From 06c2b68b30298611867501f5fc18019151790876 Mon Sep 17 00:00:00 2001 From: Mike Kell Date: Fri, 3 Apr 2026 19:33:22 -0400 Subject: [PATCH] Add policy repository structure and initial governance documents --- policies/README.md | 166 +++++++++++++++ .../KC-POL-GOV-001-document-control-policy.md | 194 ++++++++++++++++++ ...-policy-review-and-retirement-procedure.md | 192 +++++++++++++++++ policies/register/document-control-log.csv | 1 + policies/register/exception-register.csv | 1 + policies/register/policy-register.csv | 1 + policies/register/review-calendar.csv | 1 + policies/templates/exception-template.md | 51 +++++ policies/templates/form-template.md | 38 ++++ policies/templates/policy-template.md | 56 +++++ policies/templates/procedure-template.md | 51 +++++ policies/templates/standard-template.md | 47 +++++ 12 files changed, 799 insertions(+) create mode 100644 policies/README.md create mode 100644 policies/active/governance/KC-POL-GOV-001-document-control-policy.md create mode 100644 policies/active/governance/KC-PRO-GOV-001-policy-review-and-retirement-procedure.md create mode 100644 policies/register/document-control-log.csv create mode 100644 policies/register/exception-register.csv create mode 100644 policies/register/policy-register.csv create mode 100644 policies/register/review-calendar.csv create mode 100644 policies/templates/exception-template.md create mode 100644 policies/templates/form-template.md create mode 100644 policies/templates/policy-template.md create mode 100644 policies/templates/procedure-template.md create mode 100644 policies/templates/standard-template.md diff --git a/policies/README.md b/policies/README.md new file mode 100644 index 0000000..08b19ff --- /dev/null +++ b/policies/README.md @@ -0,0 +1,166 @@ +# Policy Repository + +This directory contains the controlled policy, procedure, standard, guideline, form, exception, and evidence records for the Kell Creations platform. + +## Purpose + +The purpose of this repository structure is to provide a controlled, auditable, and maintainable lifecycle for business policies and supporting governance records. + +This repository supports: + +- document creation +- review and approval +- publication to active status +- version control +- retirement of superseded documents +- retention of approval and retirement evidence + +## Repository Structure + +### `active/` +Contains approved documents that are currently in force. + +### `drafts/` +Contains documents being authored or revised before formal review. + +### `review/` +Contains documents that are under formal review and awaiting approval, rejection, or revision. + +### `retired/` +Contains documents that are no longer active because they were superseded, withdrawn, or retired. + +### `templates/` +Contains approved starter templates for controlled documents. + +### `register/` +Contains the master document register and supporting control logs. + +### `evidence/` +Contains approval records, review records, exceptions, and retirement evidence. + +## Lifecycle Model + +Controlled documents move through the following lifecycle: + +1. Draft +2. Review +3. Active +4. Superseded or Revised +5. Retired + +Documents should not skip lifecycle stages without documented approval. + +## Document Types + +The following document types are supported: + +- Policy +- Procedure +- Standard +- Guideline +- Form +- Exception + +## Naming Convention + +Documents should follow this pattern: + +`KC----.md` + +Examples: + +- `KC-POL-GOV-001-document-control-policy.md` +- `KC-PRO-GOV-001-policy-review-and-retirement-procedure.md` +- `KC-STD-MKT-001-social-media-publishing-standard.md` + +### Type codes + +- `POL` = Policy +- `PRO` = Procedure +- `STD` = Standard +- `GLD` = Guideline +- `FRM` = Form +- `EXC` = Exception + +### Domain codes + +- `GOV` = Governance +- `OPS` = Operations +- `ECM` = Ecommerce +- `MKT` = Marketing +- `MFG` = Manufacturing +- `FIN` = Finance +- `IT` = Information Technology +- `SEC` = Security +- `PRV` = Privacy + +## Required Metadata + +All controlled documents must begin with YAML front matter that includes: + +- `document_id` +- `title` +- `document_type` +- `domain` +- `version` +- `status` +- `owner` +- `reviewers` +- `approver` +- `effective_date` +- `next_review_date` +- `supersedes` +- `related_documents` +- `related_systems` +- `retention_period` +- `confidentiality` + +## Document Control Rules + +- All controlled documents must be stored in Git. +- All changes must be reviewed through the approved repository workflow. +- Active documents must have an approver and effective date. +- Superseded documents must be moved to `retired/`. +- Approval and retirement actions must be reflected in the control logs under `register/`. +- Evidence of approval, review, exception, or retirement should be preserved under `evidence/`. + +## Registers + +### `policy-register.csv` +The master index of controlled documents. + +### `document-control-log.csv` +The record of lifecycle changes and status transitions. + +### `review-calendar.csv` +The schedule for periodic policy review. + +### `exception-register.csv` +The record of approved and tracked exceptions. + +## Recommended Workflow + +1. Create a new document in `drafts/`. +2. Assign owner, reviewers, and proposed approver. +3. Move document to `review/` when ready for formal review. +4. Approve and move to `active/` when authorized. +5. Update the document register and control log. +6. Move superseded versions to `retired/`. +7. Store supporting approval or retirement evidence in `evidence/`. + +## Relationship to Architecture and Operations + +This policy repository supports the architecture and workflow documentation maintained elsewhere in the repository, including: + +- policy lifecycle workflows +- audit and compliance architecture +- CI/CD workflow documentation +- operating procedures for controlled publication + +## Ownership + +Unless otherwise specified in a document, repository governance is owned by the Kell Creations business owner. + +## Summary + +This policy repository is the controlled governance layer for Kell Creations documentation, operational rules, and retained compliance evidence. \ No newline at end of file diff --git a/policies/active/governance/KC-POL-GOV-001-document-control-policy.md b/policies/active/governance/KC-POL-GOV-001-document-control-policy.md new file mode 100644 index 0000000..4bce5fe --- /dev/null +++ b/policies/active/governance/KC-POL-GOV-001-document-control-policy.md @@ -0,0 +1,194 @@ +--- +document_id: KC-POL-GOV-001 +title: Document Control Policy +document_type: Policy +domain: Governance +version: 1.0 +status: Active +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: 2026-04-03 +next_review_date: 2027-04-03 +supersedes: None +related_documents: + - KC-PRO-GOV-001 +related_systems: + - Kell Creations Platform + - Policy Repository + - Forgejo Git + - Compliance Evidence Repository +retention_period: 3 years +confidentiality: Internal +--- + +# Purpose + +The purpose of this policy is to establish a controlled and auditable process for creating, reviewing, approving, publishing, revising, superseding, retaining, and retiring official Kell Creations governance and operational documents. + +# Scope + +This policy applies to all controlled documents maintained within the Kell Creations repository structure, including: + +- policies +- procedures +- standards +- guidelines +- forms +- exception records + +This policy applies to all business areas using the policy repository, including governance, operations, ecommerce, marketing, manufacturing, finance, information technology, security, and privacy. + +# Policy Statement + +Kell Creations shall maintain all controlled documents through a defined document lifecycle that supports traceability, version control, formal approval, and retention of evidence. + +Controlled documents must be: + +- uniquely identified +- versioned +- assigned an owner +- reviewed before activation +- approved before publication to active status +- retained in version-controlled form +- retired when superseded, obsolete, or withdrawn + +No document shall be treated as active policy unless it is stored in the approved repository structure, has required metadata, and has been formally approved. + +# Document Lifecycle Requirements + +## Draft + +A document begins in draft status while being authored or revised. + +Draft documents must: + +- use an approved template where applicable +- include required metadata +- identify an owner +- be stored in the `drafts/` area unless formally advanced + +## Review + +A document moves to review status when the owner determines it is ready for formal evaluation. + +Review documents must: + +- identify reviewers +- be evaluated for completeness, clarity, and applicability +- remain unchanged except through controlled revision + +## Active + +A document becomes active only after formal approval by the named approver. + +Active documents must: + +- include an effective date +- include a next review date +- be stored in the `active/` area +- be referenced in the document register + +## Revision and Supersession + +When an active document is changed materially, the revised version must proceed through draft and review before replacing the active version. + +Superseded versions must not remain in the active area. + +## Retirement + +A document shall be retired when it is no longer needed, replaced, withdrawn, or no longer applicable. + +Retired documents must: + +- be moved to the `retired/` area +- retain their historical metadata +- be referenced in the control log +- retain supporting retirement evidence when required + +# Metadata Requirements + +All controlled documents must include front