SLCVO Blog 02 October

This week's blog is the final guide in our mini learning series and focuses on policies and procedures. Over the past four weeks, we have explored the key stages of setting up a community organisation. We hope these guides have helped build your understanding of good governance and provided a useful starting point for developing your group.

Policies, Procedures and Legal Responsibilities

Policies and procedures help organisations run smoothly, safely, and legally. They provide clear guidance on how the organisation works and help ensure consistency, good practice, and accountability to funders, members, volunteers, staff, and the wider community.

The policies and procedures your organisation needs will depend on its size, activities, and legal structure. This guide covers the core policies that most charities and community groups should consider, but additional documents may be needed depending on the nature of your work.

• Policy: A statement that explains what the organisation is committed to doing and how it will meet legal requirements and good practice.

• Procedure: A step-by-step guide explaining how tasks or activities should be carried out.

Trustees are responsible for making sure the organisation has the right policies and procedures in place. These should reflect the organisation's activities, help manage risks, and ensure compliance with relevant legislation.

Policies and procedures should be formally approved, easy to access, and reviewed regularly to make sure they remain up to date. Staff, volunteers, and trustees should understand what they cover, why they are important, and where to find them when needed.

NOTE: Throughout this blog, any reference to trustees should also be taken to include directors, committee members, board members, and others responsible for the governance and oversight of an organisation.

Understanding the Legal Framework for Policies and Procedures

One of the most common questions charities and community groups ask is: "What policies and procedures do we need?"

The answer depends on the size of your organisation, the activities you carry out, and the people you work with. A good place to start is by understanding the main laws and regulations that apply to your organisation.

Your policies and procedures should show how your organisation meets its legal responsibilities, manages risks, and operates safely and effectively. Not every law will apply to every organisation, but understanding them will help you decide which policies and procedures you need.

Charity Law and Trustee Duties

The Charities and Trustee Investment (Scotland) Act 2005 sets out the responsibilities of charity trustees in Scotland.

Trustees must act in the best interests of the charity, make sure it works towards its charitable purposes, manage conflicts of interest, keep proper records, and meet reporting requirements. Trustees are also responsible for ensuring the charity operates legally and remains accountable to the public.

The Office of the Scottish Charity Regulator (OSCR) provides guidance and support for trustees.

Health and Safety

Under the Health and Safety at Work etc. Act 1974, organisations have a duty to provide a safe environment for staff, volunteers, service users, and visitors. This includes carrying out risk assessments, keeping premises and equipment safe, providing training, having suitable insurance, and ensuring people understand health and safety procedures.

Good health and safety practices help reduce risks and protect everyone involved in your organisation.

Security and Emergency Planning

The Terrorism (Protection of Premises) Act 2025, also known as Martyn's Law, introduces new responsibilities for some public buildings and events.Organisations that operate public venues or host larger events may need to consider how they would respond to a terrorist incident and put appropriate plans in place. Smaller organisations may have limited requirements, but it is important to understand whether the legislation applies to your activities.

Data Protection

Most organisations collect personal information about members, volunteers, staff, donors, or service users. The Data Protection Act 2018 and UK GDPR set out rules for how this information should be collected, stored, used, and protected. Organisations should know what information they collect, why they collect it, who can access it, and how it is kept secure. The Information Commissioner's Office (ICO) provides guidance on meeting these requirements.

Electronic Communications

If your organisation sends emails, text messages, newsletters, or uses a website, you should be aware of the Privacy and Electronic Communications Regulations (PECR). These regulations cover areas such as marketing emails, text messages, cookies, and online privacy. Organisations should ensure their communication practices comply with these rules.

Fundraising and Lotteries

Many community groups raise money through raffles, lotteries, bingo nights, and other fundraising activities. Some of these activities are regulated by the Gambling Act 2005. Understanding the rules helps ensure fundraising activities are carried out legally and fairly.

Equality and Inclusion

The Equality Act 2010 protects people from discrimination and promotes equal treatment. Organisations should aim to make their services, activities, and opportunities accessible and welcoming to everyone. This means considering the needs of different people and removing barriers wherever possible. Creating an inclusive environment is not only a legal responsibility but also helps build stronger communities.

