v1.2 ABE POL LG Day 1

Performance Education Professional Year Learner Guide
Policies and Procedures of an Organisation
This Unit of Competency addresses the following elements:
1. Contribute to continuous improvement of procedures
2. Locate and interpret key organisational policies and procedures
3. Develop work instructions for a work task
4. Follow workplace health and safety procedures at work
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20141112 v1.2 Australian Business Environment 1 ©Performance English 2013

Introduction
What is a policy?
Policies are rules that a company follows. Workplace policies often reinforce and clarify standard
operating procedures in a workplace. Well written policies help employers manage staff more
effectively by defining acceptable and unacceptable behaviour in the workplace, and also set out the
implications of not complying with those policies.
A policy may be required when there is a diversity of interests and preferences, which can result in
vague and conflicting objectives among those who are directly involved.
What is a procedure?
A procedure is a set of instructions for performing a task. The task can be physical, such as installing a
modem, or mental, such as calculating the profit margin on a product.
Procedures inform users “how” to do something.
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Activity 1.1: Why and How

Complete the following questions individually.
1. Why would a company create policies and procedures?
2. How can policies and procedures benefit an organisation?
Developing and introducing workplace policies & procedures
There are six steps involved in writing policies and procedures that help to ensure that they are
successfully introduced and implemented in the workplace.
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Activity 1.2: Matching definitions

Draw a line from one column to the next, matching the different headings with the
correct definitions.
Step 1: The policies & procedures may be explained to staff through information and/or
Consult with training sessions, at staff meetings and during induction of new staff. They should
Staff also be reiterated and discussed with staff regularly at staff meetings to ensure
they remain relevant to your staff. Copies of policies should be easily accessible.
Copies may be kept in folders in a central location or staff areas, in staff manuals
and available on the organisation’s intranet system.
Step 2: It is important that policies and procedures apply consistently throughout the
Define the terms organisation. A breach of a policy should be dealt with promptly and according to
of the policy the procedures set out in the policy. The consequence of the breach should also
suit the severity of the breach – whether it be a warning, disciplinary action or
dismissal.
Step 3: Be specific. Define key terms used in the policy at the beginning so that employees
Put the policies understand what is meant. The policy should explain what acceptable or
in writing and unacceptable behaviour in the workplace is. Be clear about who the policies and
publicise them procedures apply to.
Step 4: Review policies and procedures regularly to ensure they are current and in line
Training and with changes within the organisation. Where they are significantly changed they
regular referral should be re-issued to staff and the changes explained to staff to ensure they
understand the organisation’s new directions. These changes should also be
widely publicised.
Step 5: Involve staff in developing and implementing workplace policies and procedures to
Implementation promote awareness, understanding and ownership of the outcome. Staff
involvement also helps to determine how and when the policies might apply,
including possible scenarios.
Step 6: To be effective, policies and procedures need to be publicised and provided to ALL
Evaluate and employees. They should be written in plain English and easily understood by all
review employees. Ensure all staff understands what the policies mean. Explain how to
comply with the policies and the implications of not complying.
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Types of workplace policies
 code of conduct
 recruitment policy
 internet and email policy
 mobile phone policy
 non-smoking policy
 drug and alcohol policy
 health and safety policy
 anti-discrimination and harassment policy
 grievance/complaint handling policy
 discipline and termination policy
Written policies should state the following:
Aim Clearly state the aims and expected outcomes and standards arising from the
policy
Scope Specify the name of the company, the branch, the physical location and the
staff covered by the policy.
Code of Spell out the code of behaviour required by staff of all levels and sections.
behaviour E.g.
 include if and when it is considered appropriate to consume alcohol

 prohibition of being under the influence of illegal drugs at work
 appropriate dress codes
Roles Specify whose task it is to:
 approach an intoxicated employee

 impose disciplinary measures & monitor work performance
 keep records & evaluate the policy
Support Services - Describe the avenues for counselling and support outlining the relevant
details if an Employee Assistance Program is utilised.
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Activity 1.3: Own Business Policies (Group Task)

Using the previous guide and referring to the information below on some of the
different policies that exist in Australian organisations, complete the activity below.
Instructions:
In groups of 4-5, imagine you have just started your own business in your chosen profession. Thinking
about how you would like to run your business, and how you would like your employees to act, create
brief but specific policies on the following subjects:
 Annual Leave
 Internet and email usage
 Mobile phone usage
 Smoking in the workplace
 Drug and alcohol use in the workplace
Business Policies in Australian Organisations
Discipline
Ensure you specify the grounds for dismissal for breaches of the policy and the number of warnings staff
will be given before discipline is imposed.
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Policies on Leave
While legislation and awards cover employee entitlements to various types of leave, it is helpful to have
a policy that sets out how leave is managed in your workplace. For example, a policy on annual close
downs will ensure your staff understand what happens during this period.
Sample policy – annual close down
The company closes for two weeks over the Christmas period each year. All staff will
be given at least four weeks’ notice of specific dates of the close down. Any leave
due at the time must be taken. If an employee’s entitlement does not cover the
period required, the remainder must be taken as leave without pay. All employees
will receive paid leave for gazetted public holidays during the period.
Annual leave loading will be paid in accordance with the award.
You may wish to develop a policy for taking other forms of leave. Such a policy would need to identify:
 types of leave available