matter with the required metadata fields defined in the repository guidance. + +Missing or incomplete metadata makes a document ineligible for active status. + +# Version Control Requirements + +Controlled documents must be maintained in the Kell Creations Git repository. + +All lifecycle changes must be traceable through version history and supporting control records. + +Git history supports technical traceability, but document register and control log updates are still required for formal lifecycle accountability. + +# Roles and Responsibilities + +## Business Owner + +The Business Owner shall: + +- approve active policies and procedures unless delegated otherwise +- ensure document control is enforced +- review high-impact governance changes +- approve retirement of major governing documents +- ensure repository integrity and governance consistency + +## Document Owner + +The document owner shall: + +- maintain document accuracy +- initiate review when updates are needed +- ensure metadata is complete +- coordinate revisions and corrections +- ensure the document is moved through the proper lifecycle state + +## Reviewers + +Reviewers shall: + +- evaluate assigned documents for accuracy and applicability +- provide timely feedback +- identify conflicts, ambiguity, or missing controls + +## Operations Staff + +Operations Staff shall: + +- use active documents as authoritative references +- support document updates where assigned +- avoid relying on draft or retired documents for active operations + +# Document Registers and Evidence + +The following records must be maintained: + +- `policy-register.csv` +- `document-control-log.csv` +- `review-calendar.csv` +- `exception-register.csv` when applicable + +Approval, review, exception, and retirement evidence should be preserved under the `evidence/` structure when required by the document type or business need. + +# Exceptions + +Exceptions to this policy must be documented, justified, approved, time-bounded where appropriate, and recorded as controlled exception records. + +No informal exception overrides this policy. + +# Compliance and Enforcement + +Failure to maintain document control may result in: + +- use of outdated or unauthorized guidance +- inconsistent business execution +- loss of approval traceability +- reduced audit readiness + +Noncompliant documents may be withdrawn from active use until corrected. + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 1.0 | 2026-04-03 | Initial active release | Business Owner | Business Owner | \ No newline at end of file diff --git a/policies/active/governance/KC-PRO-GOV-001-policy-review-and-retirement-procedure.md b/policies/active/governance/KC-PRO-GOV-001-policy-review-and-retirement-procedure.md new file mode 100644 index 0000000..b823af9 --- /dev/null +++ b/policies/active/governance/KC-PRO-GOV-001-policy-review-and-retirement-procedure.md @@ -0,0 +1,192 @@ +--- +document_id: KC-PRO-GOV-001 +title: Policy Review and Retirement Procedure +document_type: Procedure +domain: Governance +version: 1.0 +status: Active +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: 2026-04-03 +next_review_date: 2027-04-03 +supersedes: None +related_documents: + - KC-POL-GOV-001 +related_systems: + - Policy Repository + - Forgejo Git + - Compliance Evidence Repository +retention_period: 3 years +confidentiality: Internal +--- + +# Purpose + +This procedure defines the steps used to review active controlled documents and to retire documents that are superseded, obsolete, or no longer applicable. + +# Scope + +This procedure applies to all controlled documents maintained under the Kell Creations policy repository structure. + +# Preconditions + +Before starting this procedure, the following should exist: + +- the target document is identified +- the current version is available in the repository +- the owner and approver are known +- supporting review or retirement rationale is available + +# Procedure Steps + +## A. Periodic Review Process + +### 1. Identify review candidate + +Identify a document for review using one or more of the following: + +- scheduled review date +- business process change +- system change +- regulatory or governance update +- issue discovered during operations +- owner-requested review + +### 2. Confirm current document state + +Verify: + +- document ID +- version +- current status +- owner +- file location +- related documents +- next review date + +### 3. Evaluate the document + +Review the document for: + +- continued applicability +- accuracy +- clarity +- completeness +- consistency with current business practice +- consistency with related architecture, systems, and workflows + +### 4. Determine review outcome + +Select one of the following outcomes: + +- no change required +- revise and resubmit +- supersede with a new version +- retire document + +### 5. Record review