1. No category

How To Write Effective
Policies and Procedures
Fred Pryor Seminars,
a division of Park University Enterprises, Inc.
Your seminar leader today is
Lorraine Steinberg
www.pryor.com
Seminar Schedule
Morning 9 a.m. - 12 noon
Morning break - 10:30 a.m.
Afternoon 1 p.m. - 4 p.m.
Afternoon break - 2:30 p.m.
Objectives
 Write for readability
 Format for user-friendliness
 Handle implementation challenges
A written request for a leave of
absence, stating the specific reason,
the duration of the leave desired, and
the beginning and ending dates of
the desired leave that are
anticipated, should be submitted to
the appropriate manager for approval
as soon as possible upon determining
the desired dates.
MAYBE:
All requests for leave must be submitted in
writing to your manager for approval, and
must include the following information: start
and end dates, length of leave, and specific
reason for the leave.
OR:
You must submit requests for leave in writing
to the appropriate manager for approval.
Always include:
1. anticipated start and end dates
2. anticipated length of leave
3. the specific reason for the leave.
OR:
Submit your request for a leave of absence in
writing to the appropriate manager. If you’re
not sure who the appropriate manager is, talk
to your supervisor.
In your request, include the:
- specific reason for the request
- length of the leave
- start and end dates of the leave
TRUE or FALSE?
1. All organizations should have policies and procedures
True False
2. Policies and procedures should always be written down
True False
3. Anybody can write a good policy / procedure
True False
4. Most policies are written AFTER something happens
True False
5. The best way to be legally safe is not to write anything down
True False
Benefits
•Clarity
•Consistency
•Communication
•Appropriate
flexibility
•Establishes a
baseline
•Legal defensibility
Risks
•Misinterpretation
•Hard feeling
•Unpopular
•Resistance
•Enforcement
problems
•Being “hung”
legally if you don’t
follow them
yourself
Policies and
procedures are NOT
the same thing
Policy addresses
the What
the Why Procedures
and the Who
address
Broad
The How
Specific
 Develop content
 Listen to employee’s concerns
 Run interference between
opposing groups
 Be diplomatic
 Ensure legal compliance
 Monitor
 Be practical
 Communicate, implement,
enforce
Roles played by HR
•Diplomat
•Listener
•Guide
•Communicator
•Writer
•Enforcer
•Legal eagle
Be Careful!!
When adjusting the valve
in the engine,
be sure it is turned off.
Avoid problems with
Authorities
 Poor or ambiguous wording
 Incomplete inaccurate or
improper order / sequence
 Failure to follow or enforce
policies and procedures
 Be certain your policies don’t
violate some law
Disclaimer
This handbook is for informational purposes
only. It is neither a contract nor a promise, so
do not consider anything in it to be
contractual or promissory. We may make and
enforce changes from time to time at our
discretion.
The Four Stages
 Plan
 Analyze
 Research
 Pre-Write
Mindmap
MindMapper Software
1) MAP
•Think Through
Ideas
•Break Down a
Project
•Take Minutes
•Note Voice Mails
•Outline Writing
•Brainstorm
2) CONVERT
•Word
•PowerPoint
•Outlook
•Project
APPENDIX: Level of Detail Checklist
□ Yes □ No
1.
Does it give the user sufficient information to complete the required action accurately?
2.
Does it provide sufficient information to guide the user in exercising good judgment and discretion?
3.
Is the information of the right type, considering both subject and audience?
□ Yes □ No
4.
With this information, can the reader(s) do what we want them to do?
□ Yes □ No
5.
Is the level of detail appropriate to the subject?
□ Yes □ No
□ Yes □ No
(example: an ethics policy may not need the same detail as an inventory procedure.)
6.
Is the level of detail appropriate to the type of audience – its experience,
knowledge, size, etc.?(e.g., novice vs. expert, customers versus employees)
7.
How comfortable is the audience with the subject?
□ Not at all
□ Yes □ No
□ Little
□ Somewhat □ Very
Technical vs. Narrative
Writing
• Broad
• Long
• Erudite
• Implicit
• Indirect
• Open to
interpretation
• Wants reader to
use imagination
 Explicit
 Direct
 Detailed
 Specific
 Clear
 Uniform in its
interpretation
The Dynamic Duo
 Speed
 Clarity
Weigh each statement against
these two standards
Who should you be
writing for?
.Managers?
.Owners?
.Readers?
.End users?
Write as you would speak
Employees should submit a fully-completed
Request for Leave form, which is Form
RL12-90, and submit it to the duly
authorized approving manager.
vs.
Fill out Form RL12-90 and submit it to John.