 procedure for applying for leave
 administrative forms to be completed
 who has the authority to approve the request
 whether the leave is paid or unpaid
Code of Conduct
A code of conduct sets standards of behaviour or appearance in the workplace. These standards will
vary depending on the industry, the role of the employee and work undertaken by your staff. A code of
conduct may include dress standards at work or email and internet use.
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Dress standard
A policy on dress standard will depend on a number of issues, including:
 if the industrial award covering your staff requires you to provide them
with uniforms
 if you want your staff to be in uniform
 whether you will provide the uniform or subsidise the cost of the
uniform
 if a uniform is not required, what is appropriate dress for your workplace
‘Business dress’ or ‘smart casual’ are terms that are often used in workplaces. However, you should
specify what these terms mean. You may also wish to exclude particular items of clothing such as midriff
tops, hipster pants, singlets, shorts and open shoes if safety is an issue.
Remember, your policy cannot discriminate between men and women. If men are not allowed to wear
jeans or earrings, neither can women. If you are introducing a uniform or dress standard in your
workplace, it is important to include employees in your decision-making. Some employees have very
strong views about being asked to wear a uniform and these need to be considered before you take any
action.
Job applicants may dress more formally for an interview than they will on a day-to-day basis and may
not be aware of your business’ dress standards. Ensure you outline the business’ dress requirements
with new employees before they start. This information should also be included in their appointment
letter.
Internet and email usage
A growing number of staff now has access to the internet

and email in their workplace. Determining what is or is not
acceptable is of concern to many employers. Companies
have valid reasons for wanting to manage the use of email
and internet. In developing a policy on the use of the
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internet and email at work it is important to ensure that all terms such as ‘offensive’ and ‘inappropriate’
are clearly explained and understood by all staff. The policy should outline that the company will not
tolerate any form of offensive or inappropriate material being accessed, transmitted or stored on the
business system. Ideally the policy should meet the needs of the business as well as complying with any
legal requirements.
Unlike personal property kept in a desk drawer or locker, electronic messages sent or received at work
are not legally considered to be personal property. As the owner of the server or personal computer on
which staff email is stored, many employers reserve the right the check emails as a precaution against
fraud, workplace harassment or breaches of confidence by employees.
However, employees also have legitimate expectations of privacy in relation to their email
communications. A failure to acknowledge these expectations can affect the usefulness of providing
email facilities. Try and balance staff privacy with the legitimate interests of the business. Restrictive or
intrusive policies or practice could have a negative impact on morale and productivity.
Your email and Internet policy should cover:
 requirements for storing email where it relates to the core business of

the organisation
 whether back-up copies are stored on the server and who has access to
them
 whether the company monitors logs of Internet usage which may reveal
information such as which servers (including websites) have been accessed by the employee and
email addresses used
 level of privacy employees can generally expect for their email
 circumstances in which management reserves a right to read and take action on employee email
 confirmation that email can be subject to production in litigation or other investigations
 that it is unacceptable to use email to abuse or harass other employees
The policy should also define what you consider is acceptable and unacceptable use. For example,
employees may use the internet access provided by the company for:
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 any work-related purposes

 accessing the web for personal purposes, provided that personal use is moderate in time, does
not incur significant cost to the company and does not interfere with the duties of the employee
or his or her colleagues
 sending and receiving personal emails, provided that if emails are sent with a company address,
a disclaimer is attached stating that the views of the sender may not represent those of the
company
Sample disclaimer at the foot of an email
This email (and any file transmitted with it) is intended for the addressee only and may contain
confidential information. If you have received this email in error, please delete it and notify the
originator of the message. Any views expressed in this message are those of the individual sender
except where the sender (with authority) states them to be the views of the company.
Employees may not use the Internet access provided by the company to:
 create or exchange messages that are offensive, harassing, obscene or threatening

 visit websites containing objectionable (including pornographic) or criminal material
 exchange proprietary information, trade secrets, or any other confidential or sensitive
information about the company (unless in the authorised course of their duties)
 create, store or exchange information in violation of copyright laws (including the uploading or
downloading of commercial software, games, music videos or movies)
 use Internet-enabled activities such as gambling, excessive gaming, conducting a business or
conducting illegal activities
 create or exchange advertisements, solicitations, chain letters and other unsolicited or bulk email
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Smoking in the workplace
As an employer, there are legislative requirements for you to provide a healthy

