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Policy

Policy is a system of guidelines designed to inform decisions and achieve desired outcomes, often adopted by governance bodies within organizations. It encompasses various types, including public, corporate, and regulatory policies, and can have intended and unintended effects on individuals and organizations. The policy cycle outlines the stages of policy development, from problem identification to evaluation, and emphasizes the importance of assessing potential impacts to avoid unexpected consequences.

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0% found this document useful (0 votes)
29 views36 pages

Policy

Policy is a system of guidelines designed to inform decisions and achieve desired outcomes, often adopted by governance bodies within organizations. It encompasses various types, including public, corporate, and regulatory policies, and can have intended and unintended effects on individuals and organizations. The policy cycle outlines the stages of policy development, from problem identification to evaluation, and emphasizes the importance of assessing potential impacts to avoid unexpected consequences.

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Policy

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From Wikipedia, the free encyclopedia
For other uses, see Policy (disambiguation).
Not to be confused with Police.
For policies regarding Wikipedia, see Wikipedia:List of policies or Wikipedia:Policies
and guidelines.

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Policy is a deliberate system of guidelines to guide decisions and achieve rational


outcomes. A policy is a statement of intent and is implemented as a procedure or
protocol. Policies are generally adopted by a governance body within an organization.
Policies can assist in both subjective and objective decision making. Policies used in
subjective decision-making usually assist senior management with decisions that must
be based on the relative merits of a number of factors, and as a result, are often hard to
test objectively, e.g. work–life balance policy... Moreover, Governments and other
institutions have policies in the form of laws, regulations, procedures, administrative
actions, incentives and voluntary practices. Frequently, resource allocations mirror
policy decisions.
Policy is a blueprint of the organizational activities which are repetitive/routine in nature.
In contrast, policies to assist in objective decision-making are usually operational in
nature and can be objectively tested, e.g. password policy.[1]
The term may apply to government, public sector organizations and groups, as well as
individuals, Presidential executive orders, corporate privacy policies, and
parliamentary rules of order are all examples of policy. Policy differs from rules or law.
While the law can compel or prohibit behaviors (e.g. a law requiring the payment of
taxes on income), policy merely guides actions toward those that are most likely to
achieve the desired outcome.[2]
Policy or policy study may also refer to the process of making important organizational
decisions, including the identification of different alternatives such as programs or
spending priorities, and choosing among them on the basis of the impact they will have.
Policies can be understood as political, managerial, financial, and administrative
mechanisms arranged to reach explicit goals. In public corporate finance, a critical
accounting policy is a policy for a firm/company or an industry that is considered to have
a notably high subjective element, and that has a material impact on the financial
statements.[citation needed]

Effects[edit]
Intended effects and policy-design[edit]
The intended effects of a policy vary widely according to the organization and the
context in which they are made. Broadly, policies are typically instituted to avoid some
negative effect that has been noticed in the organization, or to seek some positive
benefit.[citation needed]
A meta-analysis of policy studies concluded that international treaties that aim to
foster global cooperation have mostly failed to produce their intended effects in
addressing global challenges, and sometimes may have led to unintended harmful or
net negative effects. The study suggests enforcement mechanisms are the "only
modifiable treaty design choice" with the potential to improve the effectiveness.[3][4]
Corporate purchasing policies provide an example of how organizations attempt to
avoid negative effects. Many large companies have policies that all purchases above a
certain value must be performed through a purchasing process. By requiring this
standard purchasing process through policy, the organization can limit waste and
standardize the way purchasing is done.[citation needed]
The State of California provides an example of benefit-seeking policy. In recent years,
the numbers of hybrid cars in California has increased dramatically, in part because of
policy changes in Federal law that provided USD $1,500 in tax credits (since phased
out) as well as the use of high-occupancy vehicle lanes to hybrid owners (no loew
hybrid vehicles). In this case, the organization (state and/or federal government) created
an effect (increased ownership and use of hybrid vehicles) through policy (tax breaks,
highway lanes).[citation needed]
Unintended[edit]
Policies frequently have side effects or unintended consequences. Because the
environments that policies seek to influence or manipulate are typically complex
adaptive systems (e.g. governments, societies, large companies), making a policy
change can have counterintuitive results. For example, a government may make a
policy decision to raise taxes, in hopes of increasing overall tax revenue. Depending on
the size of the tax increase, this may have the overall effect of reducing tax revenue by
causing capital flight or by creating a rate so high that citizens are deterred from earning
the money that is taxed. (See the Laffer curve.)[citation needed]
The policy formulation process theoretically includes an attempt to assess as many
areas of potential policy impact as possible, to lessen the chances that a given policy
will have unexpected or unintended consequences.[5]

Cycle[edit]
Example of the policy cycle concept.

In political science, the policy cycle is a tool used for analyzing the development of a
policy. It can also be referred to as a "stages model" or "stages heuristic". It is thus a
rule of thumb rather than the actual reality of how policy is created, but has been
influential in how political scientists looked at policy in general.[6] It was developed as a
theory from Harold Lasswell's work. It is called the policy cycle as the final stage
(evaluation) often leads back to the first stage (problem definition), thus restarting the
cycle.
Harold Lasswell's popular model of the policy cycle divided the process into seven
distinct stages, asking questions of both how and why public policies should be made.
[7]
With the stages ranging from (1) intelligence, (2) promotion, (3) prescription, (4)
invocation, (5) application, (6) termination and (7) appraisal, this process inherently
attempts to combine policy implementation to formulated policy goals.[8]
One version by James E. Anderson, in his Public Policy-Making (1974) has the
following stages:

1. Agenda setting (Problem identification) – The recognition of certain


subject as a problem demanding further government attention.
2. Policy formulation – Involves exploring a variation of options or alternative
courses of action available for addressing the problem. (appraisal,
dialogue, formulation, and consolidation)
3. Decision-making – Government decides on an ultimate course of action,
whether to perpetuate the policy status quo or alter it. (Decision could be
'positive', 'negative', or 'no-action')
4. Implementation – The ultimate decision made earlier will be put into
practice.
5. Evaluation – Assesses the effectiveness of a public policy in terms of its
perceived intentions and results. Policy actors attempt to determine
whether the course of action is a success or failure by examining its
impact and outcomes.
Anderson's version of the stages model is the most common and widely recognised out
of the models. However, it could also be seen as flawed. According to Paul A. Sabatier,
the model has "outlived its usefulness" and should be replaced.[9] The model's issues
have led to a paradoxical situation in which current research and updated versions of
the model continue to rely on the framework created by Anderson. But the very concept
of the stages model has been discredited, which attacks the cycle's status as a
heuristic.[10]
Due to these problems, alternative and newer versions of the model have aimed to
create a more comprehensive view of the policy cycle. An eight step policy cycle is
developed in detail in The Australian Policy Handbook by Peter Bridgman and Glyn
Davis: (now with Catherine Althaus in its 4th and 5th editions)