For privacy reasons, employees should not try to
gain access to another associate’s e-mail messages
without that employee’s express written
permission.
There may be occasional circumstances when an
employee may access another employee’s email
messages. For privacy reasons, anyone doing so
MUST have prior written permission from that
person.
Fill out an accident
form in a timely manner.
We close at 5:00 p.m. (or)
We are open until 5:00 p.m.
Don’t send personal email
from your office computer
Employees may not exceed the
allotted break time. Violators will
be strictly disciplined.
Employees must observe
scheduled break times under
all circumstances. Failure to
do so is grounds for discipline.
What Words Turn People Off?
 “Allness” statements
 “Obviously”
 “Easy” or “simple”
 Imperative words or commands
 Loaded words
 Offensive language
Take the OATH!!!
Simple is best!
Use one syllable words
Pare down to fewest possible words
Eliminate redundant sentences
“in relation to” becomes “about” or
“regarding”
“due to the high incidence of”
becomes “because”
Use conversational language:
Pretend the reader is in the
room listening to you
Word Miser
Eliminates redundancy
“future planning” could be
reduced to “planning”
Word Master
Carefully weighs the possible
interpretation of each word:
“push” the key is different from
“hit” the key
Another important responsibility is directly
related to closing up the store at closing time
every day, which of course may vary
depending on the day. As an employee of
ABC Sporting Goods, it’s important for you to
participate actively in the closing activities that
prepare the store for the following day’s
opening, because it affects our appearance to
customers. Therefore, in addition to closing
out the register, employees are expected and
required to clean and, when circumstances
dictate, straighten and stock the shelves.
Closing the Store
Closing is an important responsibility. We
take pride in the appearance of our stores and
want each store to look its best every day.
You have two main responsibilities at closing:
closing out the register and cleaning.
Those who are not responsible for closing out
the register are required to:




vacuum
dust
straighten and restock the merchandise
pick up and clean as needed
Summary
 Think in one’s (one syllable words)
 Use the present tense
 Write in the active voice
 Use lots of lists
 Use common, conversational language
 Never sacrifice clarity for brevity
On your team is one member from
Management, one from HR and one
from the assembly line employees
Write a policy for your company
regarding smoking at the work
place.
Write a procedure for those
who wish to smoke during their
breaks or lunch hour.
Who’s ready for lunch?
What you DO say…
There may be occasional circumstances when an
employee may access another employee’s email
messages.
For privacy reasons, anyone doing so MUST have
prior written permission from that person.
 “may”? “occasional”? circumstances”?
What you DON’T say…
 Turn the handle to the left.
 Turn the handle slowly to the left
until it stops.
 Turn the handle slowly to the left
until it stops. Do not force the
handle.
Clarity vs. brevity?
Definitions
AMA
what does it mean?
ASAP or A.S.A.P?
Vagueness creates
elasticity in interpretation
Vagueness
Supervisors may
approve alternative
schedules at their
discretion.
Weasel Words
 maybe
 try
 possibly
 probably
 kind of
 should
Rhythm
 Turn the lever one stop to the right.
Now rotate the lever to the “off” position.
 Compensation is based on performance.
Your pay will reflect what you produce, and
you will receive a fair salary and bonuses
based on that performance.
Rhythm
 Turn the lever one stop to the right.
Now rotate the lever to the “off” position.
 Compensation is based on performance.
Your pay will reflect what you produce, and
you will receive a fair salary and bonuses
based on that performance.
Rhythm (improved)
1. Turn the lever one stop to the right.
2. Turn the lever to the “off” position.
Your pay includes salary and bonuses,
and is based on performance. It will
reflect what you produce, and you will
receive fair pay based on your
performance.
Use the same term each time to eliminate
confusion
Place similar items on each page in the same
location
(for example: penalties, warnings) or in coded
colors on each page

Parallelism
Ask not what your country can do for you, ask
what you can do for your country.
John F. Kennedy
To be or not to be, that is the question.
Shakespeare
Of the People, by the People, and for the People
The Constitution
Parallelism
The part is removed, then
repair the part, and the part
shall then be replaced in its
original fitting.
Parallelism - improved
Remove the part, repair it,
then replace it in its
original fitting.
Parallelism
Even better – use a list!
1. Remove part.
2. Repair part.
3. Replace part in original fitting.
Semi-Colons
Abiding by our safety
policies is an important
responsibility; we want all
employees to remain safe,
healthy and unharmed.
Excess Adjectives
Sufficient written, verbal and electronic
Information - wordy
Sufficient written information - better
Sufficient information - best
Excess Adjectives
Associates may engage a commercially
hired rental car in the destination city
for transportation purposes.