and safe workplace for your employees. You have the right to designate your
workplace as smoke free and can indicate that in job advertisements.
There is no legal requirement for you to provide smoke breaks. While you may be prepared to recognise
the needs of a smoker, you also need to avoid the problem caused by an employee disappearing on a
regular basis for a ‘smoke break’. Setting guidelines (morning, afternoon tea and lunch breaks) makes it
clear to staff about what is acceptable and also overcomes the antagonism that may come from non-
smoking employees when a smoker takes excessive breaks.
Points to be considered when drafting a non-smoking policy:
 identify the aim of the policy, which is to achieve a workplace free of environmental tobacco smoke
 indicate if professional advice about coping without cigarettes and quitting smoking is available and
where to get help
 ensure that new employees are told when applying for a job that the workplace has a non-smoking
policy
 be clear that staff cannot be disciplined when they smoke away from the workplace or during their
own time
 be clear that staff who fail to consider the safety of others at work by not complying with the non-
smoking policy may be personally liable as per the Work Health and Safety Act 2011
 emphasise that smokers are not entitled to smoke in the workplace even if staff in a particular area
all want to smoke
 be clear that even those who work in isolation are prohibited from smoking as they are likely to
affect others who come into the area or through the air conditioning system
 specify that designated smoking areas must be outdoors with no possibility of contamination of
indoor areas
 set out the times during which smokers are able to use the designated smoking areas
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Drug and alcohol policy
Drug and alcohol use in the workplace is covered by the Work Health and Safety Act 2011 which
requires that employers:
 ensure the health, safety and welfare at work of all their employees and
any other person in their place of work
 take all practical measures to protect workers in relation to health, safety
and welfare
 take reasonable care for the health and safety of persons at their place of
work who may be affected by their acts
Drug and alcohol use in the workplace creates a range of problems.
Employees with drug and alcohol problems can cause injury to themselves
and others and damage their physical and mental health.
Workmates of a drug or alcohol user are faced with a risk of accidents, covering poor work performance,
disputes and the need to ‘dob in a mate’ for their own good. Other problems include lateness and
absenteeism, lost time and production from accidents and inefficiency and damage to plant, equipment
and other property.
What should be contained in an alcohol and drug policy?
A policy to manage alcohol and drugs in the workplace should include information and procedures on:
 measures to reduce alcohol and drug related problems in the workplace through consultation
between you and your employees
 measures to prohibit or restrict the availability of alcohol and drugs in the workplace
 preventative measures such as education and training sessions and awareness programs
 measures outlining the availability of treatment and rehabilitation for employees
 rules governing conduct in the workplace relating to alcohol and drugs including the disciplinary
procedures up to and including dismissal
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Common Workplace Procedures

When you commence employment, normally your employer will take you through an induction program
to introduce you to the organisation’s policies and procedures. You may also find the procedures
available on the organisation’s intranet.
Common procedures include:
 WHS (Workplace Health and Safety) and evacuation procedures

 grievance procedures – to handle customer & internal complaints
 performance review procedures/performance management procedures
 selection of staff for internal jobs
 dismissal policy and procedures
 training and further development procedures
Work Instructions vs Procedures

Work instructions are essentially another way of saying "procedure". Work instructions are not as
general as procedures however and are very task specific. They should tell you step by step how to do or
utilise something (Example: How to use software, how to assemble a bookshelf).
Each department must be responsible for writing and updating their procedures & work instructions.
Managers for the departments have approval of all procedures under their areas of responsibility.
Procedures/instructions must be under some form of document control (numbered, revised, signed &
dated).
Procedures and workplace instructions should specify:

 what should be done and who it is to be done by
 when and how will it be done and in what sequence
 what equipment, tools or materials will be used
 what forms or other documents will be used
 an appendix for all forms used in the procedure
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 a flow chart for the procedure (where applicable the flow chart can be the procedure)
Activity 1.4: Work Instructions and Procedures
1. Why do you think is it so important to continuously review and update

procedures/work instructions?
2. When do you need to have a procedure or work instruction?
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How Do You Write a Procedure/Work Instruction?
Procedures should communicate what readers NEED to know,

not just what they WANT to know. They might need to know
how to do the process correctly, faster, or with less waste.
They also might like to know why they have to do something a

certain way, where they can go for help and what happens if
something goes wrong. Where necessary, make sure your
procedures deal with technical issues as well as subjective elements.
It's also important that your procedures have the right level of detail. Here are some questions to
consider:
 Do users have enough information to complete the action?

