
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Following an Incident or Audit: Accidents, data breaches, or audit findings often expose flaws that need correction.
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After Internal Restructuring: Mergers, role changes, or department shifts may alter how procedures are carried out.
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When Introducing New Technology: New tools, systems, or equipment often require updated operating procedures.
Key Legal Areas That Require SOP Compliance in Kenya
1. Employment and Labour Law
SOPs must reflect:
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The Occupational Safety and Health Act (OSHA), 2007
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The Work Injury Benefits Act (WIBA), 2007
They should cover recruitment, disciplinary procedures, training, grievance handling, and termination processes to ensure lawful HR practices.
2. Data Protection Compliance
Under the Data Protection Act, 2019:
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SOPs must regulate data collection, processing, and retention
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Breach response protocols must be clearly outlined
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Employee and customer data rights must be addressed
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Failure to comply may lead to enforcement by the Office of the Data Protection Commissioner (ODPC)
3. Financial and Tax Compliance
Financial SOPs must align with:
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Kenya Revenue Authority (KRA) standards
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The Public Procurement and Asset Disposal Act
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Anti-Money Laundering (AML) laws
Non-compliance can lead to fines, audits, or legal scrutiny.
4. Occupational Health and Safety
Under OSHA and WIBA:
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Risk assessments
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Use of PPE
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Emergency response
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Incident investigation procedures must be documented and reviewed regularly
How to Review and Update SOPs (Step-by-Step)
Step 1: Identify All Active SOPs
Create an inventory of SOPs by department. Assign owners responsible for each document.
Step 2: Review for Legal Accuracy
Check whether each SOP is aligned with:
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Current laws and regulations
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Industry standards
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Internal policies
Engage a legal expert like WKA Advocates to assist with legal interpretation.
Step 3: Consult Stakeholders
Involve HR, legal, operations, and IT to ensure procedures are both legally sound and practically applicable.
Step 4: Revise the SOP
Include:
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Updated workflows
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New legal references
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Revised responsibilities
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Clear language and consistent format
Step 5: Communicate and Train
Distribute the updated SOPs. Train staff and document participation for audit purposes.
Step 6: Monitor and Audit
Set up internal audits to check compliance. Non-compliance with internal SOPs can lead to similar consequences as breaking a law.
Common SOP Compliance Mistakes
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Using outdated SOP templates
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Ignoring legal updates in SOPs
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Not involving legal professionals
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Poor document structure or vague language
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Failing to train employees on changes
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Lack of a centralized SOP management system
WKA Advocates can help build or overhaul your SOPs to meet legal, operational, and industry standards.
Legal Risks of Not Updating SOPs
🚨 Labour Disputes and Termination Claims
SOPs related to disciplinary actions must comply with the Employment Act to avoid wrongful dismissal claims.
🚨 Regulatory Fines
ODPC, DOSHS, KRA, NEMA, and other agencies can impose penalties for non-compliance.
🚨 Lawsuits and Litigation
In civil or labour courts, a missing or outdated SOP may work against your organization.
🚨 Insurance Claim Denials
Insurers may deny claims if non-compliance with SOPs contributed to an incident.
Industries Where SOPs Are Legally Critical in Kenya
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Healthcare and Pharmaceuticals – KMPDC, PPB, OSHA
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Banking and Finance – CBK regulations, AML standards
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NGOs and Donor Agencies – Compliance with PBO Act and employment laws
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Manufacturing and Engineering – Workplace safety and quality SOPs
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ICT and E-commerce Startups – Data protection and cybersecurity
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Education Institutions – Policy enforcement and child safety SOPs
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Construction and Real Estate – OSHA compliance and risk mitigation
How WKA Advocates Helps You Stay Compliant
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✅ Comprehensive SOP legal audits
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✅ Industry-specific SOP templates
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✅ Policy alignment with Kenyan employment and data laws
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✅ Staff training on compliance procedures
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✅ Legal support during audits and litigation
Reviewing and updating SOPs
Reviewing and updating SOPs is not just good governance—it’s a legal obligation. With Kenya’s evolving regulatory framework, outdated SOPs can expose your business to serious risks. WKA Advocates helps you draft, revise, and maintain legally compliant SOPs that protect your operations.
Be proactive. Safeguard your business with up-to-date, legally vetted SOPs.
Frequently Asked Questions (FAQs)
1. Are SOPs legally required in Kenya?
Not directly for all industries, but several laws—such as the OSHA, Data Protection Act, and Employment Act—require procedures that SOPs help implement.
2. How often should we review SOPs?
Review your SOPs annually or whenever a legal, operational, or technological change occurs.
3. What legal risks come with outdated SOPs?
Regulatory fines, employee lawsuits, rejected insurance claims, and reputational damage.
4. Can SOPs be used in court?
Yes. Courts and tribunals accept SOPs as evidence in disputes involving compliance, discipline, or negligence.
5. Who should update SOPs?
Compliance officers, HR, legal teams, and department heads—with legal guidance from WKA Advocates.
6. Are there industry-specific SOP requirements in Kenya?
Yes. Every regulated sector (e.g., banking, healthcare, education) has unique SOP compliance requirements.
7. Do NGOs and startups need formal SOPs?
Yes. Donor regulations and investor requirements demand accountability and procedural transparency.
8. Can WKA Advocates help create new SOPs from scratch?
Absolutely. We offer tailored drafting services aligned with Kenyan law and your sector.
9. What happens if employees don’t follow SOPs?
You may face legal liability, failed audits, or denied insurance coverage—especially for safety and data-related SOPs.
10. How do I begin a legal SOP review?
Contact WKA Advocates for a compliance consultation. We’ll audit your SOPs and guide you through the legal update process.