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Employers develop workplace policies to implement regulatory requirements, or to establish company procedures for an employee handbook.
Having policies in place helps employers follow consistent processes and sets standards for employees to follow.
Aside from policies required by law (see the appropriate topics) employers may have, or may want to develop, policies on such things as:
Developing policies and procedures. Policies are broad statements that provide the basis for action or decision-making. Procedures are the mechanisms and details used to implement the policy. The development of policies and procedures will generally follow these steps:
Gaining input. To gain input, involve individuals from a cross-section of the company. One person may understand a requirement, but may not know that a specific area or process has a particular concern. Involving more individuals promotes ownership of the process, which is most always beneficial. Consider forming an advisory committee to help with implementation.
Assessing the situation. The next step is performing the assessment. The first phase is identifying required policies and procedures that apply. The second phase is identifying workplace-specific policies and procedures. These generally include company policies that are stricter than a required rule, or that are not addressed in a regulation.
Writing policies. Policies and procedures are often legal documents that must meet regulatory requirements, but they must also be practical and in plain language so those who use them can follow them. Employers should:
Implementing and enforcing policies and procedures. After creating policies and procedures, they must be implemented. In addition, making changes may require retraining employees — especially those whose duties were affected — within a reasonable time.
Policies and procedures must also be enforced. Sanctions should be appropriate to the violations, ranging from a warning to termination. The type of sanction applied will vary depending on factors such as:
Documenting. Policies and procedures required to be “in writing” usually include electronic storage. However documentation is provided, retain evidence that the policies were communicated and implemented.
Beyond regulatory changes, policies and procedures can be changed at any time, provided the changes are documented properly and are effective.
Recordkeeping. Certain records, including policies and procedures, must be maintained for a specified time. The specifics will depend on the regulatory provisions that govern each policy.