During a financial data investigation, the investigator is unsure how to handle a specific data...

Proceduresare detailed, step-by-step instructions that guide personnel on how to perform specific tasks in alignment with higher-level policies. In an investigation, when uncertainty arises about handling a dataset, procedures provide the exact operational guidance required.

Policies establish high-level rules (e.g., “financial data must be protected”), while procedures explain how to achieve compliance with those policies (e.g., “verify encryption, label dataset, log access, and escalate to compliance officer”). Legal rulings and definitions are external references but do not provide operational steps.

By following documented procedures, investigators ensure consistency, compliance, and defensibility in legal contexts. This also ensures that evidence is handled properly, supporting admissibility in court and protecting the organization against legal or regulatory challenges.