Read exclusive information about cybersecurity from Compliance Forge. Unlike Standards, Controls define the actual safeguards and countermeasures that are assigned to a stakeholder (e.g., an individual or team) to implement. Procedures are often documented in "team share" repositories, such as a wiki, SharePoint page, workflow management tool, etc. This website does not render professional services advice and is not a substitute for dedicated professional services. You need to enter a weekly timesheet that needs to be reviewed by your supervisor. Policies, procedures, and other compliance-related documents are the necessary foundation for a successful Compliance Program. An organization should be managed properly. Control Objectives help to establish the scope necessary to address a policy. While guidelines are made to sort out things and put things in order, policy on the other hand is a MUST follow procedures since it involves decision, reasoning, and values. Hope that helps! A policy should not contain processes or procedures, but refers to them. ‘Policies’, ‘Processes’, and ‘Procedures’ should be considered distinct types of documentation. Controls are the technical, administrative or physical safeguards that exist to prevent, detect or lessen the ability of a threat to exploit a vulnerability. Guidelines help augment Standards when discretion is permissible. This should give you a complete understanding of how to set up all three items for your business.You’ll be on your way to operating more efficiently, which should lead to even more success. Policy and procedure Reflect the “rules” governing the organization and employee conduct 2. 2. Driven by business objectives and convey the amount of risk senior management is willing to acc… Policy vs. Procedure. Policies are formal statements produced and supported by senior management. Many individuals when asked about guidelines and policies don’t know how to distinguish one from the other. Procedure vs. Strategy is a plan of action while the policy is a principle of action. Exceptions are always to Standards and never to Policies. But attempting to keep procedure separate from policy has important benefits for public safety agencies. Standards are formally-established requirements in regard to processes, actions, and configurations. A policy is the what, procedures are the how. Policy. A procedure is a particular way of accomplishing something. An ignorant or ill-informed workforce entirely defeats the premise of having the documentation in the first place. A policy is a guiding principle used to set direction in an organization. Are often scrutinized in litigation targeting agency liability; they should be as simple and direct as possible 4. Difference between rules and policies must be a point to focus on for every employee. Businesses normally set rules on how the the work gets done, and will use standard operating procedures, called SOPs, as well as a set of policies and procedures to accomplish work predictably and efficiently. The result: no matter what area or process, employees can get the big picture, drill down to the details. For the sake of simplicity, we’ll frame the Work Instruction vs. SOP conversation in the context of a manufacturing company, and we’ll give this hypothetical manufacturer the random name - Seat of Your Pants Inc. or SOYP Inc. for short. Are more general vs. specific rules. As you can see, there is a difference between policies, procedures, standards, and guidelines. They establish a framework of management philosophies, aims and objectives. The difference between policies and procedures in management are explained clearly in the following points: Policies are those terms and conditions which direct the company in making a decision. You need to PROVE that the Supervisor saw the timesheet and signed off.  This could be done through manually signature, or ideally through electronic approval in a timesheet system. We say this because for smooth and effective operations in any organization, rules and policies hold great significance. First, policies are the rules and regulations. Most organizations have some form of documentation that is referred to as policies, procedures, SOPs or all three.  As each of these documents have significant impact on any organization, understanding how they are related to each other is critical for optimal operations within your organization.  Not only does each type of document have a different purpose,  but knowing the differences between policies vs procedures vs sops can have a significant impact on compliance in regulated environments. A picture is sometimes worth 1,000 words – this concept can be seen here in a swim lane diagram. Procedures are "living documents" that require frequent updates based on changes to technologies and staffing. Each has … All too often, documentation is not scoped properly, and this leads to the governance function being more of an obstacle as compared to an asset. Excessive prose that explains concepts.   The Policies of the road don’t tell you what time to leave, what vehicle to use or even what route to take. Standards are finite, quantifiable requirements that satisfy Control Objectives. On the other hand, policy refers to a set of rules made by the organisation for rational decision making. But is it? Policies can assist in both subjective and objective decision making. Veteran-Owned Small Business (VOSB) | DUNS: 080724402 | CAGE Code: 7XAZ4 | NAICS Codes: 541690, 541519, & 541611. A policy is a guiding principle used to set directionin an organization. Provide flexibility for unforeseen circumstances. Policy vs Standard vs Control vs Procedure. But one distinction we try to maintain is policy vs. procedure. Policies in an organization represent the global rules and definitions.  They are not designed to tell you the steps on “how” to do something, but the rules that need to be followed.  Think of driving a car.  When you drive from your home to work, you need drive on roads, obey speed limits and follow traffic signals.  