7 Steps to Better Written

Policies and Procedures

Stephen B. Page

ii
7 Steps to Better Written
Policies and Procedures
Exercises and Suggestions to Help you
Write Effective Policies and Procedures

Stephen Page
MBA, PMP, CRM, CFC

[email protected]
www.companymanuals.com

iii
Copyright, 2001, 2004, and 2012 by Stephen B. Page
Printed and bound in the United States of America. All rights reserved. No
part of this book may be reproduced in any form or by any electronic or
mechanical means including information storage and retrieval systems
without permission in writing from the author, except by a reviewer, who
may quote brief passages.

ADDRESS PRINTING AND ORDERING QUESTIONS TO:

Stephen Page
Irvine Harvest Station
17192 Murphy Avenue
PO BOX 17821
Irvine, CA. 92623
(614) 323-3617

ORDERING INFORMATION

Individual Sales: This book may be ordered through the author’s website at
URL: http://www.companymanuals.com.

Orders by U.S. Trade Bookstores and Wholesalers: Please contact the author
at the above mailing address for pricing and shipping terms.

Library of Congress Cataloguing in Publication Data

Page, Stephen B. (1949 -)

7 Steps to Better Written Policies and Procedures. Includes exercises,

suggested answers, checklists, sample policies and procedures

ISBN 1-929065-24-8

Published: June 2001

Reprinted: January 2002
Reprinted: March 2004
Reprinted: June 2009
Reprinted: April 2012

Although I have extensively researched all sources to ensure the accuracy and
completeness of the information contained in this book, I assume no
responsibility for errors, inaccuracies, omissions, or other inconsistencies.
Any slights against people or organizations are unintentional.

iv
 About the Author
Stephen B. Page is the author of five policy and procedure books, which
focus on writing effective and consistent policy and procedure content to
reflect the consistent and logical content to help users become more effective
and more productive in their jobs. His books focus on continuous process
improvement, analyses of business processes, compliance, communications,
training, and cost savings.

Stephen has an MBA from UCLA; he is certified as a project manager,

records manager, and forms consultant. His employment record contains an
impressive list of multinational companies including Boeing Aircraft,
Nationwide Insurance, Atos Origin, Compuware, Qwest Communications,
Eastman Kodak, and Litton Industries. Stephen has more than 30 years
experience in researching, writing, editing, publishing, communicating,
training, measuring, and improving business processes, policies, procedures,
work instructions, job aids, and forms.

Stephen has written more than 250 company manuals in both printed and
electronic formats and more than 8000 policies and procedures. He has
designed more than 4000 forms and has set up manual and electronic form
management systems. He has delivered policies and procedures in for printed
manuals, for Intranet and Internet use, and in CD, DVD, and Kindle formats.
He has first-hand experience with the application of ISO Quality Standards,
the Capability Maturity Model (CMM), Six Sigma, Value Engineering, and
the Malcolm Baldrige Award. Stephen has trained thousands of people in the
art of writing effective policies and procedures.

Stephen has written numerous trade journal articles. Stephen is a skilled

presenter, facilitator, and team leader. He has presented seminars on the
subject of printed and electronic policies and procedures, business processes,
process improvement, and forms management. Stephen continues to consult
for organizations such as the Department of Immigration, Quantum Group
commercial printing, and State Government Agencies.

Stephen has worked in various industries aerospace, defense, manufacturing,

engineering research and development, insurance, banking, universities, and
printing. He has received dozens of awards for Total Quality Management
(TQM) suggestions. In 2001, he received the “Malcolm Baldrige Award for
Quality” from Atos Origin for his passion for quality, process improvement,
and his high productivity.
v
vi
 Books by Stephen B. Page
Title Descriptions
Provides methods, tools, and examples on how to
7 Steps to Better Written write policies and procedures using a logical page
Policies and Procedures layout template made up of eight sections. Exercises
ISBN: 1929065-248 and answers to scenario study questions are included
Printed, PDF Formats along with two sample policy and procedure
documents.
Achieving 100% Provides extensive detail on how to perform
Compliance of Policies continuous process improvement on business
and Procedures processes and on existing policies and procedures in
ISBN: 1929065-493 order to make improvements to the content of those
Printed, PDF Formats documents.
Provides the basics on each phase of the policy and
Establishing a System of
procedure lifecycle from researching, writing drafts,
Policies and Procedures
reviewing drafts, approving the final document,
ISBN: 1929065-000
communications, training, and revising published
Printed, PDF Formats
policies and procedures.
Best Practices in Provides best practices for all phases of the policy and
Policies and Procedures procedure life cycle including, but not limited to,
ISBN: 1929065-078 research methods, searching the Internet for examples,
Printed, PDF Formats team building, flowcharts, and writing skills.
Provides everything you need to know about
designing a robust policies and procedures program.
Writing Exceptional
Complete communications, training, compliance, and
Policies and Procedures
continuous process improvement programs help you
ISBN: 1-929065-035
master the publication process for policies and
PDF Format ONLY
procedures. Ten sample policy and procedures are
provided for reference purposes.

How to Contact This Author

Stephen B. Page
PO Box 17821
Irvine, CA. 92623

Email: [email protected]
Phone: 614-323-3617
URL: http://www.companymanuals.com

vii
viii
 Table of Contents
About the Author -------------------------------------------------------------------- v
Books by Stephen Page -----------------------------------------------------------vii
How to Contact this Author ------------------------------------------------------vii
Introduction -------------------------------------------------------------------------- 1
Plan of Book ------------------------------------------------------------------------- 3
Acknowledgments ------------------------------------------------------------------- 3

PART 1 – Introduction to the Writing Process --------------------------------- 5

Chapter 1 Importance of a Writing Format ----------------------- 7

Chapter 2 The Writing Process ------------------------------------ 21

PART 2 – Case Study, Exercises, and Suggested Answers ------------------ 33

Chapter 3 Case Study and Scenario ------------------------------- 35

Chapter 4 1.0 Purpose ----------------------------------------------- 45
Chapter 5 2.0 Persons Affected ------------------------------------ 51
Chapter 6 3.0 Policy ------------------------------------------------- 57
Chapter 7 4.0 Definitions ------------------------------------------- 65
Chapter 8 5.0 Responsibilities ------------------------------------- 75
Chapter 9 6.0 Procedures ------------------------------------------- 83
Chapter 10 7.0 Document Approvals ------------------------------ 91
Chapter 11 8.0 Revision History ------------------------------------ 97
Chapter 12 Writing Format Checklist ---------------------------- 103

PART 3 – TWO Sample Policies and Procedures -------------------------- 111

Employment of Relatives ----------------------------------------------- 113

Bereavement Absence --------------------------------------------------- 117

ix
x
 Introduction
The focus of this book is to show you how to use a structured eight-section page
layout (called the WRITING FORMAT ) for writing policies and procedures. Through
exercises, suggested answers, and explanations of possible answers, you will learn
how to transform ideas and concepts (generated from business processes) into
structured, consistent, logical, and well-written sentences, and paragraphs. Your
policies and procedures will be easy-to-read, easy to apply, and comprehensive.
Exercises, checklists, suggested answers, detailed explanations, and sample
policies and procedures will ease you into this writing process. With this proven
and tested writing format, you will have the opportunity to develop and improve
your writing style. Your readers will thank you.

My goal is for you to learn how to effectively use

the WRITING FORMAT and to teach this method to others.

For the purposes of this book, I am your teacher. I will give you enough
information to make sound decisions when using the WRITING FORMAT and when
teaching others how to use this writing method. I will give you ways you can
succeed and become a better writer. I will give you exercises with “good” and
“not so good” suggested answers to your responses. Each section of the writing
format is explained to ensure you receive the best training possible.

Two checklists are presented that will help you improve your editing abilities and
help you write consistent and logical policies and procedures. You will enhance
your writing skills as a result of reading and doing the exercises in this book. With
each chapter, you will gain valuable insight into ways that you can improve your
writing style.

A key requirement of this book is that you must do the exercises to improve; and
the more times you repeat the exercises, the better chance you will have in
developing a writing style that matches or exceeds the suggested answers outlined
in this book. Invaluable experience can be gained from these exercises.

This book is a necessary addition for every person who owns one of my other
books as the writing format is at the HEART of every policy and procedure
program, or at least it should be. The focus of any book written on the subject of
policies and procedures should be on a logical method to lay out content gathered
during research---because without this structure, readers would be unable to
intelligently interpret and apply the content.
1
This book emerged as the result of reader requests for real-life exercises using my
recommended WRITING FORMAT (introduced in 1984) and sample written policies
and procedures. This writing format has been successfully applied to thousands of
companies in more than 114 countries. You will find the layout is easy to use once
you have written several policies and procedures.

“I have often said that writing easy-to-read and comprehensive

quality policies and procedures is an art that does not just happen
overnight, or even in a year or two. Sure, you can write the details
of a policy or procedure, but to write quality documents that can
be quickly understood and applied is an art that comes only from
experience, skill, and patience.”

While this book has been designed to accompany my other books, any writer with
a structured writing method (i.e., a writing format) for documenting policies and
procedures, can use the concepts and principles contained in this book. The book
has been set up so you can apply its principles, guidelines, and exercises to your
daily work, team meetings, or training classes. Sample policies and procedures
taken from companies where I have previously worked, have been included in
Part 3.

This book does more than other books that try to teach how to write policies and
procedures. Few authors cover the mechanics of transforming concepts into a
structured outline of paragraphs, sentences, and words. Procedure authors often
take the “writing” part of a policy or procedure system for granted. They fail to
recognize that the WRITING FORMAT is the heart of a policies and procedures
system.

The WRITING FORMAT is the heart of a

policies and procedures system.

Writing policies and procedures is not free flowing writing like business letters or
research papers. The writing skill for policies and procedures must be taught.
Skills and techniques must be developed, trained, and mentored. Without a
method of documenting policies and procedures, you could not achieve the
consistency and standardization that management demands.

Your system of policies and procedures is doomed to a slow death if writers are
permitted to publish unstructured policies and procedures that change from one
time to the next. The quality and effectiveness of your policies and procedures
will have a major influence on your reputation as a procedure writer, and possibly,
your continued career at your current place of work.
2
PLAN OF THE BOOK

This book is presented in three parts:

 Part 1 – You are introduced to the eight-section WRITING FORMAT , a five-

step writing process, and an “Editing Checklist” for improving your
writing style for policies and procedures.

