What To Include When Documenting Policies

Your procedures and documenting policies set the stage for seamless activity at your company and for making sure everyone is one the same page. It helps to codify the expectations you have and must be done to help guide actions from the very beginning. That said, there are certain essentials to include when doing so.


Identifying Information

Some firms will create a number system with which to call each entry, and this also provides a ready means for categorizing various subjects. It can also give staffers a ready way to store files in numerical order, thus creating a streamlined way to find documents when they are needed.

When documenting policies, your header should include the written title, and the time period during which this particular piece of policy is valid. It will need to state the date it was created and have the signature of the approving supervisor. You’ll also want to outline the departments to which this pertains.



The core values of your firm are expressed in each standard you set for your crew. It is reflected in the goals you set and in the expected conduct of those who represent you to the public. For this reason, these must be clearly articulated as it pertains to the procedure in question.

Staffers may not see how a particular piece fits into the bigger puzzle, and it is paramount to give a bird’s eye view of the bigger picture, so they can understand the why behind the request. This can also aid in the decision-making process they will undertake if there are questions.


Purpose Statement

Though it may sound similar to the objectives, this has both a different function and is a separate item. Put simply, this is the explanation for having the policy itself. It may include scenarios that have arisen to show the necessity of such a mandate or it can simply be a documentation of routine procedure when doing business.


Naming Key Players

It is vital to list the names of those who will be responsible for seeing to the proper execution of the tasks recommended, and their positions should also be stated. If there a chain of command a subordinate must look to, explicitly detail the situations under which they would need to report to a particular person.



The meat of your policy is going to be a set of steps needed to undertake a certain task, and you must make sure these are clear and are easily understood. It may be necessary to provide addendums to explain subtasks and reference them in the main text for added support.

Research and gather intel on the best practices before committing them to paper to ensure success. Even so, mistakes will occur, and you can include revisions to your original document should you learn otherwise from your original draft.


Risk Management And Discipline

Provide a thorough flowchart of factors that could affect a procedure from being carried out as intended, providing alternative courses of action in the event things go wrong. You will want to protect your business from mitigating circumstances by attempting to foresee that which could most likely affect your operations.

In the event that employee misconduct in a specific area could lead to repercussions for them, it is helpful to articulate what levels of censure may occur so employees can opt for a more positive outcome.

Fidelman & Co helps new companies that wish to seek funding from investors and financial institutions, giving oversight for the preparation of presentation models. In addition, we are happy to walk alongside you in the areas of financial consulting, and management strategies. We invite you Reach out to us today with any questions you may have, and we look forward to the privilege of working with you.

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What To Include When Documenting Policies

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