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. To know more about Welingkar School’s Distance Learning Program and courses offered, visit: http://www.welingkaronline.org/distance-learning/online-mba.html

1. POLICY, PROCESS,
PROCEDURE,
GUIDELINES

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

3. 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.

4. Control areas
* Control of document
· * Content

5. 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.

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. Sets
• tone of direction
• Purpose
• results

8. Corporate policies
owned by the CEO and the operational policies
by the location head

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

10. Process
Process is a series of
operations

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

12. resource
• personnel
• finance
• facilities
• equipment
• techniques
• methods

13. processes
• recruitment
• induction
• mentor
• appraisal
• policy making process
• exit

14. Requirements for the
processes
1. Process steps
2. Process owners, procedures
3. Measurement points
4. Audit – internal, external or both
5. Improvement plan and measure

15. • All processes have measures at
their input and output

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. • 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. Process audit
• conducted regularly

19. Internal audit
• provides input on process
implementation efficiencies

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

21. Procedures
• provide operating competency

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

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

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. Process
• Provides scope for measuring
points with measuring points to
minimize wastage.
• It has input and output measures.

26. Procedure
• A step by step instruction to
perform test to meet the measures
mentioned in the process.
• No measures

27. Forms
• structured ways to capture
information
• They marshal the type, size and
length of characters.
• The options are known.

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

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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