presentation on company policies and procedures

Company Policies and Procedures: Essential Guide

Company policies and procedures help your workplace run more efficiently. They ensure consistency, fairness, and compliance with US labor laws . Policies also help your employees know what is acceptable, and what is not tolerated. Plus, they reflect your company’s values, making it a better environment for all employees. 

However, for your policies to be effective, they need to be comprehensive, inclusive, and well communicated. When you don’t implement them in the right way and take into account all aspects of the employee experience, you put your organization at risk. 

What are Company Policies and Procedures?

What is the purpose of company policies and procedures  , how to create company policies and procedures  , which company policies and procedures to include, an employee handbook template for small businesses  , centralize company policies and procedures.

• Create an Employee Portal with Factorial ✅

In this post, we will discuss what policies are and why they are so important. We will also share suggestions on which ones you should include in your employee handbook. Finally, we will take a look at some of the tools you can use to ensure you effectively implement and communicate your policies at every level of your company.

Company policies and procedures are a set of internal guidelines that establish the rules and expectations of your company. They help you communicate to employees what they can and can’t do, and how they should do it.

Let’s start with the basics:

Policies : a framework of rules and regulations in your company. They establish guidelines for how potential issues are managed and they align an organization’s vision and values with its day-to-day operations. Examples of company policies include employee conduct policies, dress code, attendance policies, equal opportunity policies, and other areas related to the terms and conditions of employment.

Procedures : the processes by which employees should deal with potential breaches of company policies. For example, if they witness discrimination, how they should report it. 

Each policy you create should:

• set out the aim of the policy
• explain why the policy was developed
• list who the policy applies to
• set out what is acceptable or unacceptable behavior
• set out the consequences of not complying with the policy

Think of your company policies and procedures as the rules of conduct of the organization which outline the responsibilities of both employees and employers. They aim to both protect the legal rights of employees and the business interests of employers. They also communicate the values and vision of your organization, ensuring your employees understand exactly what is expected of them in certain situations.

This usually includes:

• General company rules on the most appropriate way to behave (dress codes, social media policies, smartphone use, etc.)
• Guidance for handling common scenarios (codes of conduct, attendance and leave, remote work, travel and expenses, etc.)
• Legal issues (harassment and discrimination, etc.)
• Provisions for compliance with state and federal laws (Family and Medical Leave Act, Disabilities Act, the Equal Employment Opportunity Commission, etc.)
• Internal work standards and regulations (health and safety rules, breaks, smoking rules, etc.)
• Guidelines for the fair treatment of employees (benefits and compensation policy, paid time off, bereavement, etc.)
• Establish your goals for each policy and explain these goals to your employees. Design an HR strategy to clarify your direction with each policy and create an annual HR plan to guide your HR department in line with your mission and values. 
• Write and review your policies. Make sure your policies cover the basics and address any questions that employees might have. Get your legal department to make sure everything is in line. Establish a pilot group of employees to review your policies and give feedback. Make adjustments where necessary.
• Get management support . This is a crucial step as if your managers aren’t on board then it will be much harder to implement and communicate your policies to employees. 
• Implement your policies and distribute them to employees. Depending on the size of your company and your HR to employee ratio , you can do this individually, in small groups, or at a company-wide meeting. Give digital or paper copies of all policies to all employees and get them to sign a document confirming they have received and understood them.
• Include policies in your employee handbook and make sure all new starters are given a copy during their onboarding phase. If you have a company intranet, include copies there also so that all employees have access at all times.
• Review and update your policies on a regular basis to make sure they are in line with any changes to federal, state, and company regulations. You should also update them whenever there are any organizational shifts, as part of your change management plan .

The company policies and procedures you include in your employee handbook will depend on a number of factors, including the size of your company and the nature of your business. You also need to ensure compliance with state and federal labor laws, including the Family and Medical Leave Act (FMLA) , the Fair Labor Standards Act (FLSA) , and the Occupational Safety and Health Act (OSHA) , amongst others.

You can find out more about company policies and procedures you should create in our handy downloadable employee handbook template. Here are a few examples to give you an idea.

Employee Conduct Policy

An employee conduct policy defines your expectations about how your employees should behave. It usually outlines aspects including proper dress code, use of social media and smartphones, acceptable behavior in the workplace, and social norms. Your employee code of conduct policy should reflect your vision, core values, and the overall culture of your organization. 

Time Off and Attendance Policy

A time off and attendance policy outlines your rules and guidelines relating to work schedules and absences. It should define how your employees should schedule paid or unpaid time off or notify their managers of absences or late arrivals. It should also establish the consequences of failing to adhere to absence procedures.  

Workplace Health, Safety & Security Policy

A health and safety policy is essential. It defines rules and guidelines so that your employees work in a safe environment that doesn’t compromise their health. It also protects you as an employer from potential accidents and safety incidents that could land you in court. For example, your policy should clearly define the procedure for completing an incident report so that any potential incidents are well documented.

Aside from protecting you and your employees, a security policy helps you protect your physical and intellectual property as well. For example, you could include guidelines for the use of ID cards to enter your building and best practices for signing out company laptops or smartphones.

Equal Opportunities Policy

Finally, an equal opportunities policy can help you promote fair treatment in the workplace. This includes the use of anti-discrimination and affirmative action policies that discourage inappropriate behavior at all levels of your company. You could also outline any diversity initiatives or workplace harassment training your company offers to send a clear message that keeping your employees safe and treating them fairly is a top priority for you. 

The best way to distribute your company policies and procedures is with an employee handbook . It provides you with a centralized resource that communicates all your policies in an easily accessible written format. This helps your new and existing employees understand what is expected of them at all times. It also protects you from potential claims of discrimination or unfair treatment. 

The best way to ensure this is by using the right technology, such as Factorial’s all-in-one software solution . Just upload your policy template to the employee portal to create all your policies in one place. If you don’t already have a template, Factorial’s free employee handbook template is a great resource that helps you design all your policies, safe in the knowledge that you are including all the right information.

You can then create, distribute, and update your policies as often as you need. Plus, with our template , you can customize your layout, check legal compliance, and set reminders for updates. And the best part is that the employee portal makes it easy for your employees to access up-to-date policies whenever they need to.

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Master Writing Policies, Procedures, Processes, and Work Instructions

By Kate Eby | June 1, 2018 (updated July 19, 2021)

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Creating policies and procedures, as well as process documents and work instructions, can take months of research and writing. But, consider this: Well-crafted policies and procedures can help your organization with compliance and provide a structure for meeting and overcoming challenges, both big and small.

This article provides you with guidance on how to prepare for, research, write, review, and publish policies, procedures, and work instructions to get the best result for all stakeholders. Experts discuss the unique roles of each document in an organization, and downloadable checklists supply you with detailed guidance for the document creation process.

What Is Meant by Policies and Procedures?

While the terms are frequently mentioned together, policies and procedures serve different roles. Policies are high-level guidelines that define the culture of an organization by shaping decisions and providing a framework for daily activities. Procedures, on the other hand, enumerate lower-level processes and provide steps your employees need to take to adhere to your policies or complete a process. Together, they can guide an organization to success through legal and regulatory compliance.

Charles Cox is a Principal at Firefly Consulting , an Austin-based boutique consulting firm that specializes in innovation and operational excellence. He is also a featured contributor to the recent book Innovating Lean Six Sigma (McGraw-Hill, 2016). He describes how policies are “at a high level in the organization and almost never linked to a given part of operations. They provide an umbrella under which the entire organization operates. They key into what the organization is all about. Policy links to strategy, to culture, to decision making, whereas procedures and processes or work instructions are the actual documents that govern the transformation of inputs into outputs.”

What Are Company Policies and Procedures?

Policies and procedures in a company serve to define how employees are expected to behave and to detail responsibilities of both management and employees. Company policies and procedures help to ensure that employees receive their legal and ethical entitlements. At the same time, they guarantee that an organization pays proper attention to business concerns.

Why Do We Need Policies and Procedures in the Workplace?

Policies clarify the expected behavior and output of employees — or volunteers and others, such as board members — in the context of a specific organization, which allows employers and other leaders to manage more effectively. Policies and procedures guide daily workplace activities by promoting compliance with laws and regulations, providing strategic perspective for decision making, and simplifying processes.

How Do You Formulate or Write a Policy?

Creating good policies takes time and effort, but you can increase your chances for success by remembering a few basics. Most of the work happens before you ever begin to write. Your pre-writing activities include deciding on a document focus and researching background. After writing, your documents should be reviewed, validated, and approved. Finally, you will disseminate your documents and train users in the new policies and procedures.

Before you start to write, keep the following things in mind. A policy or procedure should focus on one concept at a time. Because of the complexity and effort required to develop good policies, and because they influence the values of your office and potentially also have legal ramifications, ensure that your C-level team supports and endorses your efforts. Support the policy with employee education. Don’t expect users to simply read and retain information. As you train, give users a positive reason for learning and adapting to any new guidelines, such as achieving greater efficiency (which leads to a better organizational bottomline).

Policy Procedure Creation Workflow

To get an overview of the policy creation process, follow this workflow, and then review the checklists for each step to ensure that you’ve covered all aspects.

Download Policy Procedure Creation Workflow

Basic Policy Procedure Template

You can also use this pre-formatted template to a policy. Simply add your logo and the specific content of your policy, and customize the sections in the template to fit your needs.

‌ Download Basic Policy Procedure Template

Policy and Procedure Pre-Writing Checklist

Much of the effort in creating policies and procedures takes place before you begin to write. This pre-writing checklist can help you find the support you need for your formal documents.

‌ Download the Policy and Procedure Pre-Writing Checklist

Policy and Procedure Research Checklist

The key to strong policies and procedures is understanding how the people who use the documents actually perform the documented activities. Use this research checklist to gather the resources needed for a document people will want to use.

‌ Download the Policy and Procedure Research Checklist

Policy and Procedure Writing Checklist

Once you have completed your pre-writing activities, this checklist can help you compose your policies and procedures clearly and efficiently.

‌ Download the Policy and Procedure Writing Checklist

Policy and Procedure Review and Approval Checklist

In most organizations, policies and procedures must receive written approval. Download this checklist to streamline the document approval process.

‌ Download the Policy and Procedure Review and Approval Checklist

Policy and Procedure Implementation Checklist

No matter how well-written or beautifully designed the document, you can’t just toss your new policies and procedures to the teams and expect them to read and understand everything. This checklist shows you how to present new policies and procedures for a lasting effect.

‌ Download the Policy and Procedure Implementation Checklist

What Fields Can Benefit from Policies and Procedures?

Every industry, business, and organization of any size, whether for-profit or nonprofit, government or private, regulated or non-regulated, can benefit from policies and procedures. The following are some of the fields that particularly benefit from defined policies and procedures:

• HR: HR provides many of the policies that are necessary in an organization. Examples include a clear termination policy, anti-discrimination policy, and time-off policy.
• Office Management: Examples of office policies include after-hours calls, petty cash access, and supply cabinet access.
• Law Enforcement and Emergency Services: Examples include the body camera policy, drone policy, and emergency communication policy.
• Construction: Examples include the orientation and training policy, refusal of work (when employees believe a situation is unsafe) policy, and time-reporting policy.
• Education: Examples include the code of ethics policy, tenure policy, and credit-hour policy.
• Healthcare: Examples include the cell phone policy for provider offices, appointment policy, and notice of non-discrimination in health insurance policy.
• Nonprofits: These include insurance for volunteers, recruitment and selection, and expenses.