1. Issue identification
2. Policy analysis
3. Consultation (which permeates the entire process)
4. Policy instrument development
5. Building coordination and coalitions
6. Program Design: Decision making
7. Policy Implementation
8. Policy Evaluation
The Althaus, Bridgman & Davis model is heuristic and iterative. It
is intentionally normative [clarification needed] and not meant to be diagnostic [clarification needed] or predictive.
Policy cycles are typically characterized as adopting a classical approach, and tend to
describe processes from the perspective of policy decision makers. Accordingly,
some postpositivist academics challenge cyclical models as unresponsive and
unrealistic, preferring systemic and more complex models.[11] They consider a broader
range of actors involved in the policy space that includes civil society organisations,
the media, intellectuals, think tanks or policy research institutes, corporations, lobbyists,
etc.

Content[edit]
Policies are typically promulgated through official written documents. Policy documents
often come with the endorsement or signature of the executive powers within an
organization to legitimize the policy and demonstrate that it is considered in force. Such
documents often have standard formats that are particular to the organization issuing
the policy. While such formats differ in form, policy documents usually contain certain
standard components including:[citation needed]
 A purpose statement, outlining why the organization is issuing the policy, and
what its desired effect or outcome of the policy should be.
 An applicability and scope statement, describing who the policy affects and
which actions are impacted by the policy. The applicability and scope may
expressly exclude certain people, organizations, or actions from the policy
requirements. Applicability and scope is used to focus the policy on only the
desired targets, and avoid unintended consequences where possible.
 An effective date which indicates when the policy comes into
force. Retroactive policies are rare, but can be found.
 A responsibilities section, indicating which parties and organizations are
responsible for carrying out individual policy statements. Many policies may
require the establishment of some ongoing function or action. For example, a
purchasing policy might specify that a purchasing office be created to process
purchase requests, and that this office would be responsible for ongoing
actions. Responsibilities often include identification of any
relevant oversight and/or governance structures.
 Policy statements indicating the specific regulations, requirements, or
modifications to organizational behavior that the policy is creating. Policy
statements are extremely diverse depending on the organization and intent,
and may take almost any form.
Some policies may contain additional sections, including:

 Background, indicating any reasons, history, ethical background statements,


and/or intent that led to the creation of the policy, which may be listed
as motivating factors. This information is often quite valuable when policies
must be evaluated or used in ambiguous situations, just as the intent of a law
can be useful to a court when deciding a case that involves that law.
 Definitions, providing clear and unambiguous definitions for terms and
concepts found in the policy document.[citation needed]

Types[edit]
The American political scientist Theodore J. Lowi proposed four types of policy,
namely distributive, redistributive, regulatory and constituent in his article "Four Systems
of Policy, Politics and Choice" and in "American Business, Public Policy, Case Studies
and Political Theory". Policy addresses the intent of the organization, whether
government, business, professional, or voluntary. Policy is intended to affect the "real"
world, by guiding the decisions that are made. Whether they are formally written or not,
most organizations have identified policies.[12]
Policies may be classified in many different ways. The following is a sample of several
different types of policies broken down by their effect on members of the organization. [12]
Distributive[edit]
Distributive policies extend goods and services to members of an organization, as well
as distributing the costs of the goods/services amongst the members of the
organization. Examples include government policies that impact spending
for welfare, public education, highways, and public safety, or a professional
organization's benefits plan.[12]
Regulatory[edit]
Regulatory policies, or mandates, limit the discretion of individuals and agencies, or
otherwise compel certain types of behavior. These policies are generally thought to be
best applied when good behavior can be easily defined and bad behavior can be easily
regulated and punished through fines or sanctions. An example of a fairly successful
public regulatory policy is that of a highway speed limit.[12]
Constituent[edit]
Constituent policies create executive power entities, or deal with laws. Constituent
policies also deal with fiscal policy in some circumstances.[12]
Redistributive[edit]
Policies are dynamic; they are not just static lists of goals or laws. Policy blueprints have
to be implemented, often with unexpected results. Social policies are what happens 'on
the ground' when they are implemented, as well as what happens at the decision
making or legislative stage.[12]
When the term policy is used, it may also refer to:[12]

 Official government policy (legislation or guidelines that govern how laws


should be put into operation)
 Broad ideas and goals in political manifestos and pamphlets
 A company or organization's policy on a particular topic. For example, the
equal opportunity policy of a company shows that the company aims to treat
all its staff equally.
The actions the organization actually takes may often vary significantly from stated
policy. This difference is sometimes caused by political compromise over policy, while in
other situations it is caused by lack of policy implementation and enforcement.
Implementing policy may have unexpected results, stemming from a policy whose reach
extends further than the problem it was originally crafted to address. Additionally,
unpredictable results may arise from selective or idiosyncratic enforcement of policy.[12]
Types of policy analysis include:

 Causal (resp. non-causal)


 Deterministic (resp. stochastic, randomized and sometimes non-
deterministic)
 Index
 Memoryless (e.g., non-stationary)
 Opportunistic (resp. non-opportunistic)
 Stationary (resp. non-stationary)
These qualifiers can be combined, so one could, for example, have a stationary-
memoryless-index policy.

Notable schools[edit]

Balsillie School of International Affairs at the CIGI Campus

Blavatnik School of Government building

 Balsillie School of International Affairs


 Blavatnik School of Government
 Goldman School of Public Policy at the University of California Berkeley
 London School of Economics
 King's College London
 The University of Chicago Harris School of Public Policy
 Harvard Kennedy School of Government
 Hertie School of Governance
 Munk School of Global Affairs and Public Policy
 Norman Paterson School of International Affairs
 Paul H. Nitze School of Advanced International Studies
 Princeton School of Public and International Affairs
 Sciences Po Paris
 University of Cambridge
 University of Glasgow
 University of Warwick
 Paris Nanterre University

Subtypes[edit]
 Company policy
 Communications and information policy
 Human resource policies
 Privacy policy
 Public policy
 Defense policy
 Domestic policy
 Economic policy
 Education policy
 Energy policy
 Environmental policy
 Foreign policy
 Forest policy
 Health policy
 Macroeconomic policy
 Monetary policy
 Plan
 Population policy
 Public policy in law
 Science policy
 Security policy
 Social policy
 Urban policy
 Transport policy
 Water policy

