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Policy and Procedure Management

The complex process of managing policy and procedure development and implementation directly affects organizational performance. Employees need to find the right policies and procedures quickly and administrators need tools to simplify the policy management process. The Policy and Procedure Management module enables your organization to achieve these results. It helps you centralize, organize, communicate, and track your policies and procedures.
Centralize. Organize. Communicate. Track.
Centralize: Finding a policy or a procedure quickly when you need it can be frustrating. The Policy and Procedure Management application eliminates this frustration by directing you to a single site for all your policies and procedures. No more searching endlessly to find what you need.
Organize: Organizing and maintaining policies and procedures across lines of business or departments can be challenging. The Policy and Procedure Management application simplifies this process. Administrators can organize policies and procedures by type, category, line of business, etc.; control who sees what; and manage individual policies and procedures throughout the policy life cycle.
Communicate: Getting the right information to the right people at the right time is a constant challenge. The Policy and Procedure Manager alerts employees to new procedures or recent changes to policies via e-mail. Plus, employees only see what they need to see–—that is, they have access only to those policies, procedures, and related documents that you want them to see.
Track: Knowing that an employee has been made aware of a policy or a procedure is of critical importance. The Policy and Procedure Manager tracks each user’s visit to a policy and any acknowledgments of new (or changes to) policies and procedures, creating a critical audit trail.


  1. Centralized Management
    Centralized Management
    One location for managing (and viewing) all policies, procedures, manuals, etc.
  2. Flexible Approval Workflows
    Flexible Approval Workflows
    Automate your review and approval process with customizable templates.
  3. Policy Test Administration
    Policy Test Administration
    Administer functionality testing of policies and procedures in accordance with FINRA Rule 3130.
  4. Policy Attributes
    Policy Attributes
    Standard and custom attributes can be unique for each policy type (policy, procedure, guidance or legal, compliance, HR...).
  5. Policy Mapping
    Policy Mapping
    Map enterprise policies to related line of business policies, procedures and training.
  6. Single-Source Content
    Single-Source Content
    Aggregate policies and procedures in end-user manuals without the headache of managing multiple copies.