Sales & Marketing Policy Manual

Table of Contents


Table of Figures. 2

List of Referenced Procedures. 3

1.0   Purpose. 5

2.0   Scope. 7

2.1       Responsibility. 7

2.2       Exclusions. 7

3.0 Management Responsibility. 9

3.1       Sales & Marketing Organization. 9

3.2       Management Commitment 12

3.3       Management Sales & Marketing Policy. 13

3.4       Planning. 13

3.5       Responsibility, Authority, and Communication. 14

3.6       Management Reporting. 15

3.7       Business conduct 15

4.0   Sales & Marketing Management System.. 17

4.1       Objectives. 17

4.2       Requirements. 17

4.3       Transactions. 18

4.4       Documentation. 19

4.5       Security. 20

5.0   Processes and Controls. 21

5.1       Marketing Planning. 23

5.2       Marketing Tactics. 27

5.3       Sales. 31

5.4       Sales & Marketing Administration. 35

5.5       Product Management 39

6.0   Resource Management. 41

6.1       Provision of Resources. 41

6.2       Human Resources. 41

6.3       Infrastructure. 42

6.4       Work Environment 42

Revision History. 43



Table of Figures

Fig. 1      Sample Medium Sales & Marketing Department Organization Chart

Fig. 2      Sales & Marketing Management System diagram

Fig. 3      Marketing Planning procedures diagram

Fig. 4      Marketing Tactics procedures diagram

Fig. 5      Sales procedures diagram

Fig. 6      Sales & Marketing Administration procedures diagram

Fig. 7      Product Management procedures diagram

List of Referenced Procedures

Marketing Planning

1.      MP1000 Strategy Team

2.      MP1010 Stakeholder Analysis

3.      MP1020 Vision and Mission

4.      MP1030 Marketing Research & Analysis

5.      MP1040 Situational Analysis

6.      MP1050 Goals & Objectives

7.      MP1060 Marketing Strategy

8.      MP1070 Marketing Plan

Marketing Tactics

1.      MT1000 Advertising

2.      MT1010 Internet Marketing

3.      MT1020 Public Relations

4.      MT1030 Trade Shows & Events

5.      MT1040 Direct Mail

6.      MT1050 Lead Management


1.      SL1000 Customer Life Cycle Management

2.      SL1010 Sales Management

3.      SL1020 Qualifying Leads

4.      SL1030 Sales Calls

5.      SL1040 Customer Improvement

6.      SL1050 Customer Service

7.      SL1055 Telephone Answering Policy

8.      SL1060 Complaint Handling

9.      SL1070 Post Sale Follow Up

10.  SL1080 Customer Satisfaction Survey

11.  SL1090 Service Satisfaction

Sales / Marketing Administration

1.      AD1000 Document Control

2.      AD1010 Record Control

3.      AD1020 Sales Supplies

4.      AD1030 Sales Compensation

5.      AD1040 Sales Hiring

6.      AD1050 Sales Training

7.      AD1060 Meetings

Product Management

1.      PM1000 Product Management Life Cycle

2.      PM1010 Product Development

3.      PM1020 Product Launch

4.      PM1030 Product Recalls

5.      PM1040 Customer Requirements

6.      PM1050 Warranty and Service Policies

7.      PM1060 Service Parts Pricing



1.0       Purpose

The purpose of this Sales and Marketing Policy Manual is to define, develop, and document the policies and procedures that govern the organization’s Sales and Marketing goals, objectives, and practices. 

The policies and procedures provide:

·         The foundation for a system of control and continual improvement

·         Criteria for making appropriate Sales and Marketing decisions

·         Guidance for Sales and Marketing activities

·         Sales and Marketing Executives and Managers an overview of those Sales and Marketing policies, procedures, and reports that should be uniform throughout the Company

A system of control and improvement provides checks and balances intended to identify inconstancies and irregularities, prevent waste, and assist in resolving discrepancies that are accidentally introduced in the operation of the business.   Consistent, measured, and improved practices will increase the overall effectiveness of the Sales and Marketing operations, and improve customer satisfaction.

When consistently applied throughout the Company, these policies and procedures assure that the Sales and Marketing efforts are aligned and operate in accordance with best practices.  Operating efficiently and effectively assists in maximizing the return on the investment in Sales and Marketing activities.

All additional departmental or functional policies and procedures written should conform to and parallel the policies in this manual.  All changes to policies and procedures are required to be reviewed to ensure that there are no conflicts with the policies stated in this Sales and Marketing Manual.


2.0       Scope

The Sales and Marketing Manual is an official directive of the President.  It is published and maintained by the Sales and Marketing Executive as part of the general responsibility for Company Sales and Marketing policy assigned to the Sales and Marketing department. 

The policies stated in this manual apply to all operations and activities at Our Company.  The Sales and Marketing procedures serve to define the operational steps and practices that should be followed in order to support the organization’s approach to Sales and Marketing management as defined by the policy statements.

2.1         Responsibility

Department Managers.  It is the responsibility of all sales and marketing department managers to help implement and maintain the procedures described by this manual, and to ensure all processes conform to these requirements.

All Employees.  It is the responsibility of all employees to follow procedures that implement these policies and to help strive for continual improvement of activities and processes of Our Company.

All Manual Users.  The goal is to make the Manual as clear and useful as possible. All users are encouraged to contact the Sales and Marketing Executive with any suggestions for revising or improving the Manual.

2.2         Exclusions

2.2.1    Accounting

Related Accounting functions such as order entry are not included with this manual but are available in ABR31M, Bizmanualz® Accounting Policies and Procedures Manual.