 Is there enough information to guide users in using good professional judgment?
 Is the level of detail appropriate for the subject?
 Is the level of detail appropriate for readers?
 How comfortable are readers with the subject?
Step One: Gather Information
Before you start writing, gather detailed information on the business process you're documenting into a
formal procedure.
Talk with content experts as well as others who hold key information - long-time staff members,
stakeholders, technical staff, and people who will use the procedure.
Take lots of notes, and then sit down with the information and sort it out. As the procedure writer, you
want a clear understanding of what's going on in as much detail as possible. From there, cut down the
information to what the end-user really needs to best understand the process.
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A great tool for
organising details is a
mind map, e.g. FreeMind.
This can help you make
sure you've included and
connected all the right
pieces.
Step Two: Start Writing
When you write the first draft of your procedure, don't worry about exact words and format. The main
purpose is to include the information you need. Once you've done that, you can work on the words and
organisation.
Here are some good rules to follow:
 Write actions out in the order in which they happen. Start with the first action, and end with the last
action.
 Avoid too many words. Just be specific enough to communicate clearly.
o Example: "Add to the Cancellations tab on the spreadsheet" rather than "Supplement the
existing records on the spreadsheet with these new ones."
 Use the active voice.
o Example: "Place the file in the administrator's inbox" rather than "The file should then be
placed in the administrator's inbox."
 Use lists and bullets.
 Don't be too brief, or you may give up clarity.
 Explain your assumptions, and make sure your assumptions are valid.
 Use jargon and slang carefully.
 Write at an appropriate reading level.
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Step Three: Assess Design Elements
You may find that words alone aren't enough to explain the procedure. Sometimes other elements can
help your presentation. Here are some common formats:
1. Flowchart - This shows a process as a diagram.
 Using a series of symbols and arrows to indicate flow and action, you can outline a process
and make it easy to follow.
 Flowcharts are simple diagrams that map out a process so that it can easily be communicated
to other people.
 To draw a flowchart, brainstorm the tasks and decisions made during a process, and write
them down in order.
 Then map these out in flowchart format using appropriate symbols for the start and end of a
process, for actions to be taken and for decisions to be made.
 Finally, challenge your flowchart to make sure that it's an accurate representation of the
process, and that that it represents the most efficient way of doing the job.
2. Play script - This looks like a script for a play with different characters. In this case, though, you list
the different staff members with different responsibilities. Scripts can be especially useful when
more than one person is involved in a process.
Person responsible Action

Writer Gather information
Write procedure
Show draft to stakeholders
Stakeholders Review draft

Submit corrections and
comments
Writer Create final draft
Department manager Approve final version
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3. Question and answer - Match common procedural questions with their correct answers. This is a
useful format when procedures are confusing or when there are lots of variations. It also helps
address "what if" issues.
Example of question and answer:
Q. What if the columns don't balance?
A. First, don't panic. Start with the simplest reasons, and work backward. Recalculate the
columns. Then look for transcription errors. If this doesn't solve the problem, go back and look at
how you got your figures. If you were unsure of any points, recheck those figures first. Then
systematically recheck each figure until you find the error.
4. Matrix - This table connects one variable with another. Where the variables connect, the cell shows
the appropriate action. Matrix tables are really good for reference purposes, because they eliminate
the need for constant searching. You can use them for many applications, including knowing what
tasks to carry out and when, helping users make decisions, and knowing what forms or reports to
use.
Budgeting Schedule
Quarter Quarter Quarter Quarter
1 2 3 4
Budget analysis x x x x
Budget request x
Income statement x x x x
Sales forecast x x
Customer analysis x
Staffing analysis x
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Key Points about Writing Procedures
Well-written procedures help you improve the quality of work within your organisation, help you reduce
the number of errors and omissions, and help new people perform complex tasks quickly and
effectively.
To get the most out of your procedures, use simple, clear words to communicate as briefly as possible.
Ensure you note what version the document is, and update this accordingly.
When it comes to how many procedures you need, the fewer, the better. So make sure each procedure
is absolutely necessary before you spend time creating it.
Activity 1.5: PVR Recording (Individual)