 Part 2 – You are introduced to the case study that is the focus of the
scenarios used for Chapters 4 to 11. Exercises, suggested answers, and
explanations of these answers, are included for each of the eight sections
of the WRITING FORMAT

 Part 3 – Two sample policies and procedures are presented for reference
and comparison purposes to give you a sense of well-written policies and
procedures.

Many companies still use a combination of printed and electronically formatted

policies and procedures. In each of the companies where I worked, we had both
printed and electronic manuals (network and/or web). Providing different delivery
formats (e.g., printed, network, web, CD, video, or other media yet identified or
discovered) can be beneficial to readers who learn in different ways.

The goal of this book is for you to improve your skills for
writing policies and procedures and to help you write policies and
procedures that are consistent, well written, and easily applied by
your readers.

ACKNOWLEDGEMENTS

This book emerged from the experience I gained from writing as a full-time
policies and procedures writer in large and small organizations where challenges
of company size, unique environments, unique users, culture, and emerging
technologies helped me to understand what these companies needed. I started my
first policies and procedures job in 1979; I actually began writing purchasing
procedures in 1975. These experiences helped me to write all of my books.

With my detailed outlook on everything I do, I did extensive research both inside
and outside these companies: The result was that I came up with a consistent,
logical, and well-received writing format that everyone liked; I also came up with
methods, tools, and job aids that helped me to train as well as to train the trainer
so that the word could get out.

3
As a part of a series of books on policies and procedures, this new book will add
value to my other books because the WRITING FORMAT is the heart of any system
of policies and procedures.

I owe many thanks to my readers who encouraged me to write this book through
their emails, and kind letters. After reviewing sample policies and procedures
from procedure writers that have adopted my WRITING FORMAT , I concluded that a
book was needed to teach readers how to use and understand the mechanics of the
writing format.

I thank the consulting team at the Columbus, Ohio branch of Atos Origin for
encouraging me to write more books about my passion – helping others write
effective policies and procedures.

I wish to thank Lisa Page, my daughter, for editing this book. She has a superb
command of the English language and I respect her comments. I also wish to
thank Rhonda Myers, an employee of American Electric Power in Columbus,
Ohio, for taking time away from her busy personal life to carefully read this book.
I consider her a peer in process improvement and I thought her comments would
enhance this book.

I owe special thanks to my wife and family for allowing me to spend countless
days, nights, and weekends to write, publish, and advertise this book. Without my
wife’s help and support with my book business, I could never have written this
book.

4
 Part 1

Introduction to the
Writing Process

Chapter 1 Importance of a WRITING FORMAT

Chapter 2 The Writing Process

5
6
Chapter 1

Importance of a
Writing Format
Objectives for this Chapter
 Establish the importance of using a structured format for
writing policies and procedures
 Demonstrate reasons for writing effective policies and
procedures that readers can easily comprehend and apply
 Introduce a proven and tested WRITING FORMAT used in
114 countries

Topics Include:

Purpose of the WRITING FORMAT

40-Step Action Plan for writing policies and procedures
Importance of “Good Writing” for policies and procedures
Purpose of a WRITING FORMAT
WRITING FORMAT – the Details
Questions and answers about the WRITING FORMAT
References

7
8
PURPOSE OF GOOD WRITING

Writing well is never easy. Most people, even professional writers, would agree
that writing is a skill that does not come naturally. Writing requires great effort to
combine creativity and attention to detail in a way that results in a product that
people can read and understand with little effort.

Whenever a writer puts pen to paper, or fingers to keyboard, as is more likely the
case today, the potential exists for misunderstanding. Good writing means many
things to different people. I believe the phrase, “I will know it when I see it,”
applies. If a writer has not defined the audience, purpose, or a focus, or if a
document appears disorganized and hastily put together, the reader will be
frustrated and confused. With good writing, your chance of reader comprehension
and compliance increases.

You need to give the reader a roadmap and make it a smooth journey. The
WRITING FORMAT is your roadmap; it will help the reader quickly understand the
goals and objectives of a policy or procedure and lead him through the document
from start to finish. Good writing is concise, clear, organized, and reader-specific.
The purpose of any written document is to communicate thoughts or information.
If readers cannot understand a document, communication is lost.

An editing checklist is introduced in Chapter 2, “The Writing Process,” to provide

you with some important questions to help you arrange your words, and sentences
into well-written and logical paragraphs. A second checklist is introduced in
Chapter 12, “Writing Format Checklist,” to give you finality to your policy and
procedure documents.

With the writing process and these two checklists, you will achieve my primary
goals of this book:

Goals for this Book

Improve your writing and editing skills for creating and
1
publishing policies and procedures.
Document policies and procedures that are structured, consistent,
2
accurate, well written, and easy to understand and apply.
Teach your writing skills to others that want to learn to write
3
policies and procedures.

Writing policies and procedures is an art form, and it takes years of experience,
skill, and patience to become recognized by peers and management as being a
“truly” good policies and procedures writer.

9
IMPORTANCE OF “GOOD WRITING” FOR POLICIES AND PROCEDURES

The purpose of “good writing” to policies and procedures is to give the reader a
document that is consistent, logical, easy to read and apply, and that entices the
reader to want to read and use the referenced policy or procedure in their daily
work environment; and to entice the reader to look forward to new documents.

Preparing well-written policy and procedure documents has advantages to you and
your readers.

For You:

1. Writing well makes you look good, get noticed, and even promoted.
2. Good writing makes your manager, department, and company look good.
3. Learning to write well is a skill you can add to your credentials.
4. Good writing promotes consistency and standardization throughout your
system of policies and procedures.
5. Your readers will thank you for your efforts to write policies and
procedures that are easy to read and apply.

For the reader, well-written policies and procedures:

1. Often imply the documents are consistent, structured, and logical, and
have good grammar, punctuation, and spelling.
2. Can often save reading time. With explicit section headings and well-
constructed paragraphs and sentences, the reader can quickly scan a
document and decide if a thorough reading warrants his/her time.
3. Suggest a qualified and skilled writer wrote them. If a writer has a good
reputation for writing effective policies and procedures, the reader might
look forward to the publication of new, or updated, policies and
procedures.

PURPOSE OF A “WRITING FORMAT”

The Merriam-Webster’s Dictionary defines format as, “a general plan of

organization or arrangement.” The term, “format,” applies perfectly to writing
policies and procedures because the structure, arrangement, and organization of
process and procedural information are essential to understanding the facts
presented. The task of standardizing the organization of policies and procedures
falls into two steps: (1) grouping similar subjects and (2) linking those groups
logically. The arrangement of these two steps is determined by a third element, a
writing format.

10
The WRITING FORMAT is the heart of any system of policies and procedures. This
method of writing helps convert ideas and concepts into structured paragraphs,
sentences, and words. The section headings are self-explanatory and arranged in a
logical sequence made up of eight sections that is easy to follow. If these section
headings were arranged differently from one time to the next, the reader would
find it difficult to stay focused and understand the intent of the document. By
using an unchanging sequence of section headings, the reader can stay focused as
he reads a policy or procedure.

A busy reader can skim the section headings to find the sections of most interest,
and relevancy. A well-written document makes its point quickly; efficiency is
achieved with this WRITING FORMAT because a reader can understand the primary
goals and objectives of a policy and procedure after reading just a few pages! You
will appreciate the simplicity of the writing format when you become comfortable
with its use and application. Writing policies and procedures can become simple
and easy.

The hallmark of a successful format of writing lies in a standard writing structure,

explicit section headings, and accurate content. The WRITING FORMAT solves a
problem many business people face: TIME. In business, writing is a tool to get
things done. Writers should assume that their readers are busy individuals who
have little extra time to spend extracting information from a document.

Think of a WRITING FORMAT as a way to present your policies

and procedures in a structured and consistent format.
that is consistent, well written, and easily applied by your readers.
A challenge often faced by procedure writers is that anyone with a word processor
and a spell-checker thinks he can write policies and procedures. The manner in
which policies and procedures are initiated varies from company to company.
Some companies have large policy and procedure departments while others may
rely on a single person to do all the work. Some companies have both a policies
and procedures department and “would-be” procedure writers spread across the
company, e.g. secretaries, administrative assistants, engineers, and so on.
Experienced procedure writers can always use a little extra help. For this reason, it
can be a good idea to use the talents of “would-be” procedure writers. They can
help with the initial research and the writing process.

Valuable “buy-in” can be gained by anyone who is assisting with the development
of a new, or improved, process or procedure.

The WRITING FORMAT is an excellent tool because you can collect information
sequentially or randomly – in both cases, when you have completed the eight
11
sections, you will have a logical and coherent document. I have often used the
term; “bucket,” when referring to each section. The idea is to fill the buckets with
information. This is an easy way for “would-be” procedure writers to understand
their task: Simply ask them to fill in specific buckets and return the information to
you.

You will have gained in two ways: First, you will have extra research material that
might be useful. Second, you will have gained allies from those “would-be”
procedure writers who feel good about helping out. And, you will have the luxury
of picking and choosing which material is the most relevant.

WRITING FORMAT – THE DETAILS

The WRITING FORMAT is written in an outline style with eight repeatable section
headings. These headings provide information as well as visual breaks to reveal
the structure of your text, thus making it easier to locate information, and follow
the process flow.

There are eight sections to the WRITING FORMAT :

1.0 Purpose
2.0 Persons Affected
3.0 Policy
4.0 Definitions
5.0 Responsibilities
6.0 Procedures
7.0 Document Approvals (Bonus Section)
8.0 Revision History

Each section within the WRITING FORMAT is written in an outline format unless
there is good reason to write it differently. The WRITING FORMAT is a part of a
template used to visually display policies and procedures.

The template contains three types of information: (1) identification information

includes the title, policy or procedure identification number, effective date,
revision date and number, page numbers, and the final approver signature; (2)
body of the policy or procedure; and (3) optional documentation that could be
included at the end of policies and procedures located in appendices.

The WRITING FORMAT is flexible and can be applied to any policy or procedure
document. The only rigidity is in the number of sections. There are only eight
sections. With few exceptions, every section is written in the outline format as
shown in policy and procedure examples in Part 3.
12
 I had a personal experience where I was hired to replace a
Policies and Procedures Manager in a large multinational
company. This manager had been writing the company’s policies
and procedures in a paragraph style. The headings were
inconsistent from document to document and his/her paragraphs
were long and unstructured. He placed important points in the
center of paragraphs. With this style of writing, he was
inadvertently burying content in his/her paragraphs and
unknowingly misleading management when they reviewed a
document for approval.