2.2.2    Human Resources

Related Human Resources functions such as termination, proper business attire, benefits management, and ethical behavior are not included with this manual but are available in ABR41M, Bizmanualz® Human Resources Policies and Procedures Manual.

2.2.3    Information Technology

Information Technology functions are not included with this manual but are available in ABR34M, Bizmanualz® Computer & Network (IT) Policies and Procedures Manual.

2.2.4        Quality Management System

Quality Management System functions are not included in this manual but are available in ABR211M, Bizmanualz®ISO 9001 QMS Policies and Procedures Manual.

3.0       Management Responsibility

The Sales and Marketing department is headed by the Sales and Marketing Executive, who is responsible for all Sales and Marketing functions.

3.1         Sales & Marketing Organization

The Sales and Marketing department is organized into four main responsibilities or functions: Sales and Marketing Administration, Marketing Operations, Sales Operations, and Product Management.

3.1.1    Sales & Marketing Department Organizational Chart

The company’s organizational framework is the foundation for coordinating and administrating the Sales and Marketing operations.  A description of the roles and responsibilities applicable to the Sales and Marketing staff are provided.  Responsibilities specific to certain procedures, processes, or tasks are presented in its associated procedures. 

[NOTE: The actual Organization Chart may vary in size and detail, based on the size of the department or organization involved and the activities performed.  In a smaller company, the Sales and Marketing Manager may report to the President/CEO.]

3.1.2    Sales & Marketing Executive (Vice-President) Responsibilities

The Sales and Marketing Executive provides the vision and leadership for developing and implementing top level sales and marketing goals and strategies.

The Sales and Marketing Executive leads the company in implementing Sales and Marketing systems through strategies, plans, and programs that support and align with overall business goals.  The Sales and Marketing Executive is accountable to the President and supervises the Sales and Marketing staff.

Major Duties and Responsibilities:

·         To develop and implement a well-defined company marketing and sales strategy that aligns with overarching organizational goals.  This includes pricing and customer service policies and advertising programs.  Develops marketing action plans that clearly define objectives, goals, schedules, and assignments to implement and achieve targeted opportunities.

·         To develop a plan and supporting policies and procedures to provide for smooth functioning of the Sales and Marketing department, including customer order processing, and that provide for measuring key performance indicators.  Supervise a staff of sales people and customer-service representatives who implement that plan.

·         To carry out a program for market research and analysis, including market segments, buying trends and competitor analysis.

·         To provide recommendations for improving or adding new product designs and assists with product development and testing.

·         Maintains relationships with advertising agencies, public relations firms and market research firms.

·         Oversees and verifies reporting of sales and marketing activities, including leads generated and tracking reports, sales orders received, sales by product, backlog reports and customer lists and determines appropriate reporting frequency (i.e. weekly, monthly, quarterly).

·         Set clear, periodic (daily, weekly, monthly) Sales and Marketing goals and objectives.

·         Put in place the resources, systems (including information management), and staff to necessary to successfully complete the sales and marketing mission and to accomplish weekly/monthly/quarterly/annual sales goals.


3.1.3    Marketing Operations

The marketing staff responsibilities are focused on creating awareness of company products and services in the marketplace of potential customers through crafting appropriate messages and maximizing message effectiveness through media selection and application.  This can include print and electronic media advertising, brochures and sales materials, direct mail, telemarketing, and internet web sites. 

The ultimate goal of marketing efforts is to generate interest in products and services that can be converted into sufficient and quality leads for the sales department.  In addition to message and media functions, the marketing department is also responsible for promotional campaigns, trade show and conference participation, conducting or obtaining necessary market/customer research, updating and utilizing market and lead databases, publicity and public relations, and product management.   

The key Marketing staff consists of the following positions:

·         Marketing Director.  Directs and organizes general Marketing activities for the Marketing staff and for external resources (market research companies, media production companies, advertising agencies).  Reports to the Sales and Marketing Executive, and works with the Sales and Marketing Executive to create Marketing department overall goals and strategies, and then sees that they are carried out.   Prepares goal and assessment reports.    Coordinates activities with all departments; especially with the Sales department.

·         Marketing Communication.  Oversees the execution of using mediums to deliver messages.  Responsible for creating or selecting content used in advertising, promotional, and on-line materials, as well as other matter.  Advises the Marketing Director and Sales and Marketing Executive concerning application of market research and use of lead and customer databases.  Reports to the Sales and Marketing Executive, and works closely with the Marketing Director and the Sales department. 

·         Product Management.  Responsible for coordinating activities between all departments involved in designing, testing, producing, marketing, selling, delivering, and supporting a product or service over its life span. The goal is to maximize the gross sales and net margins through a product’s lifecycle while delivering a product that meets or exceeds customer expectations at a competitive price.   

·         Marketing Assistant.  Assists the Marketing department managers and personal by performing administrative duties such as carrying out department communication in a professional manner (e.g., phones, letters), maintaining office supplies and other consumables, responsible for record control and filing, and serves as a liaison with internal departments such as Information Technology, Accounting, and Maintenance.  Reports to the Marketing Director. 

3.1.4    Sales Operations

Sales staff responsibilities are focused on creating one-to-one relationships with potential and existing customers in order to understand and propose how the company’s products and services can be applied to their need.  The sales staff shall take leads generated from the Marketing department and qualify the level of potential that lead has and what, if any, action is necessary.  The sales staff shall keep diligent records about leads, sales calls, opportunities, closed sales, and customers, and shall maximize the ability to effectively organize and use the information collected.  The ultimate goal of these activities is to reach sales goals.    

