Calgary Employment Lawyers Helping Employers Develop Workplace Policies and Procedures

Clear workplace policies and procedures help Alberta employers set expectations, manage employees consistently, comply with legal obligations, and respond effectively when workplace issues arise.

What Are Workplace Policies and Procedures?

Workplace policies set out an employer’s rules, standards and expectations on important workplace issues.

They can address matters such as:

• Employee conduct;
• Attendance;
• Workplace harassment and violence;
• Health and safety;
• Technology use;
• Privacy;
• Performance management;
• Leaves and absences; and
• Complaint and investigation processes.

Workplace procedures explain how those policies will be applied in practice. For example, a harassment policy may state that harassment is prohibited, while the accompanying procedure explains:

• How an employee can make a complaint;
• Who receives the complaint;
• How it will be investigated;
• How confidentiality will be handled; and
• What may happen after the investigation.

Policies explain what the rules are. Procedures explain how those rules will be followed.

Why Are Workplace Policies and Procedures Important?

Policies and procedures provide a framework for managing the workplace. Well-drafted policies and procedures can help employers:

• Communicate expectations clearly;
• Apply workplace rules consistently;
• Reduce misunderstandings;
• Address misconduct and performance concerns;
• Meet statutory obligations;
• Support managers making difficult decisions;
• Respond to employee complaints;
• Protect confidential and business information; and
• Create a record of the standards employees were expected to follow.

Policies and procedures can also help employees understand their rights, responsibilities and available workplace processes. However, having a policy on paper is not enough. Employers must also communicate, implement, and consistently enforce their policies.

Which Alberta Employers Should Have Workplace Policies and Procedures?

Almost every employer can benefit from clear workplace policies and procedures.

The appropriate policies and procedures depend on:

• The size of the organization;
• The number of employees;
• The industry;
• Workplace hazards;
• Whether employees work remotely;
• The type of information employees’ handle;
• The organizational structure;
• The nature of employee duties; and
• The legal requirements that apply to the workplace.

A five-person professional office will not necessarily require the same policy manual as a large industrial employer. Policies and procedures should reflect the actual workplace rather than simply copying a generic handbook.

Are Workplace Policies and Procedures Legally Required?

Some are. Others are best practices rather than specific statutory requirements.

Workplace Violence and Harassment Prevention

Every Alberta employer must develop and implement a violence and harassment prevention plan under occupational health and safety legislation.

The plan must address matters including:

• Measures to eliminate or control violence and harassment hazards;
• How workers will be informed about known threats;
• How employees can report violence or harassment;
• How complaints and incidents will be investigated; and
• Other requirements under the OHS Code.

Employers must also train workers on the plan and on how to recognize, report and respond to workplace violence and harassment. The plan must be reviewed when certain events occur and, in any event, at least every three years.

Other Policies May Support Legal Compliance

Other workplace policies may not be expressly required as stand-alone documents, but they can help employers comply with obligations under legislation such as:

• The Employment Standards Code;
• The Alberta Human Rights Act;
• The Occupational Health and Safety Act and OHS Code; and
• Alberta privacy legislation.

For example, most Alberta employees have statutory rights relating to overtime, vacation, job-protected leaves, and termination. Workplace policies should not provide less than those minimum standards.

What Rights Do Employees Have Under Workplace Policies?

Workplace policies cannot override an employee’s statutory rights. An employer cannot use a policy to avoid obligations imposed by employment standards, human rights, occupational health and safety, or other legislation.

For example, a policy generally cannot:

• Provide less vacation than the statutory minimum;
• Eliminate overtime rights where the employee is legally entitled to overtime;
• Permit discrimination based on a protected ground;
• Punish an employee for exercising a protected legal right; or
• Contract out of mandatory occupational health and safety requirements.

Employers should therefore review policies for legal compliance before implementation.

What Human Rights Considerations Apply to Workplace Policies?

Policies should be neutral, reasonable, and connected to legitimate workplace objectives.

However, even a policy that appears neutral can create a human rights problem if it negatively affects employees based on a protected ground.  For example, concerns may arise where a policy relating to:

• Attendance;
• Scheduling;
• Dress;
• Leave;
• Remote work;
• Performance; or
• Fitness for work

has a disproportionate effect on employees because of disability, religion, family status, or another protected characteristic. Employers should therefore consider whether accommodation may be required before rigidly enforcing a policy.

What Workplace Policies Should Employers Consider?

The appropriate policies depend on the organization, but most employers should consider the following.

Code of Conduct

A Code of Conduct can establish basic standards of professional workplace behaviour.

It may address:

• Respectful conduct;
• Honesty;
• Conflicts of interest;
• Client or customer relationships;
• Compliance with workplace rules;
• Confidentiality;
• Workplace relationships; and
• Consequences of misconduct.

The policy should be specific enough that employees can understand the expected standard.

Respectful Workplace, Harassment and Violence

Employers should maintain policies and procedures addressing workplace harassment and violence.

