How to Develop a Stellar Policy .........................................

Top 5 “Must-Haves” for Effective Policies ........................

Why Do I Need to Manage Policies and Procedures?.......

How Do I Manage My Policies and Procedures? .............

Policy Management 101: The Five Steps to Success.........

Policies and Procedures: The Importance of Following Through .............................

Policy Management FAQs .................................................

3

5

7

9

10

12

14

After 10 years of specializing in policy and procedure management, we’ve realized that while managing policies and procedures effectively is vital, you have to start somewhere. Whether you’re at square one and feeling completely perplexed or have already established a decent starting point, we’ve got you covered! Here’s a quick synopsis of tips and tricks we’ve collected over the years to ensure your policies are beyond OK, and instead, the best they can possibly be.

1. Establish a planning process

First things first: a well-planned construction process is key to creating proficient policies. Right out of the gate, determine who needs to be involved, what everyone’s role entails, and the most efficient way to establish a workflow covering each step of the process. Then, set a meeting to have a roundtable discussion with all chief decision makers. This will create an opportunity to collaborate on your organization’s stance or position concerning all pertinent subjects or issues. Furthermore, a meeting is imperative to establishing policies that represent the unanimous expectations agreed upon for all personnel, regardless of the positions they hold.

How to Develop a Stellar Policy

2. Construct an outline

Once everyone is in unison regarding the structure, message, and verbiage to include, you’re ready to begin authoring the policies. First, make a list of all policies that address national or state rules, regulations, and laws. Next, make an outline that hones in on expectations and acceptable behavior. If you’ve encountered any incidents that may need specific attention due to situations that arose in the past, a policy is the perfect place to incorporate guidelines that will pave the way for the future. It’s imperative to address anything and everything during the first go-around to eliminate creating multiple new policies and change notices. Incorporate everything from workplace cell-phone usage to sexual harassment.

3

How to Develop a Stellar Policy

4

3. Establish a message

Language that’s easily understandable across the board is one of the most important elements to incorporate within a policy. If someone struggles to understand what the message is, how will they know what is expected of them? Therefore, use commonplace verbiage that speaks directly to your personnel. Omit the fancy jargon – it’s simply not suitable for the effectiveness of your policies. Also, make sure to provide a direct correlation that flows naturally into the procedure and how the policy is expected to be carried out or adhered to.

Once the initial policies have been drafted and received the thumbs up from upper-level management and your legal team, you’re ready to begin building your organization’s library of policies. It’s always better to have more than you need as opposed to running the risk of not having a sufficient amount in place. The more subject areas you cover, the greater the chances of decreasing risk management and increasing compliance. So even if it seems daunting and overwhelming, power through and create, create, create.

If you follow the aforementioned tips, there’s a good chance your policies will be so stellar and comprehensive that there’ll never be a doubt or question raised amongst your personnel again. OK, we can’t necessarily promise that, but we can guarantee that you’ll be well on your way to encountering significantly fewer issues!

Every organization is likely well aware of the significance tied to the implementation of company policies, and the implications involved when they are poorly constructed and managed. The real question is, how often are these well-known best practices carried out? With potential consequences including disorderliness, injuries, or lawsuits, it’s a course of action that can’t afford to be put on the back burner. It’s time to re-shift your focus ASAP! We’ve compiled a few simple tactics to help make policies and retention as effective and painless as possible.

Top 5 “Must-Haves” for Effective Policies

5

1. Be clear, concise, and to the point.

Policies are simply not the place for flowery language and high-level jargon. The wording and structure need to be easy to comprehend and follow to ensure all personnel fully understand their expectations. It doesn’t do any good to overwhelm readers by including excessive information, so in this case, short and sweet is the surefire way to go. Just make sure all the bases are covered.

2. Stay consistent.

Contradictory policies and procedures are essentially opening the door for trouble. Uniformity must be established to set the tone and values representative of your organization. For example, if a zero-tolerance drug policy is in place, the message should be clear to all personnel that drugs will absolutely not be tolerated, whether in or out of the office. It is imperative that similar policies include the same strong wording to reiterate those areas that are strictly enforced.

Top 5 “Must-Haves” for Effective Policies

6

3. Practice Teamwork.

Setting up some form of workflow process is beneficial for all parties involved in the process. Multi-level approvals, prior to dissemination, will help identify information that may need to be added or revised, reduce typos, and eliminate any duplication, thus significantly reducing any margin of error. Most importantly, this will share responsibility amongst a team instead of leaving all the eggs in one person’s basket.