The Sales staff consists of the following positions:

·         Sales Manager - Directs and organizes general sales activities of the sales staff, including goal setting, staffing, monitoring, motivating, and training.  Reports directly to the Sales and Marketing Executive, and works with the Sales and Marketing Executive to create overall sales department goals and strategies.  Collects and reviews regular reports from the sales and other staff and concatenates them into regular company-wide sales reports.     

·         Technical Sales Support - Provides product and product application expertise to the sales department and to customers.  Assists in preparing and delivering sales proposals that have critical technical content.  Can be involved in delivery, installation, and after sales technical support. Reports to the Sales Manager.

·         Account Manager - Assists the sales staff in maintaining customer satisfaction and product/service profitability through customer communication, customer improvement activities, customer service.  Coordinates internal and external product and service related activities such as sales contracts, customer requirements, product development, production, fulfillment and delivery, accounting, and customer service.  Reports to the Sales Manager.

·         Sales Assistant - Provides administrative assistance to the Sales department managers and staff by performing administrative duties such as carrying out department communication in a professional manner (i.e. phones, letters), maintaining office supplies and other consumables, responsible for record control and filing, and serves as a liaison with internal departments such as Information Technology, Accounting, and Maintenance.  Reports to the Sales Manager.           

3.2       Management Commitment

Top Management at Our Company shows its commitment to the Sales and Marketing management system through the development and implementation of this Sales and Marketing manual.  Additionally, management commitment is demonstrated through the Company Sales and Marketing Policy, the specific objectives that are set and reviewed during Management Review Meetings, and by providing the resources required to meet objectives for continually improving the effectiveness of the Sales and Marketing system operation.

The management team consisting of the President and all department managers is chartered with ensuring our Sales and Marketing management system meets customer, as well as statutory and regulatory, requirements

3.3       Management Sales & Marketing Policy

Our Company has established a Sales and Marketing Manual that we feel is appropriate to our organization and meets the needs of the organization, and complies with all statutory and regulatory requirements. 

The policy statement below is communicated throughout the company.  Department managers and supervisors are responsible for ensuring all employees understand the policy.  To ensure our policy remains appropriate, it is reviewed at least annually at a Management Review meeting.

The Company Sales and Marketing Policy:

v  It is our goal to satisfy customers by providing them with products and services that meet their needs, and/or exceeds their expectations at competitive prices.  We will deliver these products and services as promised.

v  We will strive to continually improve the effectiveness of our Sales and Marketing Management System by monitoring our performance against our established objectives, and through leadership that promotes employee involvement.  This concept represents Our Company’s commitment to superior and ethical Sales and Marketing operations, and our desire to better serve our customers, shareholders, and employees.

3.4       Planning

3.4.1    Sales & Marketing Objectives

Our Company shall establish objectives on an annual basis.  These objectives shall be measurable and consistent with the Sales and Marketing Policy, and reviewed at least annually at Management Review meetings.

3.4.2    Sales & Marketing System Planning

As part of annual strategic planning meetings, Our Company establishes strategic objectives and goals.  Progress made toward these reaching these objectives is gauged by specific measures that track performance against those objectives.   Sales and Marketing managers, in turn, set Sales and Marketing objectives with specific performance measures that align with and support company objectives.

As situations arise that demand changes to the Sales and Marketing systems, either to meet objectives or because of changing business conditions, the changes will be reviewed by the management team to ensure the integrity of the Sales and Marketing systems are maintained.

3.4.3    Referenced Procedures:

·         MP1000 Strategy Team

·         MP1010 Stakeholder Analysis

·         MP1020 Vision and Mission

·         MP1030 Marketing Research/Analysis

·         MP1040 Situational Analysis

·         MP1050 Goals/Objectives

·         MP1060 Marketing Strategy

·         MP1070 Marketing Plan

3.5       Responsibility, Authority, and Communication

3.5.1    Responsibility and Authority

Responsibilities and authorities at Our Company are defined in each Job Description.  Job Descriptions are posted on the company intranet and are also used during annual performance reviews. 

3.5.2    Management Representative

The President has appointed the Sales and Marketing Executive as the Management Representative with the responsibility and authority to:

a)      Ensure that processes needed for Sales and Marketing Management are established, implemented, and maintained.

b)      Report to top management on the performance of the Sales and Marketing Systems and any need for improvement.

c)      Ensure the promotion of awareness of Sales and Marketing requirements throughout the organization.

d)      Serve as the liaison with external parties on matters relating to the Sales and Marketing Management System.

3.5.3    Internal Communication

In line with Our Company’s policy of leadership through employee involvement, Our Company’s personnel policies have been designed to establish and promote open communication throughout the organization. 

The effectiveness of our Sales and Marketing Management System is evident through Internal Audit results, Management Reports, department satisfaction, and departmental performance measures.  Other than confidential information, company and departmental performance measures are posted on bulletin boards throughout Our Company.  Internal Audit results are shared at departmental meetings, as appropriate.

3.5.4    Referenced Procedures:

·         AD1060 Meetings

·         SL1010 Sales Management

3.6       Management Reporting

3.6.1    General

The President and management team shall review the Company’s Sales and Marketing Management Systems on a semi-annual basis, more frequently if needed, to ensure its continuing suitability, adequacy and effectiveness. This review shall include assessing opportunities for improvement and the need for changes to the Sales and Marketing Management Systems, including the Sales and Marketing policy and objectives.