When I was hired, I recommended that they use the eight-section

WRITING FORMAT that I had adopted from earlier companies. They
asked that I show them a sample. I took an existing procedure and
converted it from the previous manager’s writing style to my eight-
section writing format and did not change a single word: I simply
restructured the paragraphs into an outline format for easier
reading and comprehension. I gave the document to the Vice
President of Finance to review.

Shortly thereafter he stormed into my office and said “This is

ridiculous, Stephen, you added information, I would never have
signed this!” I calmly answered, “I did not change a single word.
The current style of writing uses unstructured paragraphs that tend
to hide content in long, wordy paragraphs and sentences. Let me
show you (I laid the documents side by side). You will see that I did
not add or delete a single word!” He was flabbergasted and
concerned at what he had overlooked after realizing that I was
correct. The company quickly converted to the new writing format.

Poorly written policies and procedures do not support fast reading because major
ideas are buried, headings are ambiguous or obscure to the reader, important
details are hard to locate, and instructions are often nonexistent or difficult to find
or understand. Consistent section headings from document to document save time
because readers can quickly find the information they need and focus on content
rather than format.

More important, consistency coupled with informative section headings

encourages the reader to believe that the document they are holding in their hand
(or viewing on a computer screen) is a quality document and deserves their
attention. This example illustrates the importance of finding a reputable WRITING

13
FORMAT with logical section headings that guide you through the mechanics of
transforming a business process into a policy or procedure document.

40-Step PLAN OF ACTION

From my book, “Achieving 100% Compliance of Policies and Procedures,” I am

including a 40-step “Plan of Action” for transforming business processes into
effective and well-written policies and procedures that can be quantified and
measured. You will see that most of the 40 steps are inputs and outputs to the
WRITING FORMAT .

The interesting truth is that the WRITING FORMAT is referenced in only one of the
40 steps. The other 39 steps are inputs, outputs, or provide administrative support
to the importance of using the writing format, the heart of any policy and
procedure system.

“PLAN OF ACTION” FOR POLICIES AND PROCEDURES

Management Action

1. Show commitment to the Policies and Procedures Department by

including statements in their vision, mission, strategic goals, and
objectives about writing effective business processes, policies and
procedures, and for communicating, training, mentoring, measuring, and
improving policies and procedures.

2. Assign a person or group to manage a policies and procedures function

that will be accountable for the policies and procedures infrastructure from
analysis to implementation and from compliance to improvement.

Procedure writer

3. Review the mission, vision, and strategic business goals of the

organization. Compare these statements with the mission, vision, and
strategic goals of the Policies and Procedures Department.

4. Identify processes, problems, issues, or concerns that need to be improved

or documented.

14
5. Start identifying process owners, management sponsors, and primary user
contacts.

6. Define the high level process, scope, mission, objective(s), and boundaries
of the process.

7. Establish a cross-functional team to study the process for several alternate

solutions. Establish a team charter, ground rules, and guidelines for the
operation of the cross-functional team.

8. Select a team leader – the team leader is normally the procedure writer. If
the team leader is not the procedure writer, the role of facilitator should be
assigned to him so he can remain accountable for the business processes,
policies, and procedures. The team leader can also serve as the facilitator.

9. Provide team training (e.g., problem-solving, listening skills, and

interviewing skills, as well as the use of quality tools).

10. Discuss a high level overview of the processes, issues, concerns, and
challenges, and brainstorm with the team members.

11. Challenge current assumptions and accepted business practices, processes,

policies, and procedures.

12. Define internal interfaces and responsibilities.

13. Diagram the process flow (workflow) using a flow chart to depict the
relationships of all the activities in the process.

14. Identify problem areas, discuss and verify key causes, document and rank
the causes using the Pareto analysis quality tool.

15. Collect cost, time, and value data for future measurement purposes.

16. Observe the business processes first-hand by “walking through” the

various departments. Identify any new problems with the processes.

17. Identify short-term improvements to the process.

18. Concentrate on streamlining the processes, and resolving differences.

19. Update the flow chart and write a summary of the tasks (i.e., task list)
from the flow chart.
15
20. Generate a list of possible solutions.

21. Prioritize the solutions using the Pareto analysis quality tool, and select the
most significant solution.

22. Test the solution with the process owners, management sponsors, and
primary users; identify any new issues and refine the solution. Redraw the
flow chart and revise the task list.

23. Transform the flow charts and task list into a draft policy or procedure
using the standard WRITING FORMAT for policies and procedures.

24. Obtain approvals of the draft policy or procedure from the cross-functional
team, users, and other affected parties like customers or suppliers. Obtain
approval from management and the individual designated as the final
approval authority. Note the person making final signoff is often the
person responsible for the overall compliance of the policy or procedure.
As you will see in later chapters, the role of this person is listed as the first
role in the Responsibilities section.

25. Establish communications, training, and review plans.

26. Publish the approved policy or procedure document.

27. Begin a communications campaign.

28. Conduct formal and informal training in accordance with the

communication and training strategies.

29. Create a review and communication control plan.

30. Establish a compliance plan.

31. Conduct continuous improvement activities using quality tools like

checklists, control charts, histograms, run charts, scatter diagrams, or the
Pareto chart, to evaluate the effectiveness of the published policies and
procedures.

32. Conduct system(s) audits.

33. Conduct improvement activities and cost benefit analyses.

16
34. Collect process data to verify that changes (from improvement activities)
were effective and that they achieved the desired results.

35. Decide whether the changes were positive, or negative, and take the
appropriate action(s).

36. Create file folders (physical and/or electronic) to maintain the collected
data, flow charts, task lists, evidence of approval documentation, and
policies and procedures for process improvement efforts.

37. Re-evaluate the compliance plan, change any compliance methods as

appropriate, and make preparations to continue with the current
compliance methods and/or start using the new list of compliance methods
for the current business processes, policies, and procedures.

38. Communicate progress, in conjunction with the above steps, to process

owners, sponsors, management, or users. Broadcast progress about new or
revised policies and procedures to the company through media described
in the communications strategy.

39. Promote the activities of your policies and procedures group through the
use of a “Policies and Procedures” newsletter or other available
communications methods.

40. Add the policy or procedure to your previously published “Review Plan”
to monitor events that might influence or support a policy or procedure.

While the WRITING FORMAT may appear to play a small part in the scheme of
things, policies and procedures could not exist without some form of structured
method of writing. The significance of the WRITING FORMAT cannot be
overemphasized. In absence of a writing format, the policies and procedures could
not be formalized – the policies and procedures would remain unstructured
thoughts in the heads of those making decisions.

The whole purpose of the WRITING FORMAT is to give you a means by which to
express your ideas in a logical, structured, meaningful, and documented manner.

This plan of action can be used as the justification for your policy/procedure
system.

17
The WRITING FORMAT – Highlights of the Template

No Section Heading
1.0 Purpose. Objectives for writing a policy or procedure. A “Purpose”
statement is typically one to three sentences.
2.0 Persons Affected (or Scope). List of those persons or departments
that might influence or support a specific policy or procedure.
NOTE: Scope is not meant to describe objects such hardware or
software.
3.0 Policy. General organizational attitude of an organization. A policy
should reflect the basic objectives, goals, vision, attitudes, or
company culture. Any statement that contains “shall,” “must,” or
“prohibit,” are the type of words found in a policy statement.
4.0 Definitions. List of definitions of abbreviations, acronyms, words
infrequently used, jargon, and technical terms. Optional
documentation like forms, standards, diagrams, models, or reports
are also defined and referenced.
5.0 Responsibilities. Short summary of the roles and responsibilities of
the individuals that perform the actions of a policy or procedure.
6.0 Procedures. Explanations of the rules, regulations, methods, timing,
place, and personnel responsible for accomplishing the policy as
stated in Section 3.0 above.
7.0 Document Approvals. The position functions, titles, approval
signatures, and dates for those individuals responsible for approvals,
e.g. document owner, department manager, or President. Approvals
can be “wet” signatures, shown as a comment to the document,
and/or sent and retained as an “email approval” signature.
8.0 Revision History. Short summary of the revision changes to a
document; writers often highlight the changed text in “yellow” such
that the changes can be easily noticed to the readers.
Optional Documentation. Any form, diagram, flowchart, table,
report, list, or just about any reference document can be referenced
in an Appendix and/or referenced to another location. For example,
if the forms are located in the Office Services Department, this fact
should be mentioned within the “Definitions” section.

If you want to show a copy of the document with the

policy/procedure, then a copy can be made; with a reference from
within the “Definitions” section to the specific Appendix letter or
number, e.g. Refer to Appendix “A” for a relevant flow chart.

18
Questions & Answers about the Writing Format:

1. Do you use two writing formats with different sections, one for a policy
and one for a procedure? The answer is “no.” There is only one WRITING
FORMAT , only the identification information and the content are different.
Consistency and standardization are achieved when using the same section
headings for both a policy or procedure document. The advantage of
incorporating a policy section heading within a procedure document lies
with the idea that two documents are incorporated into a single document.
By incorporating a policy statement among procedural statements, the
reader does not need to reference another source to complete his/her
understanding of a policy or procedure! This method of writing makes it
easier for writers and readers.

2. My management still wants separate policies, where do I put them? If you

must have separate policies and procedures, do the following: Write a
separate policy document using the eight-section writing format and either
place the policy document in a separate policy manual or co-mingle the
policy document with your procedure documents in a single manual. For
printed documents, try color-coding documents for visual separation
purposes. In both cases, you should retain the Policy section heading
within the eight-section WRITING FORMAT for consistency and
standardization purposes. For further details on this practice, reference my
book, “Establishing a System of Policies and Procedures,” Copyright
1998, 2004, and 2012.

3. Is it a good idea to have a separate policy and a separate procedures

manual? The answer is – it depends on your management. Some
companies think it is a good idea to have separate policy and procedure
manuals. Management thinks a policy manual is a good place to put all of
the guidelines for their decisions. They believe there should be a
separation of policy from procedural statements. In reality, these policy
manuals are rarely referenced. Unless a standard or practice requires a
policy manual, there is no logical reason to incur the extra expense.

My preferred usage is to refer to policies and procedures as the

“policy/procedure” document. I use this combination frequently.

4. Why do you have a Procedures section within a Policy document?

Consistency is the key. Just like the retention of the Policy section within a
procedures document, the retention of the Procedures section within a
policy document maintains consistency of format. When writing a policy
document, you can write, “Not Applicable,” under the Procedures section
19
 heading if procedural statements do not apply. Refer to Part 3 for a sample
document that contains a Procedures section.