4. Provide easy access for all personnel.

Contradictory policies and procedures are essentially opening the door for trouble. Uniformity must be established to set the tone and values representative of your organization. For example, if a zero-tolerance drug policy is in place, the message should be clear to all personnel that drugs will absolutely not be tolerated, whether in or out of the office. It is imperative that similar policies include the same strong wording to reiterate those areas that are strictly enforced.

5. Analyze consistently.

Keep in mind that policies need constant attention – this is an ongoing process, not a one-time project. Analyses should be conducted on a routine basis, with revisions applied accordingly. This is a crucial element that deserves the same focus and attention as financial analyses and job-performance evaluations. Set a tentative schedule for issuing change notices, and avoid waiting until the last minute.

Well-executed policies enable every operation to run more smoothly, in addition to contributing to the overall success and happiness of your staff. When the guesswork is eliminated, it’s possible to reach perfect harmony!

Why Do I Need to Manage Policies and Procedures?

7

This is often a subject that people are embarrassed to admit, but the wonder and intrigue eventually get the best of them. You should never feel like a nervous child in elementary school who’s afraid of putting his or her hand in the air to ask a question – especially when it pertains to your profession. But it’s completely understandable to want to shelve policy upkeep, considering the astronomical time commitment needed amidst your already hectic schedule. However, a lack of high quality, consistent policy management can cost your organization a great deal of money due to events such as breach of policy, disobedience, etc. There are slews of operational and fundamental advantages of sound policy and procedure management you may have not realized…until now.

Here are a couple reasons managing policies and procedures is not an option, but an absolute must.

1. Sustains company culture

Policies and procedures not only outline your organizational structure, but also cultivate and sustain your company culture. Ultimately, they serve as the glue that holds the company together. Everything from dress code to break-room etiquette can and should be included, because it puts everyone on the same playing field and creates unison. This sets the tone of the overarching vision of how your organization should run. Now whether every member of your personnel agrees with every policy and procedure is a different story. Therefore, creating opportunities for feedback, within reason, can help sustain a close-knit culture, because it gives personnel a voice and signifies that management values their opinions and suggestions.

Why Do I Need to Manage Policies and Procedures?

8

2. Mitigates risk

Cracking down on risk exposure is not a matter to take lightly. When well-written policies and procedures are implemented, personnel tend to exhibit more compliant behavior, since their expectations, obligations, and duties are stated matter-of-factly. Maintaining a complete lifecycle of the policy and procedure management process is crucial to mitigating long-term risks. This creates transparency regarding risk-exposure incidents that occur. One of the main benefits of effective management is the ability to evaluate a risky situation presented, and then revise pertinent policies and procedures to reflect the steps necessary to rectify that situation in the future.

3. Fosters compliant mentality

An arsenal of policies and procedures that includes everything but the kitchen sink creates a more compliant environment. In turn, compliant personnel are typically more at ease and acutely aware of their boundaries, as well as what is and isn’t acceptable within the workplace (and out of the workplace, when representing the company). By outlining clear-cut guidelines that personnel must meet, your organization is simultaneously creating unity and acquiescence by eliminating any shadow of a doubt concerning roles, statuses, departments, etc.

4. Highlights pitfalls in the system

SharePoint and similar intranet sites are great for document storage. However, they don’t provide the capability to keep track of the entire management process. If there’s no tracking mechanism in place, it’s easy for documentation to slip through the cracks, which inevitably translates to accountability issues. Paperless compliance management programs help to close the gap that the intranet can create. It’s amazing what a difference online collaboration and collecting electronic signatures can make. Aside from eliminating pitfalls that may have been in place, these programs can also establish a more centralized focus. Setting reminders takes the guesswork and human error out of the equation, which makes compliance that much easier to obtain.

Yes, managing policies and procedures can be a hassle and perhaps a struggle at times. However, there are several ways to simplify the management process to help keep your head above water. It’s important to take note of the great breadth of benefits you’re affording your personnel by investing your time and efforts into managing policies and procedures. So relish in the fact that your hard work pays off on a daily basis, because let’s face it: if policies were never established, chaos would definitely ensue.

How Do I Manage My Policies and Procedures?

9

This is a question we hear on a daily basis. We know effectively managing policies and procedures is no easy feat, of course. However, scaling down to the basics and simplifying the process is a possibility. Here are the top 10 steps to efficiently manage your policies and procedures, and simultaneously achieve compliance.

