POLICY, PROCESS, PROCEDURE, GUIDELINES

Policy

expresses the intent of an Organization and sets direction to meet the delivery objective

All these are high –level document in their domain. Each may be aligned to another policy above it. The document at the highest level is called the apex policy or corporate policy. They include quality policy, security policy etc. Operational policies derive from Corporate policy. They set rules or configuration so as to discipline the operation.

* Control of document· * Content

Control areas

Control of document covers information about document number, version number, date of origination, date of current release, owner of the document or the person who is authorized to make changes, review team, periodicity of review, weeding condition of the document, storage , use and availability of the document, confidentiality level of the policy, and therefore targeted persons.

• History of the document in terms of its needs

• Direction• Measures for implementation

and maintenance• Review cycle• Change request form• Independent approver

Content

Sets

• tone of direction• Purpose• results

Corporate policies

owned by the CEO and the operational policies by the location head

content in the annexure to the policy may vary for different environment depending upon change in regulation, laws, technology, culture etc.

Process is a series of operations

Process

Process

set of inter-related resources and activities which transforms inputs into outputs

resource

• personnel • finance • facilities • equipment • techniques • methods

processes

• recruitment• induction• mentor• appraisal• policy making process• exit

Requirements for the processes

1. Process steps2. Process owners, procedures3. Measurement points4. Audit – internal, external or both5. Improvement plan and measure

• All processes have measures at their input and output

• 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.

• 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.

Process audit

• conducted regularly

Internal audit

• provides input on process implementation efficiencies

external audit

• provides input on its impact to the organization and provides through certification a level of assurance over the process.

Procedures

• provide operating competency

• At every stage, work instructions are required to provide consistency of doing things as per the policy, process or guidelines.

Guidelines

• provide inputs related to ‘how to’on various aspects including interpretation of policy or procedures

• 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.

Process

• Provides scope for measuring points with measuring points to minimize wastage.

• It has input and output measures.

Procedure

• A step by step instruction to perform test to meet the measures mentioned in the process.

• No measures

Forms

• structured ways to capture information

• They marshal the type, size and length of characters.

• The options are known.

Formats

• free form text in a pre-defined sequence with expected content.

• 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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