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Using Policies, Processes, and Procedures

The easiest way to think about Policies, Processes, and Procedures is in the level of detail contained within each item (Figure X-1). Processes can be described as being at a high level and operating across an organization’s various functions, whereas procedures are at a lower level and contain more detailed information, breaking down the various activities within a process.

Figure X-1. Process map Figure X-1. Process map

In simple terms, the primary difference between a process and a procedure is that a process is what you do and a procedure is how you do it.

Policies are at the macro level of detail and contain guiding principles or rules intended to influence decisions and actions carried out in Processes and Procedures. All are innately linked and, depending on the organization’s needs, may or may not be required in order to execute day-to-day activities or Process ImprovementOpens in new window efforts.

Processes are an excellent means of displaying a series of related activities in an easy to understand format; however in many cases they are deemed too high level for employees to use to perform their day-to-day tasks.

The most common solution to this problem is to pair process diagrams and procedural detail together, clearly detailing the steps in a process that a procedure refers to. By doing this, employees can see the greater context and implications of the cross-functional process while also having the level of detail required to successfully complete their duties.

When proper policies exist, everyone within an organization who is using different processes and procedures will be able to see the connection of what they are doing to why they are require to do so in a certain manner.

The most important element is that there is a cascading effect of improvements made at a higher level on those at a lower level. If a recommendation to replace a given Policy with a better one is made and accepted by business Process Owners, then corresponding changes in the subsequent Processes and Procedures must follow in order to ensure compliance.

Policies, Processes, and Procedures are all part of an organization’s Process Ecosystem and usually work best when all are managed together. Table X-1 outlines the distinguishing characteristics of a policy, process and procedure.

Table X-1 | Distinguishing Characteristics of a Policy, a Process, and a Procedure
The distinctions commonly drawn between Policies, Process, and Procedures can be subtle, however, there are characteristics that help discern Policy from Process and Procedure. They are:
PoliciesProcessesProcedures
  • Policies are driven by environmental factors
  • Processes are driven by achievement of a desired outcome
  • Procedures are driven by completion of a task
  • Policies are adhered to
  • Processes are operated
  • Procedures are executed
  • Policies statements serve to guide process design and operation
  • Process activities are completed by different people with the same objectives, department barriers are non-existent
  • Procedures steps are completed by different people in different departments with different objectives
  • Policies are expressed in broad terms and guide activities
  • Processes are less detailed and describe what activities should occur
  • Procedures are highly detailed and describe how activities are executed
Table X-1 Continues
PoliciesProcessesProcedures
  • Policies focus on satisfying controls
  • Processes focus on satisfying customers
  • Procedures focus on satisfying rules and standards
  • Policies define organizational constraints
  • Processes transform inputs into outputs through use of resources
  • Procedures define the sequence of steps to execute a task
  • Policies are evolutionary
  • Processes are dynamic
  • Procedures are static
  • Policies guide people, actions, and events
  • Processes cause things or events to happen
  • Procedures cause people to take actions and decisions
  • Policies change less frequently
  • Processes change gradually
  • Procedures are prone to change
  • Policies have widespread application
  • Processes are moderately spread
  • Procedures have narrow application

Best Practices for Developing Policies, Processes, and Procedures

The following list describes best practices for developing and implementing Business Processes, Policies, and Procedures for use across an organization:

  • Establish format, content, and writing standards for all three items
  • Identify who will write, review, and maintain the documents
  • Write Policies, Processes, and Procedures in separate documents
  • Ensure each document is written with clear, concise, simple language
  • Ensure documentation is easy to access, use, and update
  • Setup common vocabulary to reduce confusion and ensure consistency of terms
  • Use version controls to ensure proper document management
  • Ensure subject matter experts are identified and readily available to resolve issues
  • Develop each artifact with the customer and/or user in mind (internal or exrternal)
  • Ensure each document does not include any unnecessary information

Benefits of Developing Policies, Processes, and Procedures

Development of Policies, Processes, and Procedures helps organizations:

  • Provide visibility into areas of quality, productivity, cost, and schedule
  • Improve communication and understanding
  • Plan and execute activities in a disciplined fashion
  • Capture lessons learned
  • Facilitate the execution of organization-wide processes
  • Analyze and continuously improve operations
  • Reach new maturity levels
  • Provide a basis for training and skills assessment
The series:
    Research data for this work have been adapted from the manual:
  1. Tristan Boutros, Tim Purdie. The Process Improvement Handbook: A Blueprint for Managing Change and Increasing Organizational Performance.
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