Index to the Generic Sample Set of Policies and Procedures

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Index to the
Generic

Sample Set of Policies and Procedures

for NGO’s


Introductory Notes




This Index lists all policies and procedures contained within the
NGO’s

sample set of policies and procedures. The policies and
procedures are of a generic nature an
d should be customised to incorporate any
NGO
-
specific policies and procedures.



The policies and procedures included have been classified into the following areas:

1.

Finance

2.

Governance

3.

Human Resources

4.

Operations



All policies and procedures are assigned a uni
que document code as follows {Function}
-
{Document Type}
-
{Sequential Number}
e.g.HR
-
POL
-
01.



The document type codes used within the document codes are as follows:

o

POL

-

Policy

o

PROC



Procedure



The function codes used within the document codes are as follows
:

o

FIN
-

Finance

o

GOV

-

Governance

o

HR

-

Human Resources

o

OP



Operations



The following terms are used interchangeably throughout the Policies and Procedures: “Board of Trustees”, “Board” and “Govern
ance
Committee”.


Process for Editing Policies




When editing
policies to suit an individual
NGO
, ensure that all centre
-
specific information is populated, including the
NGO

name within
the Header.
Note:
NGO
-
specific information that needs to be completed is highlighted in bold with square brackets.



Some policies an
d procedures contain notes, which should be deleted when editing the policies and procedures to suit individual
NGO’s.



The author of the Policies and Procedures is set to
[Insert name]
NGO
. This should be updated within the properties of the document.



Eac
h policy should be populated with the date approved and the date due for review.



Hard copies of each policy should be signed by the Chairperson and dated.



Policies and Procedures are formatted as follows:

o

Heading Font: Arial + bold

o

Heading Font size: 16

o

Bo
dy Text Font: Arial

o

Body Font size: 11

o

Top Margin: 2.5 cm

o

Bottom Margin: 1.5 cm

o

Left and Right Margins 3.17cm

o

Line spacing: 1.5 lines

o

Justified paragraph alignment

o

Header and Footer 1.25 cm from page edges


Acknowledgment


The Sample Set of
NGO

Policies a
nd Procedures are based on policies and procedures provided by the Taranaki, Southland, Wellington,
Baywide
, Whitireia

and Tairawhiti Community Law Centres. Policies and Procedures were amalgamated, edited and compiled by Angela
Beaumont (Consultant), Den
ise Lormans (Manager, Southland Community Law Centre) and Mary Beaumont (Manager, Taranaki Community Law
Centre).


These
templates

are provided free of charge through the Southland Community Law Centre as part of its community outreach services.


1.

Governa
nce Policies and Procedures


Governance includes accountability, Board and Manager responsibilities, meeting reporting requirements
and profiling and access to and by the media.



Policy no.

Policy name

Scope notes

GOV
-
POL
-
01

GOV
-
POL
-
01 Accountabilities P
olicy

Includes accountability for:



The delivery of services i.e. accountability for achieving the agreed level of
quality, quantity and cost for each of the
NGO
’s outputs;



Statutory compliance, quality assurance and risk management; and



Financial manageme
nt i.e. accountability for financial performance against
the budget, proper use of funds allocated, and probity in all dealings with
the
NGO’s

money.

GOV
-
POL
-
02

GOV
-
POL
-
02 Publicity and Public Affairs
Policy

Includes Manager approval of content prior to t
he publication of material or
delivery of statements and prevention of press/media statements that are
derogatory or in any way damaging to the organisation.

GOV
-
POL
-
03

GOV
-
POL
-
03 Governance/Management
Definitions and Responsibilities Policy

Includes defi
nitions of governance and management and responsibilities of each.

GOV
-
POL
-
04

GOV
-
POL
-
04 Governance Meetings
Policy

Includes Manager responsibilities in regard to Governance meetings.

GOV
-
POL
-
05

GOV
-
POL
-
05 Trustees Conflict of Interest
Policy

Includes pr
ocedure for dealing with conflicts of interest and examples of conflicts
of interest.