Why Does a Company Have Policies and Procedures?

Companies implement policies and procedures for a number of reasons. As Cox explains, “Any company needs to have policies which address points of conflict before they happen.” Examples include points of hand off between teams, such as when designs are transferred to manufacturing. Policies also promote conflict resolution. “Many companies have escalation procedures, but that’s after the fact,” says Cox. “A proactive stance is better.”

They communicate internally the values, objectives, requirements, and best practices throughout the company, from the C-level to independent contractors. Policies in particular also communicate the company values and objectives to potential employees, investors, customers, and the media. In general, when executed correctly, policies and procedures serve to bring order where chaos could reign. Here is why policies and procedures are crucial to your organization:

• Policies and procedures help employees maintain compliance and mitigate or even eliminate risks.
• In a regulated industry, they demonstrate legal and regulatory compliance.
• Policies provide a means to change your company culture.
• Creating policies and procedures requires spending in dollars and work hours, but what is the cost of a process failure, an injury, or damaged property ?

Characteristics of Good Policies and Procedures

How do you get the best policy and procedure for your situation? Documents must meet your needs. A template can guide you to consider needed content and usable formatting, but the words and format must be customized to your situation. Following these guidelines, good documents provide the following:

• Ensure Compliance: If your organization is regulated, policies and procedures provide one means of proof that you’ve considered and implemented controls on activities.
• Increase Accountability, Training, and Responsibility: Applied correctly, policies and procedures can provide a structure for continual improvement.
• Streamline Internal Processes: Ideally, the best processes should be captured, and these provide the most efficient path for day-to-day activities.
• Help Organizations Avoid Errors and Maneuver Through Incidents and Problems: Good policies and procedures proactively anticipate problems and provide a structure for avoiding troubles or dealing with an immediate problem.

Suggested Basic Policies and Procedures

Specific policies and procedures may vary depending on the type of organization. At a minimum, you need policies for events, such as holidays or family emergencies, policies for behavior, such as attendance, absences, and harassment, and a policy governing technology, such as a BYOD policy. The table below shows some of the types of policies needed for three sample industries.

Pitfalls of Policies and Procedures

Certainly, establishing a consistent, efficient, and effective way of doing things is desirable, and policies and procedures can help. But, documents have their limits.

Andy Nichols is a Quality Program Manager at the  Michigan Manufacturing Technology Center . He sees a historical precedent for over-documentation rooted in the pre- ISO 9000  days of military procurement, when government agencies required any type of professionally formatted document that recorded repeatable processes. The original ISO, however, only called for a quality document that provided an umbrella for the entire organization. “Over-documentation was a perception of the standard. It was never prescribed at all,” says Nichols.

This misperception led to the brick-like documents that people still dread — multiple policies with a procedure to match each, often labeled with a number instead of a real-language title and with usable content buried at the lowest layer. “A lot of people never get past the idea that documentation doesn’t make things happen,” notes Nichols. In his opinion, “Trainers and consultants still espouse a structure that wasn’t necessary and caused a bureaucracy that got in the way of people adopting a quality system.”

Nevertheless, Nichols sees a role for documentation beyond process control. Procedures and work instructions in particular can capture knowledge and real-world experience to be passed on to the next generation. In manufacturing, that institutional memory element becomes especially crucial as seasoned workers retire. “Whatever the document type,” he says, “documents are an excellent way of capturing tribal knowledge.”

Companies with Progressive Policies

Progressive company policies include such things as allowing access to personal social media during office hours, permitting work from home or remote work access , or offering paid time off (i.e., a personal pool of days off to be used for sick days or other issues as needed). Another example, demonstrated by the following companies, is generous paid maternity leave, including, of course, adoptive or foster children.

• Ironworkers: Up to six months of paid maternity leave for female employees before the birth of a baby
• Etsy: Up to six months paid parental leave for the birth of a baby
• IKEA: Up to four months paid parental leave, including for adoptive and foster parents
• Starbucks: Paid maternity and paternity leave for everyone
• Adobe: Up to four months of paid time off for the primary caregiver after a birth or time off for either parent of a newly adopted, fostered, or surrogate child  
• Google: Up to 18 weeks of leave for the birth mother, extending to 22 weeks after a complicated birth. Up to 12 weeks of paid leave for primary caregivers of either gender for adoptions, fosters, and surrogate children. Seven weeks for non-primary caregivers.
• Microsoft: Three months paid parental leave, in addition to two more months for birth mothers
• Twitter: Up to five months of paid leave for birth mothers and 10 weeks for fathers
• Spotify: Up to six months of paid parental leave for all full-time employees
• Netflix: Unlimited paid leave for the first year after a birth or adoption
• Facebook: Up to 17 weeks of paid parental leave
• Reddit: Up to 17 weeks of paid parental leave

What Are the Policies and Procedures in a Childcare Setting?

Facilities supporting underage persons require their own set of documents. At a minimum, the following policies and procedures apply:

• Establishment code of conduct
• Child safety
• Operating schedule
• Parent handbook
• Employee handbook
• Disaster and emergency procedure
• Proof of national accreditation

What Are the Policies and Procedures in Health and Social Care?

Health and social care policies include guidelines to protect the health and safety of healthcare workers. They also provide standards for vulnerable citizens, such as guidelines for their healthcare, food safety in facilities, living conditions in facilities or domicile care, general safety and security, and well-being and protection during civil emergencies, such as pandemic, earthquake, or severe weather events.

Common Elements of Policies and Procedures

Although it is important to customize any documents for your situation, policy and procedure documents tend to include core elements that help identify the document and provide the information necessary:

• Clear Title: Use as few words as possible and ensure that users at any reading level can understand.
• Brief Description of the Policy: A description or introduction orients users to the scope and purpose of the policy.
• A Filing Number: A filing or tracking number may be unique to your organization. No matter what your numbering system, ensure that your title describes the content of the document.
• Key Dates: Dates include the approval date of the original document, the annual review date, and the latest version date. Dates are important for tracking versions around legislative and other updates.
• Policy Purpose: The purpose describes why the policy exists. This includes such concerns as legal and regulatory needs and problems or conflicts a policy aims to avoid.
• Policy Statement: The core of the document and usually the lengthiest part. The policy statements specify the main audience for the policy, conditions and restrictions for applying the policy, expectations, and exclusions.
• Scope: This concerns which roles or departments the policy covers.
• Responsibilities or Responsible Party: Indicate what role, department, or group must maintain the policy. Alternatively, for some policies governed by regulations, this section lists roles responsible for executing the policy.
• Definitions: Describe key terms, jargon, or ambiguous terms. Always explain key terms in a separate definitions section or at first mention in the text of your policy or procedure to ensure that everyone has the same understanding of terms. Definitions are particularly important for terms that may have multiple meanings.
• History: Knowing the history is useful for understanding changes.
• Related Documents: Attach other policies, procedures, regulatory documents, forms, and guidelines for reference.
• Search Functionality: For web-based documents, this is a policy search feature.
• Keywords: For online documents, choose keywords that relate to how a user might search for your policy.

Tools and Considerations for Creating a Policy and Procedure

If your organization must create many policies and procedures, consider purchasing a purpose-built policy management platform. Such software provides templates and a central hub for drafting, reviewing, and publishing documentation and built-in version control. Some programs also offer self-training capability, which includes recordkeeping for grades in quizzes. This is important for compliance audits.

Manual template packages are also available for sale, sometimes with software. Policy management plugins provide policy document management for common collaboration platforms. If documents are created in a word processing program, migrating them to a central location is of greater significance. Many organizations provide a web portal for policies and procedures, where users can easily search on keywords for the desired content.

No matter how the documents are created, online publishing options help to ensure that users can easily access the latest version. Binders of documents that no one can find have never been helpful.

How Do You Write a Procedure?

Many of the steps for preparing policies are echoed in the preparation of procedures. For procedures, the need to understand the process is of particular importance. When writing a procedure, keep the following things in mind:

• Decide what task needs to be detailed.
• Get background and context for each procedure.
• Observe employees in day-to-day tasks to understand current procedures.
• Interview employees who perform the tasks. You can increase their interest in and engagement with documentation by including the relevant employees during the writing process.
• Look through the audit history to understand if procedures require an update in response to non-compliance or a safety event. Recording incidents, investigating how they occurred, fixing the problem, and then regularly training and making improvements is the basis of corrective and preventive action (CAPA) .
• Validate procedures in a walkthrough to ensure that users can follow them adequately.
• Ensure that wording and intent in procedures aligns with related policies, procedures, and other documents, such as forms or diagrams.

How Do You Write a Work Instruction?

Even more so than with procedures, if work instructions form part of your documentation, they must be precise and written in the users’ language. Work instructions must be specific about how a task is completed. Visual cues help learners with marginal or no reading skills, and graphics aid all users to more easily grasp and retain concepts. Keep the following things in mind when writing work instructions:

Work instructions may consist of only bullet points. Text must be scannable with clear headings.

Work instructions may include only pictures and numbers.

Some software packages for manufacturing add animation and 3D capability to help process engineers and shop floor workers better visualize instructions.

Document management systems enable reuse of validated procedures and instructions that are common to many activities, which eliminates the need to rewrite steps and the possibility of introducing ambiguities.

Language, Tone, and Style in Policies and Procedures

It’s important to write clearly, concisely, and simply. To help you achieve this, write with the reader in mind and follow these tips:

• Write to the reading level of the document users. If necessary, use only numbers, graphics, and photographs.
• Use short sentences with familiar English words and one thought or concept per sentence.
• Use must or will if something is mandatory. Avoid ambiguous words such as may or shall.
• Use plain words that are commonly understood rather than jargon. If you must use specialized terms, explain them in the text and in your glossary section.
• Use terms consistently throughout your documents.
• Write the full name for acronyms when you first use them.
• Remove extra words. For example, use to instead of in order to.
• Use positive and inclusive language. Use gender-neutral terms, such as their, not he or she, and worker, not workman.
• Use active voice rather than passive voice. For example, You must wash the dishes (active) rather than The dishes must be washed (passive).
• Use present tense. For example, say When you finish your shift, you lock the cabinets.
• Use headings that clearly identify the content of each section.
• Use evergreen information. For example, use [email protected] rather than contact information for a specific individual whose contact information may change.

Download this document with tips on tone to maximize the effectiveness and readability of your policies and procedures.

‌ Download Policy and Procedure Tone Tips

Formatting for Finding Information Fast

In addition to writing clearly, you can enhance the usability of your policies and procedures with a clear layout and optimal use of color and graphics, such as charts, diagrams, and images. Many fields and regulatory areas have predefined templates that can expedite your writing process by showing the types of content you must add. Templates usually also provide an attractive, readable format, so you don’t have to worry about layout and design. You can customize the content to suit your organization.

Here are some other formatting tips:

• Include a table of contents in Word or PDF format or with hyperlinks if online.
• Name the document clearly, so users can easily identify its purpose.
• Organize the material logically and label sections clearly, so readers can easily find the content they need.
• Make sure the links to the document from other documents and from other websites are working and up to date.
• Break the text into chunks to aid panning and scanning — include bulleted and numbered lists, graphics, charts, diagrams, well-written headings, and numbered paragraphs.
• Order topics and sections logically and use clear headings.
• Consider numbered paragraphs, which make content easier to locate in lengthy documents. However, limit organization to three levels. The first level is numbered 1, 2, 3; the second level is 1.1, 1.2, 1.3; the third level is 1.1.1, 1.1.2, 1.1.3.
• Numbered drawings and photos may convey more information than words do and may be best for certain situations.
• Use white space to avoid crowded text.
• Templates tend to have predefined sections and often subdivide sections, which can aid users in quickly finding the information they need.
• Consider using icons and colors to designate specific elements, for example, blue for links and red for caution.

