Policy Approval Workflow and Maintenance

Why Policy Approval Matters

Auditors don't just check if policies exist—they verify:

Policies are formally approved by appropriate authority
Approval dates are documented
Approval processes are followed consistently
Policies are reviewed and reapproved periodically
Changes go through proper approval workflows

Unapproved or informally approved policies may not satisfy compliance requirements.

Policy Approval Authority

Determine who must approve each policy type:

Executive Approval

Typically required for:

Information Security Policy: CEO or Board
Privacy Policy: CEO, General Counsel, or Privacy Officer
Risk Management Policy: CEO or Board
Business Continuity Policy: CEO or COO

Executive approval demonstrates top-down commitment to security and compliance.

Department Leadership Approval

Appropriate for:

Access Control Policy: CTO, CISO, or IT Director
Change Management Policy: Engineering Director or CTO
Incident Response Policy: CISO or Security Director
HR Policies: Chief People Officer or HR Director

Department leaders approve policies governing their operational areas.

Technical Approval

May be sufficient for:

Standard Operating Procedures: Team leads or managers
Technical guidelines: Architecture or security teams
Implementation details: Engineering or IT managers

Lower-level documents can have lighter approval requirements.

Setting Up Approval Workflows

DSALTA enables structured approval processes:

Defining Approvers

For each policy:

Navigate to the policy detail page
Click Manage Approval or Set Approvers
Add one or more approvers
Specify if approval is serial (one after another) or parallel (all at once)
Save the approval configuration

Approval Types

Single Approver: One person must approve (fastest, appropriate for operational policies)

Multiple Approvers - Parallel: All approvers review simultaneously (faster, appropriate when consensus is needed)

Multiple Approvers - Serial: Approvers review in sequence (slower, appropriate for hierarchical review)

Unanimous: All approvers must approve (strictest, appropriate for critical policies)

Majority: More than half must approve (balanced, appropriate for collaborative policies)

The Approval Process

Submitting for Approval

Once a policy is ready:

Review the policy one final time
Click Submit for Approval
Add a message to approvers explaining changes (if it's a revision)
Confirm submission

Approvers receive notifications with direct links to review the policy.

Reviewer Actions

Approvers can:

Approve: Accept the policy as written
Request Changes: Send back for revision with specific feedback
Reject: Decline approval with explanation

Revision Cycles

If changes are requested:

Policy returns to "Draft" status
Owner makes requested revisions
Policy is resubmitted for approval
Review cycle repeats until approved

Track revision history to show auditors how policies evolved through the approval process.

Final Approval

Once all approvers have approved:

Policy status changes to "Approved"
The effective date is recorded
The next review date is calculated
Version is locked (edits create a new version)
Policy becomes active

[Screenshot needed: Policy showing approval status and approver signatures/dates]

Approval Documentation

DSALTA automatically captures:

Who approved the policy
When they approved it
What version was approved
Any comments provided
Full audit trail of the approval process

This documentation is essential during audits to prove policies are formally approved.

Policy Effective Dates

Distinguish between:

Approval Date: When policy was formally approved

Effective Date: When policy takes effect (can be future-dated)

Last Review Date: Most recent review or revision

Next Review Date: When policy should be reviewed next

Example: A policy approved on December 1st might have an effective date of January 1st to align with the new year.

Policy Review Schedule

Establish regular review cycles:

Annual Reviews

Most policies should be reviewed at least annually:

Information Security Policy
Access Control Policy
Data Classification Policy
Incident Response Policy
Most operational policies

Biannual Reviews

More dynamic areas may need twice-yearly reviews:

Change Management Policy (if rapid development pace)
Vendor Management Policy (if frequent vendor changes)
Training Policy (if evolving training needs)

Triggered Reviews

Some events trigger immediate policy reviews:

Security incidents revealing policy gaps
Organizational changes (acquisitions, restructuring)
New regulatory requirements
Framework updates or new certifications
Audit findings requiring policy updates
Significant technology changes

Conducting Policy Reviews

The review process should:

Verify Accuracy

Does the policy reflect current practices?
Are tools and systems mentioned still in use?
Are roles and responsibilities current?
Are timelines and frequencies accurate?

Check Completeness

Are there gaps in coverage?
Do new risks need addressing?
Are all framework requirements covered?
Have new business processes been incorporated?

Assess Effectiveness

Is the policy being followed?
Are there frequent violations or exceptions?
Do employees understand it?
Does it achieve its security objectives?

Update as Needed

Revise outdated sections
Add new requirements
Remove obsolete content
Improve clarity where confusion exists

[Screenshot needed: Policy review reminder or review status tracking]

Version Management

Each policy update creates a new version:

Major Revisions

Significant changes requiring full reapproval:

Substantial content changes
New requirements or procedures
Scope changes
Responsibility changes

Increment major version number (1.0 → 2.0)

Minor Revisions

Small updates or clarifications:

Correcting typos
Updating contact information
Clarifying existing language
Formatting improvements

Increment minor version number (1.0 → 1.1)

Revision Notes

Document what changed and why:

Summary of changes
Reason for update
Date of revision
Approver information

Policy Communication

After approval, communicate policies to affected teams:

New Policies:

Announce via email or company channels
Provide a summary of key requirements
Offer training if needed
Make policy easily accessible
Set expectations for compliance

Policy Updates:

Highlight what changed
Explain why changes were made
Note any new requirements
Provide a transition period if needed
Offer Q&A sessions for significant changes

Policy Acknowledgment

For critical policies, collect employee acknowledgments:

Employees read the policy
Confirm understanding
Agree to comply
Acknowledgment is documented

Track acknowledgments by:

Employee name
Date of acknowledgment
Policy version acknowledged
Re-acknowledgment for major updates

Policy Exceptions

Sometimes legitimate business needs require policy exceptions:

Exception Request Process

The requester submits a formal exception request
Document business justification
Assess the risk of the exception
Approve or deny with rationale
If approved, document:
- Specific exception granted
- Compensating controls implemented
- Duration of exception
- Review and renewal requirements