You may rent a car when traveling on
company business.
Think in Ones
Syllables
 Utilize
 Use
Words
 Due to the fact that
 Because
Rule of 3
THE HUMAN BRAIN can deal with
as many as seven different items
at one time.
Unfortunately, it can only clearly
distinguish among three of those
at one time!
Rule of 3
THE HUMAN BRAIN can deal with
as many as seven different items at
one time.
Unfortunately, it can only clearly
distinguish among three of those
at one time!
Stick to a maximum of three “anythings” :
3 graphics 3 colors 3 phrases
3 item list 3 type styles
3 emphatic devices
Ending with a preposition
Technically correct:
The supervisor on duty will explain how to
complete this task and to whom to submit
the finished product.
Conversational:
The supervisor on duty will explain how to
complete this task and who to submit the
finished product to.
Using a variety of words or varying your
sentence structure – narrative writing
Play script
Responsibility
Action
Supervisor
1. initiates rework request form
2. sends to scheduling
Scheduling Clerk
3. logs rework request
4. assigns job number
5. returns logged request to
Supervisor
Supervisor
6. assigns rework to employee
Flowchart
Operator A
Cash Payments Only
Operator B
Credit Card Payments
Backup for Cash Payments
Operator C
Direct Bill
Backup for Cash Payments
and Credit Card Payments
Credit Approvals
General Accounting Office
receives payments
(payment must be
received before order can
go to Shipping Department)
Shipping
Department
Billing Authorization
Combine Play script with
Flowchart sub-menus
Specialized flowchart software
Operator A
Cash Payments
Operator B
Credit Card Payments
Operator C
Direct Bill
Credit
Approvals
General
Accounting
Office
Shipping
Department
Billing
Authorization
Microsoft Word, Publisher or
PowerPoint Drawing Tool Bar
Problems with Flowcharts
 Engineers like them; others don’t
 They may become too long
 The type is too small
 Too much information crammed
onto one page
 Too much detail
Q&A
Situations You May Encounter
Q. What if a customer gets belligerent?
A.
Do not argue! No one will win. Remain calm, courteous
and professional in keeping with our Code of Conduct.
Lower your voice, keep your voice tone calm, and keep a
pleasant expression on your face. Pleasantly repeat what
you can do for them (refund, credit, replacement, etc.) even
though it’s probably not what they want. If the customer
crosses a line and becomes physically threatening, or
seems to be close to that point, immediately excuse
yourself and get a manager.
Also called “Frequently
asked Questions”
Q&A
Frequently Asked Equipment Questions
Q: What if the lever’s stuck?
Q: How do I start the
machine?
A: See procedure on page 37 A: See explanation and
figures on page 40
Q: What if the warning light
Q: What if it shuts down
comes on?
by itself?
A: STOP THE MACHINE
IMMEDIATELY and refer to
the emergency procedures
on page 225
A: Call maintenance
immediately
Matrix Table
Appropriate Use of Ingredients
Type of Spice
Dish
Mustard
Veggie
Flakes
Dill
Paprika
Fish
√
√
√
√
√
√
Meats
Gravies
Pickling
Ginger
√
Baked goods
Soups
Vegetables
Sauces
Nutmeg
√
√
√
√
√
√
√
√
√√
√
√√
Good when information needs to
be referenced frequently.
Displayed Lists
Use a displayed list when:
- the list is long
- the items in the list are long
- you want to emphasize the content of the list
- items are in descending order of importance
- readers need to re-reference items frequently
Paragraph Lists
Safety policies are based on a)
published OSHA standards, b)
industry standards, and c) internal
requirements.
Nested Lists
Report Guidelines
1. the standard length should no more than 25 pages
2. the standard setup is:
a. font
Arial
b. text
12-point
c. headings
16-point
d. emphasis
bold or italics
Report Guidelines
1. the standard length should no more than 25 pages
2. the standard setup is a) Arial, b) 12-point text, c)
16-point headings, and d) bold or italics for
emphasis
Parenthetical Lists
Observe the key rules of
design (white space,
chunking, and emphasis)
at all times.
Color
(what does RED signify?)
 an immediate visual clue
 extremely powerful –
use with care
 avoid colors with negative
or unusual connotations
Consider the added cost of
commercial printing in multiple
colors.
Visual Weight
(draws the eye first)
 the relative importance of an item to
the human eye
big weighs more than small
 dark weighs more than light
 color weighs more than black and
white
 etc.
Fonts
avoid unusual, hard-to-read fonts,
including
script fonts
 stick with traditional fonts
Small serif fonts are more difficult to read
on a computer screen:
Choose sans serif fonts for online manuals.