If you have the a designer who can help you create icons or choose existing ones, these symbols can help direct users to appropriate sections of your documents.

Packaging Policies and Procedures

Although policies and procedures serve different purposes, they can be combined in one document, particularly when both the policies and accompanying procedures are short. Some believe, however, that their different roles are a good reason to separate then into two documents. Ideally, you should update procedures (and especially work instructions) frequently to reflect innovations in process or address problems and incidents. You can revise policies less frequently.

What Is the Difference between a Policy and a Procedure and a Process and a Work Instruction?

To have an efficient and compliant organization, you need all three p documents — policies, procedures, and processes — plus something else: work instructions. The terms policy and procedure are sometimes confused and used interchangeably, whereas they serve different purposes.

• Policy: Policies are the guidelines that oversee organization activities, such as green manufacturing or a smoke-free environment. Policies describe legal, regulatory, or internal standards for required behavior and activities. Policies and procedures, depending on the size of the organization, may fill a volume or more or may consist of simply a handful of short paragraphs. Cox sees policies as “more shades of grey,” as guidelines that senior and middle management use. “Policies require a lot of interaction between the senior leadership team and upper middle management,” he explains. “Policies need to be reviewed every so often to make sure they are serving the needs of the organization and require flexibility around them for revisions,” he adds. As they define company culture, policies also communicate strategy, such as green manufacturing. Policies help reduce risk and ideally create an environment that encourages improvement. Although policies may reference laws and regulations, they do not reiterate laws and standards. Instead, they define a particular application of those legal or regulatory guidelines. 
• Procedures: Procedures guide middle management and create overarching structure for process instructions and work instructions, which provide production tasks and steps for supervisors, individual contributors, and workers. Procedures are used by supervisors, industrial engineers, or the individual worker. Procedures describe the process at a higher level and may be in a binder. They depict a repetitive task or process. In manufacturing, procedures describe a series of steps or tasks and contain work instructions. In general, procedures describe what to do, when to do something, and who does it. “Procedures are very specific and need to be very black and white without a lot of need for interpretation,” says Cox. But, while the content may provide precise descriptions, the descriptions may change more frequently. “At the work instruction level, they may change every day or every few days as they [employees] attempt to get the best result for the customer.”
• Processes: Processes describe what the organization does and who does it. They explain how procedures fit together to create deliverables or accomplish goals and objectives.
• Work Instructions: Work instructions are the lowest level of document used by supervisors, individual contributors, or workers, with descriptions of how to complete a specific step. Work instructions are granular, short documents, often of only one page, a single paragraph, or a set of bullet points, and frequently include many visual cues, such as colors, graphics, or photographs. Work instructions are intended to be precise documents that allow interchangeable staff in high turnover situations to train and achieve optimum performance in one hour or less. As Cox describes them, “Work instructions provide what is necessary to train a person as fast as possible or even self-training.” These documents should be at the worksite, so the trainer, and eventually the worker, can refer to them. An essential part of work instructions are checklists, which he says can be as simple as a photo with items of interest circled.

‌ Download Policy and Procedure Process Work Instruction Checklist

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When teams have clarity into the work getting done, there’s no telling how much more they can accomplish in the same amount of time.  Try Smartsheet for free, today.

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Policies and Procedures in the Workplace: The Ultimate Guide

Developing and enforcing strong policies and procedures improves workplace culture and protects your organization from potential lawsuits.

See How Case IQ Can Help You Improve Work Policies and Procedures

___________________________________________________________________________

According to a study by Covestro , 71 per cent of executives say employees’ desire for purpose is “prompting HR to rethink certain work policies such as paid time-off for volunteer or community work, flextime and/or telecommuting.”

Organizations need to develop or improve work policies and procedures that reflect their vision, values and culture as well as the needs of their employees. Once they are in place, enforcing these guidelines is even more important. However, accomplishing these goals can be tougher than it sounds.

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Without strong policies and procedures in place, you may experience more workplace issues..

Case management software helps you identify and monitor areas of risk in your organization, including harassment, discrimination, safety and misconduct. Download our free eBook to learn more.

What are Policies and Procedures?

Policies and procedures go hand-in-hand but are not interchangeable.

A  policy  is a set of general guidelines that outline the organization’s plan for tackling an issue. Policies communicate the connection between the organization’s vision and values and its day-to-day operations.

A  procedure  explains a specific action plan for carrying out a policy. Procedures tells employees how to deal with a situation and when.

Using policies and procedures together gives employees a well-rounded view of their workplace. They know the type of culture that the organization is striving for, what behavior is expected of them and how to achieve both of these.

RELATED: Employee Handbook Updates

The Importance of Policies and Procedures

Regardless of your organization’s size, developing formal policies and procedures can make it run much more smoothly and efficiently. They communicate the values and vision of the organization, ensuring employees understand exactly what is expected of them in certain situations.

Because both individual and team responsibilities are clearly documented, there is no need for trial-and-error or micromanaging. Upon reading the workplace policies and procedures, employees should clearly understand how to approach their jobs.

Formal policies and procedures save time and stress when handling HR issues. The absence of written policies results in unnecessary time and effort spent trying to agree on a course of action. With strict guidelines already in place, employees simply have to follow the procedures and managers just have to enforce the policies.

Implementing these documents also improves the way an organization looks from the outside. Formal policies and procedures help to ensure your company complies with relevant regulations. They also demonstrate that organizations are efficient, professional and stable. This can lead to stronger business relationships and a better public reputation.

How to Develop Policies and Procedures in the Workplace

When creating a policy or procedure for your workplace, start by reviewing the mission statement, vision and values. According to the New South Wales Government Industrial Relations , “a workplace policy should:

• set out the aim of the policy
• explain why the policy was developed
• list who the policy applies to
• set out what is acceptable or unacceptable behavior
• set out the consequences of not complying with the policy
• provide a date when the policy was developed or updated”

Once you implement your policies and procedures, the next step is to inform and train employees on them. You can’t expect employees to follow guidelines if they aren’t aware of them. Be sure to schedule regular refresher training sessions, too, to keep employees on track.

Paychex WORX says that “employees may be more likely to embrace rules when they understand their purpose and that they are not meant to be a form of control or punishment.” For this reason, keep a positive attitude during training sessions and leave plenty of time for employee questions.

Company policies and procedures should not be written once and left alone for decades. Reviewing these documents regularly and updating them when necessary is key to their success. In addition to an annual review, consider updating them when you:

• adopt new equipment, software, etc.
• see an increase in accidents or failures on-site
• experience increased customer complaints
• have a feeling of general confusion or increased staff questions regarding day-to-day operations
• see inconsistency in employee job performance
• feel increased stress levels across the office

POLICIES & PROCEDURES TEMPLATE

Need help to improve work policies and procedures in your organization.

Streamline the process by using our free template.

Types of Policies and Procedures Every Workplace Needs

Organizations need policies and procedures for a wide range of HR topics. Below are some of the subjects you should consider creating guidelines for.

Polices and Procedures for Attendance

Absenteeism costs wages for the employee who doesn’t show up, wages for a replacement worker, and delays and disruptions to the whole organization. That’s why you need to write (and consistently apply) attendance policies.

These documents can include guidelines on tardiness, vacation time, sick leave, appointments and paid volunteer hours. You can also include the amount of notice required before booking time off. Take your corporate culture into consideration when developing these rules.

Policies and Procedures for Employee Conduct

This is a broad topic and may require multiple, separate policies. Including guidelines on drugs and alcohol use, smoking, performance management and discipline helps employees know what is and is not acceptable behavior at work.

Policies and Procedures for Use of Company Property

The number of ways employees can misuse company property is never-ending. “Renting out the company’s equipment to third parties, intentionally producing scrap product that is actually being sold by the employee, taking vehicles for recreation, hosting their own websites on company servers, even directing other employees to preform tasks that unknowingly benefit the ghost business” are just a few examples of risks your organization could face, according to ASG Investigations .

Employees have to use company property in order to do their jobs. Depending on your industry, this could include electronics, medical equipment, vehicles, tools and uniforms. Include guidelines on how to care for company property, as well as how much (if any) and what types of personal use are permitted using company property.

Policies and Procedures for Harassment and Discrimination

Did you know that the average harassment lawsuit costs the employer $250,000 to defend? With rules in place, you can prevent these incidents and protect both your company and your employees.

Harassment and discrimination affect the entire workplace culture. Keep employees safe and treat them fairly by developing policies and procedures that prohibit behaviors such as:

• sexual harassment
• verbal and physical harassment
• hiring discrimination
• workplace discrimination

Include information on how to report harassment and discrimination and explain that the company will not retaliate for reporting.

Policies and Procedures for Internet and Social Media Use

Make employees aware that any internet use at work is not private. Urge employees to limit personal internet use and ensure everything they do online in the workplace is legal, ethical and appropriate (and explain what these mean). Add guidelines about what is and is not appropriate to post on social media regarding your organization as well.

RELATED: 16 Tips for Managing Social Media in the Workplace to Help You Avoid Scandals

Policies and Procedures for Health and Safety

In 2020, OSHA awarded workers $30.1 million in settlements, nearly double the total from the year before. Without strong health and safety policies that are actually enforced, your employees and your organization are at risk.

Protecting employees’ safety and well-being should be every organization’s top priority. When writing your health and safety policies, include information about how to deal with illness or injury at work, equipment safety guidelines and how to report a health or safety concern. Also include procedures to follow in the event of a fire or natural disaster.

Policies and Procedures for Expenses

If your employees travel or purchase things for work, having an expense reimbursement policy in place is essential. Explain what types of expenses are acceptable for reimbursement (airfare class, transportation, meals, etc.). Include procedures on how to submit a reimbursement claim.

Policies and Procedures for Remote Work

With a desire for more flexibility in location and hours, as well as the COVID-19 pandemic, many companies and employees are choosing to work remotely at least some of the time. If you allow employees to work from home, you need two main policies to ensure the set-up is safe and runs smoothly.

First, a general remote work policy should describe who can work remotely and how often. What hours do remote workers need to be available? What communication standards must they meet? Will you provide necessary work equipment or reimburse employees for their purchases?

In addition, include health and safety procedures for remote work in either your remote work policy or your regular health and safety policy. These should address how you’ll handle potential ergonomic issues, environment-caused injuries and illnesses, mental health, and fire and weather emergencies.

REMOTE WORK POLICY TEMPLATE

Not sure what to include.

Download our free remote work policy template to get started.

Why You Need to Enforce Policies and Procedures

Company policies and procedures are helpful for making your workplace run more efficiently, but they are only effective if you enforce them. Enforcement of the guidelines guarantees your organization’s operational procedures and decision-making processes are uniform and consistent across cases.

When you don’t enforce your procedures, you put your organization at risk. If an employee or external person comes forward with an allegation against your company, having formal policies and procedures in place strengthens your case.

RELATED: Employee Policy Manuals: What to Include in Your Annual Review

For example, say someone sues your organization for hiring discrimination, claiming that they were not given a job they interviewed for because they have a disability. Having an anti-discrimination policy in place is a strong piece of evidence in your defense.