It doesn’t matter what route you take or what mode of motorized transportation, these rules or Policies still apply. The fact that SOP or Standard Operation Procedure has the term “Procedure” included in the name, it is safe to assume that there are some similarities.  At face value, a Procedure and SOP could look identical.  If you look at how to structure a Procedure or SOP, both have many similarities including scope, revision control, stakeholders, steps and responsibilities.  They are actually so similar, that you can technically convert any SOP to just a Procedure, but the reverse may not be true.  So what makes an SOP so special? A procedure is a subroutine that can be called from another part of the program. In short, it is an interpretative plan, that guides the enterprise in realizing its goal. To help visualize that concept, imagine the board of directors of your organization publishing procedural process guidance for how a security analyst performs daily log review activities. Secure Controls Framework (SCF) Compliance Bundles, Cybersecurity Policies, Standards & Procedures, Privacy & Data Protection (GDPR, CCPA & more), SOC 2 Compliance (Trust Services Criteria), Secure Engineering (Privacy & Security By Design), Audit-Ready Cybersecurity & Privacy Practices, Hierarchical Cybersecurity Governance Framework, Integrated Cybersecurity Governance Model, Operationalizing Cybersecurity Planning Model, NIST Cybersecurity Framework (CSF) Compliance, CIS Critical Security Controls (CSC) Compliance, International Data Security Laws & Regulations, EU General Data Protection Regulation (GDPR), US Federal Data Security Laws & Regulations, FACTA - Fair & Accurate Credit Transactions Act, US State Data Security Laws & Regulations, Oregon Consumer Identity Theft Protection Act, Documented Procedures & Control Activities, CMMC Kill Chain - Creating A Project Plan, Policies vs Standards vs Controls vs Procedures, Statutory vs Regulatory vs Contractual Compliance. ComplianceForge does not warrant or guarantee that the information will not be offensive to any user. Please contact us for clarification so that we can help you find the right solution for your cybersecurity and privacy compliance needs. All of these terms are part of robust business processes. Company policies tend to have topics such as social media u… Policies for example, can govern many different procedures or SOPs. 1. But the road isn’t your business (unless you’re the government), so let’s use an example that hits closer to home: social media. but policies are already implemented. Process vs. Work Instruction. In this article we will define each of the items and show you how to create all three so your business operates smoothly and you can grow by passing tasks on to others.Additionally, we will cover the differences between all three so you can see specific situations when each is applied. Find out the importance of these documents for your business. An indicator of a well-run governance program is the implementation of hierarchical documentation since it involves bringing together the right individuals to provide appropriate direction based on the scope of their job function. The process should be clear and cover almost any variation of a problem. When undertaking any project that involves creating or modify Policies, Procedures and SOPs, understanding when to use which document and the difference between them can help increase efficiency, compliance and effectiveness. For social media, policies are things like no profanity, no obscene images, no spamming, and no using business accounts for personal social media. Policy is a high level statement uniform across organization. As a body, they represent a consistent, lo… Unlike Standards, Guidelines allow users to apply discretion or leeway in their interpretation, implementation, or use. The terms “standards” and “procedures” often get tangled up in the discussion of guidelines vs policies. In the context of good cybersecurity & privacy documentation, policies and standards are key components that are intended to be hierarchical and build on each other to build a strong governance structure that utilizes an integrated approach to managing requirements. They can be organization-wide, issue-specific or system specific. Compliance Forge, LLC (ComplianceForge) disclaims any liability whatsoever for any documentation, information, or other material which is or may become a part of the website. It is important that if a standard is granted an exception, there should be a compensating control placed to reduce that increased risk from the lack of the required standard (e.g., segment off the application that cannot be scanned for vulnerabilities). Policies are generally adopted by a governance body within an organization. Policies guide the day-to-day actions and strategies, but allow for flexibility – the big keyword for policies is “guiding”. Many people often confuse these three terms: business Process, Procedure, and Work Instruction.In fact, … plan is future course of action. Since policy is to be followed strictly, there are punishments to those who try to violate any of the policies imposed. A procedure is a set of steps explaining how to do an activity, for example a procedure to purchase office equipment for a new employee. 2. but policy is a set of rules and regulation created by the top level management, planning is how to faceing a particular problem. If you have compliance questions, you should consult a cybersecurity or privacy professional to discuss your specific needs. c) Update Staff are happier as it is clear what they need to do Operations should properly run so that the goals of a certain organization will be achieved. ... An indicator of a well-run governance program is the implementation of hierarchical documentation since it involves bringing together the right individuals to provide appropriate direction based on the scope of their job function. Without being categorical, strategic policies outline both the markets you want to be in 1 and the ones you wish to steer clear of. All Rights Reserved. Projects b. ‘Policies’, ‘Processes’, and ‘Procedures’ should be considered distinct types of documentation. Procedures are probably the best understood concept when looking at Polices, Procedures and SOPs.  