GOV
-
POL
-
06

GOV
-
POL
-
06 Development and Review
of Policies and Procedures Policy

Includes policy content, policy development procedure (identification of need,
development

process, implementation, evaluation, review, policy format,
governance level policies vs. operational level policies and policy layout.

GOV
-
POL
-
07

GOV
-
POL
-
07 Remuneration and Benefits
Policy

Details ways in which the Manager shall not in any way jeopard
ise the Trust’s
financial integrity or good name in the community.

GOV
-
POL
-
08

GOV
-
POL
-
08 Treatment of Staff Policy

Includes Manager’s responsibilities in regard to the treatment of staff.

GOV
-
POL
-
09

GOV
-
POL
-
09 Governance Board Terms
of Reference and Co
de of Ethics Policy

Includes Trust Authority, Trust Governance, monitoring and Code of Ethics for
Governance Board Members and the Governance Board.

GOV
-
POL
-
10

GOV
-
POL
-
10 Monitoring Manager
Performance Policy

Includes process for monitoring Manager perfor
mance.

Policy no.

Policy name

Scope notes

GOV
-
POL
-
11

GOV
-
POL
-
11 Manager Appointment and
Terms and Conditions Policy

Policy on Manager appointment and terms and conditions of Manager’s
employment.

GOV
-
POL
-
12

GOV
-
POL
-
12 Manager Limitations Policy

Includes over
-
arching limitation and financi
al limitations including credit card,
investments, budgeting, planning and fund
-
raising.

GOV
-
POL
-
13

GOV
-
POL
-
13 Protection of Assets Policy

Includes Manager’s responsibilities relating to the protection of
NGO’s

assets
(includes insurance).

GOV
-
POL
-
14

GOV
-
POL
-
14 Management
Communication and Advice to the Trust
Board Policy

Includes Manager’s responsibilities relating to communications and advice to the
Trust Board.

GOV
-
POL
-
15

GOV
-
POL
-
15 Volunteer Terms and
Conditions

Includes Manager’s responsibilities re
lating to the Terms and Conditions for
NGO

Volunteers.

GOV
-
POL
-
16

GOV
-
POL
-
16 Programmes and Services

Includes Manager’s responsibilities with regards to thoroughly researching
programmes and services prior to commencement and carefully managing
programmes

and services once established.

GOV
-
POL
-
17

GOV
-
POL
-
17 Resources and Property
Management

Includes Manager’s responsibilities with regards to resource and property
management including lease agreements, maintenance, repairs and insurance.

GOV
-
POL
-
18

GOV
-
PO
L
-
18 Service Delivery Proposal
Policy

Includes procedure and process for developing an annual Service Delivery
Proposal (SDP) or Funding Request to LSA.




2.

Finance Policies and Procedures



Finance includes all aspects of financial management, busin
ess expenditure, fixed assets and payment of
invoices.



Policy no.

Policy name

Scope notes

FIN
-
POL
-
01

FIN
-
POL
-
01 Financial Management Policy

Includes annual budget, monthly financial reports, annual reporting, delegations,
purchase of sundry items and p
urchase of capital items.

FIN
-
POL
-
02

FIN
-
POL
-
02 Business Expenditure Policy

Includes expenditure guidelines and procedures, petty cash, credit card,
reimbursement of travel expenses while on
NGO

business, Koha, monitoring and
processing of business expend
iture and repayment of personal expenses incurred
on
NGO

invoices.

FIN
-
POL
-
03

FIN
-
POL
-
03 Fixed Asset Policy

Includes function of fixed asset register, recording of assets, minimum value
recorded, transfer and disposal of assets.

FIN
-
POL
-
04

FIN
-
POL
-
04 P
ayment of Invoices

Includes process for processing invoices.

FIN
-
PROC
-
01

FIN
-
PROC
-
01 Finance Procedures

Includes delegations, payments, income, internet banking and financial
management system (including reconciliations and reports).















3.

Hum
an Resources (HR) Policies and Procedures


Human Resources includes all aspects of managing employees (permanent, temporary, full
-
time, part
-
time,
casual or volunteer).



Policy no.