This activity requires you to consider a situation where
the PVR timer is faulty. You need to have your favourite
programme recorded, as you're going out, but your flat mate, Jane,
can't remember how to use program it. So you're going to have to
leave her instructions on how to operate the recorder.
Read the two sets of instructions below. Decide which you think is more successful and why.
Option 1:
Jane. Let's see if we can get it right this time. I don't want to be watching The Big Bang Theory like last
time! You need to use the smaller remote and then press the record button. That's the small red one
which is a little to the left of the play button, which looks like a Smartie with an arrow on it - you can't
miss it. The stop button is just below the play button, I think. Oh, by the way, don't forget to rewind
the recording first, and you'll need to change the channel too probably.
Option 2:
1. Open the interactive program guide by pressing Guide on the large remote either once or twice
(depending on how you have your Quick Start order set; see “Change the Quick Start Menu Order,”
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right).Navigate to a show you’d like to record, then press OK/Select.
2. Press the red REC button.
3. Follow the on-screen prompts to choose how many episodes you’d like to save to the PVR, how
often to record the program and how long you’d like to save the recording.
Write what you do, then do what you have written!
Tips on Procedures
Tip 1 The more general the procedure, the more flexible, however, the more specific the guidance for
those responsible for carrying out job duties, the lower the chances of error.
Tip 2 There must be at least one procedure for each element for the standard, dependent upon
complexity of the element. Writing separate procedures for manageable activities will be less
confusing than one grand activity.
Tip 3 A reference can be put into the procedures referencing other procedures if you are documenting
multiple elements.
Tip 4 Assign who (by job title) does a task and when does it happen.
Tip 5 When assigning responsibility, the use of assignee, designee or successor following the title of the
person responsible in the process will keep the process flexible and provide an option should the
responsible person be unavailable at any specific time.
Tip 6 Keep the use of symbols minimised.
Tip 7 There must be consistency in action.
Tip 8 Use of a flow chart or diagram is not required, however, is highly recommended. Note: The reason
flowcharting is recommended is that an auditor may choose to flow chart the procedure to inspect
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it. He/she may make an error to the flow because of the complexity of the procedure which may
not readily be found. This could be a problem if he/she determines there is non-compliance and the
error can't be found.
Work Health and Safety Procedures

If you work in an office building there are basic
steps you should take to help ensure your
safety and survival if you should ever be
caught in a fire or other critical situation and
you needed to evacuate the building. Every
building has unique characteristics including
design, construction, condition and use. As a
result, these fire safety tips highlight only the
basics of emergency evacuation. The State
Safety Program recommends that everyone
study and apply these basic tips.
There are certain steps that all staff must take to ensure the safety of all staff.
WHS is an area of concern for both employers and employees. Individuals need to take
responsibility for workplace safety and be proactive in ensuring that the working environment
is as safe as it can be. Employers and employees have a duty of care to adhere to a standard of
reasonable care while performing any acts that could foreseeably harm others.
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Activity 1.6: The Office Fire Drill

Watch this funny video from the Office on what not to do in fire situation:
http://www.noob.us/humor/the-office-fire-drill/
Activity 1.7: Emergency Incidents

The organisation you work for should have procedures for emergency incidents.
Name and describe 3 different types of emergency incidents you may have to respond to at work.
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2. ________________________________________________________________________________
3. ________________________________________________________________________________
With a partner, write down what steps you would take if you heard a fire alarm on campus.
1.
2.
3.
4.
5.
6.
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What would you expect your trainer and the Performance Education staff to do?
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Workplace Health & Safety
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Reporting Incidents
Incident reporting should form part of any workplace’s WHS policies and
procedures. While these may differ between organisations or industries, the
fundamental requirements for incident reporting are the same.
The purpose of reporting is to achieve five main goals:
 Understand the facts
 Analyse the findings
 Produce recommendations for future actions to reduce or eliminate the cause
 Provide feedback to injured and reporting party
 Communicate outcomes to the wider organisation
It is vital to report and investigate the incident as soon as possible. These findings can be documented in
an Incident Report form. (See Assessment Workbook) Depending on the seriousness of the injury, some
safety accidents have to be reported to WorkCover Authority to investigate further.
The Incident Report form provides a detailed snapshot of the circumstances and the parties involved. It
also affords an opportunity for comments and key areas learned which should be communicated to all
employees after a process of consultation and feedback. The form also serves as evidence for audits or
escalated events.
Activity 1.8: Creating Work Instructions

In groups of 3-4, create work instructions or procedures on one of the following
topics. Ensure you note any reporting and recording procedures if applicable and note
designated personnel for WHS matters.
1. What to do if an employee or visitor is injured at work
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2. What to do if an employee or visitor is sick or faints at work
3. What to do if equipment or premises are damaged
Reviewing Health and Safety Procedures
Both employers and employees are responsible for keeping procedures up to date. Employers must
ensure that regular inspections and reviews of the procedures take place. Employees must participate
in inspections and reviews and must provide feedback and advice, at any time, to the managers
responsible for WHS in the organisation.
The WHS policies and procedures are meant to also protect external parties, such as visitors, contractors
or organisations that may enter the workplace or office. It is possible that the procedures of external
parties conflict with the internal procedures of the office or business; in which case, employees should
provide feedback to employers so that the conflicts can be reviewed and reconciled between the
business and the external parties.
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In ‘Australian Workplace Skills, Legislation in the Workplace and Business’, a hazard is defined as
anything in the workplace that has the potential to harm people. Whilst a hazard is anything that can
cause harm or death to others, a risk is the likelihood of that incident happening because of that hazard.
Assessment Task: (ABE: WHSSIM) – Workplace Health and