5. Can I omit section headings? The answer is “no.” This is a mistake often
made by inexperienced procedure writers. There are eight section headings
within the WRITING FORMAT . These headings will always appear in the
same sequence in a policy or procedure document, only the identification
information and content will change.

REFERENCES

Bates, Jefferson D., Writing with Precision, Sixth Edition, Acropolis Books LTD,
Washington, D.C., 1993.

Brown, Helen G., The Writer’s Rules, William Morrow and Company, Inc., New
York, New York 1998.

Cormier, Robin A., Error-Free Writing, Prentice Hall, Englewood Cliffs, New
Jersey, 1995.

Kramer, Melinda G. and Leggett, Glenn, The Writer’s Rules, C. David Mead,
New York, New York, 1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2012

Sebranek, Patrick; Meyer, Verne; and Kemper, Dave, Writer’s Inc., Write Source,
Wilmington, Massachusetts, 1996.

Slatkin, Elizabeth, How to Write a Manual, Ten Speed Press, Berkeley,

California, 1991.

Sorenson, Sharon, Webster’s New World Student Writing Handbook, Prentice

Hall, New York, New York, 1992.

Venolia, Jan, Rewrite Right!, Ten Speed Press/Periwinkle Press, Berkeley,

California, 1987.

20
Chapter 2

The Writing Process

Objectives for this Chapter
 Introduce the mechanics of writing and publishing policy
and procedure documents
 Describe the value of using a writing process and an
editing checklist for improving policy and procedure
documents

Topics Include:

The “5-Step” Writing Process

Five Steps – Let’s Begin

1. Prewriting
2. Preparing First Draft
3. Editing Subsequent Drafts (including the Editing
Checklist)
4. Coordinating Reviews and Approvals
5. Publishing the Approved, Final Document

21
22
THE “5-Step” WRITING PROCESS

The process of transforming, or converting, business processes and supporting

documentation into written policies and procedures is called the “The Writing
Process.” The process is a system of five steps for doing preparatory work;
converting ideas into paragraphs, sentences, and words; editing the draft;
coordinating reviews and approvals; and publishing the policy or procedure.
These five steps of the writing process are:

1. Prewriting
2. Preparing the First Draft
3. Editing Subsequent Drafts
4. Coordinating Reviews and Approvals
5. Publishing the Approved, Final Document

Writing a policy or procedure document uses a method of business writing that is

a combination of formal and informal writing. Unlike formal business
correspondence, grammar and punctuation does not always follow all the rules.
While the use of an editing checklist will enhance your policy and procedure
writing skills, there will be instances where policy and procedure documents do
not follow the rules. These exceptions will be explained in future chapters.

Word processors have blurred the distinction between writing and editing. The
once sharply defined steps of writing, analyzing, and revising can now be
integrated into a more smoothly flowing whole: You can revise as you write, and
write as you revise. Even though the first four steps of the writing process overlap,
each step should be treated as a distinct process when writing and publishing
policies and procedures. The fifth step is likely to stand on its own. Once a policy
or procedure is published, the writing process stops, and revision and
improvement activities begin.

With policies and procedures, the term “research” is synonymous with

“prewriting.” For example, writing of the first draft, subsequent editing, and
reviews can be blurred into a single step depending on how you like to write and
coordinate policies and procedures. With most word processors, you are offered
the opportunity to edit as you write.

As reviews come in, you should edit and rewrite the draft policy or procedure to
reflect the suggested changes. In addition, you should verify the content and
suggested changes with the original contacts from the prewriting step. Publishing
the approved, final document, is the only step of the writing process where an
overlapping of steps is not likely to occur.

23
When a policy or procedure is published, the writing process stops and new
processes begin. Following publication, the procedure writer has one primary
goal: To ensure the readers comply with the guidelines of a policy or procedure.
During this compliance phase, the procedure writer must focus on at least six
areas: Communications, training, mentoring, compliance (metrics), auditing, and
improvement activities. Many writers do not realize that writing policies and
procedures is a process, an ongoing process, which cycles from writing to
publication to training, from metrics to improvement, and to revisions of the
policy or procedure (i.e., a new writing process).

The writing process is continuous for the life of a policy or procedure. With my
book, “Achieving 100% Compliance of Policies and Procedures,” you can learn
the steps necessary to successfully accomplish the compliance phase (i.e., metrics
to improvement to revisions to cost savings).

FIVE STEPS - Let’s Begin

1. PREWRITING

The term “prewriting” refers to all the efforts to document and model a
business process and to get ready to transform the information into a draft
policy or procedure. Prewriting is about gathering the content for the
topics selected for policy and procedure documents. Some authors call this
step planning or research. I define prewriting as the research step.
Research or prewriting is the step where your idea is conceived, your
vision is formed, your team is selected, and research activities take place.

Regardless of what you name this step, you must do some kind of
research, gather your thoughts and information, determine your purpose
and goals, analyze the audience, and organize the material. Unless you are
doing the research step yourself, you should conduct interviews and
workshops, hold team meetings, take surveys, do questionnaires,
document your findings, and do other necessary activities to collect
information about a topic idea or problem. As long as you collect all the
necessary information to write policy and procedure documents, how you
collect the content is your choice.

You can use the WRITING FORMAT as a “writing aid” during the research
step. As the writing format contains eight preset section headings, you can
concentrate on each section as you gather your information. These section
headings could become meeting topics or specific sections can be given to
individuals or teams to fill in. While you can give out any section for

24
 research and completion, ultimately, you are accountable for the quality of
the policies and procedures. Each section should be revisited and
populated with the most relevant information collected during the
prewriting or research step.

Index cards are another option for organizing your thoughts. You can label
the cards with each of the relevant section headings as well as with
potential topics of research. You can shuffle and rearrange these cards
until you are satisfied with the process flow. The writing format helps you
focus on the function of the outline, which is to help you arrange subjects
for good communications.

2. PREPARING THE FIRST DRAFT

Once you have completed the prewriting step, the writing process should
be fairly simple. This step is especially easy if you use the “buckets”
(section headings) concept of the WRITING FORMAT to fill in information as
it is collected. While you might revisit the prewriting step throughout the
writing process, you should only do so to verify information and check
content references. With the prewriting step behind you, you are ready to
begin your first draft. There are two parts to preparing the first draft: First,
the structure or configuration of this writing format, and second, the
process for writing the first draft. This second part will become clear once
you complete the exercises on the writing format in Chapters 4 to 11.

THE “WRITING STRUCTURE” OF THE WRITING FORMAT

The WRITING FORMAT is written using an outline format. The formality of

the outline intimidates some writers, but in reality, the outline is merely a
list that shows the arrangement of details. The outline style for the writing
format contains the following characteristics. Refer to Part 3 for sample
policies and procedures that follow this exact format.

 Seven section headings and a bonus 8th section, subheadings, and text
make up the body of the WRITING FORMAT …referred to as eight
sections throughout this book.
 Numbers or Roman numerals are used for the numbering scheme of
the outline format (you are not locked into this numbering style, only
the number of section headings)
 Section headings are left-justified and underlined (you could use
normal text and all capitals or use bold-faced type)
25
  Subheadings can be a heading and underlined or they can be full-
length paragraphs or sentences (refer to the sample policies and
procedures in Part 3 of this book)
 Each subheading of a heading, or another subheading, is represented
by equal indentation where possible
 The logic of development is arranged so that the summary parts of
each subheading are equal to the topic of the section heading
 Paragraphs are structured such that each main idea, or subheading,
represents a separate paragraph

Example using the Template for the PROCEDURES section:

6.0 Procedures (Section heading)

6.1 Subheading or paragraph

6.1.1 Subheading or paragraph

6.1.2 Subheading or paragraph

6.1.2.1 Subheading or paragraph

6.1.2.2 Subheading or paragraph

6.2 Subheading or paragraph

Etc.

Writing The First Draft

The WRITING FORMAT is flexible in its application. Some writers will insist
on using note pads and writing down all the information first before
entering any information into a word processor. While any method for
capturing information is sufficient, you will need to enter the information
into a word processor before giving it to reviewers. Try translating your
notes directly into the writing format on your word processor to avoid
excessive writing and rewriting of your notes. You should find this latter
method more efficient because once you have completed filling in the
preset section headings; you will have a rough draft of your new or revised
policy or procedure.

26
 The ease of making changes on a word processor frees you from concerns
about how many drafts you will go through. Instead of starting the editing
process in your head in order to minimize retyping, your fingers can
quickly transform thoughts into words that you can see. Ideas are not lost
while you struggle for the “perfect phrase.” The very act of quickly putting
the information in visible form helps sort the information. You can see that
one idea is more important than another, that a good opening line is buried
somewhere on the page, and so on. If you are stumped about a word or
phrase, you can write a comment about it or bookmark it for later research.

There are two methods of populating the section headings of the WRITING
FORMAT .

1. First, you can add the information all at once. Somewhat like free
writing, the principle is to capture as much information as possible.
Keep writing until you have completed filling in the eight section
headings. This approach is especially useful when you are facing a
deadline.

2. Second, you could complete the section headings in any sequence. You
can give specific sections to individuals or teams to complete. This
second approach is useful when the document is large and affects
many functions or groups.

3. EDITING SUBSEQUENT DRAFTS

Once you have a draft with which you are reasonably satisfied, your next
step is to shift your focus and take a closer look at what you have written.
During the second step, “Preparing the First Draft,” you looked at the “big
picture” and kept in mind your audience, purpose, and focus of the policy
or procedure. You made sure everything made sense. You are now ready
to start the editing process.

Some writers have trouble editing and revising because they become
attached to their own words. They are reluctant to look for problems
because finding them will only lead to more work, so they review their
material quickly, with one eye closed. Other writers are never satisfied and
continue to revise repeatedly until someone yanks them to their senses.

Editing is defined as “working to improve something written” and to make

the written material easier to follow and more interesting to read. Basic
editing primarily involves checking a document for organization,
27
 grammar, spelling, punctuation, stylistic consistency, and factual accuracy.
While editing comes after the first draft, it can be a good idea to review the
checklist ahead of time. You can eliminate many hours of future work
using careful writing the first time. Knowing how to edit means knowing
what makes good writing in the first place. Good writing comes from
knowing how to revise and adjust words until they say what they are
intended to say. Polished writing has a professional tone that reflects well
on the general competence of the writer.