Contrast
You may use your discretion when
deciding what adjustment to make for a
customer. Apply the financial guidelines
already discussed, and consider any
appropriate circumstances relevant to the
problem.
Record the adjustment on the Service
Sheet.
Long / short paragraphs – contrasting colors
Symbols





   
     
   
   
   
Change bullets to symbols or
pictures in MS Word
Columns
You may use your
discretion when deciding
what adjustment to make
for a customer. Apply the
appropriate financial
guidelines already
discussed, and consider
any circumstances
relevant to the problem.
Record the final
adjustment on the
Service Sheet.
Include a brief
explanation of why
you made that
particular
adjustment.
Use two or three columns –
you can vary the width
Columns
Safety
Policies
and
Procedures
The company takes its safety
obligations very seriously. The
reason is that we want to keep
you safe from harm. And while
there are certain legal
requirements that we must abide
by, we consider those to be
minimal. Our company practices
go far beyond mere legal
requirements to meet or exceed
“best practices” in safety.
Appropriate Graphics
Apply the same rule as everything else:
does it add meaning, speed or clarity?
If not – if it just looks good there – don’t use
it. Also use generous borders and white space
around graphics. Also clearly label graphics – never
make readers guess what they are seeing.
☼
Graphics
Don’t be seduced!
Remember the Rule of Three
Use Moderation – avoid excess
Grey Space
For lengthy documents, it’s tempting to use smaller margins and
standard double-spaced paragraphs throughout. But type that runs
on line after line, paragraph after paragraph, page after page or
screen after screen, creates “gray space”. It’s called that because
after a while all the content on the page looks the same – gray. And
the brain starts to tune it out. It’s too much information, too much
type, in too small a space. It’s like being boxed in by the car in front
of you and the car behind you, to the point where you feel you can’t
get out! You can’t see your way clear. So your pages need to have
plenty of breathing room (white space). Give your users enough
white space that they can visually “breathe” and pick up the message
with greater speed and clarity. Now, how many of you REALLY read
this paragraph all the way through … ? Did you skip? Did you know
you’ve just won big bucks in the lottery and they’re looking for you?
Would you be willing to wade through page after page or screen after
screen of this?
For long documents, it’s tempting to use small margins and
standard double-spaced paragraphs throughout.
But type that runs on line after line, paragraph after paragraph,
page after page or screen after screen, creates “grey space”
(the content on the page all looks the same – grey).
The brain starts to tune it out because it’s:
 too much information
 too much type
 in too small a space.
It’s like being boxed in by cars in front of you and behind you.
You can’t see your way clear.
So give your pages plenty of “breathing room:” – i.e., white space.
Your readers get the message faster and more clearly.
For long documents, it’s tempting to use small margins and
standard double-spaced paragraphs throughout.
But type that runs on line after line, paragraph after paragraph,
page after page or screen after screen, creates “grey space”
(the content on the page all looks the same – grey).
The brain starts to tune it out because there is:
• too much information
• too much type
• too much information in too small a space.
It’s like being boxed in by cars in front of you and behind you.
You can’t see your way clear.
SO GIVE YOUR PAGES plenty of “breathing room:” – i.e., white
space. Your readers get the message faster and more clearly.
Types of Errors
 Spelling
• Sentence structure
 Typos
• Grammar
 Punctuation
• Usage
 Capitalization
• Numbers
Finished files are the result
of years of scientific study
combined with the
experience of many years.
(count the “f’s”)
Finished files are the result
of years of scientific study
combined with the
experience of many years.
(six)
Can You Read This?
I cdnuolt blveiee taht I cluod aulaclty uesdnatnrd waht I was
rdanieg. The phaonmneal pweor of the hmuan mnid!
Aoccdrnig to a rscheearch taem at Cmabrigde Uinervtisy, it
deosn't mttaer in waht oredr the ltteers in a wrod are, the
olny iprmoatnt tihng is taht the frist and lsat ltteer be in the
rghit pclae. The rset can be a taotl mses and you can sitll
raed it wouthit a porbelm. Tihs is bcuseae the huamn mnid
deos not raed ervey lteter by istlef, but the wrod as a wlohe.
Harness this power with:
Proofreading Checklist
PURPOSE:
locate and correct ALL mechanical, grammatical and typographical errors
IMPORTANCE:
credibility, reliability, accuracy
WHEN:
right before final publication
COMMON ERRORS:
□
□
□
□
□
□
□
□
□
□
-- transposed letters
-- duplicate letters
-- missing letters
-- substitute letters
-- personal puzzlers
“receive” vs. “receive”
“mending”
“numbrs”
“commemt”
spelling
”accommodate”
usage
“put” vs. “place”
Make more than one pass
Read backwards
Read out loud
Read with a partner
Read into a tape recorder
Read diagonally
Turn the page upside down
Scan vertically
Read in “clusters” (groups of 3 to 6 words)
Use “free-proofing” (read fast, flagging anything you sense is a problem. Go straight through without stopping.