These should clearly explain:

• Prohibited conduct;
• How concerns can be reported;
• Who receives complaints;
• How investigations will occur;
• Confidentiality;
• Protection from retaliation; and
• Possible corrective action.

Alberta OHS legislation imposes specific requirements in this area, including the requirement to investigate incidents of workplace harassment and violence. Where harassment is connected to a protected ground, the Alberta Human Rights Act may also apply. 

Human Rights and Accommodation

A human rights or accommodation policy can explain:

• The employer’s commitment to non-discrimination;
• Protected workplace rights;
• How employees can request accommodation;
• How requests will be assessed;
• Employee and employer responsibilities;
• Confidentiality; and
• How concerns can be raised.

The policy should be consistent with the employer’s obligations under the Alberta Human Rights Act, employment standards legislation, and privacy legislation.

Attendance and Absence Management

An attendance policy can establish expectations around:

• Reporting absences;
• Calling in sick;
• Providing notice of lateness;
• Medical documentation where appropriate;
• Vacation requests;
• Unscheduled absences; and
• Return-to-work communication.

The policy should distinguish ordinary attendance expectations from absences protected by employment standards or human rights law.

Vacation and Leaves

Policies can help employees understand:

• Vacation entitlements;
• Vacation-request procedures and approval processes;
• Vacation scheduling requirements;
• Statutory leaves;
• Employer-provided leaves; and
• Documentation requirements.

Policies must comply with minimum statutory entitlements. For example, most Alberta employees are entitled to minimum vacation time and vacation pay based on length of service.

Hours of Work and Overtime

An hours-of-work policy may address:

• Regular working hours;
• Approval for overtime;
• Recording working time;
• Overtime banking where applicable;
• Flexible scheduling; and
• Expectations for after-hours work.

Employers should ensure the policy reflects Alberta’s overtime requirements and any exemptions that apply to particular employees or industries.

Performance Management and Discipline

A performance management policy can explain how the employer addresses:

• Coaching;
• Performance reviews;
• Performance concerns;
• Performance Improvement Plans;
• Misconduct; and
• Progressive discipline up to and including termination for cause.

Employers should preserve enough discretion to respond appropriately to the circumstances. A policy should not suggest that the employer must follow the same rigid disciplinary sequence in every case. The seriousness of misconduct, the employee’s history, and the surrounding circumstances may justify different responses.

Workplace Investigations

Employers should consider a policy or procedure explaining how serious complaints will be investigated.

It may address:

• Who can make a complaint;
• How complaints are reported;
• How investigators are selected;
• Interviews;
• Evidence collection;
• Confidentiality;
• Investigation findings;
• Corrective action; and
• Protection against retaliation.

A clear process helps managers respond consistently and gives employees a better understanding of what to expect.

Technology, Internet, and Electronic Communications

A technology-use policy may address:

• Company computers and devices;
• Email;
• Internet access;
• Messaging platforms;
• Social media;
• Cybersecurity;
• Passwords;
• Acceptable use;
• Monitoring; and
• Protection of confidential information.

Employers should be clear about any reasonable expectations regarding privacy when employees use employer systems.

Confidentiality and Privacy

Depending on the workplace, employers may also need policies addressing:

• Confidential business information;
• Employee personal information;
• Client or customer information;
• Records management;
• Access to information;
• Storage of sensitive records; and
• Information security.

Privacy policies and practices should reflect the privacy legislation that applies to the employer.

Remote and Hybrid Work

Where employees work remotely or under hybrid arrangements, a policy can clarify:

• Eligibility;
• Work location;
• Hours;
• Availability;
• Confidentiality;
• Technology;
• Expenses;
• Occupational health and safety;
• Performance expectations; and
• The employer’s ability to change or end the arrangement.

Clear terms can help prevent a temporary or discretionary arrangement from becoming an unintended permanent term or condition of employment.

Social Media

A social media policy can address employee use of social media where it affects the workplace or the employer’s legitimate business interests.

It may address:

• Confidential information;
• Client information;
• Workplace harassment;
• Use of company branding;
• Public communications on behalf of the employer; and
• Personal social media use during working time.

Compensation, Bonus and Expense Policies

Employers may also have policies dealing with:

• Payroll procedures;
• Bonuses;
• Commissions;
• Business expenses;
• Corporate credit cards; and
• Benefits administration.

Where compensation terms are contractual, employers should ensure the policy does not conflict with the employee’s written employment agreement.

Should Workplace Policies Form Part of the Employment Agreement?

The employment agreement should require employees to comply with workplace policies as amended from time to time, subject to applicable law and the terms of the employment agreement. 

Employers should seek legal advice when a policy affects important employment terms such as:

• Compensation;
• Bonuses;
• Vacation;
• Benefits;
• Work location; or
• Termination rights.

How Should Employers Introduce New Workplace Policies?