The Sales and Marketing Executive is responsible for maintaining records of management reviews. 

3.6.2    Review Input

The Sales and Marketing Executive and Sales and Marketing managers provide the following information for Management Review meetings:

a)      Results of audits

b)      Department and employee feedback

c)      Measured process performance

d)      Follow‑up actions from previous management reviews

e)      Changes that could affect Sales and Marketing Management Systems

f)       Recommendations for improvement

3.6.3    Review Output

Records shall include the output from the management review and shall include any decisions and actions related to:

a)      Improvement of the effectiveness of Sales and Marketing Management Systems and its processes

b)      Improvement of processes related to Sales and Marketing requirements

c)      Resource needs

3.6.4    Referenced Procedures:

·         SL1010 Sales Management

·         MP1050 Goals/Objectives

·         AD1060 Review Meetings

3.7       Business conduct

3.7.1    General Ethical Conduct

Unethical business conduct, actions, or even the appearance of unethical behavior is unacceptable under any conditions.  The reputation of the Company depends on each employee applying common sense in situations where specific rules of conduct are insufficient to provide clear direction.  A strong sense of personal ethics, which should extend beyond compliance with applicable laws, is necessary to guide the behavior of all employees.

All employees should comply with the ethical standards of the Company.  If a situation seems questionable, then an employee should ask themselves:

·         Is my action legal and ethical?

·         Does my action comply with corporate policy?

·         Is my action appropriate in the situation?

·         Would my action be an embarrassment to the Company, if known?

·         Does my action agree with my personal ethics or behavior?

An employee should be able to answer “yes” to all of these questions before taking action or compromising themselves in the situation.

3.7.2    Manager Responsibilities

All Managers are responsible for the ethical business conduct and behavior of their employees.  Managers should consider the appropriate courses of action in terms of both ethical and economic factors.  Each decision should be based on the guidelines provided in this Sales and Marketing Manual as well as their own personal beliefs of what is right and wrong.

3.7.3    Sales Ethics

Business ethics has a greater focus on members of a sales staff for several reasons:

·         The sales staff serves as the face and voice of the company for many of its customers.  Unethical or even questionable behavior on the part of a sales staff member can taint the entire organization as unethical or improper in how it conducts business.  The concept of serving as a company representative should be apparent in all sales staff behavior, including attire, social skills, and etiquette.   

·         Sales staff members must be aware of the Company policy regarding meals, entertainment, and gifts, as well as the company policy of the customer.  Violating the ethics policy of a customer can mean the loss of business and loss of future opportunities for business. 

·         Sales staff members incur expenses while traveling, making sales calls, and entertaining clients.  This provides opportunities for graft, expense padding, and other unethical behavior.  The behavior of sales staff members in this regard should remain completely honest and ethical.  All expenses should be accurately documented through meticulous record keeping. 

4.0       Sales & Marketing Management System

4.1       Objectives

Through this manual and associated procedures and documents, Our Company has established, documented, and implemented a Sales and Marketing Management System.  The system is designed to improve the effectiveness of our Sales and Marketing operations and improve our ability to satisfy customer requirements. 

4.2       Requirements

Maintaining the Sales and Marketing Management System is the responsibility of the Sales and Marketing Executive, in conjunction with the Sales and Marketing Department.

4.2.1    Overview

The Sales and Marketing Executive maintains all documents that identify the sequence of Sales and Marketing processes and, in conjunction with the appropriate department managers, define the interactions of the processes within the organization. 

Processes for management activities, provision of resources, and measurement reporting are included.  Procedures shall include the methods needed to ensure that the accountability and control of processes are effective. 

Top Management will ensure the availability of resources to support the operation and monitoring of processes through regular interaction with department managers and through review activities at Management Review meetings. 

Department Managers and the Sales and Marketing Executive will monitor, measure, and analyze processes and implement any changes necessary to achieve intended results and ensure the continual improvement of processes.  These results will also be monitored at Management Review meetings.

Any processes that are outsourced and may affect Our Company’s conformity to requirements shall be monitored and controlled.  The Sales and Marketing Executive and appropriate department manager(s) are responsible for defining the methods to control outsourced processes in procedures.

4.2.2    Customer Definition

Many of the Sales and Marketing strategies and operations focus around potential and existing customers.  Therefore, information collection is an essential effort of Sales and Marketing in order to clearly define and understand aspects of potential and existing customers such as:

·         Typical customer profile information and individual or particular customer profile information.

·         Customer needs, wants, and requirements, and how the Company products and services fulfill them.

·         How customers use the Company products and services, and applying customer information can be used to improve marketing and sales efforts, as well as improving the products and services.  

4.2.3    Access Controls

Access to all Sales and Marketing information should be properly controlled in accordance with Company Sales and Marketing policies defined in this manual. 

Much of the information collected and used by the Sales and Marketing department is sensitive, and should be considered proprietary or company confidential. 

Examples of sensitive information that should be strictly controlled include the following:

·         Customer corporate, business and personal information, and customer purchasing information or other records

·         Employee personal information

·         Marketing research information and competitive analysis   

·         Information used to calculate prices, margins, and sales staff compensation

4.3       Transactions

All transactions recorded into the Sales and Marketing Management System should accurately represent the activity occurring.  The timing of the transaction should be in accordance with Company Sales and Marketing policies defined in this manual.

4.3.1    Authorization

In accordance with Section 4.2.3, access to systems, transactions, and other significant information are to be authorized and executed only by persons acting within the scope of their authority. 