Or, say that you refuse to reimburse a first-class plane ticket an employee bought to get to a conference. Pointing out that first-class airfare is not eligible for expense reimbursement and having proof of this in your policy protects your organization from legal actions and reputation damage.

Without formal policies and procedures, your organization may not be reaching its potential. Improve work policies and procedures so that they reflect your workplace’s values to create a better environment for all employees.

FAQ’s

What is an example of a policy and a procedure.

An example of a policy could be an organization’s stance on workplace harassment, outlining what behavior is unacceptable and the consequences for violating the policy. Its corresponding procedure might detail the steps an employee should take to report a harassment incident, including who to contact and how the investigation process will unfold.

How do you organize policies and procedures?

Policies and procedures can be organized by grouping them into categories based on their subject matter (e.g., attendance, employee conduct, company property use, harassment and discrimination, internet and social media use, health and safety, expenses remote work). Each category can then contain individual policies and procedures relevant to that topic, creating an easy-to-read resource for employees to reference as they need.

What is an example of a policy in the workplace?

An example of a policy in the workplace is an attendance policy, which should contain guidelines regarding tardiness, vacation time, sick leave, appointments, and paid volunteer hours, among other related matters.

Jump to a section:

• 1. What are Policies and Procedures?
• 2. The Importance of Policies and Procedures
• 3. How to Develop Policies and Procedures in the Workplace
• 4. Types of Policies and Procedures Every Workplace Needs
• 5. Why You Need to Enforce Policies and Procedures

Related Resources

What to ask in a whistleblower hotline use survey (and why it’s important), how an hr analyst can help your organization reduce risk.

• Risk Management
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Key Company Policies & Procedures

on 08 Aug 2023

Company policies are vital in ensuring employees know their employer's expectations and the rights and protections to which they are entitled.

Although policies are valuable to employers and employees, many employers don't have them in place or where they have them; the documents are not used and have become outdated. Getting policies in place is a worthwhile exercise but can seem like an intimidating task.

Putting company policies & procedures in place

• Why your company needs policies and procedures

How to decide what company policies you need

What are mandatory company policies.

• Other important company policies

Industry-specific company policies

How to manage company policy attestations.

Why your company needs policies & procedures

Having a set of corporate policies and procedures in place is important to any organisation, regardless of size.

Having written policies in place helps:

• Provide a roadmap for day-to-day operations and matters in the workplace.
• Ensure that the company is compliant with employment laws and regulations from time to time.
• Managers feel confident about the next steps when if they manage a team. Clear and helpful policies help to ensure all line managers act in the same way, in line with streamlined internal processes.
• Assist in clarifying and reinforcing standards expected of employees in all their professional dealings and explains what is and is not acceptable in the workplace.

Whilst it can seem like a lot of work to get these policies in place, they will be hugely beneficial once you have them.

Not having the correct corporate policies and effective HR planning can create future HR problems. This can have a negative effect in that it impacts your team's productivity, can lead to potential claims and have a negative financial impact on the company.

Regulators expect all companies to have some essential corporate policies in place. They require these policies to be enforced and outlined and made easily accessible to all staff.

Pulling corporate policies and procedures together can seem daunting, as there are so many you can have.

You can introduce this all in one go in a Staff Handbook, or you can focus on what's most important and build on the bank of policies bit by bit.

If you're taking this latter approach, the best place to start is with the mandatory policies an employer must have. These policies are as follows:

A. Disciplinary Procedure

All employees must be provided with a contract/statement of the particulars of their employment within a month of their employment. This document is required under Section 1 of the Employment Rights Act 1996. The Act requires that there is a reference to any disciplinary, dismissal and grievance procedures within this section 1 document. The disciplinary policy will set out the proper, fair procedure which will be followed in instances of disciplinary action, which is central to the law on unfair dismissal.

B. Grievance Procedure

As stated above, the ERA 1996 requires that a company references their grievance procedure in the section 1 statement provided to employees. The grievance procedure provides a clear mechanism for raising complaints formally. Having the policy ensures you've complied with your legal obligation and sets out clear ways for your employees to communicate complaints and concerns and how the company will handle them.

C. Health & Safety Policy

Mandatory if you have more than five employees. The policy aims to protect workers from harm while at work. This includes protection from physical harm and potential health complications resulting from their work. Having the policy in place has moral benefits whilst protecting an employer from a financial and legal point of view.

Key non-mandatory company policies

Once those are in place, the following policies are all recommended as they bring with them clear benefits to both employer and employee:

1. Bullying & harassment policy

This is a really important policy, setting clear lines about what will not be tolerated by an employer and the process which will be followed should complaints of this nature be made.

2. Data protection policy

Data protection policies  demonstrate the company's commitment to ensuring the protection and privacy of personal data. Suppose a company is subject to compliance audits or experiences a data breach. In that case, its data protection policy can be presented as evidence demonstrating the company's commitment to data protection principles to mitigate any penalties.

3. Maternity/paternity/adoption policy

This policy sets out expectations of employees wanting to take these types of leave and the payments they would receive whilst on leave.

4. Whistleblowing policy

Having this policy will help encourage openness within the workplace by showing staff that the business and management will not only act in the event of wrongdoing but also protect anyone blowing the whistle . The policy will also establish a clear procedure to follow when a complaint is made so the process is transparent.

5. Annual leave policy

Having a clear process for how to request annual leave and who will grant it will help ensure consistency in dealing with requests.

6. Flexible working policy

Now that employees have a statutory right to request flexible working arrangements, requests are increasing. Having a flexible working policy helps ensure that requests are dealt with fairly by setting out the qualifying criteria for applications and detailing the process that will be followed to deal with requests.

7. Hybrid working policy

In the past, flexible working predominantly revolved around working hours. Hybrid working instead focuses on the location where an employee works. Covid caused a sea change in the volume of hybrid workers. Having a hybrid working policy helps ensure that employees and candidates know your company's approach to hybrid working.

8. Social media policy

Increasingly, the line between work and private lives is blurred through the use of social media. Having a social media policy , setting out standards expected and what would be deemed to bring the company into disrepute would be helpful.

9. IT & email communications policy

Setting out matters such as the acceptable use of company laptops and whether there are any rules around using company email accounts for private matters. It can also include rules around ensuring the privacy of company information on laptops when working remotely (including locking laptops and using a privacy screen).

10. Gifts & hospitality policy

Having a policy of this kind ensures that there are clear rules about accepting or giving gifts and hospitality . This is important to protect against the risk of fraud, corruption, bribery and reputational damage.

11. ESG policy

Environmental, social, and governance policies help to provide stakeholders with a documented business approach to ESG issues , i.e. the company's environmental impact, social responsibility and governance.

You should also consider any policies specific to your sector or the type of work some of your employees do. This will ensure that your policies are of maximum value to you, your business and your employees.

Here are some examples of sector-specific policies:

Working hours policy

For companies employing long-distance drivers, pilots, doctors, train drivers, shift workers etc., a policy around working hours to comply with European driving regulations and tachograph use would be helpful.

Lone-working policy

Where employees work alone visiting service users in their own homes, a policy on lone working would be sensible to set out processes to follow to ensure safety.

Vulnerable customer policy

If the employees work with vulnerable customers/patients, a policy setting out regulatory requirements and/or reporting requirements would be beneficial.

If you are unsure whether a policy should cover something, it is sensible to get legal advice.

Having corporate policies is all very well. But you need your staff to understand them and agree to them. If you have many policies or a large workforce, it can become an administrative headache.

There are, however, online tools available, including Skillcast Policy Hub, that can help shoulder the burden of managing policies.

Want to learn more about Equality & Compliance?

We’ve created a comprehensive Equality & Diversity roadmap to help you navigate the compliance landscape, supported by e-learning in our Essentials Library .

We also have 100+ free compliance training aids , including assessments, best practice guides, checklists, desk aids, eBooks, games, posters, training presentations and even e-learning modules!

Finally, the SkillcastConnect community provides a unique opportunity to network with other compliance professionals in a vendor-free environment, priority access to our free online learning portal and other exclusive benefits.

Risk Management Training Presentation

In the corporate world, risk management involves understanding and analysing risk to ensure that organisations meet their objectives. Our free training aid is a short,  interactive presentation that you can use to teach your employees all about risk management and the role they play in controlling risk across your organisation.

Download your free training aid

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Step-by-Step Guide: How to Write a Policy and Procedure Manual

• Employee Handbooks
• September 11, 2023

A well-written policy and procedure manual is an essential tool for every organization, providing clear guidelines and instructions for employees to follow. This step-by-step guide will walk you through the process of creating a comprehensive manual that is effective and easy to understand. Before diving into the guide, let’s first explore the benefits of having a policy and procedure manual and understand its key components.

Having a policy and procedure manual brings numerous advantages to an organization. It ensures consistency in decision-making, promotes compliance with laws and regulations, improves employee performance and accountability, enhances communication and transparency, and helps mitigate risks and conflicts.

To create a cohesive and structured manual, it is important to include key components such as a title and table of contents, an introduction and purpose statement, organizational structure and responsibilities, policies, procedures, forms and templates, a glossary of terms, and a version control and review process.

Now, let’s dive into the step-by-step guide on how to write a policy and procedure manual. This guide will cover crucial aspects such as determining the scope and objectives, involving stakeholders, researching relevant laws and regulations, creating an outline and structure, writing clear and concise policies, developing detailed procedures, including necessary forms and templates, reviewing and refining the manual, obtaining approval, and finally, publishing the manual.

As you embark on this journey of creating a policy and procedure manual, keep in mind a few tips for an effective manual. These tips include using clear and simple language, organizing information logically, using visuals and examples where necessary, ensuring the manual is easily accessible and regularly updated, and providing training and support for employees to understand and implement policies and procedures effectively.

By following this step-by-step guide and incorporating these tips, you can create a well-crafted policy and procedure manual that serves as a valuable resource for your organization, bringing clarity, consistency, and efficiency to your operations.

Benefits of Having a Policy and Procedure Manual

A policy and procedure manual provides several key benefits for an organization:

• Consistency: A manual ensures consistency in how policies and procedures are implemented across different departments or branches of an organization. This helps maintain a unified approach and ensures fairness and equity.
• Clarity: Having a manual clarifies expectations for employees regarding their roles, responsibilities, and conduct. It provides clear guidelines on how to handle various situations, reducing ambiguity and potential misunderstandings.
• Efficiency: A well-written manual streamlines processes and procedures, leading to increased efficiency and productivity. Employees can easily access the information they need, saving time and minimizing errors.
• Training and Onboarding: A policy and procedure manual serves as a valuable resource for training new employees. It provides them with a comprehensive overview of the organization’s policies, procedures, and standards, ensuring a smooth onboarding process.
• Compliance: A manual helps organizations comply with legal and regulatory requirements. It ensures that policies and procedures align with industry standards and guidelines, reducing the risk of non-compliance and potential legal issues.
• Consolidated Information: By consolidating all policies and procedures in one document, a manual simplifies the management and dissemination of information. It becomes the go-to resource for employees, minimizing the need for multiple documents or sources of information.
• Conservation of Knowledge: A policy and procedure manual serves as a repository of institutional knowledge. It ensures that important information is documented and can be accessed by current and future employees, preventing knowledge loss due to employee turnover.
• Communication: A manual facilitates effective communication within an organization. It establishes a common language and understanding of policies and procedures, enabling employees to communicate more efficiently and effectively.
• Accountability: Having documented policies and procedures promotes accountability at all levels of the organization. It provides a basis for evaluating employee performance and ensuring adherence to established guidelines.
• Continuous Improvement: A policy and procedure manual can be regularly reviewed and updated to reflect evolving best practices, industry standards, and changes within the organization. This promotes a culture of continuous improvement and adaptability.