Human Rights

Many organisations use a human rights-based approach when planning services and making decisions. The Scottish Human Rights Commission promotes the PANEL Principles: Participation, Accountability, Non-discrimination, Empowerment, and Legality. These principles encourage organisations to involve people in decisions that affect them, be accountable for their actions, treat everyone fairly, support people to understand and exercise their rights, and ensure that all actions comply with the law. Using the PANEL Principles helps organisations deliver services that are fair, inclusive, and respectful of people's rights.

Safeguarding

Organisations that work with children, young people, or vulnerable adults have a responsibility to keep them safe. The Protecting Vulnerable Groups (Scotland) Act 2007 supports this through the PVG Scheme, managed by Disclosure Scotland.Safeguarding involves more than carrying out PVG checks. Organisations should also have clear policies, safe recruitment practices, training, and reporting procedures to help protect those involved in their activities.

Staying Compliant - Good governance is an ongoing process. Laws change, organisations develop, and new risks can emerge. Regularly reviewing policies and procedures helps ensure they remain up to date, relevant, and effective. Having the right policies in place not only reduces risk but also demonstrates to funders, partners, volunteers, and communities that your organisation is well managed and committed to good practice.

Core Policies, Procedures and Supporting Documents

Every organisation needs a strong foundation of policies and supporting documents to ensure clarity, accountability, and compliance with legal and best practice standards. These core documents set out how your group operates, what is expected of trustees, members, and volunteers, and how you manage key areas such as safeguarding, data protection, health and safety, and fundraising.

Having clear policies helps protect your organisation, builds trust with stakeholders, and provides guidance for consistent decision-making. The following section outlines essential policies and documents, what they should include, and where to find templates and guidance to help you develop them.

For templates and further guidance, visit the Scottish Council for Voluntary Organisations https://scvo.scot/support/templates

Governance & Trustee/Director Responsibilities

Trustee Policy A Trustee Policy sets out the expectations and responsibilities of trustees, ensuring they understand their duties and operate in line with governance standards. It builds on the governing document by providing practical detail about how the Board functions and what the organisation expects of its trustees. The policy should cover:

• Appointment and recruitment of trustees, including induction and training

• Roles and responsibilities, including office bearer roles (with separate role descriptions if needed)

• Commitment of trustees and Trustee Code of Conduct

• Register of interests and managing conflicts of interest

• Expenses and remuneration

• Meeting arrangements

• Serious incidents and risk management

• Trustee plans and appraisals

• Delegation of authority to volunteers or sub-committees, and retained authority of trustees

Members Policy

A Members Policy clarifies the rights and responsibilities of members, including voting rights and participation in organisational decisions. It helps maintain transparency and fairness in how members engage with the organisation. This policy builds on the governing document by providing practical detail about what the organisation expects from its members and what members can expect in return. The policy should include:

• Overview of the organisation’s activities and purpose

• Appointment, withdrawal, and termination of membership

• Members register and data protection requirements

• Voting rights and decision-making processes

• Membership benefits

• Details of trustees and staff for reference

Register of Interests & Conflict Management -This document records any personal or financial interests that a committee member has that could influence decision-making. It outlines how conflicts of interest will be identified and managed to protect the integrity of the organisation.

Trustee Induction & Training Programme -A structured programme to ensure new trustees understand the organisation’s purpose, policies, and legal obligations. It supports ongoing development so trustees can fulfil their roles effectively and confidently.

Complaints Policy (Internal & External) - This policy outlines how the organisation handles complaints from both internal stakeholders (staff, volunteers, members) and external parties (service users, partners, or the public). It provides a transparent process for raising concerns, investigating issues, and resolving complaints fairly and promptly. A clear complaints policy helps maintain trust, accountability, and continuous improvement within the organisation.

Health & Safety

Health & Safety Policy - This policy explains how the organisation will manage health and safety and meet its legal responsibilities. It should outline roles and responsibilities, risk assessments, first aid arrangements, safe use of equipment, and measures to protect staff and volunteers, including lone working. Health and safety templates and guidance are available from the Health and Safety Executive (HSE).

Fire Safety & Emergency Response Plan - Sets out how the organisation will prevent and respond to emergencies, including fire evacuations, emergency contacts, and communication procedures. Where relevant, it should also consider requirements under Martyn's Law.

Accident and Incident Reporting Procedure - Provides a clear process for reporting, recording, and investigating accidents, incidents, and near misses to help improve safety and meet legal requirements.