Induction of policies[edit]
In contemporary systems of market-oriented economics and of homogeneous voting of
delegates and decisions, policy mixes are usually introduced depending on factors that
include popularity in the public (influenced via media and education as well as
by cultural identity), contemporary economics (such as what is beneficial or a burden in
the long- and near-term within it) and a general state of international competition (often
the focus of geopolitics). Broadly, considerations include political competition with other
parties and social stability as well as national interests within the framework of global
dynamics.[13][additional citation(s) needed]
Policies or policy-elements can be designed and proposed by a multitude of actors
or collaborating actor-networks in various ways.[14] Alternative options as well as
organisations and decision-makers that would be responsible for enacting these policies
– or explaining their rejection – can be identified. "Policy sequencing" is a concept that
integrates mixes of existing or hypothetical policies and arranges them in a sequential
order. The use of such frameworks may make complex polycentric governance for the
achievement of goals such as climate change mitigation and stoppage
of deforestation more easily achievable or more effective, fair, efficient, legitimate and
rapidly implemented.[15][16][17][18][additional citation(s) needed]
Contemporary ways of policy-making or decision-making may depend on exogenously-
driven shocks that "undermine institutionally entrenched policy equilibria" and may not
always be functional in terms of sufficiently preventing and solving problems, especially
when unpopular policies, regulation of influential entities with vested interests,
[18]
international coordination and non-reactive strategic long-term thinking and
management are needed.[19] In that sense, "reactive sequencing" refers to "the notion
that early events in a sequence set in motion a chain of causally linked reactions and
counter-reactions which trigger subsequent development".[20] This is a concept separate
to policy sequencing in that the latter may require actions from a multitude of parties at
different stages for progress of the sequence, rather than an initial "shock", force-
exertion or catalysis of chains of events.
In the modern highly interconnected world, polycentric governance has become ever
more important – such "requires a complex combination of multiple levels and diverse
types of organizations drawn from the public, private, and voluntary sectors that have
overlapping realms of responsibility and functional capacities".[21] Key components of
policies include command-and-control measures, enabling measures, monitoring,
incentives and disincentives.[15]
Science-based policy, related to the more narrow concept of evidence-based policy,
may have also become more important. A review about worldwide pollution as a major
cause of death – where it found little progress, suggests that successful control of
conjoined threats such as pollution, climate change, and biodiversity loss requires
a global, "formal science–policy interface", e.g. to "inform intervention, influence
research, and guide funding".[22] Broadly, science–policy interfaces include both science
in policy and science for policy.[23]

Other uses of the term[edit]


 In enterprise architecture for systems design, policy appliances are technical
control and logging mechanisms to enforce or reconcile policy (systems use)
rules and to ensure accountability in information systems.
 In insurance, policies are contracts between insurer and insured used
to indemnify (protect) against potential loss from specified perils. While these
documents are referred to as policies, they are in actuality a form
of contract – see insurance contract.
 In gambling, policy is a form of an unsanctioned lottery, where players purport
to purchase insurance against a chosen number being picked by a
legitimate lottery. Or can refer to an ordinary numbers game
 In artificial intelligence planning and reinforcement learning, a policy
prescribes a non-empty deliberation (sequence of actions) given a non-empty
sequence of states.
 In debate, the term "policy" is slang for policy or cross-examination debate.
See also[edit]
 Blueprint
 Distributive tendency
 Iron triangle
 Mandate (politics)
 Overton window
 Pattern language
 Policy alienation
 Policy analysis
 Policy Governance
 Policy studies
 Political science
 Program evaluation
 Public administration
 Public health
 Public policy (law)
 Public policy schools
 Public services
 Social contract
 Social welfare
 Social work
 Think tank