Key Components of a Policy and Procedure Manual

Now that we are clear on the benefits of writing a policy and procedure manual for your organization, now it time to learn how to write a policy and procedure document. When creating a policy and procedure manual, it’s crucial to understand the key components that make it comprehensive and effective . In this section, we’ll explore the essential elements that should be included in your manual. From the title and table of contents to the glossary of terms , each sub-section plays a vital role in providing clear guidance and structure . Let’s dive in and discover how these components contribute to a well-crafted policy and procedure manual .

1. Title and Table of Contents

Here is an example of a table of contents:

Each section in the table of contents serves a specific purpose in the manual and allows readers to quickly find the information they need. It is important to ensure that the table of contents accurately reflects the content of the manual and is updated whenever new sections or revisions are made.

2. Introduction and Purpose Statement

The introduction and purpose statement play a crucial role in the policy and procedure manual. They establish the context and objectives of the document, providing a solid foundation. The introduction gives an overview of the manual, emphasizing its importance in creating a standardized framework for organizational operations . It serves as a guide for employees , managers , and stakeholders to understand the organization’s policies , procedures , and responsibilities .

The purpose statement further strengthens the manual’s intent by specifying its goals and intended outcomes. It clearly communicates the reasons behind creating the manual and what it aims to achieve. This statement should be concise and straightforward, highlighting the key objectives that the manual will address.

Incorporating the introduction and purpose statement enhances the value and usefulness of the policy and procedure manual. It ensures that readers grasp the document’s intended function and the rationale behind its implementation. By expressing the goals and objectives clearly, organizations can foster a culture of compliance, efficiency, and consistency.

A well-crafted introduction and purpose statement establish a solid foundation for effective communication and implementation of the organization’s policies, procedures, and guidelines. They provide a clear starting point for employees, managers, and stakeholders to navigate the manual and understand its essential components.

3. Organizational Structure and Responsibilities

When it comes to creating a policy and procedure manual, establishing a clear organizational structure and defining responsibilities are crucial. This ensures that everyone in the organization knows their role and responsibilities, resulting in efficient operations and streamlined decision-making processes.

• Designate clear roles: Define the various positions within the organization and outline the responsibilities of each role. This includes identifying leaders, managers, and team members, and specifying their areas of expertise.
• Establish reporting lines: Clearly outline the hierarchy and reporting structure within the organization. This includes defining who reports to whom, ensuring accountability, and facilitating effective communication.
• Define decision-making authority: Clearly outline the decision-making processes and levels of authority within the organization. Specify who has the authority to make certain types of decisions, ensuring that decisions are made by the appropriate individuals based on their expertise and responsibilities.
• Create job descriptions: Develop detailed job descriptions for each role, describing the specific tasks, responsibilities, and qualifications required for each position. This helps ensure clarity and alignment in expectations and performance standards.
• Allocate resources effectively: Clearly define the resources, such as budget, personnel, and equipment, that are available to each role. This helps individuals understand what is available to them in order to fulfill their responsibilities effectively.

By establishing a clear organizational structure and defining responsibilities, organizations can promote collaboration, efficiency, and accountability. This ensures that everyone understands their role and can effectively contribute to the goals and objectives of the organization.

4. Policies

When developing policies for your policy and procedure manual, it is important to follow a step-by-step approach to ensure clarity and effectiveness. Here is a list of steps to consider:

• Identify the areas or topics that require policies.
• Conduct thorough research and gather information on best practices , industry regulations , and legal requirements .
• Clearly define the purpose and objectives of each policy.
• Use language that is clear, concise, and easy to understand.
• Include specific guidelines, procedures, and expectations within each policy.
• Ensure that policies are aligned with organizational goals and values .
• Consider the impact of the policies on different stakeholders and involve them in the policy development process.
• Review and revise policies regularly to keep them up to date and relevant.
• Obtain approval from relevant authorities, such as management or a board of directors , before finalizing and publishing the policies.

Following these policies development steps will help you develop comprehensive policies that address the specific needs of your organization and ensure compliance with legal requirements. It is also important to regularly review and update policies to adapt to changes in the industry or organization.

5. Procedures

When crafting the procedures section of a policy and procedure manual, it’s essential to follow a structured approach that aligns with your organization’s objectives. Begin by referring to any provided policy and procedure template , as it serves as the foundational framework for documenting and implementing these processes.

In this section, each procedure should be outlined in a clear and concise manner, detailing the step-by-step actions, responsibilities, and timelines to ensure consistency and compliance with the established policies. Furthermore, always remember to review and update this section periodically to reflect any changes in your business operations or regulations, ensuring its ongoing relevance and effectiveness.

6. Forms and Templates

When creating a policy and procedure manual, one important component to include is forms and templates . These forms and templates serve as standardized documents that can be used to streamline processes and ensure consistency within an organization.

Forms are documents that collect information or facilitate specific actions within a process. For example, an employee evaluation form can be used to assess an employee’s performance and provide feedback. Templates , on the other hand, are pre-designed documents that can be customized for specific purposes. A template can be used for creating a meeting agenda or a memo.

By including forms and templates in a policy and procedure manual, organizations can save time and effort by providing employees with ready-to-use documents. This can help eliminate confusion and ensure that processes are carried out effectively and efficiently.

Forms and templates can enhance compliance with regulatory requirements. By providing standardized forms , organizations can ensure that necessary information is collected accurately and consistently.

It is important to regularly review and update forms and templates to ensure they remain current and relevant. This can be done as part of the manual’s review and refinement process.

Pro-tip: Consider creating electronic versions of forms and templates to allow for easy editing and distribution. This can further streamline processes and promote efficiency within the organization.

7. Glossary of Terms

When it comes to policy and procedure manuals, having a glossary of terms is essential in ensuring clarity and understanding. The glossary serves as a reference for key terms used throughout the manual, providing concise definitions to aid readers in comprehending the content.

Having a comprehensive glossary of terms ensures that individuals reading the policy and procedure manual can easily understand the terminology used and interpret the content correctly. This promotes consistency in communication and reduces the likelihood of misinterpretation or confusion.

To create an effective glossary of terms, it is important to review and update it regularly to reflect any changes or additions to the terms used in the manual. The definitions should be concise and clear, avoiding technical jargon or ambiguity.

8. Version Control and Review Process

When it comes to creating a policy and procedure manual, version control and the review process are crucial for maintaining accuracy and effectiveness. Here are some key aspects to consider:

• Implement a clear and organized system for tracking different versions of the manual. Utilize numerical or alphanumeric identifiers to differentiate between versions, such as “Version 1.0,” “Version 2.0,” and so on. This allows for easy reference and ensures that everyone is working with the most up-to-date information.
• Designate individuals or a review committee responsible for regularly reviewing the policy and procedure manual. This ensures that any necessary updates or changes are identified and implemented in a timely manner. It is essential to involve subject matter experts and key stakeholders to ensure accuracy and relevance.
• Establish specific review periods and timelines to ensure the manual is regularly evaluated and updated as needed. This could be monthly, quarterly, or annually, depending on the nature of the organization and the frequency of changes in policies and procedures.
• During the review process, keep a record of any identified issues, updates, or revisions that need to be made. This documentation ensures that changes are properly tracked and implemented in subsequent versions of the manual.
• Once a review is complete and revisions have been made, ensure that all relevant stakeholders are informed of the changes . This can be done through email notifications, training sessions, or by publishing the updated manual in a central location accessible to all employees.

By implementing a robust version control and review process, organizations can ensure that their policy and procedure manuals remain accurate, current, and aligned with their goals and objectives.

Remember, maintaining version control and conducting regular reviews is essential to the overall effectiveness and usefulness of the policy and procedure manual.

Step-by-Step Guide to Writing a Policy and Procedure Manual

Crafting a comprehensive policy and procedure manual may seem like a daunting task, but fear not! In this guide, we’ll walk you through the step-by-step process of creating an effective manual that meets your organization’s needs. From defining the scope and objectives (Step 1) to obtaining approval and publishing the final manual (Step 9), each sub-section will provide valuable insights and practical tips to ensure your manual is clear, concise, and aligned with relevant laws and regulations. So, let’s dive in and unlock the secrets to writing a rock-solid policy and procedure manual!

Step 1: Determine the Scope and Objectives

When creating a policy and procedure manual, Step 1 is to determine the scope and objectives of the manual. This is crucial as it sets the foundation for the entire document and ensures that it aligns with the organization’s goals and values.

• Identify the areas of the organization that will be covered by the manual. This could be specific departments, functions, or processes.
• Clearly define the objectives of the manual . What do you hope to achieve by implementing these policies and procedures? Is it to enhance efficiency, ensure compliance, or improve customer satisfaction?
• Consider the legal and regulatory requirements that need to be addressed. Are there specific laws or regulations that the organization must adhere to? This will help determine the scope and depth of the manual.
• Identify any specific challenges or issues that the organization faces and that the manual should address. This could include safety concerns, ethical considerations, or industry-specific requirements.
• Involve key stakeholders in the process of determining the scope and objectives. This could include managers, employees, and legal or compliance experts. Their input and expertise will ensure that the manual is comprehensive and relevant.
• Once the scope and objectives have been determined, clearly communicate them to all employees. This will help create a shared understanding of the purpose and importance of the manual.

In the early 20th century, as organizations began to grow and become more complex, the need for clear policies and procedures became evident. The first recorded policy and procedure manuals were developed by the military, aiming to standardize operations and ensure consistency. Over time, the practice spread to other industries, and today, policy and procedure manuals are considered essential documents for effective organizational management.

Step 2: Identify Stakeholders and Involve Them

When writing a policy and procedure manual, it is crucial to Identify Stakeholders and Involve Them . This step ensures that the manual addresses the needs and requirements of all relevant parties. Below is a comprehensive list of steps to guide you:

• Identify the key stakeholders: Determine the individuals or groups affected by the policies and procedures outlined in the manual. This can include employees, managers, executives, as well as external parties like customers or regulatory agencies.
• Involve stakeholders in the process: Engage the identified stakeholders and actively seek their input and feedback. Various methods can be employed, such as surveys, focus groups, interviews, or meetings. Emphasize open and transparent communication to gather diverse perspectives.
• Determine their needs and expectations: Gain an understanding of the specific requirements, concerns, and priorities of the stakeholders. This knowledge will facilitate tailoring the policies and procedures to meet their unique needs.
• Collaborate on policy development: Collaborate with stakeholders to develop policies and procedures that align with their expectations. Brainstorming sessions, workshops, or collaborative document editing can be effective approaches.
• Seek consensus: Strive to achieve a consensus among the stakeholders regarding the final policies and procedures. Address any conflicting views or concerns through negotiation and compromise.
• Obtain approval: Once the policies and procedures have been developed collaboratively, seek approval from relevant parties, such as management or a governing board.
• Communicate the involvement: It is crucial to clearly communicate to the stakeholders that their input and involvement were considered and integrated into the manual. This promotes transparency and fosters a sense of ownership and buy-in.