Editing of your first draft can be done directly on your word processor.
Short documents that you have edited on the screen may survive with no
further editing. You will find that if you have followed my advice about
“filling in the buckets,” (i.e., sections) you should have a completed
document ready for review when you fill in your last bucket, especially if
you paid attention to the grammar and spelling suggestions from your
word processor.

While editing yourself is difficult, I do recommend that you do it the first

time you read your own policies and procedures. Editing your own writing
is easy with word processors because they have built-in grammar,
punctuation, and spelling checkers. You can quickly change words by
using the “search and replace” features. Insertions are easier, deletions are
easier, moving sections around is easier, and working with clean, newly
printed copies makes it all worthwhile. If you have the luxury of having
editors or technical writers in your company, you might be able to ask
them to review your policies and procedures before sending them to
reviewers and especially before sending them for final review and
approval.

Editing Checklist

As you review what you have written, you may have an uneasy sense your
document needs work. An “Editing Checklist” has been provided to help
you understand possible problems with the organization of the paragraphs
and sentences, grammar, punctuation, word usage, and spelling. Efficiency
in editing comes not from a single all-purpose editing, but from several
readings, each with a different focus.

There are three levels of editing that should correspond with all, or part, of
the review processes you have established for your policies and
procedures.

28
These three editing levels and their applicability are described in the
following table:

NO EDITING LEVEL WHERE BEST APPLIED

1 Content – Section headings, After writing the first draft (Step 2)
logic, and factual accuracy
2 Language - Grammar, During and after reviews are
punctuation, and mechanics completed (Steps 3, 4)
3 Final Pass – Content and Prior to submission for final
language approval and review (Step 4)

The “Editing Checklist” contains the three editing levels. Copy the
checklist and keep it as reference when you write new, or update existing,
policies and procedures. Ideally, you review the checklist in advance to
writing any policy or procedure document. At a minimum, keep the
editing questions in mind when writing and incorporating changes to your
policies and procedures.

EDITING CHECKLIST

F IRST -L EVEL E DITING – CONTENT

1 Verify the factual accuracy of your information.
2 Check for bias: Have you used slang words, inappropriate labels, or
stereotypes? Have you given parallel treatment in matters of sex,
race, age, and ability? Have you avoided ethnic slanted words?
3 Check for the correct audience: Is the writing directed to a specific
reader, or a specific type of reader? Do you have the correct
audience? Have you overlooked any potential audience? Does the
writing style match what is known about that audience? Have you
used words to fit the audience?
4 Check for logic: Are the ideas clear? Are the details adequate to
describe the subject? Is the content easy to follow with clear,
concise sentences? Is supporting material logical? Do you maintain
credibility by avoiding hasty generalizations or faulty logic? Was a
flow chart and task list used to write the first drafts? Do the
paragraphs and sentences clearly follow the sequence of the flow
chart steps and activities of the task list? Is the information
coherent and straightforward? Are details supplied in proportion to
importance? Does the Purpose section clearly present the reason
for writing the policy or procedure? Does the Policy section follow
the intent of the Purpose section? Does the Procedures section

29
 support the Policy section? Does the Responsibilities section
support the flow of the Procedures section?
5 Check for clarity: Are any words or sentences ambiguous? Will
readers always understand your use of vague pronoun references
like what it and they and this refer to? Will readers be able to
follow your train of thought? Have you used specific rather than
vague words? Have you left a reader in doubt as to the meaning of
critical words? Have you used the appropriate vocabulary for the
audience?
6 Check for brevity or conciseness: Have you used too many words?
Are their redundancies? Can you cut out words that do not add any
additional meaning to a sentence?
7 Check for vocabulary usage: Have you used the right words to
convey your meaning? Are singular and plural words used
correctly? Have you used the active voice wherever possible? Does
jargon create a verbal smokescreen? Have you used any jargon that
has not been defined in the Definitions section? Do your words
create the right kind of picture? Is the word choice appropriate for
the audience? Are your words or phrases awkward, confusing, or
misleading? Are your references confusing?
8 Check for paragraph usage: Does each paragraph have an overall
point or purpose? Is each paragraph written in such a way so those
sentences unfold to make your statements clear? Do you use an
effective transition to move from your topic sentences to the first
subtopics or supporting details? Does each paragraph have as its
first sentence, a phrase that introduces the main topic? Does every
paragraph have at least two sentences? Does each paragraph stand
on its own and say something worthwhile?
9 Check for sentence usage: Are all your sentences complete
thoughts? Are sentences 25 words or less? Are your sentences
simple and clear? Are transitions adequate to move the reader from
sentence to sentence and from paragraph to paragraph? Does every
sentence bring unity to the paragraph and document?

S ECOND -L EVEL E DITING – LANGUAGE

1 Check for punctuation: Have you included accurate punctuation so
that the meaning of sentences is clear? Do your punctuation marks
help the reader grasp the meaning? Have you removed surplus
punctuation? Have you omitted punctuation that would help the
reader, e.g., did you remove a comma or semicolon that could have
helped the reader better understand?

30
 2 Check for grammar: Do subjects and verbs agree? Are pronouns in
their correct case (e.g., who or whom, I, me, or myself)? Are verbs
the correct tense? Is the tense and mood of verbs consistent? Do
you have any fragmented or run-on sentences, other than those
allowed by the WRITING FORMAT ?
3 Check for mechanics: Have you maintained the structure of the
WRITING FORMAT ? Do you have a table of contents and does it
accurately reflect the content of the policy or procedure draft? Have
abbreviations been kept to a minimum? Are they correctly used? Is
capitalization correct and consistent? Are words correctly spelled?
Have you reviewed your use of numbers in text (should they be
words or figures)? Are cross-references accurate?

T HIRD - LEVEL EDITING – FINAL PASS

1 Have you used the eight sections of the WRITING FORMAT for both a
policy and procedure document?
2 Have all the reviews and comments been incorporated? Have you
discussed any changes or omissions (from reviews) with those that
submitted them?
3 Is your writing style the same throughout the document? Did you
mix opening sentences?
4 Have you read your draft aloud to test it for sense and sound?
5 Have you performed one last reference and accuracy check?
6 Does the document reflect the current policies, procedures, and
practices relevant to the writing of policies and procedures?

After you have completed the first two editing levels, you are ready to
submit the policy or procedure draft for review. You will come back to the
editing checklist for the third level of editing when you are ready to submit
your final draft for review and approval.

4. OBTAINING REVIEWS AND APPROVALS

The review process can actually begin during the first several steps of the
writing process and continue through the fourth step. Refer to the
appropriate editing level when coordinating the review process. The
number of reviews is your choice. The third level of editing should not
take place until all reviews have been completed and all edits have been
made. For details on user and management review processes, refer to my
book entitled, “Establishing a System of Policies and Procedures.”

31
5. PUBLISHING THE APPROVED, FINAL DOCUMENT

Upon final approval, your next step is to publish the document. Methods
and guidance for publishing your document are detailed in two books,
“Establishing a System of Policies and Procedures,” and “Achieving 100%
Compliance of Policies and Procedures.”

Once you have published the policy or procedure document, your job is
just beginning. The writing process is a continuous process that starts with
a new document and is continuously revised until the document is
removed from the system of policies and procedures. At this time, you
should begin developing communications, mentoring, training, metrics,
auditing, and improvement plans.

REFERENCES

Bates, Jefferson D., Writing with Precision, Sixth Edition, Acropolis Books LTD,
Washington, D.C., 1993.

Brown, Helen G., The Writer’s Rules, William Morrow and Company, Inc., New
York, New York 1998.

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Kramer, Melinda G. and Leggett, Glenn, The Writer’s Rules, C. David Mead,
New York, New York, 1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

Ross-Larson, Bruce, Edit Yourself, W.W. Norton & Company, New York, New
York, 1996.

Ross-Larson, Bruce, Powerful Paragraphs, W.W. Norton & Company, New York,
New York, 1999.

Ross-Larson, Bruce, Stunning Sentences, W.W. Norton & Company, New York,
New York, 1999.
32
 Part 2

Case Study, Exercises,

And Suggested Answers

For each of the Eight

Section Headings
Of the Writing Format

33
34
Chapter 3

Case Study and Scenario

Objectives for this Chapter
 Set the stage for the case study and scenarios for the
exercises in Chapters 4 to 11
 Review assumptions that might influence your
interpretation of the exercises and suggested answers

Topics Include:

Purpose of the Case Study and the Scenarios

Assumptions to consider when reading Chapters 4 to 11
Case Study – The Scenario
“Purchasing Process” for the Case Study

 Background of Purchasing Process

 First Reference – Flow Chart
 Second Reference – Task List

Transformation of the Case Study into Policies and Procedures

through the WRITING FORMAT

35
36
PURPOSE OF THE CASE STUDY AND SCENARIO

The focus of this book is to show you how to use the WRITING FORMAT to achieve
consistent, logical, and well-written policies and procedures. A case study is
borrowed from my current book, “Achieving 100% Compliance of Policies and
Procedures,” to provide scenarios for the exercises contained in Chapters 4
through 11. Pertinent sections will be selected for the development of scenarios
for each section of the writing format.

ASSUMPTIONS TO CONSIDER FOR CHAPTERS 4 through 11

There are specific assumptions that need to be addressed before the case study and
background information are introduced. Understanding these assumptions up front
will help you when reading these chapters and doing the exercises.

 I have selected the scenario I used to produce the case study referenced in
my book, “Achieving 100% Compliance of Policies and Procedures.” I
will reference the flow chart as well as the task list. Both references are
important information to consider when writing your policy or procedure
documents.

 The format of the title, identification number, dates, revision number, and
approval fields on the WRITING FORMAT template are for example purposes
only. Refer to the provided PDF-formatted writing format template you
received with your order for the exact format to use.

 The WRITING FORMAT contains eight section headings. The numbering

scheme begins with Section 1.0 and ends with Section 8.0. Each
subsequent subheading should be indented five or more spaces.

 Each section heading should be in BOLD Font, 12 Point Tahoma or Arial.

 The issue of using a separate policy manual, or housing policies and

procedures in a single company manual, is being ignored for the purposes
of these exercises.

 Each section within the WRITING FORMAT will be addressed independent of

the type of document, i.e., the subtle differences between a policy and
procedure document will be ignored.

 When the Procedures section (i.e., sixth section heading) is addressed, the
document type used for the exercises will be a procedure document

37
 because a policy document traditionally does not require any information
to be entered into this sixth heading.

 Optional documentation like diagrams or models will be discussed in

Chapter 7, “4.0 Definitions.” Actual forms will not be shown in the
exercises or the sample policies and procedures referenced in Part 3.