Notes[edit]
1. ^ Office, Publications. "What is policy". [Link]. Retrieved 15 April 2018.
2. ^ Voican, Mădălina (2008). "Government's Role in Coordination of Decision- Making
Process". Revista de Științe Politics. Journal of Political Science (17): 26–31.
3. ^ "Most international treaties are ineffective, Canadian study finds". CTVNews. 3 August
2022. Retrieved 15 September 2022.
4. ^ Hoffman, Steven J.; Baral, Prativa; Rogers Van Katwyk, Susan; Sritharan, Lathika;
Hughsam, Matthew; Randhawa, Harkanwal; Lin, Gigi; Campbell, Sophie; Campus, Brooke;
Dantas, Maria; Foroughian, Neda; Groux, Gaëlle; Gunn, Elliot; Guyatt, Gordon; Habibi,
Roojin; Karabit, Mina; Karir, Aneesh; Kruja, Krista; Lavis, John N.; Lee, Olivia; Li, Binxi; Nagi,
Ranjana; Naicker, Kiyuri; Røttingen, John-Arne; Sahar, Nicola; Srivastava, Archita; Tejpar,
Ali; Tran, Maxwell; Zhang, Yu-qing; Zhou, Qi; Poirier, Mathieu J. P. (9 August
2022). "International treaties have mostly failed to produce their intended
effects". Proceedings of the National Academy of Sciences. 119 (32):
e2122854119. doi:10.1073/pnas.2122854119. ISSN 0027-8424. PMC 9372541. PMID 3591
4153.
 University press release: "Do international treaties actually work? Study says
they mostly don't". York University. Retrieved 15 September 2022.
5. ^ Deleon, Peter; Steelman, Toddi A. (2001). "Making public policy programs effective and
relevant: The role of the policy sciences". Journal of Policy Analysis and
Management. 20 (1): 163–171. doi:10.1002/1520-6688(200124)20:1<163::aid-
pam2011>[Link];2-w. ISSN 0276-8739.
6. ^ Nakamura 1987.
7. ^ Laswell, H(1971). A Pre-View of Policy Sciences. New York, Elsevier.
8. ^ Howlett, M. (2011) Designing public policies: principles and instruments. Routledge.
9. ^ Sabatier, Paul A. (June 1991). "Toward Better Theories of the Policy Process". PS: Political
Science and Politics. 24 (2): 147–
156. doi:10.2307/419923. JSTOR 419923. S2CID 153841704.
10. ^ Fischer, Frank; Miller, Gerald J. (2006-12-21). Handbook of Public Policy Analysis: Theory,
Politics, and Methods. CRC Press. ISBN 978-1-4200-1700-7.
11. ^ Young, John and Enrique Mendizabal. Helping researchers become policy
entrepreneurs, Overseas Development Institute, London, September 2009.
12. ^ Jump up to:a b c d e f g h Lowi, Theodore J. (July 1972). "Four Systems of Policy, Politics, and
Choice". Public Administration Review. 32 (4): 298–
310. doi:10.2307/974990. JSTOR 974990.
13. ^ Birkland, Thomas A. (2 July 2019). An Introduction to the Policy Process: Theories,
Concepts, and Models of Public Policy Making (5 ed.). Routledge. ISBN 978-1-351-02394-8.
14. ^ Taeihagh, Araz (1 June 2017). "Network-centric policy design". Policy Sciences. 50 (2):
317–338. doi:10.1007/s11077-016-9270-0. ISSN 1573-0891. S2CID 157209343.
15. ^ Jump up to:a b Furumo, Paul R.; Lambin, Eric F. (27 October 2021). "Policy sequencing to
reduce tropical deforestation". Global
Sustainability. 4. doi:10.1017/sus.2021.21. ISSN 2059-4798. S2CID 239890357.
16. ^ Meckling, Jonas; Sterner, Thomas; Wagner, Gernot (December 2017). "Policy sequencing
toward decarbonization". Nature Energy. 2 (12): 918–
922. Bibcode:2017NatEn...2..918M. doi:10.1038/s41560-017-0025-8. ISSN 2058-7546. S2C
ID 158217818.
17. ^ Pahle, Michael; Burtraw, Dallas; Flachsland, Christian; Kelsey, Nina; Biber, Eric; Meckling,
Jonas; Edenhofer, Ottmar; Zysman, John (October 2018). "Sequencing to ratchet up climate
policy stringency". Nature Climate Change. 8 (10): 861–
867. Bibcode:2018NatCC...8..861P. doi:10.1038/s41558-018-0287-6. ISSN 1758-6798. S2
CID 92543128.
18. ^ Jump up to:a b "Timing is everything: Researchers reveal why the right sequence of policies
is essential to slow deforestation". Stanford University. Retrieved 23 November 2021.
19. ^ Howlett, Michael (December 2009). "Process Sequencing Policy Dynamics: Beyond
Homeostasis and Path Dependency". Journal of Public Policy. 29 (3): 241–
262. doi:10.1017/S0143814X09990158. ISSN 1469-7815. S2CID 155023873.
20. ^ Daugbjerg, Carsten (1 April 2009). "Sequencing in public policy: the evolution of the CAP
over a decade". Journal of European Public Policy. 16 (3): 395–
411. doi:10.1080/13501760802662698. ISSN 1350-1763. S2CID 153785609.
21. ^ Carlisle, Keith; Gruby, Rebecca L. (2019). "Polycentric Systems of Governance: A
Theoretical Model for the Commons". Policy Studies Journal. 47 (4): 927–
952. doi:10.1111/psj.12212. ISSN 1541-0072.
22. ^ Fuller, Richard; Landrigan, Philip J; Balakrishnan, Kalpana; Bathan, Glynda; Bose-O'Reilly,
Stephan; Brauer, Michael; Caravanos, Jack; Chiles, Tom; Cohen, Aaron; Corra, Lilian;
Cropper, Maureen; Ferraro, Greg; Hanna, Jill; Hanrahan, David; Hu, Howard; Hunter, David;
Janata, Gloria; Kupka, Rachael; Lanphear, Bruce; Lichtveld, Maureen; Martin, Keith;
Mustapha, Adetoun; Sanchez-Triana, Ernesto; Sandilya, Karti; Schaefli, Laura; Shaw,
Joseph; Seddon, Jessica; Suk, William; Téllez-Rojo, Martha María; Yan, Chonghuai (June
2022). "Pollution and health: a progress update". The Lancet Planetary Health. 6 (6): e535–
e547. doi:10.1016/S2542-5196(22)00090-0. PMID 35594895. S2CID 248905224.
23. ^ "Science-Policy Interface Platform". Major Group for Children and Youth. Retrieved 10
July 2022.

References[edit]
 Althaus, Catherine; Bridgman, Peter; Davis, Glyn (2007). The Australian Policy
Handbook (4th ed.). Sydney: Allen & Unwin.
 Blakemore, Ken (1998). Social Policy: an Introduction. Buckingham; Philadelphia: Open
University Press.
 Dye, Thomas R. (1976). Policy Analysis. University of Alabama Press.
 Greenberg, George D.; et al. (December 1977). "Developing Public Policy Theory: Perspectives
from Empirical Research". American Political Science Review. 71 (4): 1532–
1543. doi:10.2307/1961494. JSTOR 1961494. S2CID 145741414.
 Heckathorn, Douglas D.; Maser, Steven M. (1990). "The Contractual Architecture of Public Policy:
A Critical Reconstruction of Lowi's Typology". The Journal of Politics. 52 (4): 1101–
1123. doi:10.2307/2131684. JSTOR 2131684. S2CID 154496294.
 Jenkins, William (1978). Policy Analysis: A Political and Organizational Perspective. London:
Martin Robertson.
 Kellow, Aynsley (Summer 1988). "Promoting Elegance in Policy Theory: Simplifying Lowi's
Arenas of Power". Policy Studies Journal. 16 (4): 713–724. doi:10.1111/j.1541-
0072.1988.tb00680.x.
 Lowi, Theodore J.; Bauer, Raymond A.; De Sola Pool, Ithiel; Dexter, Lewis A. (1964). "American
Business, Public Policy, Case-Studies, and Political Theory". World Politics. 16 (4): 687–
713. doi:10.2307/2009452. JSTOR 2009452. S2CID 154980260.
 Lowi, Theodore J. (1972). "Four Systems of Policy, Politics, and Choice". Public Administration
Review. 32 (4): 298–310. doi:10.2307/974990. JSTOR 974990.
 Lowi, Theodore J. (1985). "The State in Politics". In Noll, Roger G. (ed.). Regulatory Policy and
the social Sciences. Berkeley: University of California Press. pp. 67–110.
 Müller, Pierre; Surel, Yves (1998). L'analyse des politiques publiques (in French). Paris:
Montchrestien.
 Nakamura, Robert T. (September 1987). "The textbook policy process and implementation
research". Review of Policy Research. 7 (1): 142–154. doi:10.1111/j.1541-1338.1987.tb00034.x.
 Paquette, Laure (2002). Analyzing National and International Policy. Rowman Littlefield.
 Smith, K. B. (2002). "Typologies, Taxonomies, and the Benefits of Policy Classification". Policy
Studies Journal. 30 (3): 379–395. doi:10.1111/j.1541-0072.2002.tb02153.x.
 Spitzer, Robert J. (June 1987). "Promoting Policy Theory: Revising the Arenas of Power". Policy
Studies Journal. 15 (4): 675–689. doi:10.1111/j.1541-0072.1987.tb00753.x.