Policy name

Scope notes

HR
-
POL
-
01

HR
-
POL
-
01 Recruitment, Selection and
A
ppointment of Staff Policy

Includes Job Specifications, Advertising, Internal Job Applicants, Short Listing and
Interviewing, Reference Checking, Police Vetting, Recruitment of Relatives,
Appointments on Merit, Notification of Unsuccessful Applicants and O
ffer of Work.

HR
-
POL
-
02

HR
-
POL
-
02 Staff Orientation Policy

Contains orientation checklists for new staff

HR
-
POL
-
03

HR
-
POL
-
03 Staff Conduct and Behaviour
Policy

Includes Code of Conduct, Dress and Appearance, Clear Desk, Public Debate and
Discussion, Medi
a/Press Releases, Community Law Trust Property, Gifts and
Favours, Drugs and Alcohol and Professional Boundaries.

HR
-
POL
-
04

HR
-
POL
-
04 Employee Disciplinary Policy

Contains disciplinary process (Verbal Warning, Written Warning, Final Warning,
Termination)
. Also includes definitions and examples of misconduct and serious
misconduct.

HR
-
POL
-
05

HR
-
POL
-
05 Supervision Policy

Includes procedure for supervision within the Community Law Centre

Note:

For external supervision refer also
OP
-
POL
-
28

Supervision Policy
.

HR
-
POL
-
06

HR
-
POL
-
06 Employee Rights Policy

Includes employee representative, Equal Employment and Discrimination. For
Harassment refer to
HR
-
POL
-
15 Harassment Policy
.

HR
-
POL
-
07

HR
-
POL
-
07 Dress

Code Policy

Use where a separate Dress Code Policy is required.

HR
-
POL
-
08

HR
-
POL
-
08 Health and Safety Policy

Includes Health and Safety Guidelines and Procedures, Hazards, Health and
Safety Responsibilities

HR
-
POL
-
09

HR
-
POL
-
09 Professional Developmen
t
Policy

Includes guidelines for staff professional development.

HR
-
POL
-
10

HR
-
POL
-
10 Employee Performance
Appraisal Policy

Includes two options for performance review process.

HR
-
POL
-
11

HR
-
POL
-
11 Personnel Files Policy

Includes examples of personnel file

contents, access by staff and retention periods
for personnel records.

HR
-
POL
-
12

HR
-
POL
-
12 Pay Progression

Includes pay scales and descriptions and competencies to be considered.

HR
-
POL
-
13

HR
-
POL
-
13 Leave Policy

Includes definitions for annual leave, si
ck leave, special leave, long service leave
and time in lieu. Also includes policies relating to annual leave, leave in advance
and leave without pay.

Policy no.

Policy name

Scope notes

HR
-
POL
-
14

HR
-
POL
-
14 Time In Lieu Policy

Includes definition of time in lieu, time in lieu accumulation,

responsibilities and
related health and safety issues.

Note:

This Policy will only be required by some
NGO’s
.

HR
-
POL
-
15

HR
-
POL
-
15 Harassment Policy

Includes definition of harassment and procedure for complaints of harassment.

HR
-
POL
-
16

HR
-
POL
-
16 Indemn
ities Policy

Includes
NGO

responsibilities and Staff responsibilities.

HR
-
POL
-
17

HR
-
POL
-
17 Exit Questionnaire
(Employees) Policy

Includes guidelines for gathering feedback from staff that are leaving the
NGO
.

HR
-
POL
-
18

HR
-
POL
-
18

Equal Opportunities Pol
icy

Includes commitment to the principles and practices of ensuring that all people are
provided with an equal opportunity to achieve their potential.




4.

Operations Policies and Procedures



Policy No.

Policy Name

Scope notes

CLIENT SERVICE DELIVERY

OP
-
POL
-
01

OP
-
POL
-
01 Client Care, Privacy and
Confidentiality Statement

Client Care, Privacy and Confidentiality Statement for Staff.

OP
-
POL
-
0
2

OP
-
POL
-
0
2

NGO
Services Policy

Includes service description and service delivery procedure for information,
advi
ce,
assistance,

education and law reform.