CASE STUDY – THE SCENARIO

During the normal course of a day, the procedure writer often encounters
situations that warrant his attention. A typical day goes like this:

You have been spending time in the company’s Purchasing

Department and you have observed that the process for the
purchase of office supplies and tools seems awkward, inconsistent,
and repetitious, and employees are making numerous mistakes.
The Purchasing Department has informed you that the purchase
requisition form is being used inconsistently: Company checks,
personal checks, and cash are being used to purchase supply items.
The Purchasing Department is alarmed because unauthorized and
inexperienced employees are buying directly from suppliers and
placing the company at a liability risk.

In addition, the Accounting Department is requesting the

Purchasing Department to approve the invoices of these
unauthorized orders. The Purchasing Department is reluctant to
sign off an invoice when the order placement does not go through
them. The Purchasing Department has asked you to look into the
whole process of purchasing office supplies and tools.

You have received approval from your manager to review the

Purchasing Process and write the procedure. You can now make
preparations to begin the research or this pre-writing step.

While the results of your research and meetings should yield many useful
documents and diagrams, I have included a “Flow Chart” of the major steps in the
process and a “Task List” that describes the steps in the flow chart. With this
knowledge, the procedure writer can begin writing the first draft by populating the
sections of the WRITING FORMAT .
38
“PURCHASING PROCESS” CASE STUDY AND BACKGROUND
The case study documents a “Purchasing Process.” This case study was selected
because many readers should be able to identify with the process of filling out a
form to purchase items. In a general sense, “purchasing” describes a buying
process. In a broader context, “purchasing” involves determining the need,
selecting a supplier, arriving at an appropriate price, writing terms and conditions,
issuing an order, following up to ensure delivery and inspection, and approving
the payment of an invoice by Accounts Payable.

A purchasing process typically covers the purchase of all items from office
supplies to major capital investments. The purchasing process includes the sub-
processes, policies, procedures, and forms for acquiring items and services for an
organization. The magnitude and make up of the purchasing process depends on
the type and size of an organization, company policies and procedures,
management attitudes, company culture, and computer technology.

In this case study, I narrowed the focus of the purchasing process to the purchase
of supply and office-type items that are not for resale or used for production
purposes. These types of items are referred to as “MRO” items, or “Maintenance,
Repair, and Operating” supply items. In a manufacturing environment, MRO
orders can account for 80% of the volume of paperwork while administrative time
accounts for the remaining 20%. The case study is based on a purchasing system
for a printer manufacturer.

The purchasing process in this case study starts with the initiation of a Purchase
Requisition (PR). The process ends with the material being received, the invoice
being paid, and the purchase order being closed.

First, I will present a flow chart of the purchasing process. Second, I will present a
sequential task list based on this workflow. With this task list, you will be able to
transform the steps (or tasks) directly into each section of the writing format
template. After a little practice, you’ll find that this is a simple way to convert
diagrams into words that make sense.

NOTE: This case study portrays the first part of the case study contained in my
book, “Achieving 100% Compliance of Policies and Procedures.” The case study
is a laborious purchasing system (printed) which is transformed into a system
(electronic) that is very efficient and has saved the company more than $1 million.

39
“Purchase Process” Flow Chart

The two major outputs of the research, or prewriting step, are the flow chart and
task list. These two reference documents are the primary sources of information
for the scenarios and exercises in Chapters 4 to 11. The flow chart of the purchase
purchasing process are illustrated below:

FLOW CHART

TASK LIST

The “Task List” is critical to your success when transforming words to policies
and procedures. For your exercises in Chapters 4 through 11, you should copy the
flow chart and the task list for easy reference. Each step within the task list
matches a step in the flow chart. Once the task list is completed, it becomes a
relatively easy process to transform these activities into the Responsibilities and
the Procedures sections of the WRITING FORMAT .

40
The 16-step “Task List” follows (each step within the flow chart is converted into
words and paragraphs for easy tranformation):

1 The Purchasing Requisition (PR) is Prepared. The employee

prepares a three-part PR for specific MRO supply items and sends
the purchase requisition to his/her supervisor or manager for
approval.

2 Purchasing Requisition Approval. The employee’s supervisor (or

manager) makes the decision to approve or disapprove the PR. If
the value of the PR exceeds $250.00 and is less than $500.00, a
second signature is needed. The supervisor sends the purchase
requisition to his manager for approval, as appropriate.

3 Accounting Review. The employee’s supervisor sends the

approved PR to the accounting department for budget, charge (or
account) number, and signature authorization review.

The accounting department returns the purchase requisition to the employee. The
employee removes the last copy and sends the purchase requisition (original and
copy) to the purchasing department for processing

4 The Purchasing Assistant Audits the Purchasing Requisition. The

purchasing assistant is the first point of contact in the purchasing
department to review purchase requisitions. This person reviews
the purchase requisitions to ensure they are completed in
accordance with the current purchasing processes and procedures.
The purchasing assistant initials the purchase requisition if it
passes the review process and forwards it to a purchasing manager.

Otherwise, the purchasing assistant reviews the PR against

required fields for the PR; he/she initials the document if the PR
passes the review. He/she then passes the PR to his/her manager
for review and approval.

5 The Purchasing Manager Assigns Buyer. The purchasing manager

reviews the purchase requisition, notes the appropriate buyer on the
form, initials the form next to the initials of the purchasing
assistant, and forwards the purchase requisition to the buyer.

6 The Buyer Reviews Purchase Requisition. The buyer reviews the

purchase requisition and determines the course of action for

41
 selecting a supplier, by viewing published lists, blanket order
contracts, purchase history, and new suppliers.

7 The Request for Quotation (RFQ) is Sent to Suppliers. The buyer

sends a three-part RFQ form to at least three suppliers to obtain
competitive bids. The buyer selects one supplier based on the
returned bids.

8 The Purchase Order (PO) is Sent to Supplier. The buyer prepares a

five-part PO form and separates it by mailing two copies to the
selected supplier, the third copy to the purchasing department, the
fourth copy to the accounting department, and the fifth copy to the
receiving department.

The receiving department reproduces a “Receiver Set” based on the “PO” copy,
by photocopying, and using a four-part, pre-collated, set of colored paper (herein
referred to as the “receiver.”)

9 The Supplier Ships Order with Packing Sheet (PS). The supplier
fills the order in accordance with the terms and conditions of the
PO; the supplier packages the order, and ships the order to the
employee’s shipping department, along with a two-part packing
sheet.

10 Receiving Matches PS to Receiver. The receiving department

counts the quantity of the received order and matches the order
quantity to both the PS and receiver.

Depending on the type and dollar value of the item(s) ordered, an inspection
department might inspect the order before it is forwarded to the employee.

11 The Order is Routed to Employee of Items. The receiving

department completes the receiver and forwards the received items
to the employee.
12 The PS/Receiver is Forwarded to the Accounting Department. The
receiving department forwards copies of both the packing sheet and
the receiver document to the accounting department for payment.

13 The Receiver is Forwarded to the Purchasing Department. The

receiving department forwards a copy of the receiver to the
purchasing department for follow up on the order and to close the
order when it is confirmed that the order has been received,
inspected, and paid.
42
 14 The Supplier Mails the Invoice to the Accounting Department. The
supplier mails the invoice to the organization’s accounting
department for payment.

15 The Accounting Department Issues Check. The accounting

department matches the packing sheet with the receiver and/or PO
and keeps the two documents together until the invoice is matched.
A check is created and mailed (printed check or electronic funds
transfer) to the supplier.

16 The Purchasing Department Closes the Order. The purchasing

department closes the order and files it for reference purposes after
the buyer receives notification that the items have been received.

TRANSFORMING THE PURCHASING PROCESS INTO “Words”

With these two references (flow chart and task list above) and any other
information collected, you are ready to start writing your policy or procedure. I
am assuming that you have already selected the template and format that you will
use. Also, decide on a good policy and procedure title.

The Purpose of these Exercises:

Exercises are drills that should be completed for training and improvement of
writing skills for policies and procedures. Reading the exercises will do nothing
for you: You must do the exercises! And you must repeat the exercises! Without
actual practice, you will not get the benefits intended from this book. The scenario
for each exercise is based on the flow chart and task list in this chapter.

The information provided for the exercises will be the minimum required for you
to complete your answers. Write or key your responses to exercises on a notepad
or in your word processor. The latter method is preferred because you can easily
edit your answers and save them for reference purposes. When you have
completed the exercises, you will be ready to write any policy or procedure. With
experience, patience, and skill, you will start writing better policies and
procedures.

43
REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Harding, Michael and Mary Lu, Purchasing, Barrons, Hauppage, New York,
1991.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

Ross-Larson, Bruce, Edit Yourself, W.W. Norton & Company, New York, New
York, 1996.

Venolia, Jan, Rewrite Right!, Ten Speed Press/Periwinkle Press, Berkeley,

California, 1987

44
Chapter 4

1.0 Purpose
First Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this FIRST section heading and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Purpose section
 Provide questions and suggested answers to your
responses to the Purpose exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 1: Purpose
Format of Purpose Section
Common Mistakes
Scenario of Purpose Section
What to Look For
Purpose Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

45
 WRITING FORMAT Template

46
PURPOSE OF SECTION 1.0: PURPOSE
This is the FIRST section heading of the WRITING FORMAT . The Purpose section
contains an introductory paragraph that explains the objective(s) and reasons for
writing a policy or procedure in the first place. The Purpose paragraph should be
comprehensive and concise in its meaning. From the title and the introductory
paragraph, the reader should have a clear sense of what to expect in the rest of a
policy or procedure document.

FORMAT OF PURPOSE SECTION

The Purpose section is generally limited to one paragraph made up of two or three
sentences in addition to an opening sentence. The outline format, including
subheadings and bullets, is not acceptable. When writing Purpose statements, you
should consider an opening phrase that you can use from policy to policy and
from procedure to procedure.

A format for a good opening sentence follows: “This [insert ‘policy’ or

‘procedure’] establishes guidelines (or requirements or standards or rules) for…”
A subdivided opening sentence is also acceptable. For example, “This procedure
establishes guidelines for: (1) creating organization charts and (2) publishing
announcements.” A single sentence purpose is acceptable in some circumstances.