1. Write policies and procedures.

2. Implement policies and procedures.

3. Disseminate policies and procedures.

4. Collect signatures on policies and procedures.

5. Test personnel on policies and procedures.

6. Survey personnel on policies and procedures.

7. Revise policies and procedures.

8. Re-disseminate policies and procedures.

9. Analyze results of policies and procedures.

10. Revert back to step 7.

OK, enough with the policies and procedures. In a perfect world, these steps could be completed in no time at all. Regardless if it takes 3 weeks or 3 years, if you follow the aforementioned steps you’ll be well on your way to perfecting the process and the rest will be smooth sailing. In fact, you may just find yourself saying, “who knew the road to compliance could be that easy!?”

Policy Management 101: The Five Steps to Success

Let’s face it: policy management is like taking a shower or brushing your teeth. It’s a necessary evil, and we know we have to deal with it every day, but we’d really rather just put it on the back burner for the sake of focusing on a much more fun or seemingly productive task at hand. OK, we kid about the hygienic part (or do we?), but in reality, quality policy construction, dissemination, and continuous management is crucial to any organization. Whether it’s a memo on the newest construction task being performed in the office or an update to a hand-washing procedure, every internal document has the same higher purpose: to keep the organization in compliance and its personnel safe and happy.

Whether they exist in file cabinets or other paper-laden drawers, as PDFs on an intranet system, or somehow else entirely, you probably have quite the collection of policies and procedures at your organization. But how are you managing them – if at all? And what about the documents you know need to be written, but you just can’t find the time (or an appropriate platform on which) to author them?

Luckily, electronic policy-management tools exist to help you through this process. Here are five steps that will get you started on moving toward a better future with your policy management.

1. Make a list of your unique needs.

Tons of tools exist to make your professional life easier while keeping you in compliance. But what exactly are you looking for? Maybe you just need a straightforward program that will let you upload and author documents. Or perhaps it goes further – could you benefit from an electronic-signature capability? What about knowledge assessments, or a system that works directly with an outside organization to prove compliance with third-party standards? Your specific needs will help guide you to the right set of software.

10

Policy Management 101: The Five Steps to Success

11

2. Consider your options and make a purchase.

Once you’ve made a list of what you need, do a little research. Google some relevant keywords that pertain to your needs, or even shoot a little higher with industry-specific searches (for example, “FDA compliance” or “nonprofit policy management”). See what websites offer something you can take away (like a whitepaper or eBook), which give you the most bang for your buck, etc. Don’t be afraid to ask questions of any sales representatives who contact you – that’s what they’re there for!

3. Start compiling – or brainstorming.

How your policies currently exist is a big factor in what this step means for you. If you already have all the documentation you need in one of the aforementioned formats (hard copy, PDF files, etc.), all you need to do is upload them and make sure you stick to a consistent naming convention. If there are policies you need to author, then hopefully you chose a set of software that allows you to do that – so get started!

4. Disseminate!

Enjoy time saved, as well as money saved on paper, by sending out your policies to those employees who need to read and sign off on them electronically. If necessary, have them take attached tests for maximum knowledge retention and assurance.

5. Keep up with it.

Set expiration dates on document signatures. This will ensure no one’s compliance slips through the cracks, without you having to manually sort through a never-ending stack of papers or set of scattered PDF files.

Policies and Procedures: The Importance of Following Through

12

No matter which way you slice it, the word policy has a negative connotation. It’s true that policies and procedures are put into place to prevent (holy alliteration, Batman!) negative incidents from occurring. But unfortunately, it doesn’t always work that way – accidents happen, and then policies have to be enforced. That’s the word that gives policies and procedures their REAL negative connotation: enforced. Who wants to be forced to do anything?

The first item on your policies and procedures checklist is to send out the most up-to-date documents for your personnel to sign off on. That’s a no-brainer, right? Why put yourself and your organization in hot water when you can just get one little signature and be done with it…right? Piece of cake.

Wrong. If electronic signatures and policy organization were the only compliance tasks we had to worry about, life would be so much easier, and we’d never have to wonder why an incident occurred anyway. Because let’s face it: people don’t get hurt at the workplace because they forgot to sign off on a policy. Incidents occur because, yes, accidents happen; but most of the time, it’s because of a lack of follow-through and a thorough understanding of these policies and procedures.