4.3.2    Accuracy

Transactions and information should be recorded in the Sales and Marketing system accurately to reflect the occurrence or activity.  All transaction and information, after being accurately entered, should be kept correctly and securely including necessary controls and back-ups.  

All Sales and Marketing transactions should be supported by documentary evidence, which becomes part of the Sales and Marketing records. 

4.3.3    Referenced Procedures:

·         AD1000 Document Control

·         AD1010 Record Control

4.4       Documentation

This Sales and Marketing Manual and the associated procedures are intended to satisfy the documentation requirements for a Sales and Marketing Management System.  Department managers and supervisors are responsible for identifying any additional documents needed to ensure the effective planning, operation, and control of processes.

Procedures may vary in detail based on the size of the department or organization involved and the type of activity performed.  Procedure developers shall consider this as well as the complexity of the processes and interactions, and the competence of the personnel involved.

The Sales and Marketing Management System utilizes standard forms and provides control and accountability over these forms.  Supervisors should review posted Sales and Marketing transactions with source documents and processing documents.  Documents may be any medium including: software programs, electronic text files and databases, or hardcopy documents.

4.4.1    Sales & Marketing Manual

This Sales and Marketing Manual includes the scope of Our Company’s Sales and Marketing Management system and sets forth management policy.

4.4.2    Control of Documents

All Documents required by the Sales and Marketing Management System shall be controlled.  The Document Control Procedure defines the controls needed to:

a)      Approve documents for adequacy prior to issue.

b)      Review and update as necessary and re-approve documents.

c)      Ensure that changes and the current revision status of documents are identified.

d)      Ensure that relevant versions of applicable documents are available at points of use.

e)      Ensure that documents remain legible and readily identifiable.

f)       Ensure that documents of external origin are identified and their distribution controlled.

g)      Prevent the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose.

4.4.3    Control of Records

Procedures define appropriate records to be maintained in order to provide evidence of conformity to requirements and of the effective operation of the Sales and Marketing Management System.  Records shall remain legible, readily identifiable, and retrievable.  The Files and Records Management Procedure defines the controls needed for the identification, storage, protection, retrieval, retention time, and disposition of records.

4.4.4    Sales & Marketing Transactions

All transactions and other significant events should be clearly documented, properly classified and readily available for examination.

This standard applies to:

·         The entire process or life cycle of a transaction or event and includes the initiation and authorization

·         All aspects of the transaction while in process

·         Its final classification in summary records.

4.4.5    Referenced Procedures:

·         AD1000 Document Control

·         AD1010 Record Control

4.5       Security

Access to resources and records should be limited to authorized personnel.  Accountability for custody and use of resources should be assigned and maintained.

Regular audits or inventories should be conducted of department assets (including software and data) to ensure they are documented and accounted for.  Frequency of inventory checks should be a function of the capital investment and vulnerability of the asset.

Resource access restrictions shall depend upon the vulnerability of the resource as well as the perceived risk of loss, both of which shall be periodically assessed.

4.5.1    Physical Security

Physical security measures should be adopted to protect the assets and employees of the Company.  Security procedures for the protection of assets and employees are addressed within the Company’s Security Manual.  See ABR32 Bizmanualz® Security Planning and Procedures Manual.

4.5.2    Disaster Security

Disaster security measures should be adopted to enable the Company to continue the operations of the Sales and Marketing Management System with limited interruption.  Disaster procedures for operations recovery are addressed within the Company’s Disaster Manual.  See ABR33, Bizmanualz® Disaster Recovery Planning and Procedures Manual.

4.5.3    Information Security

Information security policies and procedures should be adopted to protect the company’s information assets from unauthorized access, abuse, tampering, and/or theft.  Information security policies serve as overarching guidelines for the management, and implementation of information security throughout the organization, and are addressed in the Information Technology (IT) Manual.  See ABR34M, Bizmanualz® Computer &Network (IT) Policies and Procedures Manual.

5.0       Processes and Controls

The Company has planned and developed policies, processes, and procedures to properly document, control, support, and track the Sales and Marketing operation.  The result of this planning and development are the processes, procedures, and forms defined in our Sales and Marketing Management System documentation.

These processes and procedures include the Sales and Marketing objectives.  The records needed to provide evidence that these processes meet all compliance requirements are defined in the procedures. 

Consideration is given for the need to establish processes, documents, and obtain resources specific to carrying out the Sales and Marketing operation.


5.1         Marketing Planning

Marketing Planning procedures encompass the administrative activities that set the overall direction of the Marketing effort.  This includes collecting and analyzing information about past and current directions, efforts, and situations.  This also includes setting strategies and goals going forward that are clear, well-defined, documented, and communicated to the company.

5.1.1    Strategy Team

The Company must develop marketing strategies and plans to effectively compete in the marketplace and ensure that it continues to meet or exceed customer requirements. The Strategy Team is responsible for developing marketing strategies and plans.

5.1.2    Stakeholder Analysis

The Company must know who its stakeholders are, understand their needs and wants, and identify shared beliefs and values in order to formulate a meaningful and effective Company vision and mission.  The Strategy Team is responsible for conducting the stakeholder analysis and reporting its findings.

5.1.3    Vision and Mission

The purpose of a Company vision and mission is to guide Company employees, as well as Company partners, contractors, and subcontractors, in their daily activities and provide them with a sense of direction, purpose, and achievement for the long term.  The Company should plainly state its values and motivate its employees to reach higher and farther.

Vision and mission are key components of leadership: leadership is the ability to articulate a vision, embrace the values of that vision, and nurture an environment where everyone can reach the Company's goals and satisfy their personal need for growth.