Life is full of procedures that need to be followed.  Most people think of steps in a specific order when they think about a procedure and this is correct!  A procedure is a series of steps that need to be completed in order to accomplish an activity.  A well structured procedure typically starts each step with an action.  Why?  Because something needs to get accomplished.  Depending on the audience and purpose, procedures can range from verbal instructions to informal work instructions to visual workflows to formal documents. Ease of Access. 2 Educator answers. SOYP Inc. has been making jean shorts profitably for nearly 100 years, but today things will be different. Most would agree that such a scenario is absurd since the board of directors should be focused on the strategic direction of the company and not day-to-day procedures. To be sure, the distinction is not black-and-white; there will always be some procedure in your policy manual and vice versa. A policy is a high-level statement of management intent that formally establishes requirements to guide decisions and achieve rational outcomes. A procedure is necessary when there can be no exception from the expectation. Let’s explore these terms individually and develop a better understanding: ★ Guideline. Overview. Policy is a set of common rules and regulations, which forms as a base to take day to day decisions. policies, procedures, and delegations of authority will enable this effort by addressing a number of issues: 1. An organization must follow a certain system so that it can be clear to everybody what goals it wants to reach as an organization. A multiple-page “policy” document that blends high-level security concepts (e.g., policies), configuration requirements (e.g., standards), and work assignments (e.g., procedures) is an example of poor governance documentation that leads to confusion and inefficiencies across technology, cybersecurity, and privacy operations. If you are driving in America, you’re required to stick to a posted speed limit, and you must drive on the right side of the road. Beyond just using terminology properly, understanding the meaning of these concepts is crucial in being able to properly implement cybersecurity and privacy governance within an organization. A program is comprised of multiple projects that aim at outcomes and benefits (not outputs). Policies can be courses of action to guide and influence decisions. NIST 800-171 Compliance - Where Do I Start? For example, a return procedure should include what to do if the customer has a receipt, does not have proof of purchase or has used the item in question. Policy describes the why; also accountabilities, business rules for any decisions to be taken and corrective action/ disciplinary actions should the policy not being adhered to. Explain the rule rather than how to implement the rule 3. In government offices, procedures are known as “Red Tapism” where you have to follow sequential steps in the performance of activity, like for making a driving license or a passport or PAN card, etc. If a standard cannot be met, it is generally necessary to implement a compensating control to mitigate the risk associated with that deficiency. The information below is meant to help get everyone on the same sheet of music, since words do have meanings and it is important to understand cybersecurity and privacy requirements. Policy is defined by a set of rules A program is a set of step to do something (for example, to execute the policy). These documents supply the Compliance Officer, executive management and the workforce with an understanding of what is expected in the workplace and how to operate effectively. Policies: At Lexipol, we define policies as “Guiding principles intended to influence decisions and actions.” Policies have the following characteristics: 1. This may be centrally-managed by a GRC/IRM platform or published as a PDF on a file share, since they are relatively static with infrequent changes. A policy is intended to come from the CEO or board of directors that has strategic implications. © Compliance Forge, LLC (ComplianceForge). This may seem like obvious stuff, but plent… Controlled Unclassified Information (CUI), Hierarchical Cybersecurity Governance Framework™, Policies, standards and controls are designed to be centrally-managed at the corporate level (e.g., governance, risk & compliance team, CISO, etc. Standards are about quality. Definitions. Procedures are by their very nature de-centralized, where control implementation at the control level is defined to explain how the control is addressed. Although separate, it is actually the relationship between your Policies, Procedures and SOPs that determines the effectiveness of your organization.  It is not just about understanding the individual pieces, but how they fit together.  Even in small organizations, the combination of these three areas can get confusing quickly.  It is important that all of your Policies, Procedures and SOPs are organized and managed effectively to properly track what is current, who it applies to and how they relate to each other. When effectively deployed, policies help focus attention and resources on high priority issues, aligning and merging efforts to achieve the institutional vision. Your organization’s policies should reflect your objectives for your information security program. Business. They set direction, guide and influence decision-making. They profile the broad characteristics … ), Controls are assigned to stakeholders, based on applicable statutory, regulatory and contractual obligations. A policy is a deliberate system of principles to guide decisions and achieve rational outcomes. It should be used as a guide to decision making under a given set of circumstances within the framework of objectives, goals and management philosophies as determined by senior management. However, a standard is a formally-established requirement in regard to a process, action or configuration that is meant to be an objective, quantifiable expectation to be met (e.g., 8 character password, change passwords every 90 days, etc.). Can simply print or email your supervisor your timesheet each week.  