Lone Working Policy - Outlines how the organisation will support and protect staff and volunteers who work alone, including risk assessments and communication arrangements.

Adverse Weather and Travel Disruption Policy - Sets out how services, activities, and staff arrangements will be managed during severe weather or travel disruption.

Equipment and Device Use Policy - Provides guidance on the safe and appropriate use of organisational equipment and personal devices used for work, including security and data protection requirements.

Safeguarding & Vulnerable Groups

Safeguarding Policy (Children and Vulnerable Adults)

This policy sets out the organisation’s commitment to protecting children and vulnerable adults from harm. It provides a clear statement of intent and outlines principles, responsibilities, and procedures for prevention, reporting, and responding to safeguarding concerns in line with legislation and best practice. If your organisation regularly works with children, vulnerable adults, their carers, parents, or families, you must comply with safeguarding legislation and recommended standards. A safeguarding policy should include:

• Policy statement – your commitment to safeguarding

• Recruitment and selection – safe recruitment practices

• Training and induction – ensuring staff and volunteers understand their responsibilities

• Staff and volunteer responsibilities – clear roles and expectations

• Reporting procedures – how concerns are raised and managed

• Useful contacts – key safeguarding agencies and support resources

For more information see Foundation Scotland’s Safeguarding Guide:https://www.foundationscotland.org.uk/sites/default/files/2022-07/Foundation%20Scotland%27s%20approach%20to%20safeguarding.pdf

Recruitment & PVG Checks Policy - Explains how the organisation ensures safe recruitment of staff and volunteers, including carrying out appropriate background checks through the Protecting Vulnerable Groups (PVG) scheme. This policy helps prevent unsuitable individuals from working with vulnerable groups.

Staff/Volunteer Training & Induction -Details the organisation’s approach to training and induction for staff and volunteers, ensuring they understand safeguarding responsibilities, reporting procedures, and how to create a safe environment for service users.

Reporting Procedures for Concerns -Provides clear guidance on how to report safeguarding concerns or disclosures. Includes steps for escalation, designated safeguarding leads, and record-keeping requirements to ensure timely and appropriate action.

Equality, Diversity & Human Rights

Equality & Diversity Policy - This policy explains the organisation's commitment to treating people fairly, promoting equality, and preventing discrimination. It helps create a welcoming, inclusive environment for staff, volunteers, members, and service users, while supporting compliance with the Equality Act 2010. ACAS provides useful guidance and templates for developing an Equality and Diversity Policy.

Anti-Discrimination Policy - Sets out the organisation's commitment to preventing discrimination, harassment, and bullying. It explains how concerns will be addressed and helps ensure everyone is treated with dignity and respect.

Accessibility & Inclusion Policy - Explains how the organisation will make its services, activities, premises, and communications accessible to everyone. This may include making reasonable adjustments and removing barriers that could prevent participation.

Fair Work Policy - Outlines the organisation's commitment to fair work principles, including respect, opportunity, security, and supporting staff and volunteers to have a voice in the organisation.

Data Protection & Communications

The Information Commissioner website has guidance and templates relating to Data protection, electronic communications and privacy notices

• Data Protection templates and guidance https://ico.org.uk/for-organisations/

• Electronic communications https://ico.org.uk/for-organisations/guide-to-pecr/what-are-pecr/ 

• Privacy Notice https://ico.org.uk/for-organisations/sme-web-hub/how-to-write-a-privacy-notice-and-what-goes-in-it/ 

Data Protection Policy (UK GDPR & Data Protection Act 2018)

This policy explains how the organisation collects, stores, and processes personal data in compliance with UK GDPR and the Data Protection Act 2018. It sets out principles for data security, accuracy, retention, and individuals’ rights to ensure lawful and transparent handling of information. It should include:

• How personal data is processed

• How data is kept accurate and up to date

• Data retention periods and procedures

• Individuals’ rights under data protection law

• How data is secured and protected from breaches

Privacy Notice - Explains to service users, members, and stakeholders what personal data the organisation collects, why it is collected, how it is used, and their rights. This notice ensures transparency and builds trust by clearly communicating data practices.

Electronic Communications Policy (PECR Compliance) -Sets rules for using electronic communications such as email, SMS, and marketing messages in line with the Privacy and Electronic Communications Regulations (PECR). It covers consent, opt-out processes, and responsible use of digital channels.