5.1.4    Marketing Research and Analysis

The goal of marketing research and analysis is to identify the Company's target market helping to develop a customer profile through data collection, research, and analysis.  In other words, research and analysis should provide an answer to the questions, "Who is the Company's typical customer?" and "What should the Company's 'ideal customer' look like?"

5.1.5    Situational Analysis

The purpose of conducting a situational analysis is to develop an understanding of where and how the Company is situated and how it interacts with the business environment.  The Company needs to realistically evaluate its current situation and prospects in order to develop a meaningful marketing strategy. The Company should know where it stands, where it wants to go, and how it is going to get there by leveraging its strengths and correcting, minimizing, and/or eliminating its weaknesses. 

5.1.6    Goals and Objectives

The Company should develop and clearly state its overall goals and objectives and the goals and objectives of the Sales and Marketing departments.  Sales and Marketing goals and objectives must align must reflect and be coordinated with those of the Company and must be stated in such a way that progress toward those targets is easily and accurately measured.

5.1.7    Marketing Strategy

The reason for developing a marketing strategy is to clearly identify potential customers the target market as well as the messages, methods, and measures the Company should implement in order to ensure that the right message and the right product reach the right market segment(s).

5.1.8    Marketing Plan

The purpose of a marketing plan is to help the Company introduce new products, enter new markets, and continue to grow existing product base.  The marketing plan defines marketing activities for a specific period of time (e.g., the coming year), serves as a yearly Marketing review and planning document, and ensures that Marketing objectives and strategies are in agreement (alignment) with those of the Company.

5.1.9    Social Media Strategy

The purpose of social media is to engage individuals who might not be engaged by other means of advertising (e.g., print, TV), as well as improve the Company’s visibility, reach, and influence, and establish a framework for developing and achieving social media objectives. The Company shall use social media to engage potential target markets, share interesting and relevant content, and gather opinions and other market information.

5.1.10  Referenced Procedures

·         MP1000 Strategy Team

·         MP1010 Stakeholder Analysis

·         MP1020 Vision and Mission

·         MP1030 Marketing Research/Analysis

·         MP1040 Situational Analysis

·         MP1050 Goals/Objectives

·         MP1060 Marketing Strategy

·         MP1070 Marketing Plan

·         MP1080 Social Media Strategy


5.2         Marketing Tactics

Marketing tactics employ marketing strategies by direct means.  This includes a strategic and well designed mix of mediums and messages to achieve stated goals of developing leads that fit the profile of desired customers.  The following procedures help the Company document, measure, and maintain control over its Marketing tactics.



5.2.1    Advertising

The Company must use its advertising resources to reach its target market in the most productive and cost-effective manner possible.  To do that, the Company must have a framework for setting and achieving advertising objectives in order to enable advertising measurement, so the Company knows which advertisements and media work with each market segment (and which ones don't).

5.2.2    Internet Marketing

Internet marketing is nearly ubiquitous: everyone's doing it!  The Company can and really needs to use the Internet to improve its visibility, establish relationships within its target market, and sell the Company's product in a cost-effective manner.  The idea of having an Internet Plan is to establish and implement a framework for setting and achieving the Company's own Internet objectives and to establish the basis for monitoring, evaluating, and improving its Internet marketing.

5.2.3    Public Relations

The goals of public relations are ensuring that the best possible image of the Company is always in front of the public, repairing the Company's image and restoring its good name when necessary, and influencing the public in a positive way.

5.2.4    Trade Shows & Events

The Company should consider participating in trade shows and events to get its name and products in front of its target markets.  Trade shows and events are an effective way of acquiring leads and new business.  The Company should have a trade show plan, outlining procedures for planning, exhibiting, and follow-up of product trade shows and events in order to meet many potential customers face-to-face in a short period of time and in a cost-effective manner.

5.2.5    Direct Mail

The purpose of direct mail is to inform the Company's target markets of itself and/or its products, to build awareness of itself and its products, and (ultimately) to increase sales.  Many firms think of direct mail as the postal service delivering to select companies and that avenue will continue to have its place in direct mailing because people like to get brochures, data sheets, and samples in their hands but the Internet (e-mail) and wireless services (such as instant messaging) are playing an ever greater role.  The Company needs to keep up with emerging technologies and consider whether they can help inform and build awareness in an effective and efficient manner.

5.2.6    Lead Management

The Company should manage leads and manage their flow in a way that best enables it to achieve its sales objectives.  To do this, it should develop and implement a process for acquiring leads, managing them in a timely manner, and moving them through the sales pipeline toward the ultimate goal of converting them to customers.  The Company should, in addition to building its customer base, look to cultivating long-term relationships with actual and potential customers.

5.2.7    Referenced Procedures:

·         MT1000 Advertising

·         MT1010 Internet Marketing

·         MT1020 Public Relations

·         MT1030 Trade Shows & Events

·         MT1040 Direct Mail

·         MT1050 Lead Management



5.3         Sales

Sales provide the critical interface between the company and the customer.  Besides being the company representative to the customers, sales must also apply a process approach to setting targets, measuring results, then making corrections and improving.  While some processes and procedures are inter-departmental in their responsibilities and involvement, activities that involve direct customer interaction and hearing the voice of actual customers, fall under the Sales rubric.

5.3.1    Customer Life Cycle Management

The Company shall collect information about potential and existing customers in order to more effectively communicate with them, and to more fully meet their needs and expectations as they move through various stages as customers such as awareness, purchase decisions, acquisition, use, disposal, and re-acquisition.