Further reading[edit]
 K. Cummins, Linda (2011). Policy Practice for Social Workers: New
Strategies for a New Era. Pearson. ISBN 9780205022441.
 Hicks, Daniel L.; Hicks, Joan Hamory; Maldonado, Beatriz (January 2016).
"Women as policy makers and donors: female legislators and foreign
aid". European Journal of Political Economy. 41: 46–
60. doi:10.1016/[Link].2015.10.007.

External links[edit]

Look up policy in Wiktionary, the free dictionary.

 Policy institutes at Curlie


 "Policy Studies Organization". [Link].

[Link]
Definition of Policy
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What is “Policy”?

Policy is a law, regulation, procedure, administrative action,


incentive, or voluntary practice of governments and other institutions.
Policy decisions are frequently reflected in resource allocations. Health
can be influenced by policies in many different sectors. For example,
transportation policies can encourage physical activity (pedestrian-
and bicycle-friendly community design); policies in schools can
improve nutritional content of school meals.

The Policy-Public Health Connection

Within the context of public health, policy development includes the


advancement and implementation of public health law, regulations, or
voluntary practices that influence systems development,
organizational change, and individual behavior to promote
improvements in health. Such policies can be executed within the
health sector, for example, using Medicare conditions of participation
or reimbursement to influence health care delivery, or using the tax
code to encourage employer-provided health insurance. However,
public health goals can also be achieved working in other sectors such
as education, agriculture, or employment, among others.

Why is Policy important to Public Health?

According to the Institute of Medicine policy development is an


1, 2

essential public health function. Further, policy development is


included in three of the 10 Essential Public Health Services. Public
3

health professionals play an important role in policy development by


conducting policy-relevant research, communicating findings in a
manner that facilitates action, developing partnerships, and
encouraging the efficient use of resources through the promotion of
policies based on science—such as the promotion of evidence-
based, health interventions.
4,5

Policy Professionals
CDC’s policy professionals are guided by advanced training not only in
public health, economics, and formal policy analysis, but also in
medicine, law, nursing, life sciences, management, public
administration, social work, international affairs, geographic
information systems, quantitative and qualitative research methods,
and related disciplines. Policy professionals provide knowledge of
health systems, public health methods and approaches, and strategy
development. Policy professionals at CDC evaluate the results of
various public health efforts, make recommendations when change is
warranted, and develop plans to address perceived or real gaps
between stakeholder expectations and the agency’s performance or
commitments. CDC policy staff also assess opportunities and risks;
analyze issues, trends, and program and human, operational and
capital resource allocation; develop strategic partnerships; facilitate
policy analysis, formulation, intervention design, and evaluation; and
conduct performance and impact evaluation.

CDC Definition of Policy: Printable version

1. Institute of Medicine (U.S.). The Future of Public Health.


Washington, D.C.: National Academy Press; 1988.
2. Institute of Medicine (U.S.). The Future of the Public’s Health in the
21st Century. Washington, D.C.: National Academy Press; 2002.
3. Centers for Disease Control and Prevention. “The Essential Public
Health Services” Retrieved February 29, 2008 from National Public
Health Website.
4. The Guide to Community Preventive Services : What Works to
Promote Health? / Task Force on Community Preventive Services;
edited by Stephanie Zaza, Peter A. Briss, Kate W. Harris. New York:
Oxford University Press; 2005
5. Campbell KP, Lanza A, Dixon R, Chattopadhyay S, Molinari N, Finch
RA, editors. A Purchaser’s Guide to Clinical Preventive Services:
Moving Science into Coverage. Washington, DC: National Business
Group on Health; 2006
Page last reviewed: May 29, 2015
Content source: Centers for Disease Control and Prevention, Office of
the Associate Director for Policy and Strategy
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What is a policy vs. a procedure?


No matter the industry, every organization needs policies and procedures to operate effectively.

December 22, 2020

17 Minute Read

Article highlights

 The difference between policies and procedures


 Why policies and procedures matter to your organization
 How policy management helps your organization
 Finding your policy management software

Every organization, regardless of industry, needs well-written policies and procedures


to operate effectively.

Organizational leaders should establish policies and procedures as soon as possible.


Not only do they protect your organization and employees from noncompliance, they
also define and shape culture.

Depending on industry, noncompliance could lead to fines, lawsuits, loss of


reputation, or even put your employees at risk. These consequences, as well as other
unknown risks, often happen suddenly and unexpectedly, so being proactive and
preventative before anything happens is the wisest course of action.

To keep your organization as protected as possible, policies and procedures should


continually evolve. They need to grow with your company, but they also need to
reflect ever-changing federal, state, and local regulations.

If policies and procedures are so important, what are they? What’s the difference
between them? Can my organization really benefit from policy and procedure
management? In the rest of this article, we will examine these questions and more.
What is the difference
between policies and
procedures?
What is a policy?
Policy vs. procedure. It’s important to understand the difference.

Policies are a set of general guidelines. They outline your organization’s plan for
tackling certain issues.

The purpose of policies is to communicate an organization’s values, philosophy, and


culture. They include, but aren’t limited to, the following:

 What employees can expect from the organization (employee benefits,


vacation policy)
 What the company expects from employees (code of conduct, confidentiality
agreements)
 What customers and the community can expect from the organization
(customer service policies)

Effective policies also lay the foundation for a healthy work culture. Maybe you’ve
seen firsthand how policies influence culture, communicate expectations to
employees, and guide day-to-day operations. And maybe you’ve seen the adverse
effect of neglected policies.

Good policy is more than just a list of rules. It should show employees the purpose
behind their jobs and provide ways to measure success. What makes a good policy?

 Clear, concise, and simple language


 Explains the rule, not how to implement the rule
 Easily accessible by staff at all times
 Represents a consistent, logical framework
What is a procedure?
After establishing your organizational policies, procedures are the natural next step.

Policies set some parameters for decision-making but leave room for flexibility. They
show the “why” behind an action.

Procedures, on the other hand, explain the “how.” They provide step-by-step
instructions for specific routine tasks. They may even include a checklist or process
steps to follow. But at the very least, your procedures should outline the following
information:

 Who is responsible for each task


 What steps need to be taken
 Who the responsible party reports to

Let’s look at an example, requesting vacation time, to better understand the difference
between policy and procedure. The vacation policy determines how much PTO an
employee is eligible to take. The procedure lists the steps involved to get PTO
approval, or what factors determine who gets priority days off.