How can you ensure your steps toward compliance are followed through on? Here are some ideas to get you started.

Think back to a sport you’ve played in which you had a coach. Maybe it was an after-school bowling league or a tennis class during P.E. in high school. Think about what your coach told you was the most important part of the game. No, it wasn’t winning, although that’s a nice bonus. If you haven’t guessed it already, just look at the title of this post: follow-through.

The idea of following through can be applied to many parts of life, including parenting, nutrition, education, and the aforementioned sports. Without a smooth and complete follow-through, the idea of whatever you’re trying to get across doesn’t stick – and, as I’m sure you know (especially if you’re a parent or, perhaps similarly, depending on your organization, a supervisor), consistency is key.

Policies and Procedures: The Importance of Following Through

13

Implement Training Courses

Aside from signing off on documentation, there are other elements to consider when trusting that your personnel are gaining the knowledge necessary to perform their jobs in a safe, efficient manner. Online training courses are the answer to attaching items like videos, audio files, practical applications, and more to policies to ensure a holistic skill set. But in today’s world of businesses closing left and right, many agree that “all hands on deck” is a necessity rather than a luxury, so make sure your training options are self-paced for flexible attainability.

Test That Knowledge

Do you ever have fleeting moments where you wonder whether a document an employee signed off on is something they truly understood, or if they were just trying to get it over with? Might seem like a negligible detail at the time of signing, but when it comes time to apply something that employee was supposed to have learned, it could mean the difference between a preventable situation and a safety hazard which, in turn, could also turn into a big fat lawsuit. Find a paperless solution that allows you to create unique and interesting tests that you can send alone or as accompaniments to policies and training courses.

Make Information Readily Accessible

Last but not least, it’s a good idea to make sure your documents, training records, tests, and other materials that may be helpful to your personnel are easily locatable and usable. Implement a system with a dynamic search capability, so users can find what they need quickly and easily. Personnel are much more likely to take in and retain information if it’s easy to access and made available to them – without having to shuffle through stacks of paper.

Policy Management FAQs

14

Think you know everything about policy management and best practices? Guess again! There’s always some form of new and improved information circulating. As they say, “You learn something new every day!” Luckily for you, we did the legwork this time around.

Here’s a list of our most frequently asked questions. I’m new to policy management – where do I begin?Aside from signing off on documentation, there are other elements to consider when trusting that your personnel are gaining the knowledge necessary to perform their jobs in a safe, efficient manner. Online training courses are the answer to attaching items like videos, audio files, practical applications, and more to policies to ensure a holistic skill set. But in today’s world of businesses closing left and right, many agree that “all hands on deck” is a necessity rather than a luxury, so make sure your training options are self-paced for flexible attainability.

Whom should I involve in the process?For quality assurance purposes and to lessen the burden on one person (i.e. the Compliance or Policy Manager), it’s best to form a team to ensure all areas are covered. This team can vary in size depending on the caliber of your organization. The most beneficial team will be comprised of staff members from multiple departments, so insight is at the highest degree possible.

How can I enhance the policy and procedure management process? Send policies and procedures through a workflow process to gather feedback. Encourage participants to scrutinize the verbiage to make sure policies are easy to understand and also fall in line with the organization’s directives and goals. Adding tests to the review process will guarantee readers thoroughly understand the policies and procedures currently in place, along with the expectations that are set forth. Ultimately, the test results will clarify which policies may need to be re-visited and fine-tuned.

Is there a way to simplify?Thankfully, yes – there are many ways to simplify! Implementing a policy management system is one of the easiest ways to eliminate relentless printing while saving both time and money. Plus, by switching to a paperless system, you’ll be making a positive contribution to the ecosystem and eliminate several trips to the chiropractor.

Policy management doesn’t need to be a dreadful task. If the proper tools are in place and adequate attention is given, your organization will surely grow to be strong and impactful in no time.

PowerDMS™: Making Policy Management Easier

Now that you’ve gained some valuable policy management insight, it’s time to put these best practices into use! PowerDMS™ makes managing policies and procedures easier. With handy tools like intelligent searching, electronic signature capturing, a superior review, approval and workflow process, and the ability to write, revise and circulate policies from templates, it’s a no-brainer. Finally, a fast, piece-of-cake document management solution to cut down the risk associated with neglect. Go ahead, try it.

To sign up for a FREE demonstration or simply

learn more, please visit www.PowerDMS.com or call toll free: 800.749.5104.

15