Safety Simulation and Case Study
In this assessment you will produce and hand in to your trainer two pieces of evidence:
o Individual Risk Analysis checklist

o Group Incident Report
Background
Your employer, Apex Business Solutions (ABS), has recently experienced a worrying increase in
workplace injuries and health and safety incidents at its Worrobil Street branch. As HSR’s (Health &
Safety Representatives) of ABS, you have been tasked with examining and assessing the workplace
environment.
Part A: Instructions - Risk Assessment Simulation

Your trainer will put you into groups of three.
❶ Your group is tasked with examining all Health and Safety aspects within the Apex Business
Solutions work environment. As a group, you’ll examine a photograph taken of the office environment
and will then identify, discuss and record existing workplace hazards. You are required to criticise or
acknowledge the problems within the environment and will need to recognise the severity of each issue
and prioritise it accordingly. Refer to Appendix A – Sample Office Checklist of this LG for ideas on
elements to evaluate.
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❷ There are several elements you’ll need to consider, as outlined in the Risk Analysis Checklist in the
Assessment Workbook. Each student needs to complete their own individual checklist.
❸ After the hazard identification is completed and levels of severity discussed, individuals will be
required to participate in their groups in order to provide constructive feedback regarding the apparent
issues and suggestions for addressing them.
❹ After completing their forms, individuals will need to submit their individual checklist to their
trainer for approval and sign off.
❺ Groups will then decide how to communicate outcomes of their WHS meeting to the larger team
(class).
WHS Risk Assessment: Assessment criteria
Identifying Hazards ❶ You are required to know how to:

and assessing and
controlling Risks  identify and report on hazards in the work area,
 promptly action team member hazard reports, where appropriate
 work together to control risks using hierarchy of control,
 identify strategies to minimise recurrence of hazards,
 identify and report inadequacies in existing risk controls.
Implement ❷ You are required to:

participation
arrangements for  communicate to the team the importance of consultation for WHS,
managing WHS  use consultation to manage work area hazards,
 promptly deal with issues raised through consultation, if necessary
 record and communicate outcomes of consultation to the work team.
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Part B: Instructions - Incident Reporting Case Study

Staying in your groups of three,
❶ You will be required to analyse the case study below
❷ Based on the questions that follow, discuss appropriate action and consultation that should have
occurred based on the organisation’s and employees’ duty of care.
❸ As HSRs (Health & Safety Representatives) of the organisation, in your groups complete the incident
report on the template provided in the Assessment Workbook.
❹ Each group needs to sign and submit their Incident Report for approval and sign off by their trainer.
❺ Decide what information needs to be communicated to all employees and nominate a spokesperson
from your group to communicate this relevant information in a follow up meeting with all employees
(class).
WHS Incident Reporting: Assessment criteria
Overall response  shows clear analysis of the case study, not just a description
Identification of: Reasons for reporting the incident

 shows clear understanding of what constitutes a workplace hazard
Information
 shows clear understanding of what information should be included in an
incident report
Communication
 shows clear understanding of what information should be communicated
in follow-up meetings with those involved in the incident and other
employees
Analysis of: Strategies

 clearly identifies and analyses which strategies are used to enable
employees to participate in the management of WHS
Communication and management behaviours
 clearly identifies and analyses management behaviours that facilitate
___________________________________________________________________________
_____________________________________________________________________
consultation
Comment on: Benefits

 is able to identify benefits of effective processes for monitoring WHS in
the workplace
Case Study – Incident Reporting
Grant works at Apex Business Solutions in the city. One morning he went to the office kitchen to
make a cup of tea. As Grant was walking to the fridge to get some milk, he slipped on a puddle of
water, falling backwards and hitting his head causing a serious head injury requiring transport to
hospital.
On checking, Grant’s HSR (Health & Safety Representative) discovered that the fridge in the
kitchen had been leaking, producing puddles of water on the floor. When discussing the incident
with Grant’s work colleagues they revealed that a number of workers had almost slipped on the
water over a period of several weeks.
Questions for Discussion:
What appropriate action could have been taken prior to the incident by the a) organisation b)
employees in relation to duty of care?
Was this accident preventable?
Based on the template provided, what information is required to complete an Incident Report?
How should the findings of the incident investigation be communicated to the other employees?
Each group must complete the Incident Report in their Assessment Workbook and submit the
Workbook to their trainer for grading.
___________________________________________________________________________
_____________________________________________________________________
Activity 1.9: Create Policy and Procedures (Small