Then review only those items you flagged)
Microsoft Word has Built-in Editing Help
Check spelling, grammar, style,
reading level, and track reviewers’
comments
Watch those Typos!
Look for prescription drugs on which the
patients have expired.
The militia went into the countryside, fathering
troops.
Scientists can develop computer programs that
stimulate oil reserves.
The Great Steal of the State of New Jersey is
found in the Capitol.
Fred Pryor Seminars
Ladies, don't forget the
rummage sale. It's a
chance to get rid of those
things not worth keeping
around the house. Don't
forget your husbands.
For those of you who have
children and don't know it,
we have a nursery
downstairs.
The peacemaking meeting
scheduled for today has
been canceled due to a
conflict.
Please place
your donation in
the envelope
along with the
deceased person
you want
remembered.
I have a spelling checker,
It came with my PC:
It plainly marks four my revue
Mistakes I cannot sea.
I’ve run this poem threw it.
I’m sure your please too no
Its letter perfect in it’s weigh,
My checker tolled me sew.
Quoted from the Reader’s Digest
Editing Checklist
PURPOSE:
refine the tone and style of the document and be ensure it’s easy to use, easy to read
and appealing to look at
IMPORTANCE:
credibility, reliability, accuracy
WHEN:
after verifying / validating policies / procedures
WHAT TO LOOK FOR:
□
□
□
□
□
□
□
□
□
□
-- Visual appeal
-- Consistency
-- Usage
-- Grammar
Develop an internal style sheet
Use a uniform marking system
Use an insert system for lengthy changes
Flag rewritten text
Use different colors for text
Double- or triple-space your drafts
Label each draft clearly
Read aloud
Put it away for at least a short time
Read one section at a time
-- Vocabulary
-- Punctuation
-- Flow / organization
-- Format
REVIEW AND APPROVAL FORM
From
Mail Stop
Date
To
□ Operations Mgr.
□ Production Mgr.
□ HR Mgr.
□ Dir., Western Div.
□ Dir. Mountain States
□
□
□
□
□
□
□
□
□
□
Policy / Procedure
Approval
Status
Number
Date
Description
□ Preliminary
□ FINAL
□ Revision
□ New
V.P. – Admin.
V.P. - Finance
V.P. – Marketing
General Counsel
President
_______________
_______________
_______________
_______________
_______________
Response / Approval
□ approved without comment
□ approved with comments below
□ approved on condition comments below or attached are resolved
□ NOT approved. See reasons below or attached
Comments:
Signature:
Date:
Distribution Issues
e- or paper?
signatures
distribution
E- or Paper?
Advantages
Disadvantages
Online
Easy updates
Fast distribution
Easier to control
Searchable content
Hard to read on
screen
Computers down?
Paper
Accessible without
computers
Easier to read
Hard to destroy old
copies
More expensive to
produce
Communication Issues
 The right tone
 Unpopular policies
 Announcements
 Fear and resistance
Be willing to hold small group meetings
to discuss changes or talk
one-on-one with resistant parties.
Exercise
How would you notify your people of this
change?
You just received word that corporate changed
the break policy. Employees may no longer use
the outdoor picnic area on breaks. The reason:
the picnic area is a bit of walk and many people
have not been returning on time. This has
affected workflow, deadlines, etc.
You knew this was in the works but thought
you’d convinced corporate not to make this
drastic a change.
Updates
 Minimum: once every 2 – 3 years
 Better: annually
 30% Rule – after you have had to
revise a third of the policies, it is time
to rewrite the book!
Action Memo No. PRO 07 - 23
Revision Notice
Manual:
□ Add
Date:
□ Delete
□ Modify
Items REMOVED
Items INSERTED
Disposition of Items Removed:
□ Trash
□ Shred
□ Return
Free Samples to Download
http://humanresources.about.com/od/pol
icysamples/a/policy_samples.htm
http://www.ppspublishers.com/download
center.htm
http://www.intraxltd.com/content/
BusSampler92003.pdf
http://www.hr-guide.com/data/014.htm
Active Verb Lists
http://www.cueunion.org/events
/action_verbs.php
http://www.hrs.virginia.edu/ewp/
actionverbs.html
What will you do NOW?
Action Plan
Lorraine Steinberg