More than Just Certification: The Importance of Structured Documentation

Published June 24, 2024

Achieving Certification

Internal audits and management reviews are pivotal components in any governance, risk, and compliance (GRC) framework. Klever Compliance consistently works with client documentation which is written to define measurable controls in support of certifications and audits. This article illustrates the importance of a structured approach to information security and management.

The Importance of Structured Documentation

In any governance positioning or program, maintaining a template and methodology for tracking information is crucial. The documents used in this process should serve specific purposes, ensuring consistency in details such as headers and footers. Proper documentation of policies and processes doesn’t need to be overly complex but should accurately reflect the company's operations. These documents provide guidance for employees to be successful and offer structure for company operations.

Starting with the Basics: Templates and Methodologies

The GRC Center of Excellence begins with robust document templates. It's essential to avoid vague terms like “occasionally,” “periodically,” “routinely,” “from time to time,” “frequently,” and “recurring.” These terms are too subjective to be relied on when gathering evidence. Specify the frequency, assign responsibilities, and define success criteria. Automation of controls is impossible without specific details.

Defining Company Documents

When defining what is required for company documents, ensure these definitions for each document reflect the words used in that document. Avoid simply copying and pasting text or adding unnecessary words. Here are some critical components to include:

• Purpose and Scope: Clearly define the intent and extent of each document.

• Definitions: Include relevant definitions to ensure clarity and consistency.

• Internal Audits and Management: Outline procedures for internal audits and management reviews.

• Record Management Protocol: Specify how data is gathered, the frequency of data collection, and data retention policies. Ensure that practices and policies are aligned.

• Training and Communication: Detail the training requirements and how information will be disseminated.

• Related Internal Documents: Refer to related documents rather than duplicating content. This approach helps in maintaining version control.

• External References: Mention external controls and frameworks that guided the document creation.

• Exception Process/Request: Define how exceptions are handled and requests are processed.

• Non-compliance: Outline the consequences and actions for non-compliance.

• Revision Schedule: Establish a schedule for reviewing and updating documents, typically annually or as needed.

By incorporating these elements into their documentation process, Klever Compliance’s clients not only achieve certification and audit readiness but also set a foundation for ongoing compliance and operational excellence. Structured documentation and clear, specific policies are key to a successful GRC program, ensuring that the company can meet regulatory requirements and maintain effective control over its operations.

At Klever Compliance, we transform GRC from a daunting challenge into a valuable asset for your business. Partner with us to achieve seamless governance, risk management, and compliance that makes sense for you. Transform the overwhelming to the empowering.

… article collaboratively written by Katherine Burke & Karina Klever