5.3.2    Sales Management

The Company will set in place a process for creating a clear and thoroughly developed plan for setting sales goals, and for creating and implementing a strategy for reaching those goals.

5.3.3    Qualifying Leads

In order to focus the efforts of the professional sales staff, the Company shall determine, through information collection and classification, the activities needed to address particular leads, including prospective customers that should receive a sales call.

5.3.4    Sales Calls

            The Company shall maximize the benefits of the time and effort by the professional sales staff to conduct sales calls, and to achieve defined sales goals through professional conduct and implementation of best practices.

5.3.5    Customer Improvement

The Company shall continually improve customer relationships, and exchange customer knowledge and techniques through positive regular communication and customer interactions. Regularly communicating with customers and creating positive interactions between customers and cross-functional company representatives, as well as between different customers, can build customer loyalty, improve customer retention, create customers as advocates, and create the opportunity to use customer feedback for improvement.

5.3.6    Customer Service

            The Company shall resolve complaints quickly and satisfactorily, respond to other feedback in a timely manner, and use the complaint and feedback process to help identify and eliminate root causes of customer dissatisfaction, and as a mechanism for identifying opportunities for continual improvement.

5.3.7    Telephone Answering Policy

All incoming telephone calls will be answered and directed in a prompt, professional manner to project a positive image of the Company and assure that customers and vendors are treated in a polite, satisfactory manner.

5.3.8    Complaint Handling

All complaints or operation questions regarding the performance, safety, reliability, or quality of products or services will be subject to management review and/or investigation and will result in prompt response and corrective action when indicated.  It is the responsibility of any recipient of a product complaint to see that the customer or user receives a response to their complaint.

5.3.9    Post-Sale Follow-Up

Customer Service will verify that new customer's have received their shipment and resolve any problems the customer may be experiencing with either set up or use of their purchase to assure initial customer satisfaction with our products.

5.3.10  Customer Satisfaction Survey

Customer Service will send out a satisfaction survey to all customers after they have had sufficient time to use our products.

5.3.11  Service Satisfaction

Customer Service is to contact customers after any repair of their equipment has been made, to assure that the equipment is working properly and that the customer feels their needs or concerns have been satisfied.

5.3.12  Referenced Procedures:

·         SL1000 Customer Life Cycle Management

·         SL1010 Sales Management

·         SL1020 Qualifying Leads

·         SL1030 Sales Calls

·         SL1040 Customer Improvement

·         SL1050 Customer Service

·         SL1055 Telephone Answering

·         SL1060 Complaint Handling

·         SL1070 Post Sale Follow Up

·         SL1080 Customer Satisfaction Survey

·         SL1090 Service Satisfaction

















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5.4         Sales & Marketing Administration

The Company should set policies and procedures in place to effectively adminstrate the Sales and Marketing funtions.  This includes proper control, storage, and availability of documents and records, and maintaining proper facilities and staffing.  

5.4.1    Document Control

The Company should develop and implement effective controls for Sales and Marketing documents to ensure that everyone in those Departments is working in accordance with identical and the latest versions of procedures and guidelines.

The Company will find that clearly defining methods and responsibilities for controlling documents whether used to provide work direction, set policy, or build awareness and sales and defining methods for revision, approval, and distribution will not only improve understanding, communication, and coordination within the organization.  They can also help the Company address compliance issues.

5.4.2    Record Control

The Company should establish and maintain records of Sales and Marketing activities to demonstrate conformance to specified customer, regulatory, and other requirements and provide evidence of an operational and effective Sales & Marketing Management System (SMMS).  Accurate, timely, and secure records should be kept in order to show the Company's compliance with requirements and regulations, should the need arise.

5.4.3    Sales Supplies

The Company's sales force should be adequately supplied with appropriate, timely, and targeted material (e.g., brochures, fact sheets, collateral) so that they may make use of every opportunity to convert, or close, potential customers.  The Company should identify the materials its sales representatives will need to effectively convey the Company's message to the target market and should continually reevaluate the performance of sales supplies in an effort to improve awareness and sales.

5.4.4    Sales Compensation

The Company shall implement a sales compensation plan that motivates and stabilizes the sales force and is fair and beneficial to the Company and to every Company salesperson.

5.4.5    Sales Hiring

The Company shall create a sales hiring plan and procedure that will ensure a fair, consistent, and coherent sales hiring process.  The goal of the process is to hire professional and competent sales staff members who can contribute to improving the sales process, contribute to the company reaching sales goals, and contribute to overarching organizational goals

5.4.6    Sales Training

The Company shall create and execute a training plan for the sales department to ensure and improve sales competency.  The plan will identify important subject areas for competency and improvement, prescribe training activities that meet training goals, and monitor and improve training as required.

5.4.7    Meetings

The Sales and Marketing departments should conduct meetings only to exchange information that isn’t available through any other method.  When holding meetings, there should always be a meeting leader whose primary responsibility is to ensure the best use of participants' time.  The Company should be aware that Federal, state, and local regulations (e.g., Sarbanes-Oxley) may govern the retention and accessibility of meeting records.

5.4.8    Referenced Procedures:

·         AD1000 Document Control

·         AD1010 Record Control

·         AD1020 Sales Supplies

·         AD1030 Sales Compensation

·         AD1040 Sales Hiring

·         AD1050 Sales Training

·         AD1060 Meetings























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5.5       Product Management

Sales and Marketing play an essential role in managing a product throughout its life cycle, including product development.  The Sales and Marketing department fills the critical link between the organizational departments that design, produce, deliver, and support products or services, and between the organization and the customers that use them.

