Can a policy be signed electronically?

Yes. Under the federal ESIGN Act (15 U.S.C. §7001) and state UETA laws, electronic signatures are valid when they demonstrate intent and can be retained. Certain narrow exceptions, such as wills and court orders, remain excluded.

Is a notarization required?

Not usually for internal policy documents. Notarization is only required when state law or a specific transaction requires an acknowledgement; verify state notary rules if the policy creates a record that must be notarized.

How long must signed policies be retained?

Retention depends on the policy type and applicable law: IRS-related records at least 3 years (IRC §6501(a)), HIPAA-related records 6 years (45 CFR §164.530(j)). Follow your written retention schedule.

Who should sign a policy?

The policy should be signed by the designated policy owner and any required approvers listed in the Approval Block; specify whether signatures may be electronic and the required authentication strength.

What if a signer’s name differs from ID?

Mismatched names can create enforceability questions. Use the signer’s full legal name as on government ID and document any aliases or trade names in the policy record.

How to handle version control disputes?

Maintain a version history with timestamps, approver names, and archived signed copies. Specify the authoritative repository and ensure copies include the audit trail.

Electronic Signature
Templates
Miscellaneous
Business Policies and Guidelines

Business Policies and Guidelines

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

BUSINESS POLICIES AND GUIDELINES

THIS BUSINESS POLICIES AND GUIDELINES AGREEMENT (the Policies) is made effective as of by and between (the Company) and (the Acknowledging Party).

WHEREAS

WHEREAS, the Company maintains written business policies and guidelines necessary to govern conduct, operations, and the use of Company resources; and

WHEREAS, the Acknowledging Party performs duties for the Company and will be subject to such policies, which include but are not limited to code of conduct, confidentiality, information security, expense reimbursement, and disciplinary procedures; and

WHEREAS, the parties desire to confirm the scope, enforcement, and acknowledgment procedures for the Company's Policies on the terms set forth below.

SCOPE OF POLICIES

Scope (describe covered activities, units, or roles)

POLICY CATEGORIES AND ACKNOWLEDGMENT

The Acknowledging Party confirms receipt and awareness of the following categories of policies (check all that apply) and agrees to comply with each applicable policy:

Code of Conduct / Workplace Behavior

Confidentiality and Non-Disclosure

Information Technology and Data Security

Expense Reimbursement Procedures

Anti-Discrimination and Harassment Policy

PAYMENT TERMS (IF APPLICABLE)

When the Policies establish fee-based services, reimbursements, or penalties, the following payment terms apply:

Standard Amount Payment Schedule / Reimbursement Procedure Late Fee / Interest

TERM AND TERMINATION

The Policies commence on and continue until unless earlier terminated in accordance with this section.

Either party may terminate the applicability of these Policies to the Acknowledging Party for convenience upon written notice delivered at least days in advance. The Company may terminate immediately for cause where cause includes material breach, willful misconduct, or violation of law.

CONFIDENTIALITY

The Acknowledging Party shall treat all non-public Company information as Confidential Information. Confidential Information includes business plans, customer data, pricing, trade secrets, and information designated confidential by the Company.

The obligation to protect Confidential Information survives termination of the Acknowledging Party's engagement for a period of years, except where a longer statutory period applies.

COMPLIANCE, ENFORCEMENT, AND REMEDIES

Violation of these Policies may result in disciplinary action up to and including termination, restitution, suspension of privileges, and other remedies available at law or in equity. The Company retains the right to investigate suspected breaches and to take interim measures to protect its interests.

GOVERNING LAW

These Policies shall be governed by and construed in accordance with the laws of without regard to conflict of laws principles.

AMENDMENT AND ENTIRE AGREEMENT

These Policies constitute the entire understanding between the parties concerning the subject matter and supersede all prior communications and understandings. Any amendment or modification must be in writing and signed by an authorized representative of the Company.

ACKNOWLEDGMENT

By signing below, the Acknowledging Party confirms that they have received, read, and understand the Policies described herein and agree to abide by them. The Acknowledging Party further acknowledges that failure to comply may result in disciplinary action as described above.

