Policy Sign-Off or Training Course? How to Choose for Each Requirement
Short answer: if the goal is to show that each person received your rules, send the document and collect a signed acknowledgment. If a law says people must be trained, or the skill has to be practised, assign a course. Many requirements need both: a course that teaches, and a sign-off on your own policy.
Getting the format right saves your team time and gives you the right proof. A 40-slide course that reads the handbook aloud wastes an afternoon and proves no more than a signature. A signature on a harassment policy doesn't satisfy a state that requires harassment training.
The three formats
- Policy sign-off. The employee reads a document, usually a PDF, and confirms a statement such as "I have read and understood this policy." Best for rules, handbooks and notices.
- A course you supply. An interactive course, often a SCORM file from a training provider or an authoring tool, that reports completion and sometimes a quiz score. What is SCORM?
- A course hosted elsewhere. The employee takes it on someone else's website, such as a state's official harassment course or a first aid class, and uploads the certificate it gives them. How to track certificates
Which format for common requirements
Employee handbook, code of conduct
Sign-off
You need proof each person received the version in force. Re-collect when it changes.
Written harassment policy (CA, NY, MA)
Sign-off
California, New York and Massachusetts require you to give employees a written policy. See the handbook guide below.
Harassment prevention training (CA, NY, IL, CT)
Course hosted elsewhere
These states require training, not just a policy. Each publishes an official course that ends with a certificate.
Ontario workplace violence and harassment
Sign-off, plus a walk-through of how to report
Every worker must receive information and instruction on the policies and programs (OHSA ss. 32.0.5, 32.0.8).
Ontario health and safety awareness
Course hosted elsewhere
O. Reg. 297/13 requires a training program. The Ministry's modules end with a Proof of Completion certificate.
Ontario AODA accessibility training
Course hosted elsewhere
O. Reg. 191/11, s. 7 requires training on the standards and the Human Rights Code.
IT acceptable use, remote work, equipment
Sign-off
These are rules to agree to. A short document is clearer than a course.
Phishing and security awareness
Course you supply
Spotting a convincing email takes practice with examples, which a course can give.
Forklift, first aid, food handler
Course hosted elsewhere
Taken with a provider or in person. What you keep is the certificate and when it expires.
For the four states and Ontario, the official courses are ready to assign in Ethica. Not sure which Ontario duties apply to you? Answer three questions.
What each one proves
The record matters more than the format. Here is what Ethica keeps for each, and what you can export later.
- Policy sign-off: who signed and the date and time, the statement they confirmed, the policy version and effective date, a checksum of the exact file, the IP address and browser they signed from, and a copy of the signed policy.
- A course you supply: the date and time it was completed, plus the score, pass or fail result and the time the course reports, when the course sends them. Ethica also issues a certificate of completion.
- A course hosted elsewhere: the certificate the employee uploads, the date it was earned, and the IP address and browser it was uploaded from.
Some laws set a minimum length, such as California's two hours for supervisors. A certificate from the official course is the simplest proof that the required course was taken. What records to keep, and for how long.
When you need both
A common pattern: a harassment prevention course that teaches the concepts, and a sign-off on your own policy that names your reporting contacts. In New York, for example, employers must give each employee the written policy at hire and at every annual training, on top of the training itself (Labor Law §201-g). Assign the two as separate requirements so each has its own record.
Signs you picked the wrong format
- Your "course" is a document with a Next button. Send the document instead.
- You're asking people to sign that they understand a skill they've never practised. Use a course.
- A state names the training it requires, and you only have a signature. Add the course.
Read next: Employee handbook and policy acknowledgments: what US employers should keep, or watch how to add a policy for employees to sign.