result + +Update the appropriate records, including: + +- `review-calendar.csv` +- `document-control-log.csv` + +If no change is required, update the next review date and close the review cycle. + +## B. Revision and Supersession Process + +### 6. Create revised draft + +If revision is required, create or update the next version in the appropriate `drafts/` area. + +### 7. Route for review + +Move or track the revised document through the `review/` state and gather reviewer input. + +### 8. Obtain approval + +Obtain formal approval from the named approver. + +### 9. Publish revised version + +After approval: + +- place the approved document in the correct `active/` location +- update version and effective date +- update the document register +- log the transition in the control log + +### 10. Retire superseded version + +Move the superseded active version to the appropriate `retired/` location and record the supersession in the control log. + +## C. Retirement Process + +### 11. Identify retirement basis + +A document may be retired because it is: + +- replaced by a newer version +- no longer applicable +- obsolete due to process or system change +- withdrawn by management decision + +### 12. Confirm retirement impact + +Before retiring the document, confirm: + +- no current dependency requires it to remain active +- users can be directed to a replacement, if applicable +- related records are updated +- evidence of the retirement decision is captured when needed + +### 13. Obtain retirement approval + +The named approver must approve retirement before the document is removed from the active set. + +### 14. Move document to retired state + +Move the document to the matching path under `retired/`. + +Do not delete retired controlled documents unless a separate retention rule explicitly authorizes deletion. + +### 15. Update records + +Update: + +- `policy-register.csv` +- `document-control-log.csv` +- `review-calendar.csv` as applicable + +### 16. Preserve evidence + +Store supporting evidence in the appropriate evidence folder when required, including: + +- approval note +- review outcome +- supersession reference +- retirement rationale + +# Outputs + +This procedure should result in one or more of the following: + +- updated active document +- retired document +- updated review date +- updated registers and control log +- retained approval or retirement evidence + +# Exceptions and Escalation + +If review cannot be completed on time, or if ownership, applicability, or replacement status is unclear, escalate to the Business Owner. + +If an active document appears unsafe, misleading, or materially outdated, it should be flagged for immediate review and may be temporarily withheld from operational use pending decision. + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 1.0 | 2026-04-03 | Initial active release | Business Owner | Business Owner | \ No newline at end of file diff --git a/policies/register/document-control-log.csv b/policies/register/document-control-log.csv new file mode 100644 index 0000000..ef54882 --- /dev/null +++ b/policies/register/document-control-log.csv @@ -0,0 +1 @@ +timestamp,document_id,action,from_status,to_status,version,performed_by,approved_by,notes \ No newline at end of file diff --git a/policies/register/exception-register.csv b/policies/register/exception-register.csv new file mode 100644 index 0000000..b2d1b2f --- /dev/null +++ b/policies/register/exception-register.csv @@ -0,0 +1 @@ +exception_id,related_document_id,title,owner,approver,status,effective_date,expiration_date,notes \ No newline at end of file diff --git a/policies/register/policy-register.csv b/policies/register/policy-register.csv new file mode 100644 index 0000000..6658054 --- /dev/null +++ b/policies/register/policy-register.csv @@ -0,0 +1 @@ +document_id,title,document_type,domain,version,status,owner,approver,effective_date,next_review_date,supersedes,file_path \ No newline at end of file diff --git a/policies/register/review-calendar.csv b/policies/register/review-calendar.csv new file mode 100644 index 0000000..8030746 --- /dev/null +++ b/policies/register/review-calendar.csv @@ -0,0 +1 @@ +document_id,title,owner,current_version,status,next_review_date,review_cycle,notes \ No newline at end of file diff --git a/policies/templates/exception-template.md b/policies/templates/exception-template.md new file mode 100644 index 0000000..ea35c93 --- /dev/null +++ b/policies/templates/exception-template.md @@ -0,0 +1,51 @@ +--- +document_id: KC-EXC-XXX-001 +title: Exception Title +document_type: Exception +domain: Domain Name +version: 0.1 +status: Draft +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: TBD +next_review_date: TBD +supersedes: None +related_documents: [] +related_systems: [] +retention_period: 3 years +confidentiality: Internal +--- + +# Exception Summary + +Describe