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Policy, Process, Procedure, Guidelines


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In this presentation, we will discuss in details about the policies required for a domain, control of documents and corporate policies. We will also talk about the processes that transform inputs into outputs, requirements for the processes and process audits.
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Policy, Process, Procedure, Guidelines

  2. 2. Policyexpresses the intent of anOrganization and sets direction tomeet the delivery objective
  3. 3. All these are high –level document in theirdomain. Each may be aligned to anotherpolicy above it. The document at the highestlevel is called the apex policy or corporatepolicy. They include quality policy, securitypolicy etc. Operational policies derive fromCorporate policy. They set rules orconfiguration so as to discipline theoperation.
  4. 4. Control areas * Control of document· * Content
  5. 5. Control of document covers information aboutdocument number, version number, date oforigination, date of current release, owner of thedocument or the person who is authorized tomake changes, review team, periodicity ofreview, weeding condition of the document,storage , use and availability of the document,confidentiality level of the policy, and thereforetargeted persons.
  6. 6. Content• History of the document in terms of its needs• Direction• Measures for implementation and maintenance• Review cycle• Change request form• Independent approver
  7. 7. Sets• tone of direction• Purpose• results
  8. 8. Corporate policiesowned by the CEO and the operational policiesby the location head
  9. 9. content in the annexure to the policy mayvary for different environment dependingupon change in regulation, laws,technology, culture etc.
  10. 10. ProcessProcess is a series of operations
  11. 11. Processset of inter-related resources and activities which transforms inputs into outputs
  12. 12. resource• personnel• finance• facilities• equipment• techniques• methods
  13. 13. processes• recruitment• induction• mentor• appraisal• policy making process• exit
  14. 14. Requirements for the processes1. Process steps2. Process owners, procedures3. Measurement points4. Audit – internal, external or both5. Improvement plan and measure
  15. 15. • All processes have measures at their input and output
  16. 16. • Flow charts, flow diagrams and decision matrix etc describe the steps. It is important to have a process owner for each process to account for the process feedback from management, users, service providers etc. and improvise to provide efficient, effective, reliable and compliant process meeting the objectives.
  17. 17. • Any change to the process should be reviewed.• Any rejection at the early stage will minimize loss.• It is best to introduce measures at each of the measuring points.• There should be a written procedure.
  18. 18. Process audit• conducted regularly
  19. 19. Internal audit• provides input on process implementation efficiencies
  20. 20. external audit• provides input on its impact to the organization and provides through certification a level of assurance over the process.
  21. 21. Procedures• provide operating competency
  22. 22. • At every stage, work instructions are required to provide consistency of doing things as per the policy, process or guidelines.
  23. 23. Guidelines• provide inputs related to ‘how to’ on various aspects including interpretation of policy or procedures
  24. 24. • They may be written aligned to act, rules, standard, and policy referring to the clause and section quoted along with the intent for creating the particular clause or section, its objective and achievement at the end of implementing the stated need. Guidelines can be general as well as specific.
  25. 25. Process• Provides scope for measuring points with measuring points to minimize wastage.• It has input and output measures.
  26. 26. Procedure• A step by step instruction to perform test to meet the measures mentioned in the process.• No measures
  27. 27. Forms• structured ways to capture information• They marshal the type, size and length of characters.• The options are known.
  28. 28. Formats• free form text in a pre-defined sequence with expected content.
  29. 29. • They provide assurance over a safe, secured and structured storage of information. It establishes good governance; a framework for people, facilities, applications and information fulfilling its effectiveness. Thus they can be used as part of policy, procedure or guidelines.
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