By diligently following these steps, you will ensure that the policy and procedure manual reflects the needs and perspectives of stakeholders, enhancing its effectiveness in guiding organizational practices. Remember, Identifying Stakeholders and Involve Them is an indispensable part of this process.

Step 3: Research Relevant Laws, Regulations, and Best Practices

When writing a policy and procedure manual, it is important to thoroughly research relevant laws, regulations, and best practices to ensure that your manual is accurate, up-to-date, and compliant with legal requirements and best practices in your industry. Here are the steps to follow for conducting research on relevant laws, regulations, and best practices:

1. Identify the governing laws and regulations: Determine the specific laws and regulations that govern your industry or organization, including federal, state, and local laws, as well as industry-specific regulations.

2. Consult official sources: Research the official sources of the laws and regulations, such as government websites, legislative databases, and regulatory agencies. These sources provide the most accurate and current information on best practices.

3. Review industry guidelines and standards: Identify any industry-specific guidelines, standards, or best practices that apply to your organization. These may be set by professional associations or regulatory bodies within your industry.

4. Analyze case studies and precedents: Look for relevant case studies or legal precedents that can provide insights into how specific laws and regulations have been interpreted and applied in practice. This can help you understand the implications of certain rules and ensure compliance with best practices.

5. Consider international standards: If your organization operates internationally, research any applicable international standards or treaties that may impact your policies and procedures in order to align them with best practices.

6. Consult legal and industry experts: Seek advice from legal counsel or industry experts who are knowledgeable about the laws, regulations, and best practices relevant to your organization. They can provide valuable insights and help ensure the accuracy of your manual while adhering to best practices.

By following these steps and conducting thorough research, you can ensure that your policy and procedure manual is comprehensive, compliant, and aligned with the best practices in your industry.

Step 4: Create an Outline and Structure

Creating an outline and structure for a policy and procedure manual is a crucial Step 4 in the writing process. Here is a Step-by-Step Guide on how to accomplish this:

• Identify the major sections of the manual.
• Start with a title and table of contents to provide a clear organization of the content.
• Include an introduction and purpose statement to provide an overview of the manual’s objectives.
• Outline the organizational structure and responsibilities to establish the hierarchical framework.
• Define the policies that need to be included, ensuring they cover all relevant areas.
• Develop procedures for each policy, providing step-by-step instructions on how to implement them.
• Include any necessary forms and templates that need to be used in conjunction with the policies and procedures.
• Add a glossary of terms to clarify any specific terminology used throughout the manual.
• Incorporate a version control and review process to ensure the manual is regularly updated and improved.

By following these steps, you can create a well-organized policy and procedure manual that is easy to navigate and understand.

Fun Fact: The establishment of a clear outline and structure in a policy and procedure manual helps to streamline operations and promote consistency across an organization.

Step 5: Write Clear and Concise Policies

When writing clear and concise policies for a policy and procedure manual, it is crucial to follow a systematic approach. The following steps can guide you in effectively crafting policies:

• Identify the objective: Clearly define the purpose of the policy and what it aims to achieve. This helps in keeping the policy focused and relevant.
• Gather relevant information: Conduct thorough research on applicable laws, regulations, and best practices to ensure that the policies align with legal requirements and industry standards.
• Use plain language: Communicate policies in a simple and straightforward manner using clear and concise language. Avoid jargon or technical terms that may confuse readers.
• Structure policies appropriately: Organize policies into sections or categories, making them easy to navigate. Use headings, subheadings, and bullet points to provide clarity and enhance readability.
• Step 5: Write Clear and Concise Policies : Clearly state the purpose and scope of each policy. Define key terms and provide background information to help readers understand the policy’s context.
• Include specific guidelines: Clearly outline the actions or behaviors that are expected or prohibited. Provide specific instructions or examples to guide readers on how to comply with the policy.
• Consider exceptions and limitations: Acknowledge any exceptions or limitations to the policy and provide guidelines on how to handle such situations.
• Review for accuracy: Ensure that the policies are accurate, up-to-date, and aligned with any recent changes in laws or regulations. Regularly review and update policies as needed.
• Seek feedback: Before finalizing the policies, consider obtaining input and feedback from relevant stakeholders to ensure that the policies address their concerns and needs.

By following these steps, you can write clear and concise policies that effectively communicate expectations and guidelines to the users of the policy and procedure manual. Moreover, if you are provided a policy writing template , remember to tailor the policies to your organization’s specific needs and ensure that they are in line with applicable laws and regulations.

Step 6: Develop Detailed Procedures

Developing detailed procedures (step 6) is a crucial step in creating an effective policy and procedure manual. To ensure clarity and efficiency, follow these steps:

• Step 1: Review Policies: Familiarize yourself with the policies outlined in the manual. Understanding the policies will help you determine the specific procedures needed to implement them effectively.
• Step 2: Identify Objectives: Clearly define the objectives of each procedure. This will guide the development process and ensure that the procedures align with the overall goals of the organization.
• Step 3: Break it Down: Divide each procedure into clear and logical steps. Use bullet points or numbered lists to outline the sequence of actions required.
• Step 4: Include Specific Details: Provide specific instructions and guidelines in each step. Use action verbs and concise language to enhance clarity and comprehension.
• Step 5: Consider Risks and Contingencies: Anticipate potential risks or challenges that may arise during the execution of the procedure. Include alternative steps or contingency plans to mitigate these risks.
• Step 6: Ensure Consistency: Maintain a consistent format throughout the manual. This will make it easier for users to navigate and locate relevant procedures.
• Step 7: Seek Input: Collaborate with relevant stakeholders, such as employees or subject matter experts, to gather insights and refine the procedures. Their input will help ensure that the procedures are practical and effective.
• Step 8: Review and Revise: Regularly review and update the procedures to reflect any changes in policies, regulations, or best practices. This will help keep the manual up-to-date and relevant.
• Step 9: Test the Procedures: Before finalizing the manual, test the procedures in a real-life setting. This will allow you to identify any areas that need further clarification or improvement.

By following these steps, you can develop detailed procedures (step 6) that are clear, comprehensive, and aligned with the policies outlined in the policy and procedure manual.

Step 7: Include Appropriate Forms and Templates

When writing a policy and procedure manual, it is important to include appropriate forms and templates to ensure consistency and efficiency in processes and documentation. Here are the steps to follow for including these forms and templates:

• Identify the specific forms and templates needed for the policies and procedures outlined earlier in the manual.
• Ensure that the forms are aligned with the objectives and goals of the organization.
• Create or obtain the necessary forms and templates, including forms for incident reporting , employee performance evaluations , or equipment maintenance logs , among others.
• Carefully review each form and template to ensure that they are clear, concise, and user-friendly. Remove any unnecessary fields or sections.
• Format the forms and templates consistently throughout the manual to maintain a cohesive and professional look.
• Include instructions or guidelines on how to properly complete each form or template. This will help users understand the purpose and procedures associated with each document.
• Step 7: Include Appropriate Forms and Templates. Place the forms and templates in an accessible location within the manual. Consider using numbered sections or a separate appendix specifically dedicated to these documents.
• Regularly review and update the forms and templates as needed to reflect any changes in policies, procedures, or regulations.

By including appropriate forms and templates in the policy and procedure manual, organizations can ensure that employees have the necessary tools to consistently and accurately complete important documentation.

Step 8: Review and Refine the Manual

• Add a team of reviewers : Select a group of individuals who are knowledgeable and experienced in the subject matter to review the policy and procedure manual.
• Set a timeline: Allocate a specific timeframe for the review process to ensure that it is completed in a timely manner.
• Conduct a thorough examination : The reviewers should carefully read through the manual, paying attention to accuracy, clarity, and consistency.
• Check for compliance : Ensure that the policies and procedures outlined in the manual adhere to relevant laws, regulations, and best practices.
• Solicit feedback : Encourage the reviewers to provide constructive feedback and suggestions for improvement. This can be done through meetings, written comments, or an online feedback system.
• Revise and refine : Based on the feedback received, make necessary revisions to the manual. Clarify any ambiguities, correct errors, and streamline the content to enhance readability.
• Ensure consistency : Review the entire manual to ensure consistency in tone, language, formatting, and style. This will help maintain a professional and cohesive document.
• Update references : Cross-reference any external documents, regulations, or policies mentioned in the manual to ensure they are current and accurate.
• Finalize the manual : Once all revisions have been made, obtain approval from the appropriate stakeholders and publish the policy and procedure manual.

Step 9: Obtain Approval and Publish the Manual

• Create a draft of the policy and procedure manual , ensuring that each section is complete and well-written.
• Review the draft internally within the organization, involving key stakeholders such as department heads, managers, and legal advisors . Obtain their feedback and make necessary revisions.
• Once the draft is finalized, seek approval from higher management or the designated authority responsible for approving policies and procedures. This ensures that the manual aligns with the organization’s goals, values, and legal requirements.
• Before publishing, conduct a final review to ensure accuracy, consistency, and clarity . This includes reviewing the content, formatting, and language of the manual.
• Create a final version of the manual in the desired format, such as a printed document or an electronic file . Remember to include a cover page and a table of contents for easy navigation.
• Distribute the approved manual to all relevant stakeholders within the organization. This may include employees, managers, and other individuals who need access to the policies and procedures outlined in the manual.
• Consider providing training or orientation sessions to ensure that everyone understands the contents of the manual and their responsibilities in adhering to the policies and procedures.
• Make the manual easily accessible to all stakeholders , whether through an intranet, shared file system, or physical copies. This allows for easy reference and ensures that everyone has access to the most up-to-date version.
• Regularly review and update the manual as needed to reflect changes in policies, procedures, or regulations. Communicate any updates to stakeholders and ensure that they have access to the revised version.

Tips for Effective Policy and Procedure Manuals

Follow these tips to create an effective policy and procedure manual:

• Clear and Concise Language: Use clear and concise language to ensure that policies and procedures are easily understood by all employees.
• Organize Information: Organize policies and procedures in a logical manner, using headings, subheadings, and numbered sections. This helps employees navigate the manual and find information quickly.
• Use Visual Aids: Incorporate visual aids such as flowcharts, diagrams, or tables to enhance understanding and simplify complex processes.
• Provide Examples: Include examples or case studies to illustrate how policies and procedures should be implemented in real-life situations.
• Regular Updates: Policies and procedures should be reviewed and updated regularly to ensure they remain relevant and aligned with current practices and regulations.
• Employee Involvement: Involve employees in the development and review process to gather feedback and ensure that policies and procedures reflect the realities of the workplace.
• Accessibility: Ensure that the manual is easily accessible to all employees, whether in print or electronic format. Consider using an online platform or intranet to make it easily searchable.
• Training and Communication: Provide training to employees on how to use the manual effectively and communicate any updates or changes to policies and procedures.
• Consistency: Maintain consistency in language, formatting, and style throughout the manual to create a cohesive document.
• Legal Compliance: Ensure that policies and procedures comply with applicable laws, regulations, and industry standards.
• Regular Review: Regularly review the manual to identify any gaps, inconsistencies, or outdated information. Seek feedback from employees and make necessary revisions.
• Document Control: Implement a system for document control to keep track of versions, revisions, and approvals of policies and procedures.

By following these tips, you can create a comprehensive and user-friendly policy and procedure manual that effectively communicates important information to your employees.

Frequently Asked Questions

How do i write a comprehensive policy and procedure manual.