Simply placing a policy in a handbook or shared folder will not likely be enough. When introducing an important policy, employers should:

1. Communicate the policy clearly.
2. Give employees access to the full policy.
3. Explain when it takes effect.
4. Provide training where appropriate.
5. Give employees an opportunity to ask questions.
6. Obtain acknowledgment of receipt where appropriate.
7. Apply the policy consistently after implementation.

For important policies, employers should maintain records showing when employees received or were trained on the policy.

Should Employees Sign Workplace Policies?

Employers often ask employees to sign an acknowledgment confirming that they:

• Received the policy;
• Had an opportunity to review it and understand it; and
• Understand that they are expected to comply with it.

An acknowledgment can provide useful evidence that an employee knew about the policy. 

Why Is Manager Training Important?

Policies are only effective if the people responsible for applying them understand them.

Managers should know:

• What the policy requires;
• When discretion is permitted;
• When an issue should be escalated;
• How to document decisions;
• When accommodation may be required;
• When an investigation is necessary; and
• When legal or human resources advice should be obtained.

Inconsistent application by managers can undermine an otherwise well-drafted policy.

Why Is Consistent Enforcement Important?

A policy that is routinely ignored may be difficult to rely on later. For example, an employer may have difficulty imposing serious discipline for conduct it has repeatedly tolerated.

Employers should therefore:

• Address violations when they occur;
• Apply similar standards to comparable employees;
• Document important exceptions;
• Avoid selective enforcement; and
• Review whether a policy remains practical if managers repeatedly make exceptions.

Consistency does not mean identical outcomes in every case. Employers can consider the seriousness of the conduct, the employee’s history, and other relevant circumstances.

When Should Workplace Policies Be Reviewed?

Policies should not remain unchanged indefinitely. Employers should review them periodically and whenever:

• Legislation changes;
• The organization grows significantly;
• Work practices change;
• New technology is introduced;
• Remote-work arrangements change;
• A workplace complaint or investigation reveals a gap or identifies a weakness;
• An incident suggests a safety concern;
• The policy is no longer being followed in practice; or
• The employer introduces new employment practices.

Some policies have specific statutory review requirements. For example, Alberta’s workplace violence and harassment prevention plan must be reviewed in specified circumstances and at least every three years.

What Can Happen if Workplace Policies Are Missing or Outdated?

Inadequate policies can create both legal and operational problems. Potential consequences include:

• Inconsistent management decisions;
• Employee confusion;
• Increased workplace conflict;
• Difficulty enforcing workplace standards;
• Complaints under human rights, employment standards, occupational health and safety, and/or privacy legislation;
• Weaknesses in workplace investigations;
• Difficulty supporting disciplinary decisions;
• Increased wrongful dismissal exposure; and
• Reputational harm.

A policy does not eliminate legal risk, but a well-designed and consistently implemented policy can significantly improve an employer’s ability to prevent and respond to workplace issues.

What to Do Next: Strengthen Your Workplace Policies

Alberta employers should consider the following steps:

• Identify mandatory policies and plans. Confirm which legal requirements apply to your workplace.
• Review your existing handbook. Remove outdated, inconsistent, or impractical provisions.
• Prioritize high-risk areas. Harassment, violence, human rights, attendance, investigations and confidentiality deserve particular attention.
• Make policies workplace specific. Avoid relying on generic templates.
• Check employment agreements. Make sure policies do not conflict with contractual terms.
• Preserve appropriate flexibility. Avoid unnecessarily turning every workplace rule into a contractual promise.
• Train managers. Make sure those applying the policies understand them.
• Communicate changes. Employees should know what rules apply and where to find them.
• Obtain acknowledgments where appropriate.
• Apply policies consistently.
• Review policies regularly. Update them when legislation or workplace practices change.
• Get legal advice before implementing significant changes to policies or new policies that constitute a significant change to how things have been done up to that point.

Getz Collins and Associates: Developing Workplace Policies and Procedures for Alberta Employers

Workplace policies and procedures are most effective when they reflect the employer’s actual operations, comply with Alberta law, and give managers practical guidance when difficult situations arise.

The employment lawyers at Getz Collins and Associates help Alberta employers develop, review and update workplace policies and procedures and employee handbooks.

We can assist with:

• Employee handbooks;
• Codes of conduct;
• Violence and harassment prevention plans;
• Policies including those regarding human rights and accommodation, attendance and leaves, performance management and discipline, remote and hybrid work, technology and social media, confidentiality and privacy, and compensation and expenses;
• Policy implementation and employee acknowledgments; 
• Policy enforcement and compliance; and
• Reviews of existing workplace policies for legal compliance.

Well-designed policies and procedures can help employers establish clear expectations, improve consistency, and respond more effectively when workplace problems arise.

From our Calgary office, Getz Collins and Associates advises employers throughout Alberta, including Calgary, Airdrie, Cochrane, Okotoks, Drumheller, Chestermere, Hussar and surrounding communities.

Call 587-391-5600 or contact us online to schedule a consultation with an employment lawyer.