Establishing procedures ensures that employees know what to do and keeps your
organization running smoothly, even when key employees are out of the office. What
makes a good procedure?

 Clear, concise, and simple language


 Addresses how to implement policies
 Takes user insight into account
 Providing options when feasible, not unnecessarily restrictive

What is a process?
Processes explain how to achieve a desired outcome, whether that be a product or
service. Processes roll up under your organization’s policies and explain how
something works at a high level.

Learn more about the difference between policies, processes, and procedures in
our buyer's guide to the top policy management solutions.
What is a guideline?
Most organizations have both guidelines and policies in place. Many use these terms
interchangeably, but they're quite different.

Guidelines are general recommendations. They're not mandatory or required. Whereas


policies are more formal documents, and following them is mandatory.

Why policies and


procedures matter to
your organization
Together, policies and procedures guide your organization and reduce risk of liability.
They promote consistency across the organization, both for employees and for
customers.

Consistency builds a healthy reputation for your organization over time, especially in
regard to employee touchpoints with customers. Another term for this is branding.
Consistency builds and protects your brand.

Policies and procedures promote consistency across your organization, which


builds and protects your brand over time.
But policies can only positively impact your organization if they're followed. The responsibility is
twofold: on leadership to communicate policies effectively and on employees to follow them.

Policy and procedures increase


compliance
Every industry has its own set of laws, regulations, standards, and best practices.
These are constantly evolving, so it's important to frequently review policies and
procedures to ensure they comply.

At a basic level, policies and procedures help your organization comply with federal,
state, and local laws.

Many state laws dictate that companies have specific policies prohibiting
discrimination and harassment. Your organization should cover these and other core
employment policies in the employee handbook.

Of course, complying with employment law is only the beginning. Policies and
procedures should go above and beyond legal standards. Good policy binds your
organization to industry best practices.
Policies and procedures improve
internal processes
As companies expand and evolve, internal processes can get convoluted. Internal
processes are defined as the steps taken to bring about a particular outcome.

Policies and procedures bring clarity to internal processes, ensuring they achieve the
desired end and helping employees provide more value to customers.

But this only happens if you and/or your administrators regularly review and update
policies to fit your organization’s changing needs.

With policies and procedures constantly evolving, it’s important to document and
track how things are done over time. Tracking versions of documents can help you
improve internal processes. The right policy management tool will store and track
versions of critical documents, but more on that later.

Let’s look at an example. Policies at a healthcare center may require all employees to
receive 20 training hours each year. When the center first started with only a few
employees, they did in-person staff training. But as the center hired more employees,
getting everyone in the classroom for annual training became more complicated. The
whole process started taking up administrative hours and dollars that could be better
used elsewhere.

As the clinic’s administrators reviewed this internal process, they found a way to
adjust training procedures to save time and money. The solution? They adopted
training management software, which empowered their staff to complete training
anytime, anywhere. Now they save money on instructors and no longer have to work
around everyone’s busy schedule.
Policies help you navigate
incidents and crises
Policies and procedures can prevent workplace incidents by putting proper safety
measures in place. If an incident does take place, good policies and procedures get
operations back to normal at a faster rate

For example, if a workplace accident occurs, procedures explain what actions the
employee and his manager need to take. The procedure could list the proper forms
that need to be filled, what incidents qualify for workers comp, how to apply for
workers comp, etc.

After an incident, reviewing policies, procedures, and incident reports can help your
team identify what went wrong. Then you can take steps to prevent similar accidents
in the future.

Policies and procedures also keep your organization from overlooking incidents,
which prevents them from turning into a crisis.
What is the difference between an incident and a crisis? A workplace incident
happens internally and can interrupt day-to-day operations, whereas a crisis usually
happens externally and can be harder to anticipate.

Some experts estimate that a large company will face a crisis at least once every seven
years. Examples of crises include disasters, faulty products, malware attacks, lawsuits,
and more. They can threaten your organization’s finances, reputation, or ability to
continue providing services.

In the case of a PR crisis, for example, good customer service, social media, and
communication policies can help your organization reduce damage to its reputation.

Why every industry


needs policies and
procedures
Law enforcement policy
Policy has always been important in law enforcement. But keeping updated policies
has become even more important in the last few years with police accountability
becoming a hot topic.

Law enforcement is inherently dangerous, complex work. Police officers need to have
the proper training and access to policies in order to protect themselves in the field,
and those they serve. For example, policies on use-of-force can help build trust
between police departments and their communities.

Some police departments make certain policies public to promote police


accountability. The right policy management tool can help your organization share
important documents with your community.
Fire policy
For firefighters, knowing and following procedures can be a matter of life and death.
Firefighters need to work as a team to respond to emergencies quickly and effectively.
If there’s even one weak link, it can put the entire team in danger.

Policies on training, medical screenings, first response, and equipment maintenance


certify that firefighters are ready to do their jobs well. Other policies and procedures
set guidelines to help firefighters make decisions in dangerous, high-pressure
situations.

Healthcare policy
Lives are on the line in the healthcare industry as well, making it necessary to have a
structured training and policy process.

Healthcare organizations encounter more liability risks than most. But policies and
procedures can help them mitigate risk, improve compliance, protect private patient
information, and provide quality customer care.

With healthcare policy frequently changing, it’s important to have a structured system
for updating policies and disseminating them to staff.

Corporate policy
Corporate policies define the specific guidelines of your company – everything from
work-from-home policies to sick policies to other policies specific to your
organization or industry.

Corporate procedures detail how to follow policies and processes, like how to operate
equipment.

Together, corporate policies and procedures ensure consistent customer experiences,


keep employees safe, maintain compliance to laws and regulations, and reduce
liability.

Learn more about corporate policies and procedures here.


How policy and
procedure
management helps
your organization
Throughout this article, we have discussed the difference between policy and
procedure, why they are a necessity for your organization, and how the right software
can help. Now let’s talk about the importance of policy management and how you can
find the right policy management software for your organization.

Reviews and updates


Policies and procedures should grow and change with your organization, adapting to
its needs and industry standards. According to the experts, you need to review and
update policies at least once a year. Some policies may need to be revised on a bi-
annual or quarterly basis.

Updating policies and procedures should be a collaborative process. Administrators


need to work with leaders, employees from different levels of the organization, and
representatives from groups who will be influenced by the policies. Collaborating
with all these people, users especially, makes the policy more precise and increases
adoption by employees.

The collaboration process doesn’t have to be difficult. PowerDMS’s policy and


procedure management tools let you create automated approval workflows to
collaborate on new policy drafts. That way, you can track changes, control who can
edit/view the draft, and see the complete history of every document.