I acknowledge receipt and understanding of the Business Policies and Guidelines.

Company Representative:

Printed Name:

By:

Date:

Acknowledging Party:

Printed Name:

By:

Date:

What Business Policies and Guidelines Cover

Business Policies and Guidelines is a written set of rules, procedures, and standards that govern how an organization operates, makes decisions, and addresses common workplace situations. The document typically defines responsibilities, approval authorities, recordkeeping requirements, privacy and security expectations, and escalation procedures so that employees and third parties understand consistent practices across departments. For regulated industries the policies often reference applicable federal statutes (for example, ESIGN and UETA for electronic transactions, HIPAA for health information, or IRS rules for tax reporting) and identify state-specific variances where necessary.

Why a Clear Policy Framework Matters

A concise, well-structured Business Policies and Guidelines document reduces legal risk, improves operational consistency, and supports auditability by documenting approval paths, data handling standards, and retention obligations.

Who Relies on Business Policies and Guidelines

Different teams use these policies for control, training, and compliance; the document serves internal staff, managers, legal counsel, and external auditors.

Human resources and people managers who enforce conduct standards, onboarding, and disciplinary procedures.
Compliance, legal, and risk teams that map policies to statutes such as ESIGN (15 U.S.C. §7001) and HIPAA (45 CFR §164.530(j)).
Operational leaders and department heads who need clear approval and delegation rules for purchasing, contracting, and record retention.

Well-maintained policies also inform third parties and vendors about security expectations and signing or submission workflows required by the organization.

Core Sections to Include in a Professional Policy Manual

A complete Business Policies and Guidelines document should be organized into discrete sections to make it actionable and searchable for employees and auditors.

Scope

Define who the policy applies to, covered activities, and any excluded functions so responsibilities are clear.

Roles & Authorities

List signatory authorities, approval thresholds, and delegated decision-makers to avoid unauthorized commitments.

Procedures

Stepwise instructions for routine actions (procurement, expense approvals, disciplinary steps) to ensure consistent execution.

Data & Security

Standards for handling sensitive data, encryption, access control, and any HIPAA or PCI obligations.

Retention & Records

Retention schedules, legal holds, and disposal procedures tied to statutory sources such as IRC §6501(a) and 45 CFR §164.530(j).

Review & Revision

Version control, scheduled review cadence, and the amendment process so policies remain current and defensible.

Step-by-Step: Create, Review, and Deploy Your Policy

Follow a clear sequence to draft, approve, and publish Business Policies and Guidelines so stakeholders and systems remain aligned.

01

Draft: Prepare an initial draft with scope, roles, and procedures stated clearly.
02

Legal Review: Submit to legal or compliance for statutory alignment and risk assessment.
03

Approval: Obtain required signatures in the order defined in the Approval Block.
04

Publish: Distribute to staff, record the distribution, and set review reminders.

Typical Workflow for Approvals and Revisions

This outline shows a common routing model for policy approvals and version control in organizations.

Initiator Upload: Author uploads the draft to the policy repository or eSignature platform.
Reviewer Assignment: Policy owner assigns subject-matter reviewers and collects comments.
Signature Routing: Route sequential or parallel approvals according to the Approval Block.
Publication: Publish the final, signed policy and note effective and review dates.

Configure an Online Workflow for Policy Approvals

When setting up a digital approval flow, configure fields and authentication to match your organizational risk tolerance.

Field	Configuration
Signer Order	Sequential or parallel routing per approval thresholds
Authentication	Email + optional SMS or KBA for higher-risk approvals
Reminders	Automatic reminders at configurable intervals
Retention	Archive signed copies and audit logs for the retention period

Technical Considerations for Digital Completion

Choose a platform that supports required file formats, audit trails, and the level of signer authentication your policy requires.

File Formats: PDF and DOCX support to preserve formatting and embedded fields
Integrations: Connectors for systems like Salesforce, NetSuite, and Google Workspace for distribution and recordkeeping
Authentication: Options range from email link to SMS code, KBA, or advanced signer verification

Ensure the chosen platform provides tamper-evident signed copies, a detailed audit trail, and export options compatible with your records management system.