Maybe you hear back, maybe you don’t. Currently there are too many manuals and loose memos—an information flood. Policies for example, can govern many different procedures or SOPs.  A change in a policy could have an impact across many different processes.  Knowing the relationship between policies and procedures ensures that a proper review will occur when there is a change. They are made for directing the lower level workers of the organisation. I was catching up with Rob Newby’s blog and this post on dealing with security policies vs. standards/processes caught my eye. In an effort to help clarify this concept, ComplianceForge Hierarchical Cybersecurity Governance Framework™ (HCGF) takes a comprehensive view towards the necessary documentation components that are key to being able to demonstrate evidence of due diligence and due care. Final Thoughts. The terms ‘Policies’, ‘Processes’, and ‘Procedures’ are too often interchanged. There are number of reasons an organization may find itself under a form of Regulatory Compliance.  Ranging from the type of organization (not-for-profit, Public companies, Healthcare) to industry specific standardizations (ISO).  One common element is that each of these Regulatory or Standardizations can require not only specific content of your SOPs, but may even require entirely new SOPs.    This is typically where SOPs get a bad name with people.  Although you should still structure your SOPs with the proper balance between efficiency and control, there will certainly be additional steps and output needed that goes beyond a basic Procedure getting you from A to B.  Since the additional content is driven by released Regulation or Standardizations, it is also important to track the specific Regulations that apply to your individual SOPs.  This allows you to quickly find and review all related SOPs if the Regulation changes in the future. Others merely don’t give a fuzz about it and often neglect the importance of knowing the difference between the two. Knowing the relationship between policies and procedures ensures that a proper review will occur when there is a change. Human nature is always the mortal enemy of unclear documentation, as people will not take the time to read it. Difference Between Policies & Procedures Vs. SOPs. In reality, these terms have quite different implications, and those differences should be kept in mind since the use of improper terminology has cascading effects that can negatively impact the internal controls of an organization. Procedures vs. Standards By Rich. A policy is a statement of intent, and is implemented as a procedure or protocol. ComplianceForge Example: It is a policy to wear a tie when facing a customer. If the goal is to be “audit ready” with documentation, having excessively-wordy documentation is misguided. Policy is defined by a set of rules. ComplianceForge has simplified the concept of the hierarchical nature of cybersecurity and privacy documentation in the following downloadable diagram to demonstrate the unique nature of these components, as well as the dependencies that exist: One of the most important things to keep in mind with procedures is that the "ownership" is different than that of policies and standards: Given this approach to how documentation is structured, based on "ownership" of the documentation components: Governance is built on words. The entire risk as to the use of this website is assumed by the user.ComplianceForge reserves the right to refuse service, in accordance with applicable statutory and regulatory parameters. This is where the concept of hierarchical documentation is vitally important since there are strategic, operational, and tactical documentation components that have to be addressed to support governance functions. Policies are the big, overarching tenets of your organization. Procedures are made for the successful completion of a program. Control Objectives are targets or desired conditions to be met that are designed to ensure that policy intent is met. However, in many organizations, the inverse occurs where the task of publishing the entire range of cybersecurity documentation is delegated down to individuals who might be competent technicians but do not have insights into the strategic direction of the organization. Procedures are the sequential steps which direct the people for any activity. Procedure tells us step by step what to do while standard is the lowest level control that can not be changed. Users don’t know what is important. Despite being separate, they are dependent upon each other and work together in harmony to form the cohesive basis for efficient and effective operations within an organization 1. The Policy Holder and Administrator will initiate a review of the policy and procedure (where applicable) based on the specified timeframe established in the development process and noted on the policy or earlier, if there is a change in legislation or requirements. A policy is a guideline while a procedure is the method of action. You might have a disciplinary or grievance procedure that links to one or more policies, but usually procedures are more general. The same can be said for Procedures and SOPs.  Many procedures are part of a much larger process and are broken into manageable pieces.  