Writing a comprehensive policy and procedure manual involves following a step-by-step journey. Start by outlining the key policies and procedures that are essential for your organization. Then, gather information on employment procedures, workplace code of conduct, health and safety guidelines, communication policies, and other relevant topics. Organize the information in a structured internal document, ensuring it covers all necessary areas. Review and refine the manual for accuracy and clarity, and make sure it reflects your company’s culture and values. Finally, distribute the manual to all employees and provide training on its contents.

Why is it important to have a policies & procedures manual for virtual employees?

A policies & procedures manual serves as a reliable source of information for virtual employees. It acts as a one-stop location for them to access the company’s policies, procedures, and work standards. This ensures that virtual employees understand the expectations, guidelines, and protocols that they should follow while working remotely. It also provides constant assurance that the same policies and procedures apply to all employees, regardless of their location.

What should be included in a policies & procedures manual regarding employee benefits?

A policies & procedures manual should include comprehensive information about employee benefits. This may cover topics such as health insurance options, retirement plans, vacation and leave policies, and other perks and incentives offered by the company. Clear guidelines on how to avail these benefits, eligibility requirements, and any necessary documentation should also be included in the manual.

How can a policies & procedures manual contribute to maintaining a positive company culture?

A policies & procedures manual plays a crucial role in establishing and maintaining a positive company culture. It sets standards of conduct and behavior for employees, ensuring that they align with the company’s values and mission. The manual acts as a reference point for employees to understand the expectations regarding behavior, communication, and professionalism. By providing a clear framework, the manual helps foster a culture of respect, fairness, and accountability.

What is the importance of a policies & procedures manual in ensuring a successful business cycle?

A policies & procedures manual serves as a management tool that ensures a successful business cycle. It provides step-by-step procedures for various processes, such as hiring practices, payment procedures, emergency procedures, and more. By following these procedures outlined in the manual, employees can perform their tasks efficiently and consistently, leading to a quality output and smooth workflow. The manual also acts as a single source of truth, providing reliable information to employees at every stage of the business cycle.

How can a policies & procedures manual simplify training and promote scalability for a company?

A policies & procedures manual simplifies training by providing a structured methodology for onboarding new employees. It serves as a user manual software that offers guidance on various topics, such as organizational culture, dress code, communication policies, and technology usage procedures. New hires can refer to the manual to understand company policies and procedures quickly, saving time and effort. Additionally, as a company grows, the manual allows for scalability by providing a framework for consistent training and aligning employees with established company practices and values.

Tehsin Bhayani

AirMason was born when Tehsin was trying to create a digital culture book, but couldn’t find any solutions in the market that had all the features he needed. In 2016, AirMason officially launched. In five years, AirMason has created thousands of handbooks for more than 1,000 clients around the world.

Mastering Documentation: How to Write a Policy and Procedure

A detailed look at the policy writing template, press esc to close.

Policy Presentation

Developed in collaboration with Dr. Dan Pomeroy, manager of MIT’s International Policy Lab .

Criteria for success

• The presentation starts with the main policy implication of your work or recommendation.
• Do not spend time on your methods; policy makers are not peer reviewers and trust your work.
• Unnecessary scientific detail and jargon is kept to a minimum.
• Each slide has a title that stands on it own and tells a single message.
• Figures have the minimum amount of information to make your point and nothing more.

Generally, when an academic is presenting to a policy audience, they are either providing information, typically in response to a request, or making policy recommendations. In the case of the former, it is important to directly answer the questions and not just provide generally relevant information. For the latter, the more specific you can be, the better.

Policy makers often do not have time to devise solutions based on problems presented to them, but can instead evaluate, modify, and hopefully adopt the suggestions of experts. Therefore, if you can lay out a blueprint for what they will do from the time they leave the room through the implementation of your recommendation, you will significantly increase the likelihood that your recommendation is considered. Policy makers appreciate proposals for action that are clear and articulate and show that they have been thought through before presentation.

Finally, you might also provide recommendations by laying out a variety of policy options and identifying the pros and cons of each.

Structure Diagram

As scientists and engineers, we often present work as a story, where we present a problem and then innovative methods developed to address the problem. However, if policy makers do not grasp the relevance of the talk within the first few minutes, their minds may wander to other business or personal issues. You must quickly present the conclusions of your work, along with desired actions, and state how this relates to the problems on their desk.

Only after presenting the take-away message should you begin to present supporting arguments and data. Try to organize all the details of your presentation into 1-3 arguments and group these ideas together to support the take-away message. Each slide should be structured to convey a single message or sub-point (see below).

After major sections, come back to your Agenda slide, highlighting the section to be covered next. If your arguments are presented in a logical order, this will help your audience follow your presentation.

The final slide (or second-to-last slide if the final slide is “Next Steps”) should reiterate the take-away message and look a lot like the first slide.

Analyze your audience

Whether presenting to Congressional staff or Executive branch officials, keep in mind there are likely few, if any, scientists in your audience. Your audience will not have depth in your scientific area of expertise, but they are smart and can learn quickly. Furthermore, policy makers are constantly evaluating new information and requests as they arrive through the day. You may be presenting to an audience that is busy or distracted and you must communicate as effectively as possible in the limited time available.

When possible, learn the background on specific members of the audience. Before any presentation to policy makers, make sure to know what issues they are currently discussing and debating. Try to learn specifics such as their voting record, committee assignments, or past statements on the topic. If possible, learn as much as you can about their agenda, why this topic or presentation is important to them, and whether you expect any pre-conceived biases or opinions.  

Each slide should convey a single point

The purpose of each slide is to convey a message using visual evidence as support. Ask yourself what minimum set of things needs to be shown for the slide to make its point and only include elements that you actually plan to talk about.

To help get your main points across, use strong titles with complete sentences that explicitly state the slide’s main takeaway. Weak titles tend to be nouns like “Background” or “Incidence of cancer.” A strong title might say “Lung cancer incidence is increasing 5% per year.” Ideally, someone should be able to flip through the presentation and understand the argument by just reading slide titles.

If a slide makes multiple points, try one of the following:

• Remove points that don’t come up later in the talk
• Make multiple slides, each with their own message, title, and content
• Make parts of the slide appear and disappear to display different pieces of content that together support the title’s message

Make each slide as simple as possible while still conveying its message

Treat the message you want to communicate as your “signal”. Your goal is to transmit this signal as clearly as possible to your audience. For each message, spend time thinking about the best way to transmit the signal to your audience. For example, text and visual media can deliver identical messages, but with different clarity.

• Tables list information with little context or interpretation. They are best for highlighting individual values or drawing attention to a precise value.
• Figures illustrate conclusions with evidence and are open to interpretation. Figures are better suited for viewing the overall shape of the data.
• Text and speech tell precise statements.

Anything that interferes with communication of your message is “noise”.

Noise from evidence

Don’t drown your audience in data: include only the minimum data necessary to make your point. Including evidence that doesn’t directly support your message distracts from evidence that does. For example, if only three data points matter in a complicated line plot, perhaps you could highlight those three numbers by displaying them in a table instead.

Noise from presentation

The way you present your chosen evidence can also draw attention away from your message. The example below gives a few common techniques for how a slide can be improved to remove noise.

• The title of the slide is changed from a description of the data to a message about the data.
• Legends are moved directly next to the data they describe, so the reader doesn’t have to look back and forth and match colors.
• Color scheme is simplified and changed to draw attention the the relevant portion of data.
• Unnecessary 3D graphics are removed.

Source: Trees, Maps, and Theorems, by Jean-Luc Doumont, page 99

Many other types of noise exist. For example, unnecessary gridlines, axis labels, and color can clutter a figure. Ask yourself what you want your audience to take away from the figure and how you can make it easier for them to locate and focus on the relevant information. The format and style of your presentation should never distract from the content.

(The metaphor of “signal-to-noise ratio” comes from Jean-luc Doumont’s book Trees, Maps, and Theorems .)

Choose figure designs that best communicate your message

Just as words may be better or worse at communicating an idea, different figure designs may be better or worse at communicating your message. In designing a successful figure, consider which media, figure types, and plot types (see below for examples of each) best highlight your message. For complex messages, multiple panels can break down a message into clear statements. Multi-panel figures will likely employ a combination of media and plot types. Use the complementary strengths of each element to communicate your message.

Plot types emphasize different types of data.

What are you trying to show with your data: a correlation, a distribution, an event in time?

Use simple, consistent formatting

• Use a consistent font and font size: e.g. , 24 for slide titles, 16 for text in slide, and 10 for axis labels.
• Make sure all graphics are sized such that all text is readable.
• Simplify data labels by removing generic gridlines and other visual clutter.
• Instead add emphasis to key points only using colors, arrows, or labels.
• All axes on graphs should be labeled and titled and units should be indicated in parentheses, e.g. , “Revenues ($M)”. Only use 3-5 tick marks with labels on each axis. These labels should be only numbers, since you have already included units in the axis label.
• Leave white space on your slide. A dense slide is hard to read. A spacious slide will have less information, but your reader will understand more of it.

Additional resources

• CommKit article on general slideshow design
• CommKit article on figure design
• CommKit articles on public speaking

Resources and Annotated Examples

Annotated example 1.

Policy presentation by two MIT Nuclear Science and Engineering professors 4 MB

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Information Technology Policy IT Powerpoint Presentation Slides

IT policies and procedures establish guidelines for using information technology within an organization. In other words, it outlines the rules in the form of approaches for using company assets. Check out our professionally designed PowerPoint presentation on Information Technology Policy that briefly explains IT policies, their importance, critical components, a checklist to create an effective IT policy, etc. In this Information Technology Policy PowerPoint Presentation, we have covered the different IT policies such as remote access policy, password creation and management, acceptable use of equipment, and many more. It also talks about security awareness and training, information security, and email and chat policy. Also, the Cyber Security Policy PPT presentation includes the Bring Your Device policy that comprises its objective and scope, checklist for creating BYOD, and device protocols. It also focuses on restrictions on the authorized use of personal devices, privacy and company access, stipend for BYOD, the safety of personal devices, and so on. Furthermore, this BYOD Policy template comprises a cyber security training program for staff, a timeline, and a roadmap to develop an IT policy. Get access now.

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PowerPoint presentation slides

Deliver an informational PPT on various topics by using this Information Technology Policy IT Powerpoint Presentation Slides. This deck focuses and implements best industry practices, thus providing a birds-eye view of the topic. Encompassed with fifty nine slides, designed using high-quality visuals and graphics, this deck is a complete package to use and download. All the slides offered in this deck are subjective to innumerable alterations, thus making you a pro at delivering and educating. You can modify the color of the graphics, background, or anything else as per your needs and requirements. It suits every business vertical because of its adaptable layout.

