How to Manage Policies and Procedures
Effective policy and procedure management ensures that your organization's rules are documented, communicated, followed, and evidenced. This guide walks through establishing a policy management process that goes beyond document storage to active governance.
Step 1: Establish a Policy Framework
Define your policy framework: policy categories (e.g., HR, IT, Compliance, Finance), policy hierarchy (enterprise policies, departmental procedures, work instructions), naming conventions, and ownership rules. A clear framework ensures policies are organized, discoverable, and consistently managed.
Step 2: Inventory Existing Policies
Before creating new policies, inventory what you already have. Collect all existing policies, procedures, and work instructions. For each, document: title, category, owner, version, last review date, approval status, and distribution list. This inventory reveals gaps, duplicates, and overdue reviews.
Step 3: Establish the Policy Lifecycle
Define your policy lifecycle: Draft → Review → Approve → Publish → Attest → Monitor → Review → Retire. For each stage, define: who is responsible, what the entry/exit criteria are, and what evidence is generated. MPG automates this lifecycle with workflows and tracking.
Step 4: Create a Review Schedule
Policies should be reviewed regularly — typically annually, though high-risk policies may need more frequent review. Create a review calendar that sends reminders to policy owners when reviews are due. Track which policies are current, overdue for review, and archived. MPG automates review scheduling and reminders.
Step 5: Implement Distribution and Attestation
A policy is only effective if it is communicated. Implement a distribution process that delivers policies to the right audiences, and an attestation process that collects acknowledgments. Track who has attested and follow up with non-respondents. MPG automates attestation campaigns with tracking and escalation.
Step 6: Monitor Policy Effectiveness
Policies should be monitored for effectiveness — are they being followed? Are they achieving their objectives? Monitor through: compliance checks, control testing, incident analysis (are incidents related to policy violations?), and feedback from policy owners and users.
Step 7: Manage Policy Exceptions
Not every situation fits every policy. Establish a process for requesting, approving, and tracking policy exceptions. Each exception should have: rationale, approval, time limit, and review date. MPG tracks exceptions with full audit trails and sends reminders when exceptions expire.
Key Takeaways
- Policy management is a lifecycle, not a document repository
- Start with a clear framework and inventory of existing policies
- Distribution and attestation are essential for policy effectiveness
- Regular reviews ensure policies stay current with regulations and operations
- Track exceptions with time limits and review dates
Frequently Asked Questions
How do we ensure employees actually read policies?
Use attestation campaigns that require formal acknowledgment. MPG sends policies to relevant employees, tracks who has acknowledged, and escalates to non-respondents. This provides evidence that policies were communicated — essential for regulatory compliance.
What's the difference between a policy and a procedure?
A policy states what must be done and why (the rule). A procedure states how to do it (the steps). Policies are principle-level; procedures are operational. MPG manages both in an integrated workspace.