Once you’re ready to publish an updated policy, PowerDMS automatically archives


the old version, avoiding the confusion of multiple, conflicting versions of policies
and procedures.
Accessibility
Your employees should be able to access policies and procedures at any time. In
critical, high-pressure situations, flipping through a physical policy manual isn’t
practical or time-efficient.

PowerDMS provides organizations with a secure, centralized location online for


policies and procedures. Employees can access policies at any time, from any mobile
device, by pulling up the relevant document with a simple keyword search.

Employee Accountability
Unfortunately, making policies and procedures available doesn’t guarantee that
employees will read them. New employees should be trained and tested on policies
and procedures during orientation, but even long-time employees will need reminders.

When policy updates are distributed, you should verify that all employees have signed
off on it. This protects your organization and your employees from incidents of
noncompliance.

Fortunately, PowerDMS lets you distribute policies and collect electronic E-signatures
with a couple of clicks. You can even assign quizzes to test comprehension and
retention.

Finding your policy


and procedure
management software
Looking for a tool to manage policies and procedures across their entire lifecycle?
Ideally, you will need something that manages policy, training, and accreditation from
a central, digital location. Something like PowerDMS.

PowerDMS is a single, connected platform for all your policy needs: drafting,
revising, distributing, tracking, and collaborating. With built-in features for
accountability, automated workflows, version control, and more, you can manage
compliance without the headache.

While there are other content management solutions like Dropbox or Sharepoint, none
of them provide a living connection between your policies, training, and accreditation.

Be preventative. Before noncompliance strikes, learn how PowerDMS can help you
manage your policies and procedures. All while saving time and money. Sign up for a
free

=========================================================

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What are Policies and why


they are important

Policies, procedures, compliance and adherence are terms that are


widely used throughout organizations worldwide. However, you could
be forgiven for thinking they are the perfect oxymoron! How can a set
of rules intended to maintain standards, be so widely and differently
interpreted and implemented?
Although different organizations create policies for their specific
circumstances, their purposes and intentions remain aligned - to
consistently achieve their desired standards and objectives.

What are policies


Policies are a set of rules that govern the behavior of an organization
and are an important aspect of a company's culture. They are created
to ensure that the organization is operating in a way that is consistent
with its values and goals.

Policies can be used to guide employees on how they should behave in


certain situations. They can also be used to guide customers on what
they should expect from the company. Policies can also be used to
guide suppliers on how they should interact with the company.

Policies can be created for any aspect of the company, such as hiring,
training, or even office hours. They can also be created for specific
departments within the company. For example, a marketing
department may have policies about how to create content for social
media posts or how to write press releases.

Why Policies are important


Policies are important because they define what is, and is not
acceptable in the organization. When created in the right way, they will
ensure that all activities undertaken in the organization occur with the
simple aim of ensuring the organization achieves its objectives. They
can help companies establish what kind of work they do, what they will
not do and what their values are.
Policies can

 help organizations maintain consistency and control over their


operations.
 help keep the company running smoothly and efficiently.
 help employees know what is expected of them and what they
should do in certain situations.
Without a set of clearly defined policies, the organization may drift in
an unintended direction and fail to achieve it's objectives (or simply
fail!)
The company's policies are essential for protecting the business from
lawsuits, and protecting the employees from liability. They can also
protect the property of the company, such as patents and trademarks.

The benefits of standardizing policies


Standardizing policies is a great way to make sure that every aspect of
your company is following the same guidelines. It also helps to make
sure that all employees are on the same page and know what they are
expected to do. Using a consistent format across all policies provides a
level of familiarity for the employees. They will know where to find the
information they need within the policy and how to interpret the
information the policies contain.

The benefits of standardizing policies include:

 Ensuring that all employees are on the same page


 Making sure that your company is following the same
guidelines
 Helping to avoid confusion and conflict among employees
To help you get started, here is a handy free downloadable policy
template. If you really want to supercharge your policies, you can also
link key data to your SharePoint policy library. This post provides step
by step instructions to help you achieve this.

Tired of reminding staff to read


your company policies?
DocRead makes compliance simple

See how

Why you need to manage your


policies
Policies themselves also need to be managed. There is little point
creating policies, and then leaving them to gather dust. After all of the
effort expended in creating and perfecting them in the first place, you
need to ensure you have a robust review process to ensure they
remain on point.

A series of sense checks are also useful:

 have they achieved the desired result?


 are they understood and followed by everyone who needs to?
 are they still current?
To be effective every policy needs to be read and understood by all
employees who will be affected by it. Those employees also need to
specifically acknowledge that they understand the policy and will abide
by it. Without this confirmation, organizations cannot be sure that the
policies will be followed and therefore non-compliance becomes a
possibility.
Types of policy
Policies are processes that an organization has set in place to govern
the behavior of its employees. These processes may outline what is
considered appropriate, inappropriate or legal behavior for employees
in a company. The goal of these policies is to keep the company's
goals aligned with its values.

Policies are needed, therefore, for all aspects of the organization,


including:

 Safety policies - to ensure the safety of employees, business


and manufacturing processes and customers/end users.

 Employee policies - from recruitment policies to termination


policies, and every step in-between. See 17 HR Policies every
organization should have - Collaboris for additional information.
 Marketing policies - to define how marketing campaigns will be
organized.

 Social media policies - to define what is and isn't acceptable


when posting on social media outlets. Employees may be
banned from socializing new product developments for
example.

 Data privacy policies - for example to comply with GDPR and to


reassure clients or other interested parties that their personal
information is safe.

Policy Resources
OEGC
The Open Compliance and Ethics Group (OEGC) was founded in 2002
and quickly became the leading authority on compliance, ethics, risk
management, governance and more. They have taken GRC
management to a whole new level and offer training and other
resources that we highly recommend. For more information please visit
their website: OCEG - The Ultimate Resource for Governance, Risk and
Compliance (GRC)
====================================================================

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What Are Policies & Procedures? Policy vs


Procedure Explained

by Shannon Lane / March 22nd, 2018

Throughout my career, I’ve had the fantastic experience of working with


small businesses who are new to the idea of being audited.

I’ve seen organizations at every level of readiness, from “We’ve got this, we
are prepared,” to, “Why is this so difficult?” It still amazes me that the
toughest audits always are a function of the same problem: policies and
procedures.

In the world of information security, policies and procedures are better than
gold. They are more important than your wireless security keys, more vital
than your CEO’s parking spot. They are so important, in fact, that every
major information security audit framework has at least one entire section
devoted completely to the policies and procedures that underlie your
operation.
The PCI DSS audit framework has section 12, the SOC 2 audit framework has
governance and compliance as a full quarter of its audit objectives,
and HIPAA regulations have an entire subsection devoted to policy.