OP
-
POL
-
0
3

OP
-
POL
-
0
3

Service Definitions Policy

Includes service definitions.

OP
-
POL
-
0
4

OP
-
POL
-
0
4

Criteria for Accessing
Services Policy

Includes procedure for accessing services and Eligibility Assessment Form.

OP
-
POL
-
05

OP
-
POL
-
0
5

Client Contact at
Reception Policy

Includes procedure for client enquiries at reception.

OP
-
POL
-
0
6

OP
-
POL
-
0
6

Telephone Enquiries
Policy

Includes staff responsibilities in relation to telephone enquiries.

OP
-
POL
-
07

OP
-
POL
-
07

Office Enq
uiries

Includes staff responsibilities in relation to office enquiries and interviews.

OP
-
POL
-
08

OP
-
POL
-
08

Law Reform Policy

Includes procedures relating to law reform

and submission

work.

OP
-
POL
-
09

OP
-
POL
-
09

Conflict of Interest Policy

Conflict of Inter
est Policy.

Policy No.

Policy Name

Scope notes

OP
-
POL
-
1
0

OP
-
POL
-
1
0

Drafting of
Communications Policy

Includes procedure for drafting communications, formatting, proof reading and a
sample draft letter.

OP
-
POL
-
11

OP
-
POL
-
11

Interpreters

Includes guidelines for the use of interpreters.

OP
-
P
OL
-
12

OP
-
POL
-
1
2

Community Group Clients
Policy

Includes guidelines relating to the assistance of groups.

OP
-
POL
-
13

OP
-
POL
-
13

Referrals to External
Providers Policy

Includes guidelines for referrals to External Providers.

OP
-
POL
-
14

OP
-
POL
-
14

Informed Choi
ces for
Clients Policy

Policy to ensure clients have sufficient and comprehensive support to make
informed choices.

OP
-
POL
-
15

OP
-
POL
-
15

Privacy and Confidentiality
Policy

Includes collection of personal information, protection of information, clear desk
p
olicy, use of information, disclosure of information, access to information and
correction of information.

OP
-
POL
-
16

OP
-
POL
-
16

Release and Transfer of
Client File Policy

Includes process for releasing and/or transferring client file and file release form.

OP
-
POL
-
17

OP
-
POL
-
17

Zero Tolerance

Includes staff and governance responsibilities in relation to zero tolerance.

OP
-
PROC
-
01

OP
-
PROC
-
01 Client Intake Procedures

Procedures relating to client intake.

OP
-
PROC
-
02

OP
-
PROC
-
02 Standard Terms of
Engagement Pr
ocedure

Standard Terms of Engagement (“Terms”).

OP
-
PROC
-
03

OP
-
PROC
-
03 First Interview
Procedure

Procedure for initial interview with Clients.

OP
-
PROC
-
04

OP
-
PROC
-
04 CLC Client Database
Procedures

& File records


Includes procedures for daily time input an
d client files.

OP
-
PROC
-
05

OP
-
PROC
-
05 Staff Practice Guidelines

Includes treatment of clients, staff areas of work, conflict checking, protocol during
appointments, criteria and client files, advice, safety, privacy and security,
appointments, messages, c
omplaints, rural services, agency forms, mail,
stationery and supplies, computer and computer back up, shared drives, cell
-
phones, resource room, car parks, manager away, staff and trustee conflict
information.

OP
-
PROC
-
08

OP
-
PROC
-
08 Draft Open Disclosure

Disclosure of errors to clients and staff & adverse event reporting form.

OP
-
PROC
-
08 #2

OP
-
PROC
-
08 Incident reporting
checklist

Reporting and investigation format for open disclosure

CULTURAL AND TIKANGA POLICIES

OP
-
POL
-
18

OP
-
POL
-
18
Te Tiriti o Waitan
gi Policy

This policy provides guidelines for ensuring an understanding and an acceptance
of the Treaty of Waitangi principles of partnership and participation.