Groups)
Your group is the Department of Immigration in your country of

origin. Your government has decided that the country wants to
attract students to universities to study some defined degrees.
After graduating, the students will have the opportunity to apply to
become residents and live in your country.
1. As the government, decide 3 careers that the country needs to

help grow the economy. (10 mins.)
2. As the Department of Immigration, create goals for the

program, e.g. how many immigrant students can commence each defined career path per annum.
(10 mins.)
3. As the Department of Immigration, create policies, including the criteria for students to stay in the
country or to leave. (20 mins.)
4. As the Department of Immigration, create procedures for the Department to track the progress of
each student immigrant. (20 mins.)
5. Prepare a presentation to present to your government for approval and implementation. (20 mins.)
Each group presents their Policy and Procedures (30 to 40 mins.)
___________________________________________________________________________
_____________________________________________________________________
Internet Research: Emergency Procedures

Remaining in your groups of 3-4, review the following website
www.safework.sa.gov.au/show_page.jsp?id=6421#SafetyCheck and choose from the following
interactive activities: Safety Check, Hunt the Hazards, Virtual Hotel, Virtual Office, and Virtual
Supermarket . Each person in the group of 3 is to choose a separate topic. Discuss with each other.
Internet Research: FAQ

Remaining in your groups of 3-4, search for websites with Policies and Procedures and
look for Frequently Asked Questions. Each person in the group of 3 is to list 3 separate FAQ and
answers. Discuss with each other.
1.
2.
3.
___________________________________________________________________________
_____________________________________________________________________
Conclusion
Policies and procedures are an important part of any organisation as policies provide direction or set the
rules by which the organisation will operate and the procedures provide guidance on how the
organisation will abide by those policies.
When you commence your internship, take the time to browse the intranet to review the policies and
procedures for the organisation.
As you undertake work tasks, develop work instructions to make your job easier and to help you
remember how to complete tasks.
Work instructions and procedures will need to be regularly reviewed, particularly following any changes
to systems, legislation, reporting requirements or compliance. If you are working for an organisation
with a quality management system (ISO 9001), you will be required to adhere to formal procedures.
Procedures and work instructions will assist you in the workplace, so ensure you read them when you
commence employment.
___________________________________________________________________________
_____________________________________________________________________
Unit Review
This unit has looked at the differences between policies, procedures and work
instructions. Whilst each organisation develops their own procedures to suit their
own operations, organisations will document procedures for:
 recruitment and career progression

 training
 handling WHS incidents and emergency evacuation procedures
 eliminating Harassment, Discrimination and Bullying from the Workplace
 handling grievance procedures relating to harassment, discrimination and bullying
 internet, intranet, email and computer usage
 reimbursement of expenditure for business purposes
Work instructions are developed to provide guidance on work tasks for individuals or teams. Work
instructions may be developed by team members.
Procedures and work instructions will need to be developed or amended when new systems or
processes are introduced to the organisation, or when changes to legislation or compliance impacts on
work tasks.
You should now be able to:
 follow work health and safety procedures in the workplace

 contribute to continuous improvement of procedures
 locate and interpret key organisational policies and procedures
 develop work instructions for a work task
___________________________________________________________________________
_____________________________________________________________________
Glossary of Useful Terms
Code of Conduct A code of conduct sets standards of behaviour or appearance in the

workplace. These standards will vary depending on the industry, the role of
the employee and work undertaken by staff. A code of conduct may include
dress standards at work or email and internet use.
Policies A workplace policy consists of a statement of purpose and one or more
broad guidelines on action to be taken to achieve that purpose.
Procedures A procedure (for purposes of the ISO 9001 implementation) is defined as a

documented process for quality activities within an organisation. The intent
of the procedures is to be used as a reference where they will provide
guidance and consistency when employees perform quality-related tasks.
A work instruction (for purposes of quality system implementation) is
Work Instructions
defined as a documented process for quality activities that are intra-
departmental. The intent of the work instructions are to be used as a
reference where they will provide guidance and consistency when
employees perform specific quality related tasks within a department.
___________________________________________________________________________
Appendix A – Sample Office Checklist
Procedure to reduce risk or topic Urgent,
N/A
Yes
ELEMENT Hazards
No
to discuss with external parties Important, both
1 LAYOUT
Area is tidy and well kept
Adequate storage area provided
Floor is free of obstructions
Floor coverings in good condition
2 ENVIRONMENT
Temperature is comfortable
Lighting is adequate
Lighting covers and fittings are secure
__________

