Policies and Procedures in the Workplace: The Ultimate Guide

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According to a study by Covestro, 71 per cent of executives say employees’ desire for purpose is “prompting HR to rethink certain work policies such as paid time-off for volunteer or community work, flextime and/or telecommuting.”

Organizations need to develop or improve work policies and procedures that reflect their vision, values and culture as well as the needs of their employees. Once they are in place, enforcing these guidelines is even more important. However, accomplishing these goals can be tougher than it sounds.

What are Workplace Policies and Procedures?

Policies and procedures go hand-in-hand but are not interchangeable.

A policy is a set of general guidelines that outline the organization’s plan for tackling an issue. Policies communicate the connection between the organization’s vision and values and its day-to-day operations.

A procedure explains a specific action plan for carrying out a policy. Procedures tells employees how to deal with a situation and when.

Using policies and procedures together gives employees a well-rounded view of their workplace. They know the type of culture that the organization is striving for, what behavior is expected of them and how to achieve both of these.

RELATED: Employee Handbook Updates

The Importance of Policies and Procedures in the Workplace

Formal policies and procedures are essential for ensuring consistency and clarity in any organization. They establish a clear framework, enabling employees to understand expectations, responsibilities, and the correct protocols to follow. This reduces confusion, improves productivity, and enhances workplace harmony.

In this section, we’ll break down the key benefits of having documented policies and procedures by focusing on clarity of communication, time savings in HR management, and the positive impact on organizational reputation.

1. Clear Communication of Organizational Values and Expectations

Formalized policies communicate the organization’s values, goals, and standards to all employees. By documenting individual and team responsibilities, the organization minimizes misunderstandings and sets a benchmark for acceptable behavior. This approach leads to better alignment and a shared understanding of what it means to be a part of your organization.

2. Efficiency and Reduced HR Issues

Policies reduce the need for repeated discussions on common issues, minimizing HR’s time spent resolving disputes or clarifying expectations. With clear guidelines, employees can make informed decisions without micromanaging, thus boosting overall efficiency and giving them time to work on more complex tasks.

3. Enhanced Compliance and External Perception

Implementing robust policies helps ensure that the organization adheres to legal requirements and industry regulations. Additionally, they project a professional image, demonstrating that the business is organized, responsible, and reliable, which can strengthen external partnerships and build public trust.

How to Develop Policies and Procedures in the Workplace

When creating a policy or procedure for your workplace, start by reviewing the mission statement, vision and values. According to the New South Wales Government Industrial Relations, “a workplace policy should:

• set out the aim of the policy
• explain why the policy was developed
• list who the policy applies to
• set out what is acceptable or unacceptable behavior
• set out the consequences of not complying with the policy
• provide a date when the policy was developed or updated”

Once you implement your policies and procedures, the next step is to inform and train employees on them. You can’t expect employees to follow guidelines if they aren’t aware of them. Be sure to schedule regular refresher training sessions, too, to keep employees on track.

Paychex WORX says that “employees may be more likely to embrace rules when they understand their purpose and that they are not meant to be a form of control or punishment.” For this reason, keep a positive attitude during training sessions and leave plenty of time for employee questions.

Company policies and procedures should not be written once and left alone for decades. Reviewing these documents regularly and updating them when necessary is key to their success. In addition to an annual review, consider updating them when you:

• adopt new equipment, software, etc.
• see an increase in accidents or failures on-site
• experience increased customer complaints
• have a feeling of general confusion or increased staff questions regarding day-to-day operations
• see inconsistency in employee job performance
• feel increased stress levels across the office

Essential Workplace Policies and Procedures for Every Organization

Organizations need policies and procedures for a wide range of HR topics. Below are some of the subjects you should consider creating guidelines for.

1. Attendance and Leave Management Policies

Absenteeism costs wages for the employee who doesn’t show up, wages for a replacement worker, and delays and disruptions to the whole organization. That’s why you need to write (and consistently apply) attendance policies.

These documents can include guidelines on tardiness, vacation time, sick leave, appointments and paid volunteer hours. You can also include the amount of notice required before booking time off. Take your corporate culture into consideration when developing these rules.

2. Code of Conduct and Workplace Behavior Policies

This is a broad topic and may require multiple, separate policies. Including guidelines on drugs and alcohol use, smoking, performance management and discipline helps employees know what is and is not acceptable behavior at work.

3. Company Property and Asset Usage Policies

The number of ways employees can misuse company property is never-ending. “Renting out the company’s equipment to third parties, intentionally producing scrap product that is actually being sold by the employee, taking vehicles for recreation, hosting their own websites on company servers, even directing other employees to preform tasks that unknowingly benefit the ghost business” are just a few examples of risks your organization could face, according to ASG Investigations.

Employees have to use company property in order to do their jobs. Depending on your industry, this could include electronics, medical equipment, vehicles, tools and uniforms. Include guidelines on how to care for company property, as well as how much (if any) and what types of personal use are permitted using company property.

4. Anti-Harassment and Anti-Discrimination Policies

Did you know that the average harassment lawsuit costs the employer $250,000 to defend? With rules in place, you can prevent these incidents and protect both your company and your employees.

Harassment and discrimination affect the entire workplace culture. Keep employees safe and treat them fairly by developing policies and procedures that prohibit behaviors such as:

• sexual harassment
• bullying
• verbal and physical harassment
• stalking
• hiring discrimination
• workplace discrimination

Include information on how to report harassment and discrimination and explain that the company will not retaliate for reporting.