Photography & Filming Policy -Provides guidance on taking and using photographs or videos of individuals during events or activities. It addresses consent, safeguarding considerations, and data protection requirements to ensure respectful and lawful use of images.

Social Media & Communications Policy -Defines how the organisation and its representatives use social media and other communication platforms. It includes guidelines for tone, confidentiality, safeguarding, and protecting the organisation’s reputation while engaging online.

Financial Management & Fundraising

Financial Management Policy (Budgeting, Controls, Anti-Fraud)

This policy sets out how the organisation manages its finances to ensure transparency, accountability, and compliance with best practice. It covers budgeting, financial controls, and measures to prevent fraud, helping the organisation operate effectively and maintain funder confidence.

A Financial Management Policy demonstrates that your group is committed to safeguarding its resources and using them responsibly. It should include clear rules on authorising expenditure, record-keeping, reporting, and monitoring financial risks. Visit SCVO for Finance and business management guidance and templates https://scvo.scot/support/running-your-organisation/finance-business-management

Fundraising Policy

This policy explains how the organisation approaches fundraising, ensuring all activities are ethical, transparent, and compliant with legal requirements. It sets out principles for planning and delivering fundraising initiatives, including responsibilities, approval processes, and safeguarding donor trust.

The policy should also reference the Code of Fundraising Practice, which sets the standards for all charitable fundraising in the UK, including third-party fundraisers. Following these standards helps protect the organisation’s reputation and ensures accountability. For more information, visit the Fundraising Regulator: https://www.fundraisingregulator.org.uk/code 

Volunteers & Staffing

• Visit Volunteer Scotland for information and templates relating to volunteering https://www.volunteerscotland.net/volunteer-practice/tips-and-templates

• Visit ACAS for information and templates relating to employment https://www.acas.org.uk/ 

Volunteer Policy (Roles, Recruitment, Induction, Equality, Expenses)

This policy provides clarity on volunteer rights and responsibilities, as well as what the organisation expects from them. It serves as the foundation for all volunteering practices and explains why volunteers are involved in the organisation’s work. A Volunteer Policy should include:

• Introduction – the organisation’s purpose and role of volunteers

• Volunteer recruitment and selection

• Roles and responsibilities – including trustees’ involvement

• Equality, diversity, and inclusion commitments

• Induction and training processes

• Health & safety and insurance requirements

• Expenses and reimbursement guidelines

• Volunteering while on benefits

• Support and supervision arrangements

• Recognition and saying thank you

• Managing challenging situations

• Confidentiality and safeguarding

• Photography and social media guidelines

• Ending volunteer roles and review processes

Volunteer Agreement & Role Descriptions

A Volunteer Agreement sets out what a volunteer can expect from the organisation and what the organisation hopes from the volunteer in return. It is not a legally binding contract but a mutual understanding that reflects the voluntary nature of the role. The tone should be positive and supportive, emphasising choice and flexibility rather than obligation. The agreement usually sits alongside a Volunteer Role Description, which provides clarity about the role, including:

• Role title

• Outline of responsibilities

• Skills, attitudes, and experience required

• Benefits to the volunteer

• Location and time commitment

• Support and point of contact

• Application process

Employment Policies (Recruitment, Equal Opportunities, Flexible Working, Leave) -This set of policies outlines how the organisation manages employment practices to ensure fairness, compliance, and transparency. It covers recruitment processes, equal opportunities under the Equality Act 2010, flexible working arrangements, and leave entitlements. These policies help create a positive and inclusive workplace while meeting legal obligations.

Disciplinary & Grievance Policy - his policy provides a clear framework for addressing misconduct and resolving workplace disputes. It sets out procedures for handling disciplinary issues fairly and consistently, as well as steps for employees to raise grievances. Having this policy ensures compliance with employment law and promotes a respectful and accountable working environment.

Final Thoughts

Policies and procedures are an important part of running a well-managed organisation. They help you meet legal requirements, manage risks, protect people, and support good decision-making.

Not every organisation will need every policy listed in this guide. Start with the policies that are most relevant to your activities and review them regularly as your organisation grows and changes.

If you would like to discuss how we can help your group with its policies and procedures  groups email info@slcvo.org.uk 

Blog produced with the support of Microsoft Copilot