5.5.1    Product Life Cycle Management

The Company shall determine the phases that products or services move through, and then coordinate activities of various involved departments into a cohesive activity in order to maximize effectiveness and control through the life of a product.  Typical product life phases include; design and development, launch, production start-up, ramp up, ramp down, and service and support.

5.5.2    Product Development

The Company shall ensure the quality, safety, and reliability of its products and/or services by effectively planning and controlling their design and development.  To do this, the Company should develop and implement procedures to guide the planning, design, and development of new products or services.

5.5.3    Product Launch

The Company shall plan and coordinate activities needed to effectively and successfully introduce products to the marketplace, including documenting the process for developing, assigning, and coordinating activities and creating a product launch schedule and budget.

5.5.4    Product Recalls

The Company must expeditiously and decisively act on any notice of nonconforming product (i.e., product that does not meet requirements, especially user safety requirements) in order to prevent, eliminate, or reduce the likelihood of harm to the consumer.  To ensure user safety, the Company should develop and implement a procedure or set of procedures for responding to a notice of nonconforming and potentially or actually unsafe product.

5.5.5    Customer Requirements

The Company can better ensure that it meets or exceeds customer expectations by promoting a clear understanding of and agreement on product or service requirements throughout the product realization process.  To ensure clear, effective communication in both directions, the Company should develop and implement procedures for determining customer requirements and the Company’s ability to meet customer requirements before making a commitment.

5.5.6    Warranty and Service Policies

The Company will provide a three-year limited warranty on all its products and ensure prompt, courteous, and reliable service to all customers.

5.5.7    Service Parts Pricing Policy

The Company will provide replacement parts and components for servicing of our equipment at reasonable costs to customers.

5.5.8    Customer Returns

The Company will allow customer returns of products and provide timely and accurate refunds while also performing inventory control on the returned items.

5.5.9    Referenced Procedures:

·         PM1000 Product Management Life Cycle

·         PM1010 Product Development

·         PM1020 Product Launch

·         PM1030 Product Recalls/Returns

·         PM1040 Customer Requirements

·         PM1050 Warranty and Service Policies 

·         PM1060 Service Parts Pricing Policy

·         PM1070 Customer Returns

6.0       Resource Management

6.1       Provision of Resources

During planning and budgeting processes, and as needed throughout the year, the President, Sales and Marketing Executive, and management team shall determine and ensure that the appropriate resources are available to implement and maintain the Sales and Marketing Management System and to continually improve its effectiveness.

6.2       Human Resources

6.2.1    Sales & Marketing Staff

Managers and employees are to have personal and professional integrity and are to maintain a level of competence that allows them to accomplish their assigned duties, as well as understand the importance of developing and implementing good internal controls.

This requires managers and their staff to maintain and demonstrate at all times:

·         Personal and professional integrity; and

·         A level of skill necessary to help ensure effective performance.

6.2.2    Competence, Awareness, and Training

Sales and Marketing personnel shall be competent based on appropriate education, training, skills and experience.  The minimum competencies required for each position at Our Company are defined in each position's Job Description.  Human Resources and department managers and supervisors are responsible for ensuring job descriptions are current and adequate.

Training and skill requirements shall be identified and met where qualified personnel require additional training or other action to meet the minimum competency requirements.  The department shall provide task-specific training.  General training or education is provided or coordinated by Human Resources.  The department or Human Resources shall evaluate the effectiveness of training or other actions taken as appropriate.

The department generates records of task-specific training.  Human Resources maintain records of all training and education, skills and experience in accordance with Human Resources Policies and Procedures and Computer and Network Policies and Procedures.

Department managers are responsible for ensuring their employees are aware of the relevance and importance of their activities and how they contribute to the achievement of the Sales and Marketing objectives.

6.2.3    Separation and Supervision of Duties

Key duties and responsibilities should be separated among individuals.  Duties and responsibilities shall be assigned systematically to a number of individuals to ensure that effective checks and balances exist.  Key duties include authorizing, approving, and recording transactions; issuing and receiving assets; and reviewing or auditing transactions.

Qualified and continuous supervision is provided to ensure that internal control objectives are achieved. This requires supervisors to continuously review and approve the assigned work of their staffs as well as provide the necessary guidance and training to ensure that errors, waste, and wrongful acts are minimized and that specific management directives are followed.

6.2.4    Cross-Training and Succession Planning

Cross-training and succession planning guidelines should be created to ensure backup for key personnel.  Persons holding sensitive or key positions should take vacations (holidays) of at least a week in length, so that the Company can verify the effectiveness of its cross-training and prevent and detect fraudulent activity.

6.2.5    Referenced Procedures:

·         AD1050 Sales Training

·         Bizmanualz® Human Resources Policies and Procedures Manual (#ABR41M, ISBN-13 #978-1931591-102).

6.3       Infrastructure

Our Company provides the infrastructure necessary to achieve the Sales and Marketing mission.  During the annual budgeting and strategic planning processes, buildings, workspace, hardware, software, and associated utilities are evaluated and provided. 

When new personnel are added, Human Resources coordinates activities to ensure appropriate process equipment including hardware and software, if required, and supporting services such as telephones etc., are available based on information provided on the Personnel Requisition.

6.4       Work Environment

The management team, Sales and Marketing Executive and Office Manager determines and manages the work environment to ensure Our Company provides a safe and desirable place to work.  They ensure the environment is appropriate for achieving conformity to product requirements.



Revision History



Description of Changes

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