Policies and how to write them
An organisation’s management committee has ultimate responsibility to develop and adopt policies and procedures. They should monitor policy relevance and development.
Policies and procedures will ensure that the charitable organisation is well-run and managed. Put simply:
Policies are clear, simple statements of how your organisation intends to conduct its services, actions or business. They provide a set of guiding principles to help with decision making. Policies don’t need to be long or complicated – a couple of sentences may be all you need for each policy area.
The objective of an organisational policy is to:
- Ensure organisations comply with the law and regulation
- Transparency and accountability in how the management committee conducts the work of the organisation
- Provide relevant controls and identifies how things should be done and what is expected of people
- Help to limit risk
If an organisation wishes to register as a charity, the Charity Commission will require confirmation that policies are in place. Should a serious incident be reported to them, they will ask to see any relevant policies.
There are a range of policies that an organisation might hold. The list below is not in any specific order of importance and is provided as a checklist to identify what is needed by any charitable organisation.
Some of the policies are required by law and are therefore essential. The need for other policies will be dictated by the organisations activities, structure and size.
For example, an organisation that employs staff will require specific HR policies whereas an organisation run entirely by volunteers will require a different but equally important set of policies (see Volunteer Management policies). Depending on the size, scope and complexity of your organisation, you will need a variety of policies.
Essential Core Policies
The following are essential and therefore a must for all organisations:
- Health and Safety Policy – All charitable organisations must have a written Health and Safety Policy if they employ five or more people. An organisation of any size must conduct a health and safety risk assessment.
- Safeguarding Policy – for all ages, children and young people and/or vulnerable adults (whatever is most applicable). Visit Community Vision for further comprehensive details.
- Privacy Policy – also think about confidentiality, data protection etc.
- GDPR – Please note, when considering GDPR the Information Commissioners Office (ICO) requires a range of policies covering all data, including website, manual records kept at home and in the office. See GDPR chapter
- Equality and Diversity Policy – particularly regarding anti-discrimination and harassment of employees and volunteers, as well as service users.
- Risk Management Policy – incl. assessment and mitigation. A detailed risk assessment is required covering all aspects of the charity’s operations. You will need a Risk Register.
- Financial Policy – [See Finance section for further details]
- Reserves Policy, particularly if org is applying for funding [See Finance section for further details]
- Board Basics – a Trustee Code of Conduct; Conflict of Interest Policy; and Trustee Expenses Policy.
- Complaints Policy – For members, service users, supporters and/or public. This is essential. If an organisation does not have one, the Charity Commission or the ICO would be concerned if there was a complaint.
Common Financial Policies
Depending on the size and scope of the organisation the following policies are worth consideration.
- Financial Responsibilities Policy – Delegation of Authority (also include reference to Reserves Policy, Conflicts of Interests Policy and Segregation of Duties Policy)
- Conflict of Interest and Anti-bribery Policy – some of the information may be covered in the organisation governing document. Having a separate policy will clarify issues such as how a conflict is identified and managed. It is good practice to include a Register of Interests form.
- Anti-fraud Policy
- Anti-money Laundering Policy
- Budget Control Policy
- Controls on Income Policy, including due diligence policy on accepting funds, pricing, invoicing and debt control, grants, applications.
- Controls on Expenditure Policy, including procurement, estimates and tendering, purchase orders and invoices
- Controls on Financial Assets and Record Keeping Policy, including bank account, making payments, cash handling, card transactions, accounting records, safety.
- Controls on Human Resources Costs Policy, including staff salaries, recruitment, reviews, casual staff and consultancy, starters, leavers.
- Expenses Policy, including eligible expenses, public transport fares, use of personal vehicle, taxis, subsistence, overnight accommodation, medical costs, making claims.
- Segregation of Duties Policy
- Corporate Credit Card Policy
- Controls on Physical Assets Policy. This should include fixed assets, stock, insurance.
- Investment, Loans and Borrowing Policy, which can include investment powers, investment objectives, risk, liquidity, time horizon, management, reporting, review.
- Delegated Authorities Form
- Fundraising and Donations Policy
- Reserve’s Policy. Even if this is an aspiration.
- Gifts and Hospitality Policy
- Exercising Budgetary Control and Monitoring Policy – this should include the annual plan and budget approval, reporting, monitoring
Specific Policies on Managing Volunteers
- Volunteer Policy – make it clear that there is not an employer/employee relationship, however rights and responsibilities for both parties should be clear
- Recruitment and Selection of Volunteers Policy
- Code of Conduct Policy
- Insurance Provision for Volunteers Policy
Other Common Policies
The following list are policies that may need to be considered as your organisation grows. Not every organisation will require every policy, but they have been provided for consideration. Some policies relate specifically to employing staff and therefore not relevant to small voluntary organisations. Adoption of specific policies is for each management committee to decide.
Anti-harassment and Bullying Policy
Code of Conduct Policy
Confidentiality Policy
Data Protection Policy
Disciplinary Procedure Policy
Equal Opportunities Policy
Expenses Policy
First Aid Policy
Fire Safety Policy
Grievance Policy and Procedure
Information Technology Policy – acceptable use of IT/Email and Internet use, particularly data retention, disposal and destruction, and access and storage of electronic information. These policies will overlap with staff policies and GDPR.
Insurance Policy
Maternity and Paternity Leave and Pay Policy
Media Policy – this should include who in the organisation is approved to speak to the media
Pay Policy
Redundancy Policy
Retirement Policy
Risk Assessment Policy
Shared Parental Leave Policy
Sickness Absence Policy
Social Media Policy
Staff Handbook
Subject Access Request Policy
Time Off for Public Duties Policy
Whistleblowing Policy
Although this list is extensive, not every policy will be required by every organisation. Some policies may only be one page long while others will be more substantial. There is a large amount of sample policies available on the internet. Organisations should ensure that any sample policies are adapted to the organisations specific needs before adoption and should review policies regularly to ensure they are still fit for purpose.
Useful Resources
HEY Smile Foundation – You will need to sign up to the Beecan website to gain access to template policies. You can also register all your policies on your own account to provide access to all your trustees if necessary.
Community Vision for safeguarding policies Keeping People Safe | Community Vision
Voluntary Services Centre Community Vision Toolkit
Policies and Procedures | Resource Centre
NCVO Policies and procedures | NCVO
North Bank Forum Resources to Support your Local Community | Forum (northbankforum.org.uk)