People who downloaded this PowerPoint presentation also viewed the following :

• Complete Decks , All Decks , IT
• IT Policy ,
• Cyber Security Policy ,
• Byod Policy

Content of this Powerpoint Presentation

Slide 1 : This slide introduces Information Technology Policy. Begin by stating Your Company Name. Slide 2 : This slide depicts the Agenda of the presentation. Slide 3 : This slide includes the Table of contents. Slide 4 : This slide highlights the Title for the Topics to be covered further. Slide 5 : This slide represents the introduction to information technology policy. Slide 6 : This slide highlights the Importance of IT policies and procedures. Slide 7 : This slide elucidates the consequences of not having IT policies and procedures. Slide 8 : This slide depicts the critical components of information technology policy. Slide 9 : This slide states the checklist for an effective information technology policy. Slide 10 : This slide incorporates the Heading for the Contents to be covered further. Slide 11 : This slide presents the remote access policy to connect to the company’s network from any other host. Slide 12 : This slide explains the password creation and management policy. Slide 13 : This slide reveals an Overview of information retention policy for employees. Slide 14 : This slide outlines the Acceptable use of equipment policy overview. Slide 15 : This slide covers the information system change management policy. Slide 16 : This slide features the incident response policy and includes the team related information. Slide 17 : This slide presents the overview of Vendor management policy and considerations. Slide 18 : This slide shows the Data classificattion policy overview and approaches. Slide 19 : This slide exhibits information about the Software usage policy objective and general guidelines. Slide 20 : This slide contains the Title for the Ideas to be discussed further. Slide 21 : This slide elucidates the Overview of network security policy for workers. Slide 22 : This slide presents Access authorization, modification, and identity access management. Slide 23 : This slide provides information about the security awareness and training policy. Slide 24 : This slide depicts the information security policy for the employees covering the critical topics. Slide 25 : This slide represents the email and chat policy, including its objective and general guidelines. Slide 26 : This slide incorporates the Title for the Topics to be covered further. Slide 27 : This slide displays the Checklist for creating bring your own device policy of the Company. Slide 28 : This slide represents the bring your own device (BYOD) policy, including its objective and scope. Slide 29 : This slide showcases the device protocols for the workers in the BYOD procedure. Slide 30 : This slide covers the restrictions on the authorized use of personal devices in corporate buildings or property. Slide 31 : This slide reveals privacy and company access to workers’ personal devices. Slide 32 : This slide mentions the Company stipend for bring your own device policy. Slide 33 : This slide depicts the safety of personal work devices under the BYOD policy while traveling. Slide 34 : This slide describes the scenarios of lost, stolen, hacked, or damaged personal equipment under BYOD policy. Slide 35 : This slide talks about the termination of employment and violation of BYOD policy. Slide 36 : This slide elucidates the Heading for the Components to be discussed further. Slide 37 : This slide exhibits the objective and general guidelines of internet usage policy, and includes the internet login guidelines for employees. Slide 38 : This slide talks about the password guidelines under the internet usage policy. Slide 39 : This slide incorporates the online content usage guidelines under the internet usage policy. Slide 40 : This slide includes the Title for the Topics to be covered further. Slide 41 : This slide represents the company's IT policy implementation budget for FY2022. Slide 42 : This slide describes the employee awareness training budget for FY2022 including provider, duration, budget, etc. Slide 43 : This slide highlights the Heading for the Topics to be covered in the forth-coming template. Slide 44 : This slide presents the cybersecurity awareness training program for staff. Slide 45 : This slide reveals the Heading for the Topics to be covered further. Slide 46 : This slide displays the timeline to develop an information technology policy. Slide 47 : This slide provides information about the Title for the Topics to be covered further. Slide 48 : This slide illustrates the roadmap to develop an information technology policy, and it includes the steps to be performed for it. Slide 49 : This is the Icons slide for information technology policy revealing all the Icons used in the plan. Slide 50 : This slide depicts extra company related information. Slide 51 : This slide elucidates the Clustered column chart for comparison. Slide 52 : This slide includes the Post it notes for reminders and deadlines. Slide 53 : This is Our goal slide. List your Organization's goals here. Slide 54 : This is the Puzzle slide with related imagery. Slide 55 : This is the About us slide for depicting Company related information. Slide 56 : This slide is used for Comparison. Slide 57 : This slide showcases the SWOT analysis. Slide 58 : This slide represents the Circular diagram for relevant Organization information. Slide 59 : This is the Thank you slide for acknowledgement.

Information Technology Policy IT Powerpoint Presentation Slides with all 64 slides:

Use our Information Technology IT Policy Powerpoint Presentation Slides to effectively help you save your valuable time. They are readymade to fit into any presentation structure.

IT policies and procedures are crucial as they define the rules, regulations, and guidelines that employees must follow while using IT infrastructure. These policies help organizations maintain security, ensure compliance with regulations, and prevent legal or financial repercussions.

Not having IT policies and procedures in place can lead to security breaches, data loss, regulatory violations, and damage to the reputation of the company. In addition, it can result in legal or financial repercussions that can affect the organization's growth.

The critical components of an information technology policy include a remote access policy, password creation, and management policy, information retention policy, acceptable use of equipment policy, information system change management policy, incident response policy, vendor management policy, data classification policy, software usage policy, network security policy, and email and chat policy.

A bring-your-own-device (BYOD) policy outlines the rules and regulations governing the use of personal devices by employees to access the organization's IT infrastructure. The policy aims to ensure security and protect sensitive information from unauthorized access.

The purpose of the internet usage policy is to define the guidelines and regulations that employees must follow while using the internet for work-related purposes. The policy aims to ensure security, prevent data loss, and regulate access to certain types of content. It also helps to prevent legal or financial repercussions due to misuse of internet resources.

Ratings and Reviews

by Dominique Vazquez

January 12, 2023

by Eddy Guerrero

January 11, 2023

DOL Publishes Final Regulation Expanding the Definition of an ERISA Fiduciary

May 16, 2024

On April 25, 2024, the U.S. Department of Labor (the “DOL”) finalized a collection of regulatory changes in its ongoing quest to update the definition of a “fiduciary” under ERISA and Section 4975 of the Internal Revenue Code (the “Regulation”).  In finalizing the Regulation, the DOL sought to confer ERISA fiduciary status on professional investment advisers and wealth managers, particularly with regard to participant-directed 401(k) plans and individual retirement accounts.  Along with the Regulation, the DOL published amendments to a collection of prohibited transaction exemptions (the “Amended Exemptions”).  The Regulation becomes effective on September 23, 2024.

This is the DOL’s third attempt to update the definition of an “advice fiduciary” and, like the prior attempts, it has already been challenged in the federal district court in Texas.

Changes to the Definition of Fiduciary under ERISA and Section 4975 of the Code

The Regulation replaces the existing 1975 regulation, which set forth the “5-Part Test” to determine if an individual is providing investment advice as an ERISA fiduciary.  Under the Regulation, a person providing non-discretionary investment advice to a plan participant or fiduciary is an ERISA fiduciary if (i) that person represents or acknowledges that they are acting as a fiduciary under ERISA with respect to the recommendation or (ii) for a fee or other indirect compensation,: (1) the person either directly or indirectly ( e.g. , through or together with any affiliate) makes professional investment recommendations to investors on a regular basis as part of their business; and (2) the recommendation is made under circumstances that would indicate to a reasonable investor in like circumstances that: (a) the recommendation is based on review of the retirement investor’s particular needs or individual circumstances, (b) reflects the application of professional or expert judgment to the retirement investor’s particular needs or individual circumstances, and (c) the recommendation may be relied upon by the retirement investor as intended to advance the retirement investor’s best interest.

In the Preamble to the Regulation, the DOL states that it views a “recommendation” as a communication that, based on its content, context and presentation, would reasonably be viewed as a suggestion that the retirement investor engage in or refrain from taking a particular course of action.  The Regulation makes clear that recommendations to distribute or rollover assets are fiduciary advice, as are recommendations as to the investment options in a participant-directed plan’s menu.  The DOL states that it aims to align the definition of “recommendation” with guidance adopted by the Securities and Exchange Commission (the “SEC”) and other governmental agencies; however, the DOL rejected suggestions to limit the new rules to “retail” plan fiduciaries and participants.

The Regulation is clear that written statements disclaiming fiduciary status, or that the recommendation may not be relied upon, will not control to the extent such statements are inconsistent with the other oral or written communications, marketing materials, other interactions with the retirement investor, or applicable state or federal law.

Amendments to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1 and 86-128

The Amended Exemptions are an attempt by the DOL to unify the requirements across exemptions for persons providing non-discretionary investment advice.  The primary changes to Prohibited Transaction Exemptions (“PTE”) 75-1, 77-4, 80-83, 83-1 and 86-128 were the removal of any relief for prohibited transaction by advice fiduciaries.  If a discretionary investment adviser is relying on one of these exemptions, a review should be made to confirm that the changes do not impact the adviser.

Amendments to Prohibited Transaction Exemptions 84-24 and 2020-02

PTE 2020-02 permits various types of otherwise prohibited compensation to be paid to advice fiduciaries and their affiliated financial institutions, as well as certain principal transactions, provided that the conditions of the exemption are satisfied.  Those conditions include:

• a written acknowledgment of ERISA fiduciary status;
• disclosure of the services provided and any material conflicts of interest;
• adherence to the impartial conduct standards;
• adoption of policies and procedures prudently designed to ensure compliance with the impartial conduct standards and mitigate conflicts of interest; and
• engaging and documenting an annual retrospective compliance review.

Among other requirements, the reasons for a distribution or rollover recommendation must be disclosed to the plan participant and documented.

PTE 84-24 allows fiduciaries to receive compensation when plans and IRAs enter into certain insurance and mutual fund transactions recommended by the advice fiduciary (or its affiliates), as well as certain related transactions.  The amendments to PTE 84-24 cover compensation to “Independent Producers” (i.e., that sell insurance products of two or more unrelated insurers) selling annuities or other insurance products not regulated by the SEC, if certain conditions are satisfied, including that the Independent Producer acknowledges fiduciary status and meets certain disclosure requirements and conduct standards similar to PTE 2022-2.  The insurer whose policy is sold is required to establish appropriate policies and procedures and meet other criteria also similar to PTE 2002-2, but will not be required to acknowledge fiduciary status and will not be treated as a fiduciary simply by virtue of such supervisory activities.

The amendments to the Amended Exemptions are also effective on September 23, 2024; however, required compliance with PTE 84-24 and 2020-02 will be phased in so that the relief will apply generally if the investment professional or financial institution adheres to the impartial conduct rules and acknowledges its fiduciary status, with the other procedural conditions becoming applicable on September 23, 2025.

Impact on Investment Managers that Provide Wealth Management Services

Clients that provide wealth management or other holistic investment services to individuals or smaller employers should consider their relationships in light of the Regulation.  If the expanded definition of investment advice will make you an ERISA fiduciary, then the review of your services, preparing the required policies and procedures, educating your employees and providing the appropriate disclosures will be a significant undertaking.  If you are already relying on PTE 2020-02, the amendments, while not major, will still require a review and update to your existing policies and procedures.

Impact on Investment Managers of Private Funds and Other Institutional Clients

The Regulation should not have a material impact on investment managers of private funds that are subject to ERISA or that manage separate accounts for ERISA plans ( i . e ., discretionary fiduciaries).  However, even if your firm does not have a retail business, the Regulation may nevertheless impact your relationship to ERISA plans and IRAs.  If you utilize non-discretionary sub-advisers, use “finders” for investments, or make co-investments, those arrangements should be reviewed and may need to be modified.

To learn more about the recent changes please reference our recent alert DOL Finalizes Amendments to the QPAM Exemption – All QPAMs Must Take Action and webinar The Recent QPAM Exemption Changes: What You Need to Know .

For further information regarding the Regulation and the Amended Exemptions, please contact Bradley Fay at (212) 574-1429, S. John Ryan at (212) 574-1679, Michael O’Brien at (212) 574-1505, or Shayna Roth at (212) 574‑1309.

Related Attorneys

Bradley C. Fay

(212) 574-1429 [email protected]

S. John Ryan

(212) 574-1679 [email protected]

Michael E. O’Brien

(212) 574-1505 [email protected]

Shayna Roth

(212) 574-1309 [email protected]

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