5. Digital Communication and Social Media Policies

Make employees aware that any internet use at work is not private. Urge employees to limit personal internet use and ensure everything they do online in the workplace is legal, ethical and appropriate (and explain what these mean). Add guidelines about what is and is not appropriate to post on social media regarding your organization as well.

RELATED: 16 Tips for Managing Social Media in the Workplace to Help You Avoid Scandals

6. Workplace Health and Safety Compliance Policies

In 2020, OSHA awarded workers $30.1 million in settlements, nearly double the total from the year before. Without strong health and safety policies that are actually enforced, your employees and your organization are at risk.

Protecting employees’ safety and well-being should be every organization’s top priority. When writing your health and safety policies, include information about how to deal with illness or injury at work, equipment safety guidelines and how to report a health or safety concern. Also include procedures to follow in the event of a fire or natural disaster.

7. Employee Expense Reimbursement Policies

If your employees travel or purchase things for work, having an expense reimbursement policy in place is essential. Explain what types of expenses are acceptable for reimbursement (airfare class, transportation, meals, etc.). Include procedures on how to submit a reimbursement claim.

8. Remote Work and Telecommuting Policies

With a desire for more flexibility in location and hours, as well as the COVID-19 pandemic, many companies and employees are choosing to work remotely at least some of the time. If you allow employees to work from home, you need two main policies to ensure the set-up is safe and runs smoothly.

First, a general remote work policy should describe who can work remotely and how often. What hours do remote workers need to be available? What communication standards must they meet? Will you provide necessary work equipment or reimburse employees for their purchases?

In addition, include health and safety procedures for remote work in either your remote work policy or your regular health and safety policy. These should address how you’ll handle potential ergonomic issues, environment-caused injuries and illnesses, mental health, and fire and weather emergencies.

Why You Need to Enforce Policies and Procedures

Company policies and procedures are helpful for making your workplace run more efficiently, but they are only effective if you enforce them. Enforcement of the guidelines guarantees your organization’s operational procedures and decision-making processes are uniform and consistent across cases.

When you don’t enforce your procedures, you put your organization at risk. If an employee or external person comes forward with an allegation against your company, having formal policies and procedures in place strengthens your case.

RELATED: Employee Policy Manuals: What to Include in Your Annual Review

For example, say someone sues your organization for hiring discrimination, claiming that they were not given a job they interviewed for because they have a disability. Having an anti-discrimination policy in place is a strong piece of evidence in your defense.

Or, say that you refuse to reimburse a first-class plane ticket an employee bought to get to a conference. Pointing out that first-class airfare is not eligible for expense reimbursement and having proof of this in your policy protects your organization from legal actions and reputation damage.

Without formal policies and procedures, your organization may not be reaching its potential. Improve work policies and procedures so that they reflect your workplace’s values to create a better environment for all employees.

Ready to streamline your organization’s operations? Discover how our comprehensive case management solution can help you investigate workplace policy violations with confidence. Learn more about our platform and get started today!

FAQ’s on Workplace Policies

1. What is an example of a workplace policy and a procedure?

An example of a policy could be an organization’s stance on workplace harassment, outlining what behavior is unacceptable and the consequences for violating the policy. Its corresponding procedure might detail the steps an employee should take to report a harassment incident, including who to contact and how the investigation process will unfold.

2. How do you organize policies and procedures?

Policies and procedures can be organized by grouping them into categories based on their subject matter (e.g., attendance, employee conduct, company property use, harassment and discrimination, internet and social media use, health and safety, expenses remote work). Each category can then contain individual policies and procedures relevant to that topic, creating an easy-to-read resource for employees to reference as they need.

3. What is an example of a policy in the workplace?

An example of a policy in the workplace is an attendance policy, which should contain guidelines regarding tardiness, vacation time, sick leave, appointments, and paid volunteer hours, among other related matters.

4. What is included in workplace policies and procedures?

Workplace policies and procedures typically cover a wide range of topics that guide employee behavior and organizational operations. These may include codes of conduct, health and safety guidelines, equal employment opportunity (EEO) policies, disciplinary actions, attendance, confidentiality, data security, and specific operational procedures. The goal is to ensure a consistent, safe, and compliant work environment.

5. What is an example of workplace violence policy?

A workplace violence policy outlines the organization’s commitment to preventing violence, harassment, and threatening behavior at work. For example, it may include a zero-tolerance stance on violence, protocols for reporting incidents, how threats will be investigated, and measures for protecting employees. The policy ensures employees know what constitutes unacceptable behavior and how it will be handled.

6. How often should workplace policies be updated?

Workplace policies should be reviewed and updated at least annually or when significant changes occur within the organization or the legal landscape. Regular updates help ensure compliance with new laws, accommodate organizational growth, address emerging workplace issues, and reflect changes in technology or operational processes.

7. What is the difference between a policy and a procedure?

A policy is a guiding principle or rule that outlines the organization’s stance on a particular issue, such as workplace safety or ethics. A procedure, on the other hand, is the step-by-step process for implementing the policy. While policies provide a framework for decision-making, procedures are actionable instructions that detail how policies will be carried out in daily operations.

8. Who is responsible for enforcing workplace policies?

Typically, managers, supervisors, and human resources (HR) professionals are responsible for enforcing workplace policies. They ensure that employees are aware of the policies, adhere to them, and take appropriate actions if violations occur. The role also includes providing training, addressing questions, and investigating breaches.

9. How can employees access workplace policies and procedures?

Employees can usually access workplace policies and procedures through the company’s intranet, employee handbooks, or HR department. In some organizations, policies are distributed via email or posted in common areas such as break rooms. Ensuring easy access to these documents is crucial for promoting compliance and transparency.