Policies

Scope

Having policies in place helps employers follow consistent processes and sets standards for employees to follow.

Regulatory citations

• None

Key definitions

• None

Summary of requirements

Aside from policies required by law (see the appropriate topics) employers may have, or may want to develop, policies on such things as:

• Alcohol and drug use
• Attendance/absence
• Discipline and work rules
• Dress code
• Emergency/first aid responders
• Employee/supervisor training
• Employee Assistance Programs
• Health benefits
• Holidays
• Hours of work/flextime
• Internet use
• Jury/witness duty
• Meal/rest breaks
• Moonlighting
• Performance evaluations
• Phone use
• Security
• Smoking/tobacco
• Telecommuting/work at home
• Termination
• Time off/vacation
• Visitors
• Wellness/fitness programs
• Workplace violence

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:

• Form a committee to gain input.
• Assess the workplace to identify policies and procedures needed.
• Develop policies and procedures.
• Implement policies and procedures and train employees on them.
• Make changes when necessary (i.e., regulatory changes).
• Keep records as needed.

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:

• Make sure policies and procedures cover all the required areas and elements that were identified.
• Consider including company-specific information. Make sure the information is at least as stringent as the required rule and that it does not interfere with any required content. Separating or distinguishing company elements from required elements can avoid confusion. For example, use a subhead that says “State Requirements” or “Additional Requirements.”
• Make the document readable through formatting and using simple language. Procedures may need to be more “conversational” than policies, as the procedures will be relied on as specific ways to do things.
• Create all policies and all procedures in the same general format. Also, developing a numbering or lettering scheme can help quickly identify a particular policy or procedure.

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:

• The severity of the violation,
• Whether the violation was intentional or unintentional, and
• Whether the violation indicated a pattern or practice of improper action.

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.