Guide to Developing HR Policies and Procedures

Research Report Number 4489

August 2017

Guide to Developing HR Policies and Procedures

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Guide to Developing HR Policies and Procedures August 2017 ? rr4489

Guide to Developing HR Policies and Procedures

TABLE OF CONTENTS

Page

Introduction.............................................................................................................................. 1 Getting Started ......................................................................................................................... 3

Establishing Goals .............................................................................................................. 3 Creating Your Action Plan ................................................................................................. 3 Implementing Your Action Plan......................................................................................... 5 Writing Your Policies and Procedures .................................................................................. 9 Revising Current Policies and Procedures.......................................................................... 9 Creating New Policies and Procedures ............................................................................... 10 Organizing Your MaPP and the Policies it Contains.......................................................... 11 Obtaining Approvals ............................................................................................................... 13 Publishing and Communicating ............................................................................................. 14 Keeping It Relevant ................................................................................................................. 15 Appendix................................................................................................................................... 17 Exhibit A ? Sample Action Plan Worksheet ...................................................................... 18 Exhibit B ? Partial Listing of Federal and State Laws Affecting Employee Relations...... 19 Exhibit C ? Sample Questionnaire ..................................................................................... 25 Exhibit D ? Sample Policy Manual Checklist .................................................................... 26 Exhibit E ? Sample Priority List......................................................................................... 31 Exhibit F ? Sample Data Gathering Form .......................................................................... 33 Exhibit G ? Sample Policy Manual Format........................................................................ 35

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INTRODUCTION

While policies guide actions and activities toward a desired outcome, procedures are the specific methods for ensuring that actions align with and result in the achievement of those outcomes. To be effective, companies need to have both (1) written policies and (2) procedures for implementing those policies to reach their desired outcomes.

A company's HR policies and procedures manual is an important part of its communications program. A manual of policies and procedures (MaPP) provides managers and supervisors with a "roadmap" to deliver clear and consistent communications to employees regarding the company's expectations and conditions of employment.

A company's MaPP also formulates guidelines for:

A systematic approach to HR policies and practices; Providing fair and equitable treatment of the employees; Forming the basis for the organization's employee handbook, training for supervisors

and managers, and the context for employee orientation; Clarifying the relationship between the company and all of its employees; Resolving difficulties and misunderstandings that may result from unwritten policies,

inconsistencies and lack of communication; and Clarifying lines of authority and responsibility.

Your company's HR MaPP has uses that differ from those of your employee handbook. The primary audience for the employee handbook is your employees. As such, the document should be used as a description of company rules and expectations. It offers a brief description of the organization's history, products and/or services, outlines employee benefits programs, and identifies the obligations of both the employee as well as the company. The HR MaPP, on the other hand, provides managers and supervisors with a tool to guide them through their daily interactions with employees. The HR MaPP should therefore contain more detail and step-bystep instructions on procedures for how the company's policies should be carried out.

To develop or update your organization's HR MaPP, it is critical to understand the distinction between "Policy" and "Procedure." The following outline will help you distinguish between the two.

Definition

Policy

Procedure

A "policy" states the company's A "procedure" describes how

intent

the company's intent is to be

A statement of company

accomplished

philosophy covering a specific The method or technique by

aspect of the employer-

which a given policy is

employee relationship

implemented or accomplished

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Purpose

Policy

A guiding principle used to set direction

Procedure

A series of operational processes required to implement the policy

Sets, controls or directs actions Explains how to implement the

or conduct to ensure consistency specific requirements of the

and compliance with the

processes and achieve the

company's strategic direction

desired results

Function What's Included

Characteristics

Explains who is responsible for Explains who performs the

the execution and enforcement

procedure, what steps are

of the policy, what the policy is,

performed, how the steps are

and why the policy is required

performed and when the steps

are to be performed

What the rule is Why the rule exists Who the rule covers Who has responsibility for

enforcing the rule

When the rule applies

When and how actions are to be taken

Consequences, if applicable, when rules are not followed

Graphs, forms or charts

Who has responsibility for updating the rules and procedures

Widespread application Changes less frequently Usually expressed in broad

terms

Narrow application Prone to change Often stated in detail

Once you have distinguished between company policies and procedures, you may also need to consider what constitutes a company "practice" versus an organizational "process." A simple way for keeping the four terms straight in your mind follows:

"Policy" is a statement of the company's intent; "Procedure" describes how the intent is to be accomplished; "Practice" is what is actually being done. To ensure effective employee relations, the

company's practice must conform to its stated policies and procedures; and "Process" help define the separation of responsibilities and control points.

Now that you've got the basics down, it's time for the real work to begin!

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