_____________________________________________________________________
N/A
Yes
ELEMENT Hazards
No
Area is free from odours
Noise level is acceptable /adequately

controlled
Ventilation is adequate
3 EMERGENCY PROCEDURES
Written procedures posted
Fire Extinguisher easily accessible
Tag on extinguisher has been checked

in the last 6 months
Emergency Guides are available
___________________________________________________________________________
_____________________________________________________________________
N/A
Yes
ELEMENT Hazards
No
Alarm can be heard in the area
Escape routes are clear
Emergency and hazard signage is visible
4 FIRST AID FACILITIES
Kits accessible within 5 minutes
Kits are stocked and contents are in-

date
Names and contacts of first aiders

displayed
5 GENERAL FACILITIES
___________________________________________________________________________
_____________________________________________________________________
N/A
Yes
ELEMENT Hazards
No
Washing facilities are clean and

functional
Lockers or equivalent available for staff
Area is clean
Chemicals are labelled
EHS posters and information is

displayed
6 MANUAL HANDLING
Frequently used items are within easy

access between knee and shoulder
___________________________________________________________________________
_____________________________________________________________________
N/A
Yes
ELEMENT Hazards
No
Heavy items stored at waist height
Stepladders or safe steps available to

access items stored in high shelves
Trolleys are available for heavy items

and loads
7 ENVIRONMENTAL ISSUES
Recycling posters and information

displayed
Paper, toner and separate recycling

bins are provided
Notice to encourage double-sided
___________________________________________________________________________
_____________________________________________________________________
N/A
Yes
ELEMENT Hazards
No
photocopying and printing is displayed.
8 ELECTRICAL SAFETY
Portable equipment has current test

tags.
Power leads in good condition
Power leads are off the floor or placed

away from walkways
Power boards used (not double

adaptors)
Faulty equipment is tagged out
___________________________________________________________________________
References
Curtin University – Example of a Procedure
http://www.mindtools.com/pages/article/newTMC_97.htm
Mind Tools - Flowcharts
www.industrialrelations.nsw.gov.au
NSW Department of Industrial Relations – Workplace Policies and Procedures
http://www.alcoholinfo.nsw.gov.au/workforce_capacity/workplace_policies
NSW Department of Health – Alcohol and Drugs in the Workplace
http://www.workcover.nsw.gov.au
NSW WorkCover - GUIDE TO DEVELOPING A WORKPLACE ALCOHOL AND OTHER DRUGS POLICY
http://www.ncsi.com.au/ISO_9001.html
NCSI International – ISO 9001
www.achievesafty.com
Google Images
http://www. comcare.gov.au
http://www. worksafe.vic.gov.au
_________

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Performance Education Professional Year Learner Guide

Policies and Procedures of an Organisation

This Unit of Competency addresses the following elements:

1. Contribute to continuous improvement of procedures

2. Locate and interpret key organisational policies and procedures

3. Develop work instructions for a work task

4. Follow workplace health and safety procedures at work

20141112 v1.2 Australian Business Environment 1 ©Performance English 2013

Procedures inform users “how” to do something.

20141112 v1.2 Australian Business Environment 2 ©Performance English 2013

Activity 1.1: Why and How

1. Why would a company create policies and procedures?

2. How can policies and procedures benefit an organisation?

Developing and introducing workplace policies & procedures

Activity 1.2: Matching definitions

Types of workplace policies

Written policies should state the following:

staff covered by the policy.

 include if and when it is considered appropriate to consume alcohol

Roles Specify whose task it is to:

 approach an intoxicated employee

details if an Employee Assistance Program is utilised.

Activity 1.3: Own Business Policies (Group Task)

 Internet and email usage

 Mobile phone usage

 Smoking in the workplace

 Drug and alcohol use in the workplace

Business Policies in Australian Organisations

Sample policy – annual close down

Annual leave loading will be paid in accordance with the award.

 types of leave available

A policy on dress standard will depend on a number of issues, including:

Internet and email usage

A growing number of staff now has access to the internet

Your email and Internet policy should cover:

 requirements for storing email where it relates to the core business of

 any work-related purposes

Sample disclaimer at the foot of an email

 create or exchange messages that are offensive, harassing, obscene or threatening

Smoking in the workplace

As an employer, there are legislative requirements for you to provide a healthy

Points to be considered when drafting a non-smoking policy:

Drug and alcohol policy

What should be contained in an alcohol and drug policy?

Common Workplace Procedures

Common procedures include:

 WHS (Workplace Health and Safety) and evacuation procedures

Work Instructions vs Procedures

Procedures and workplace instructions should specify:

Activity 1.4: Work Instructions and Procedures

1. Why do you think is it so important to continuously review and update

2. When do you need to have a procedure or work instruction?

How Do You Write a Procedure/Work Instruction?

Procedures should communicate what readers NEED to know,

They also might like to know why they have to do something a

 Do users have enough information to complete the action?

Step One: Gather Information

A great tool for

mind map, e.g. FreeMind.

This can help you make

sure you've included and

connected all the right