While strict compliance with government regulations and industry policies is important to the success of any organization, it is absolutely vital for financial institutions. The policy and procedure solution developed by DOCK enables organizations to continuously adapt to changing regulations with ease. Our Policies and Procedures Management Portal offers a dynamic platform to help your team proactively manage compliance and procedures. With this robust portal associates can store millions of records, locate them with ease, update them when needed and archive them using dynamics policies.

This information management solution that we created specifically for banks and credit unions empowers teams to discover, share and collaborate on content from anywhere and on any device.

Policy creation, Term Store, Workflow and Alerts

Use our pre-defined template to seamlessly create policies and procedures. Leveraging the Microsoft SharePoint term store feature, our SharePoint-based solution classifies procedures based on department, category and sub category for easy ID and retrieval. The built-in Workflows help authorized users to review and approve documents in an instant. Relevant audit trails are continuously recorded to ensure transparency and regulatory compliance. The portal also comes equipped with proactive email alerts driven by workflows to notify users of policy expiry and impending updates.


You can store all of your policies in a single location, helping your users, auditors and compliance team to easily locate policies.

Review and Approval Process

Take advantage of the automated policy workflow that includes reminders and notifications sent to specified users prompting required review and approval processes.

Document Version Control Mechanism

Thanks to Microsoft SharePoint’s Document Version Control feature, your users can identify the latest version of a policy or procedure with confidence. This tracking of version history helps to effectively prevent data loss through associate error.

Policy Discussions

Use our customized Discussion Board for collaboration on and communication of policies and procedures, keeping all parties on the same page.

Advanced Search

Use keyword search or a metadata-driven search to locate specific policies.

User Access (Role-based)

Security management is role-based at all levels ensuring iron-clad compliance across the portal with a consistent user interface and object model for assigning permissions. Implementing the same user model as website–level security, the list-level, folder-level, and item-level permissions facilitate management of both user and group rights throughout the portal.

Audit Trail

Track the records of each and every user who accessed a document for auditing and compliance purposes.

All institutions – credit unions and commercial banks alike – have their own standards and guidelines to which they need to adhere.

DOCK policy and procedure Portal is a powerful tool that streamlines policy evolution to minimize risk and increase transparency.

What do our Clients have to say about Dock Intranet – Policies and Procedures Management Portal?

  • Reduces noncompliance-related issues
  • Increases efficiency with powerful search capabilities
  • Enables a rapid response organization-wide to changes in regulatory and industry policy
  • Drives productivity and efficiency with customized workflows
  • Enhances Knowledge Base Management and information transfer among users

Let’s take this discussion further

At DOCK, we have worked with Credit Unions and Banks for the past 15 years across the United States. With the power of Microsoft SharePoint and Office 365, we have built the perfect policy and procedure portal that continues to surpass the expectations of the bank and credit union consumer. Call us today at (904) 903-4475 Ext 102, or drop an email at info@mydock365.com to learn more.