Security and Compliance Elements to Document

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest

Audit Trail: Timestamp, IP, and signer actions retained for every executed policy

Access Controls: Role-based access and least-privilege principles

BAA Requirement: Business Associate Agreement required for HIPAA-covered data

Certifications: SOC 2 Type II, ISO 27001, PCI DSS where applicable

Accessibility: WCAG 2.0 Level AA for public-facing documents

Consequences of Missing or Incomplete Policies

Regulatory Fines: HIPAA violations can trigger civil penalties and corrective action

Tax Penalties: Incorrect filing practices risk IRC §6721 penalties for information returns

Operational Disruption: Lack of delegation can delay procurement and approvals

Litigation Exposure: Poor records increase litigation and discovery costs

Breach Risk: Insufficient controls elevate data breach likelihood and remediation costs

Reputational Harm: Compliance failures can affect customer and partner trust

Common Drafting and Implementation Pitfalls

Vague language that leaves approval authority undefined and leads to inconsistent decisions.
Failure to link retention schedules to legal requirements such as IRC §6501(a) or 45 CFR §164.530(j).
Overly complex approval chains that cause needless delays or missed signatures.
Neglecting to document version history and change approvals for auditability.

Timing Considerations and Ongoing Review

Set concrete review cycles and update triggers to ensure policies remain current and compliant with changing statutes or business needs.

Initial Review:

Set within 30 days of drafting to collect stakeholder input

Formal Approval:

Complete approvals before the Effective Date

Periodic Review:

Annual or biennial review depending on risk profile

Ad-Hoc Update:

Update when laws or business processes change

Record Retention:

Archive prior versions per retention schedule

Key Milestones from Draft to Enforcement

Track milestones to ensure each phase completes on schedule and that responsibility for each step is assigned.

01

Draft Completion

Policy author finalizes the draft for internal review.

02

Stakeholder Review

Subject-matter experts and legal counsel provide feedback.

03

Final Approval

Required signatories execute approvals in defined order.

04

Publication & Training

Policy is published and training materials are distributed.

Sample eSignature Solution Pricing and Feature Comparison

Compare basic starting prices and selected feature dimensions relevant to executing Business Policies and Guidelines. Choose a vendor that supports your compliance and volume needs.

	signNow	DocuSign	Adobe Sign	PandaDoc	HelloSign
Starting Price	$8/user/mo	$15/user/mo	$14/user/mo	$19/user/mo	$15/user/mo
Free Trial	7-day free trial	Varies	Varies	Varies	Varies
Bulk Send	Yes	Yes	Yes	Yes	No
Audit Trail	Yes	Yes	Yes	Yes	Yes
HIPAA Compliant	Yes	Yes	Yes	No	No

Frequently Asked Questions and Troubleshooting

Practical answers to common questions about executing, amending, and storing Business Policies and Guidelines, including eSignature considerations.

Need help? Contact support

Can a policy be signed electronically?
Yes. Under the federal ESIGN Act (15 U.S.C. §7001) and state UETA laws, electronic signatures are valid when they demonstrate intent and can be retained. Certain narrow exceptions, such as wills and court orders, remain excluded.
Is a notarization required?
Not usually for internal policy documents. Notarization is only required when state law or a specific transaction requires an acknowledgement; verify state notary rules if the policy creates a record that must be notarized.
How long must signed policies be retained?
Retention depends on the policy type and applicable law: IRS-related records at least 3 years (IRC §6501(a)), HIPAA-related records 6 years (45 CFR §164.530(j)). Follow your written retention schedule.
Who should sign a policy?
The policy should be signed by the designated policy owner and any required approvers listed in the Approval Block; specify whether signatures may be electronic and the required authentication strength.
What if a signer’s name differs from ID?
Mismatched names can create enforceability questions. Use the signer’s full legal name as on government ID and document any aliases or trade names in the policy record.
How to handle version control disputes?
Maintain a version history with timestamps, approver names, and archived signed copies. Specify the authoritative repository and ensure copies include the audit trail.

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