P&P Policies and Procedures Consulting
P&P Policies and Procedures Consulting

Subscribe to
The Policies & Procedures Authority Newsletter

The Policies & Procedures Authority – The newsletter about the art of transforming workplace learning and performance through Policies & Procedures Communication

Importance of Control Specialists in Policies & Procedures Development

– Raymond E. Urgo


Should control specialists, such as internal auditors, fraud experts, and financial managers, be involved in the development of policies and procedures (P&P)?


Absolutely—a P&P writer, analyst, specialist, consultant, or person in these roles should involve control specialists, along with subject matter experts, managers, and end-users, as team members in the development and maintenance of P&P and associated documentation.

Importance of control specialists

Control specialists are often forgotten in P&P development teams. One of the reasons for P&P is to provide for internal controls in organizations. To safeguard assets from misappropriation and to protect against fraud, the participation of control specialists is increasingly more essential. The involvement of control specialists ensures that necessary and effective internal controls exist for business systems, use of technologies, and for providing products and services that are in compliance with government and industry regulations, as well as in agreement with organizational principles and strategies.

Control specialists can assist

As with the other team members involved in P&P development, control specialists can contribute ideas and feedback about the appropriateness, effectiveness, and efficiency of the P&P necessary for internal controls. Control specials have unique knowledge that other team members may not have about the accuracy necessary to ensure closure for business processes. They can also provide additional advice on trends, best practices, and forthcoming regulations, as well as advice about the impact these regulations will have on organizational practices.


One of the reasons for P&P is to ensure that internal controls are in place. Therefore, it is imperative that control specialists be included as members of P&P assessment and development teams. The more roles and perspectives represented on a team, the more likely creative ideas and comprehensive approaches will result in solving organizational challenges.

For advice on maximizing the development of your policies and procedures through control specialists and other roles, contact Urgo & Associates.