How to document compliance procedures
Document a compliance procedure by linking each required action to its trigger, owner, control objective, evidence and exception route. See a worked QueryChart process and practical steps for applying it.
Document a compliance procedure by linking each required action to its trigger, owner, control objective, evidence and exception route.
The short version
- Specify the control: State the applicable requirement, scope, trigger and expected result in plain language.
- Map decisions and records: For each step name its owner, input, output, evidence and escalation path.
- Govern publication: Review against the requirement, approve, publish, train affected users and schedule re-review.
How to document compliance procedures in practice
A procedure that says comply with policy is not actionable. The reader needs to know when to act, what decision to make, which record to produce and when to escalate a conflict or exception.
Begin with the obligation and control objective, map the real workflow with decision branches, name the evidence at each gate, then review it with the people who perform and test the work. Approve and version the published procedure.
See the compliance policy exception process workflow
Step through the decisions behind how to document compliance procedures.
Specify the control
The request captures the exact policy clause and affected scope, a reusable model for any compliance procedure trigger.
Map decisions and records
A decision tests external duties before an internal exception can proceed, so the branch is legally meaningful.
Govern publication
Measures, monitoring, expiry and remediation are explicit outputs that reviewers can sample later.
How it works
Specify the control
State the applicable requirement, scope, trigger and expected result in plain language.
Map decisions and records
For each step name its owner, input, output, evidence and escalation path.
Govern publication
Review against the requirement, approve, publish, train affected users and schedule re-review.
Mistakes to avoid
Missing the decision record
Keep the actor, decision and effective state alongside the output. A procedure that says comply with policy is not actionable. The reader needs to know when to act, what decision to make, which record to produce and when to escalate a conflict or exception.
Open the worked process
Use the linked compliance policy exception process template to adapt the workflow to your team.
Frequently asked questions
How detailed should a procedure be?
Detailed enough that a new trained user can execute the control and produce the required evidence.
Where do exceptions go?
Give them a named route with approval, compensating measures, expiry and remediation.
Who should review it?
The control owner, affected operators and relevant compliance specialists.