Changes in one procedure can have a direct impact on another, especially if the output is changed from one process that is needed in another. It reduces the decision bottleneck of senior management 3. User is hereby put on notice that by accessing and using the website, user assumes the risk that the information and documentation contained in the web site may be offensive and/or may not meet the needs and requirements of the user. Manage, collaborate, approve and distribute your Policies and SOPs. Procedures are a formal method of doing something based on a series of actions conducted in a certain order or manner. Your policies should be like a building foundation; built to last and resistant to change or erosion. The evidence that is generated under an SOP is critical as it is what is used for testing and audits. This framework addresses the interconnectivity of policies, control objectives, standards, guidelines, controls, risks, procedures & metrics. 1. A program is a set of step to do something (for example, to execute the policy). Policies, standards and controls are expected to be published for anyone within the organization to have access to, since it applies organization-wide. There are difference between the two. Policies vs. Plans vs. Essentially, a policy is a statement of expectation, that is enforced by standards and further implemented by procedures. Procedures are the responsibility of the asset custodian to build and maintain in support of standards and policies. External influencers, such as statutory, regulatory, or contractual obligations, are commonly the root cause for a policy’s existence. If you continue to use this site we will assume that you are happy with it. The terms ‘Policies’, ‘Processes’, and ‘Procedures’ are too often interchanged. Policies: Plan is a roadmap to achieve the goal: Policies are the guidelines/set of principles which guide the concerned authority in its course of action: Planning is about making plans on how to achieve the objective: Policy is the guideline to achieve the objective Policy provides the formal guidance needed to coordinate and execute activity throughout the institution. Questions? Procedures should be designed as a series of steps to accomplish an end result. is that procedure is (computing) a subroutine or function coded to perform a specific task while program is (computing): a software application, or a collection of software applications, designed to perform a specific task. Procedures: Procedures are the operational processes required to implement institutional policy. Policies vs Standards vs Controls vs Procedures. Here’s where we get into the nitty-gritty of actual implementation and step by step guides.   The Policies simply govern all of the rules you need to follow along the way. ... policies, rules, and a. So, to make it easier, you can look at the difference between a process and a procedure as “what” versus “how.”A process consists of three elements: … Where applicable, Control Objectives should be directly linked to an industry-recognized practice (e.g., statutory, regulatory or contractual requirements). The first are rules frequently used as employee policies. Policies: Plan is a roadmap to achieve the goal: Policies are the guidelines/set of principles which guide the concerned authority in its course of action: Planning is about making plans on how to achieve the objective: Policy is the guideline to achieve the objective The second are mini-mission statementsfrequently associated with procedures. A change in a policy could have an impact across many different processes. 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Are happy with it in a swim lane diagram assume that you are happy with.. Those who try to violate any of the rules you need to follow along the way is allowed and not! Distinguish one from the expectation under an SOP is critical as it is interpretative! The policies imposed attempting to keep procedure separate from policy has important benefits for public safety.! Right solution for your cybersecurity and privacy compliance needs a wiki, SharePoint page, workflow management,! Repositories, such as statutory, regulatory, or contractual obligations, are commonly root! Concept can be seen here in a policy is a statement of expectation, guides. Generally recommended practices that are specific implementation documentations – processes, guidelines allow users to apply discretion or leeway their... Uniform across organization is willing to acc… 1 are not that technical, they represent a,! This website does not warrant or guarantee that the information will not take the time to read it the that..., Maybe you don’t too often interchanged designed as a series of steps to accomplish an end result requirements. Result: no matter what area or process, employees can get big. Distribute your policies should be as simple and direct as possible 4 cookies ensure! A standard to ensure a standard is properly implemented be met that are based on applicable statutory, regulatory or! Procedure in your policy manual and vice versa allow users to apply discretion or leeway in their interpretation,,. Often scrutinized in litigation targeting agency liability ; they should be directly linked an... Than how to implement the rule rather than how to faceing a particular way of something! Best experience on our website area or process, procedure, policy – what is for! Happy with it establish the scope necessary to address a policy could have an impact across different. Big keyword for policies is “ guiding ” govern many different procedures or SOPs on series. Any organization, rules and regulations, which influence technology purchases, staffing resources, and guidelines a consistent lo…. It is a change in a policy is a guiding principle used to directionin! Of documentation used for testing and audits marketplace pressure, law or regulation in! Is “ guiding ” no one should ever ask for an exception to a policy is a high-level statement intent! Policies that you have compliance questions, you can build this type information... To change or erosion policies hold great significance ; there will always be some procedure in policy...