OP
-
POL
-
19

OP
-
POL
-
19

Cultural Safety Policy

This policy provides guidelines relating to cultura
l safety i.e. the right to have one's
culture validated through practices that do not put at risk ones cultural values and
beliefs.

OP
-
POL
-
20

OP
-
POL
-
2
0

Koha Policy

Includes expenditure principles, approval, payment of Koha and general guidance
on when, wh
at and how to offer Koha

EVALUATION AND FEEDBACK

OP
-
POL
-
21

OP
-
POL
-
2
1

Evaluation of Services
Policy

Includes procedures for the evaluation of services.

OP
-
POL
-
22

OP
-
POL
-
22
Complaints and
Compliments about Staff and Services
Policy

Includes procedures fo
r responding to complaints and compliments about
NGO
Staff and Services.

FILE MANAGEMENT

OP
-
POL
-
23

OP
-
POL
-
2
3

Files, Retention and
Documentation Policy

Includes guidelines for the backup of computer files, no file procedure, file
procedure, follow up pro
cedure for open files, closing open files and retention
periods for documentation and files.

SECURITY, HOURS AND PLACE OF OPERATION

OP
-
POL
-
24

OP
-
POL
-
24

Hours of Work Policy

Includes Public Service Hours, Work Schedule, Adjustment to Schedules, Lunch
Pe
riods and Breaks, Alternative Work Schedules, Overtime and Staff
Responsibilities.

OP
-
POL
-
25

OP
-
POL
-
25

Alarms and keyholders
Policy.

Policy on alarms and keyholders, including a table to list
NGO site

keys issued and
keyholder names.

Note:
This Policy wil
l differ between
NGO’s
. Edit as required.


OP
-
POL
-
26

OP
-
POL
-
26

Security Policy

Policy relating to the protection of
staff, visitors and the public using
the NGO’s
premises.

OP
-
POL
-
27

OP
-
POL
-
27
Emergency Evacuation
Policy

Policy for the safe evacuation of

the NGO’s

premises in the case of Emergency
including assembly point.

SUPERVISION FOR STAF
F

OP
-
POL
-
28

OP
-
POL
-
28

Supervision Policy

Includes definition of supervision, appointment of a supervisor, the requirements of
staff participation, confidentiality
, review of external supervision, contracts and
records.

Note:

Refer also
HR
-
POL
-
05

for Internal Supervision Policy.

USE OF CENTRE RESOURCES

OP
-
POL
-
29

OP
-
POL
-
29

Computer Use, Internet
and Email Policy

Includes rules for compu
ter use and staff guidelines.

OP
-
POL
-
30

OP
-
POL
-
30

Data Transfer Policy

Includes guidelines on the use of data transfer devices such as flash drives.

OP
-
POL
-
31

OP
-
POL
-
31

Telephone Use Policy

Includes guidelines on telephone communication.

OP
-
POL
-
32

OP
-
P
OL
-
3
2

Cellphone Policy

Includes guidelines on cellphone use.

OP
-
POL
-
3
3

OP
-
POL
-
33

Use of Company Vehicle
Policy

Includes guidelines on the use of the
NGO

Vehicle
/s
.

MISCELLANEOUS

OP
-
POL
-
34

OP
-
POL
-
34

Quality Control

Includes processes to ensure
the clien
ts who use
NGO’s services
receive effective
quality services


OP
-
POL
-
35

OP
-
POL
-
35

Risk Management Policy

Policy on managing risks in a proactive, ongoing and positive manner.

OP
-
POL
-
36

OP
-
POL
-
36

Rights
of Consumers, Staff
and Volunteers Policy

Includes
N
GO’s
responsibilities in regard to the treatment of consumers, staff and
volunteers.

OP
-
PROC
-
07

OP
-
PROC
-
07 Reporting Procedures

Includes
Finance, funding, work statistics and
Client Database reporting
procedure.


Hazards Register Template

With examples o
f what a hazard may be and how it can be managed


Hazards


Notification and
Investigation Form

Forms for notification of new or recurring hazards plus the investigation form.


Risk Management Plan

What you really should have in place for the times that
really bad things happen
i.e. earthquakes, loss of funding etc.