You’re getting the idea, right? Policies and procedures are vital. But… what
are they?

Policy vs Procedure: What Are Policies and Procedures?

In the information security industry, policies and procedures refer to the


documentation that describes how your business is run. A policy is a set of
rules or guidelines for your organization and employees to follow in or to
achieve compliance. Policies answer questions about what employees do and
why they do it. A procedure is the instructions on how a policy is followed.
Procedures are the step-by-step instructions for how policies are to be
achieved. A policy defines a rule, and the procedure defines who is expected
to do it and how they are expected to do it.

What is a policy?

The definition of policy is a set of rules or guidelines for your organization


and employees to follow in order to achieve a specific goal (i.e. compliance).

What is the purpose of a policy?

An effective policy should outline what employees must do or not do,


directions, limits, principles, and guidance for decision making. Policies
answer questions like: What? Why?

What is a procedure?

A procedure is the counterpart to a policy; it is the instruction on how a


policy is followed.

It is the step-by-step instruction for how the policies outlined above are to be
achieved. A policy defines a rule, and the procedure defines who is expected
to do it and how they are expected to do it. Procedures answer questions
like: How? When? Where?

Why Are Documented Policies, Procedures, and Protocols


Important?

Too many companies view policies and procedures as a necessary evil,


without considering their purpose. It isn’t about best practice or becoming a
soulless corporate entity; the purpose of policies and procedures is to explain
what management wishes to have happen and how it happens.

I’ve come to believe that the primary distinction between a small and
medium business isn’t found in quantifying a company’s maturity by revenue
or number of employees, but rather, whether or not management has taken
time to develop, implement, and maintain policies and procedures.

So far, I haven’t been disappointed in this definition; companies with mature


policies, procedures, and systems are easier to audit, have a better
understanding of their security posture and risk, and generally just seem to
be operating far more sustainably than those who haven’t paid much
attention to governance.

The Purpose of Policies and Procedures vs. the Pain of


Policies and Procedures

After management understands the definitions of policies and procedures,


they stop asking, “What are policies and procedures?” or “what is the
purpose of a policy?” and move onto, “Why do I have to write policies and
procedures?” Small business’ management generally has the same set of
objections to writing down a set of policies and procedures, all relating to
difficulty, company culture, and time restraints. But, let’s remember: the
benefits outweigh the pain of policies and procedures. The purpose of
policies and procedures is so much greater than writing down some rules. My
explanation of these benefits usually sounds something like this:

It’s Hard To Write Policies and Procedures

“But it’s really hard!” Well, yes…but no. Most companies without mature
policies and procedures are operating fairly well or they wouldn’t still be in
business. It’s certainly easier to define security from the very beginning, but
that doesn’t mean it can’t be easy to start with what you’re doing now and
then refine it later on.

Sometimes, the real objection isn’t to how difficult it is to write down policies
and procedures, but how frightened most people are that they will put in
writing how they’re doing things wrong. Start with where you are, then be
realistic about where you are going. You may not be up to the best practice
standard in some areas, but if you’re letting that embarrassment keep you
from setting policies down on paper, then you’re missing the point. Knowing
exactly what you’re doing now is how you figure out what you should be
doing tomorrow. It’s how you can put together a real budget, identify real
risks to the enterprise, and how you can respond effectively when something
goes wrong.
An auditor’s hint: If your practice isn’t “correct,” but you’re honest about it,
it’s far less of a problem than if you don’t have anything written down at all.

To learn more about writing company policies and procedures, read How to
Write a Privacy Policy (With 3 Sample References) and Writing a Change
Management Policy.

Policies and Procedures Will Change My Company

“But it’ll change my company!” Maybe it will. I’m not going to lie to you –
writing everything down, putting your hands on formal processes, and
setting expectations forces you to sacrifice some flexibility. These extra
additions do add a bit of overhead and may result in necessary changes to
corporate structure, company culture, revenue pipeline, or “informal, but
really good” processes to support the requirements you’ve laid out.
Depending on your existing structure, you may even discover that you need
some additional staff to handle new responsibilities, or some processes
might move a bit slower.

For example, with new policies and procedures implemented, your network
engineer now has to have management sign off on a firewall change. Your
staff may not be able to just pick up the phone and get a new permission to
some additional part of the network. That’s going to add some time and
maybe even a little frustration to the process, right? On the other hand, how
much would you lose if you lost the person that understood exactly why your
firewall is set up the way it is? Without writing these processes down, you
create massive vulnerabilities. People, training, standards, applications – how
much is that little bit of overhead worth if it ensures that you have a handle
on what’s going on inside of your company, your networks, and your
enterprise?

You can mitigate the change somewhat, though, by writing your company
culture into your policies and procedures. Nowhere is it written that policies
and procedures must be horribly formal, boring-to-read documents filled with
legalese and pain. What are the things that make people want to work
there? Fit your policies and procedures to your company culture, your
business, and how your people interact. This will minimize the hardship of
implementing them and help preserve what makes your organization unique.

There’s No Time to Write Policies and Procedures

“But there’s no time!” This is the most valid argument. In a world of lean
staff, fast turnaround, and an emphasis on doing a lot with a little, finding
the time for governance may be extremely difficult. With that said…it
doesn’t matter. I can hand you management book after management book,
essay after essay, whitepaper after whitepaper, all on how defined policies
and procedures will improve your business at every level if you follow the
process. You simply can’t pass any formal audit without them. The time to do
the work and document your policies and procedures has to be found.

If you can commit to getting your policies in place and enforcing them, you’ll
be shocked at the short-term win in how easy an audit becomes, and even
more shocked by the long-term advantages you gain. Your operations will be
less stressful, your people will have more direction and, if done well, you’ll
finally know exactly what it is you’re managing and why.

The advantages outweigh the pain of policies and procedures. Committing to


the process has serious benefits. Does your organization view mature
policies and procedures as a necessary evil? Do you understand the purpose
of policies and procedures? What obstacles has your organization found
when developing or implementing policies and procedures? How have you
built in the time to commit to enforcing policies and procedures?

About Shannon Lane

Shannon Lane has over 20 years of experience in information


services, including healthcare IT, e-commerce data extrapolation, network
administration, database administration, and external audit work. Lane now
serves as an Information Security Auditor at KirkpatrickPrice, represents
KirkpatrickPrice on the 2018 HITRUST CSF Assessor Council, and holds CISSP,
CISA, QSA, MSDBA, and CCSFP certifications.

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