the requested exception. + +# Related Policy or Standard + +List the governing document and requirement being excepted. + +# Business Justification + +Explain why the exception is needed. + +# Risk and Impact + +Describe operational, financial, security, or compliance impact. + +# Compensating Controls + +List temporary or alternate controls. + +# Approval + +- Approver: +- Decision: +- Expiration Date: + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 0.1 | TBD | Initial draft | TBD | TBD | \ No newline at end of file diff --git a/policies/templates/form-template.md b/policies/templates/form-template.md new file mode 100644 index 0000000..39af512 --- /dev/null +++ b/policies/templates/form-template.md @@ -0,0 +1,38 @@ +--- +document_id: KC-FRM-XXX-001 +title: Form Title +document_type: Form +domain: Domain Name +version: 0.1 +status: Draft +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: TBD +next_review_date: TBD +supersedes: None +related_documents: [] +related_systems: [] +retention_period: 3 years +confidentiality: Internal +--- + +# Form Purpose + +Describe what this form captures. + +# Form Fields + +- Requester Name: +- Date: +- Document ID: +- Reason: +- Impact: +- Requested Approval: +- Approver Decision: +- Approval Date: + +# Usage Notes + +Describe how to complete, approve, store, and retain this form. \ No newline at end of file diff --git a/policies/templates/policy-template.md b/policies/templates/policy-template.md new file mode 100644 index 0000000..7275edb --- /dev/null +++ b/policies/templates/policy-template.md @@ -0,0 +1,56 @@ +--- +document_id: KC-POL-XXX-001 +title: Policy Title +document_type: Policy +domain: Domain Name +version: 0.1 +status: Draft +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: TBD +next_review_date: TBD +supersedes: None +related_documents: [] +related_systems: [] +retention_period: 3 years +confidentiality: Internal +--- + +# Purpose + +State why this policy exists and what business objective it supports. + +# Scope + +Define what people, processes, systems, and records are covered. + +# Policy Statement + +State the governing rules, expectations, and required controls. + +# Roles and Responsibilities + +## Owner +Define ownership responsibilities. + +## Staff +Define staff responsibilities. + +## Approver +Define approval authority. + +# Compliance and Enforcement + +Explain how compliance is expected, monitored, and enforced. + +# Exceptions + +State how exceptions are requested, approved, documented, and reviewed. + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 0.1 | TBD | Initial draft | TBD | TBD | \ No newline at end of file diff --git a/policies/templates/procedure-template.md b/policies/templates/procedure-template.md new file mode 100644 index 0000000..54207eb --- /dev/null +++ b/policies/templates/procedure-template.md @@ -0,0 +1,51 @@ +--- +document_id: KC-PRO-XXX-001 +title: Procedure Title +document_type: Procedure +domain: Domain Name +version: 0.1 +status: Draft +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: TBD +next_review_date: TBD +supersedes: None +related_documents: [] +related_systems: [] +retention_period: 3 years +confidentiality: Internal +--- + +# Purpose + +Describe the operational task this procedure supports. + +# Scope + +Define when and where this procedure applies. + +# Preconditions + +List prerequisites, inputs, or access requirements. + +# Procedure Steps + +1. Step one +2. Step two +3. Step three + +# Outputs + +List records, approvals, notifications, or resulting updates. + +# Exceptions and Escalation + +Describe what to do when the process cannot proceed normally. + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 0.1 | TBD | Initial draft | TBD | TBD | \ No newline at end of file diff --git a/policies/templates/standard-template.md b/policies/templates/standard-template.md new file mode 100644 index 0000000..f3fa8ac --- /dev/null +++ b/policies/templates/standard-template.md @@ -0,0 +1,47 @@ +--- +document_id: KC-STD-XXX-001 +title: Standard Title +document_type: Standard +domain: Domain Name +version: 0.1 +status: Draft +owner: Business Owner +reviewers: + - Operations Staff +approver: Business Owner +effective_date: TBD +next_review_date: TBD +supersedes: None +related_documents: [] +related_systems: [] +retention_period: 3 years +confidentiality: Internal +--- + +# Purpose + +Define the control objective or consistency objective. + +# Scope + +State where this standard applies. + +# Standard Requirements + +- Requirement 1 +- Requirement 2 +- Requirement 3 + +# Measurement or Verification + +Describe how conformance is checked. + +# Exceptions + +Describe how deviations are handled. + +# Review and Revision History + +| Version | Date | Description | Author | Approver | +|---|---|---|---|---| +| 0.1 | TBD | Initial draft | TBD | TBD | \ No newline at end of file