COMMON MISTAKES

 Omitting the Purpose section heading

 Failing to write a Purpose statement that introduces the main topic that
later supports the Policy statement
 Writing lengthy Purpose paragraphs
 Using an outline format, subheadings, or bullets
 Using fragmented sentences
 Using abbreviations, acronyms, or other technical terms not yet defined or
readily recognized by the audience
 Failing to use a consistent opening phrase from policy to policy or from
procedure to procedure

SCENARIO OF THE PURPOSE SECTION

The scenario for the Purpose section contains information that was collected
during the research or prewriting step. The business processes, diagrams, meeting
results, or other documents, become the input to this section. The information can

47
also be used for the Policy, Responsibilities, and Procedures sections. In this
scenario, you know the following:

 Employees purchase supply items in multiple ways including purchase

requisition, company or personal check, credit card, or cash
 Employees are inadvertently putting the company at risk by going around
the professionals in the purchasing department who have been approved
by the company to commit funds to suppliers for duly authorized orders
and contracts
 Maintenance, repair, operating (MRO), and office supplies are not-for-
resale, not used in production, and cost less than $500.00
 The goal of the purchasing department is to become a single point of
procurement activities for all employee purchase requests

WHAT TO LOOK FOR

Look for information that will lead you to an introductory statement. Look for
words and phrases that tell the story about the subject or solution to the original
problem statement. If you just start writing the opening phrase, “The [insert policy
or procedure] establishes guidelines for…” the rest of the sentence should flow
naturally as you recall the information collected during the research step.

PURPOSE EXERCISE

Write two sentences that describe the intention of a procedure for employees who
wish to purchase maintenance, repair, and operating (MRO) supply items like
small tools or office supplies. Compare your responses with the suggested
answers and explanations in the next few pages. Record your answers on a
notepad or word processor. Save your work.

“GOOD” ANSWER

1.0 Purpose

This policy/procedure establishes guidelines for the business process by

which employees can request the purchase of maintenance, repair, and
operating (MRO) supplies directly from the purchasing department. The
process begins with a purchase requisition being completed; the process
ends with the payment of an invoice.

48
Explanation of Answer:

The intention of this statement is made clear by using a two-sentence purpose

statement. The opening phrase is clear – notice how the sentence is worded
almost like a definition. This is an excellent way to begin policy and procedure
documents. The opening phrase can be reused for future procedures. In the
second sentence, a starting and ending point is indicated. With this distinct
‘Purpose’ statement, the reader can expect the procedure to unfold with details
that explain how and when a purchase requisition should be used. Both sentences
are quantifiable and measurable.

“NOT SO GOOD” ANSWERS

Answer 1:

1.0 Purpose

This procedure establishes guidelines for employees to request the

Purchasing Department to purchase items.

Explanation of Answer:

In this case, a single sentence is not enough. Had the sentence been more
descriptive, it could have been acceptable. Several details are missing. The reader
is not certain how the employee requests items from the purchasing department.
The word, purchase requisition, is not even used. Also, by using the word,
‘request,’ rather than ‘purchase requisition,’ the process by which supply items
are requested could be misinterpreted. The purchasing department wants a
purchase requisition to be processed by the employee; they are not looking for
telephone calls, emails, faxes, or walk-ins. When writing ‘Purpose’ statements, try
to make some kind of reference to the title of the policy or procedure.

Answer 2:

1.0 Purpose

It is the purpose of this document to provide guidelines for the Purchasing

Department to accept PR’s from employees. The process starts with the
initiation of a purchase requisition and ends with the completion of a PO
and invoice payment by AP.

49
Explanation of Answer:

The statements in Answer 2 are stronger than in Answer 1, but the statement is
still vague. The opening sentence is in the passive voice and the sentence starts
with “it,” a poor choice in any business document. The use of the word
‘document’ leaves the reader confused about the document type – is it a policy or
a procedure? The abbreviations, PR, PO, and AP are not acceptable because they
have yet to be defined. If you had defined any of these terms in the title, you could
have used the appropriate abbreviation.

CHECKING YOUR WORK

Verify that your Purpose statement does not violate any of the “Common
Mistakes.” Check the content of your introductory paragraph with the scenario
section.

SUMMARY

The Purpose statement is the FIRST section of the WRITING FORMAT . This section
serves the purpose of introducing the main focus of the policy or procedure. A
paragraph with two or three sentences is the preferred format of the Purpose. The
reader should have a clear sense of how the document will unfold from the
Purpose section.

REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2012.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

50
Chapter 5

2.0 Persons Affected (or Scope)

Second Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this SECOND section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Persons Affected section
 Provide questions and suggested answers to your
responses to the Persons Affected exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 2.0: Persons Affected
Format of Persons Affected Section
Common Mistakes
Scenario of Persons Affected Section
What to Look For
Persons Affected Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

51
 WRITING FORMAT TEMPLATE

52
PURPOSE OF SECTION 2.0: PERSONS AFFECTED
This is the SECOND section heading of the WRITING FORMAT . The Persons
Affected section reflects the audience or targeted users that influence or support a
specific policy or procedure. Every policy or procedure has some kind of
audience, whether it is “all employees” or a single department.

FORMAT OF PERSONS AFFECTED SECTION

This is the only section where the actual wording of the section heading can vary
from documen to document. For instance, this section could be named:
“Departments Affected” or “Employees Affected.” The text that follows is
typically a more specific listing, e.g., under “Departments Affected” it could read
“Finance and Accounting” or “Purchasing, Receiving, and Accounting
Departments.”

In addition to statements about which entities are included, there can be a reason
for including an exclusion statement. For instance, a specific policy or procedure
might only affect the continental United States (48 states) and not Alaska and
Hawaii. The section heading might read “Areas Affected,” and the text could read,
“The 48 states within the Continental United States.” The exclusion sentence
could read, “Alaska and Hawaii are excluded from this procedure.”

The format of this section is typically a single fragmented sentence like “All
Employees” or “All Sales Offices.” In the case of a detailed explanation, both a
paragraph and an outline style are acceptable. The choice is yours.

COMMON MISTAKES

 Omitting the Persons Affected section

 Specifying “All employees” as the audience when the audience actually
consists of a lesser number of groups or individuals
 Limiting an audience to several departments when the policy or procedure
affects more departments, directly or indirectly
 Omitting exclusion statements when groups of people or departments are
not intended to use a specific policy or procedure
 Using this section to apply tangible items such as buildings or hardware

SCENARIO OF THE PERSONS AFFECTED SECTION

A scenario for the Persons Affected section includes information collected during
the research or prewriting step. While the audience of a policy or procedure may

53
seem obvious, it is quite easy to overlook user groups that influence or are
affected by a policy or procedure. In this section, you know the following:

 Employees who receive prior approval from management can initiate

purchase requisitions for the purchase of MRO supply items
 The purchasing personnel involved with the purchasing process are
purchasing managers, buyers, purchasing assistants, and clerks
 Support personnel outside of the purchasing department include the
employees’ managers, receiving clerks, inspectors, and accounting clerks
 Only purchasing departments in North America are included in this
procedure and all other purchasing departments are excluded because they
have their own predefined policies, procedures, and practices that conform
to the standards of the country where they are located

WHAT TO LOOK FOR

Look for all the people and departments you have been working with during the
research or prewriting step. During the coordination and review steps of the
writing process, check for additional groups of people who influence or support a
specific policy or procedure. Discuss the Persons Affected section with those
individuals that were originally identified during the research or prewriting step.
Your goal is to identify all groups who influence or support a policy or procedure.
The omission of any key groups could be disastrous to total buy-in.

PERSONS AFFECTED EXERCISE

Write four sentences identifying the audiences of the Persons Affected section as
follows: (1) include all employees authorized to make purchase requests, (2)
include the job functions of individuals that will assist with the processing of
purchase requests from receipt of a purchase requisition into the purchasing
department to the payment of the invoice, (3) change the section heading to reflect
“North American Purchasing Departments,” and (4) write an exclusion statement
for purchasing departments outside of North America that do not have to follow
the guidelines of this procedure. Record your answers on a notepad or word
processor. Save your work.

“GOOD” ANSWER

2.0 North American Purchasing Departments

2.1 All employees who are authorized in advance from their

management to make purchase requests

54
 2.2 Purchasing managers, purchasing assistants, buyers, and
purchasing clerks

2.3 Receiving clerks, inspectors, and accounting clerks

Exclusion statement: All purchasing departments outside of North

America are specifically excluded from this procedure

Explanation of Answer:

The outline style was selected as the answer to this exercise due to the lengthy
inclusion statements. A shortened version of this section might read, ‘All
employees authorized to initiate purchase requests; purchasing personnel;
receiving personnel; inspection personnel, and accounting personnel.’ While this
fragmented sentence is wordy, it covers all of the applicable groups involved with
this particular procedure. The amount of detail in this section is your choice. You
will find that many of your policies and procedures contain short ‘Persons
Affected’ statements like, ‘For exempt employees only,’ or ‘All sales offices
worldwide.’

This example includes a listing of the functions of those individuals, or groups of

individuals, who initiate a purchase requisition, receive an order, inspect the
received items, and pay an invoice. Second, the section heading was changed from
‘Persons Affected’ to ‘North American Purchasing Departments.’ Third, an
exclusion statement was added as a precaution to ensure purchasing departments
outside of North America do not think they have to follow the guidelines of this
procedure.

If you still believe that there will be some confusion, you could add a second
sentence to the exclusion statement. For example, ‘Contact your Purchasing
Manager for a copy of the relevant practices and procedures for your division or
country,’ or ‘Contact the Procedure Department for details about policies and
procedures written in other divisions.’

“NOT SO GOOD” ANSWER

3.0 Persons Affected

Applies to all employees.

55
Explanation of Answer:

The ‘all employees’ answer is a poor answer for these exercises. While you could
argue that the ‘all employees’ statement is valid because any group of employees
falls under the heading of ‘all employees,’ a specific audience selection is
preferred. With a more focused audience, it will make it easier for the reader to
understand the intent of a policy or procedure.

CHECKING YOUR WORK

Check your answers with the “Common Mistakes” section and make any
necessary adjustments. Verify the functional titles you have selected with the
information collected during the research or prewriting step. If you have any
doubts, contact the Human Resources Department for a current organization chart
or report that lists all employees by department and job title.

SUMMARY

The Persons Affected section is the SECOND section of the WRITING FORMAT .
This section identifies the audience of a specific policy or procedure. Fragmented
sentences are an acceptable format for this section. Exclusion statements should
be considered when there could be confusion as to the exact audience of a specific
policy or procedure.

REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

56
Chapter 6

3.0 Policy
Third Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this THIRD section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Policy section
 Provide questions and suggested answers to your
responses to the Policy exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 3.0: Policy
Format of Policy Section
Common Mistakes
Scenario of Policy Section
What to Look For
Policy Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

57
 WRITING FORMAT TEMPLATE

58
PURPOSE OF SECTION 3.0: POLICY
This is the THIRD section of the WRITING FORMAT . The Policy section is the most
important section heading for a policy or procedure because it provides the
objectives, strategies, goals, culture, and vision and mission of an organization as
they relate to a specific policy or procedure. Even if you have made the decision
to write a separate policy manual or to co-mingle policies and procedures in a
single manual, a Policy section heading is still required in both a policy and
procedure document. Refer to Chapter 1, “Importance of a Writing Format,” for
the rationale behind this comment.

Policy statements generally originate from the following kinds of information:

 Power statements with words like “Require,” “Must,” “Shall,” or

“Forbid.”
 Goals or objectives of senior management toward specific business
processes or issues
 General company or department assumptions (i.e., facts taken for granted)
 Department guidelines for specific business processes or practices

FORMAT OF POLICY SECTION

The format of the Policy section can be an outline or paragraph format. If there is
only one Policy statement, then a single sentence or paragraph written in a
paragraph format will often suffice. When there are two or more Policy
statements, then an outline format is preferred.

The Policy section should use a consistent opening phrase, as was the case in the
Purpose section. The format choice is yours. My personal favorite opening phrase
is “The policy of [your company name] is to ensure:” The colon indicates that
several policy statements are forthcoming. If you have one Policy statement, then
there is no need for the colon.

If you have two or more policy statements, then retain the colon and list the
statements in logical order using outline numbering. You should never use bullets
because bullets cannot be clearly referenced. You can change the word ensure to a
word of your choice but each statement thereafter should lead into a natural
sentence structure.

An example of a natural flowing sentence is shown in the exercises and in the

examples in Part 3 of this book.

59
COMMON MISTAKES

 Omitting the Policy section heading from procedure documents

 Failing to include statements with power words such as “shall,” “must,”
“prohibit,” “will,” “ban,” “allow,” and so on.

NOTE: If these power words are not in your policy statements, then the
statement is probably not a policy statement; the next place to put such
statements is in the Procedures Section 6.0.

 Writing “Not Applicable” for the Policy section either in policy or

procedure documents
 Using specific procedural statements instead of general policy statements
 Writing policy statements that do not support the main focus of the
Purpose section
 Writing a policy statement that includes information that will not be
supported by the procedural statements in the Procedures section (there is
a possibility of writing too much information in this section)
 Failing to include a consistent opening phrase
 Using the passive voice in the opening phrase, or anywhere in the Policy
section
 Using an unnatural word flow when listing policy statements after an
opening phrase
 Failing to list all of the policy statements for either a policy or procedure
document

SCENARIO OF THE POLICY SECTION

The source of policy information is different from the information collected for
the other seven sections. Policy information is generally collected during
interviews with senior management including the Chief Executive Officer (CEO),
the CFO, and the department executives (i.e., the highest person in a single
department) of those departments listed in the Persons Affected section. Policy
information can also be derived from existing company or department processes,
policies, procedures, and practices. In this scenario, you know the following:

 Senior management believes that the purchasing professionals within the

Purchasing Department are the only employees that can obligate suppliers
and commit funds
 The Purchasing Department’s policy that the purchase requisition form is
the only document acceptable for the purchase of MRO supply items
 The Human Resources’ policy that personal items cannot be procured or
received by any employee on company premises
60
WHAT TO LOOK FOR

Look for the kind of statements that reflect decisions made by management. Refer
to notes you gathered during interviews with management during the research or
prewriting step. Look back at the Purpose statement for clues. Read the mission,
vision, and policy statements published by any department that could influence
the inputs or outputs of this policy or procedure. Review the Policy sections of the
sample policies and procedures in Part 3.

POLICY EXERCISE

Write three policy statements plus an opening phrase that includes: (1)
management’s decision that only the purchasing department is authorized to
obligate suppliers for orders from the company; (2) purchasing department’s
viewpoint that the purchase requisition form is the only acceptable method to
request the purchase of MRO supply items; and (3) viewpoint of the Human
Resources department on the purchase and receipt of personal items. Record your
answers on a notepad or word processor. Save your work.

“GOOD” ANSWER

3.0 Policy

The policy of [insert your company name] is to ensure:

3.1 The purchasing department is the only department that is

authorized to engage suppliers and obligate funds through purchase
orders and contracts.

3.2 The purchase requisition form is the only document that will be
accepted by the purchasing department for the procurement of
MRO supply items.

3.3 Personal items (e.g., flowers, refreshments, personal subscriptions,

or gifts) are not purchased on company premises or received by the
company through the receiving department or any other entrance to
the company or its properties.

Explanation of Answer:

This example reflects a typical policy statement. Check out the examples in Part 3
as an aid to understand these answers. Opening phrases in ‘Policy’ statements
are generally used to introduce a listing of policy statements. This opening phrase
61
can be reused in future policies or procedures. Each statement is a complete
sentence when coupled with the opening phrase (i.e., natural flowing sentence),
that is, when reading ‘The policy of [insert your company name] is to ensure…’
each sentence thereafter completes a thought and does not violate any grammar
rules. The abbreviation, ‘MRO,’ can be used because it was defined in the title.

Policy statements outline the company’s position or strategy for a policy or

procedure. Each of the three statements expresses a fact derived from the strategy
positions of the company and the purchasing department. Note that policy
statements are typically written as ‘statements of fact’ rather than as processes or
methods for accomplishing tasks.

You will learn from experience which kinds of statements belong in the ‘Policy’
section. Compare your policy statements from both your exercises and your actual
policies and procedures with the sample policies and procedures contained in
Part 3 of this book.

“NOT SO GOOD” ANSWER

3.0 Policy

It is the policy of [insert your company name] to:

3.1 Expenditures of company funds for goods and services are

properly reviewed and approved.

3.2 The purchasing department is the only department that can accept
purchase requests from employees.

3.3 Adhere to the policies of the HR Department pertinent to personal

items.

Explanation of Answer:

Each policy statement is vague and not informative. While the opening phrase
has been included, the wording is inappropriate. For instance, the phrase, ‘It is
the policy of [insert your company name] to…’ has several problems. First, the
sentence starts with “It” and the reference is unclear. Second, two of the three
sentences that follow the opening phrase are not natural flowing sentences (i.e., if
you remove the colon, the sentence should form a complete thought and not
violate any grammar rules).

62
  The first sentence, ‘3.1,’ is not a complete thought when coupled with the
opening phrase. This policy statement is not specific for purchasing
activities; a statement should be rephrased to include a reference to the
purchasing department and to the use of purchase orders and contracts.

 The second sentence, ‘3.2,’ is not a complete thought when coupled with
the opening phrase. Second, while a ‘purchase request’ might be
referencing a purchase requisition form, it could also be interpreted as
requests that are made through the telephone, email, fax, or as a walk-in,
into the purchasing department. You should always try to write in specific
terms (i.e., purchase requisitions) instead of general terms (i.e., purchase
requests).

 The third sentence, ‘3.3,’ is a complete sentence when coupled with the
opening phrase. The abbreviation, ‘HR,’ should be spelled out because it
has not been defined yet. In this instance, the term, ‘HR,’ is referring to
the Human Resources Department. Second, problems exist with this
sentence because the reader has been given information that will require
further research. A short, descriptive summary of the Human Resources’
policy on personal items is preferred over a vague statement that forces
the reader to seek out information not contained in this document.

Writing statements that are vague and not informative should be avoided because
the reader will often not take the time to seek out additional information. This
brings us to a legal question. If the reader is given all the information about a
specific policy or procedure, the company can hold him accountable for his/her
actions. If the reader is given vague information, then it is more difficult to hold
the reader accountable because you cannot be certain that he has the correct
information in his/her possession. Often a procedure writer will request that a
manual holder sign that he has received a document.

CHECKING YOUR WORK

Check your Policy statements within the “Common Mistakes” section and resolve
any conflicts. Reread the policy statements that follow an opening phrase to
ensure they are natural flowing sentences. Recheck the information you collected
during the research or prewriting step.

SUMMARY

This is the THIRD section of the WRITING FORMAT . The Policy section is an
important section because it eliminates the need for a separate Policy manual, and
even a separate policy document. Policy statements set the stage for the
63
Procedures section that will include the processes to help carry out the policy
statements outlined in the Policy section.

REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

64
Chapter 7

4.0 Definitions
Fourth Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this FOURTH section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Definitions section
 Provide questions and suggested answers to your
responses to the Definitions exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 4.0: Definitions
Format of Definitions Section
Optional Documentation
Common Mistakes
Scenario of Definitions Section
What to Look For
Definitions Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

65
 WRITING FORMAT TEMPLATE

66
PURPOSE OF SECTION HEADING 4.0: DEFINITIONS
This is the FOURTH section heading of the WRITING FORMAT . The Definitions
section defines objects or terms like acronyms, abbreviations, forms, reports, flow
diagrams, models, words infrequently used, or technical jargon. Definitions are
needed in policies and procedures because you cannot assume that readers can
understand your use of objects or terms. Even the most basic definitions should be
included. For instance, not everyone will know that a PR is a purchase requisition,
or that a PO is a purchase order. For instance, the term “PR” can also mean public
relations while the term “PO” can also mean public opinion.

At a minimum, you should define the major words, phrases, terms, or objects that
could be confusing your selected audience(s). Always consider defining the
objects or terms used in your title, purpose, and policy statements; these
definitions can often mean the difference between understanding and not
understanding the focus of a policy or procedure.

My advice to you: Define any term or object that could possibly be

misinterpreted. Use the following as alternatives: Look through a thesaurus - if
there are several interpretations of a word, then define the word in the Definitions
section.

FORMAT OF THE DEFINITIONS SECTION

Definitions are generally placed in order of importance, starting with the most
important, or most referenced, definition first. A definition can be explained as “a
method for developing a meaningful sentence or paragraph in which an object or
term is defined.” In general, a definition identifies the term to be defined and uses
terminology suitable for the audience. The easiest way to define a term is to
summarize its meaning in a simple sentence, much the way a dictionary does.

Other times, a full-length paragraph may be necessary. In some cases, added

information like benefits, examples, and reference material (e.g., forms, diagrams,
models, or text that does not fit within the body of a policy or procedure) will help
the reader understand a definition. When optional documentation is included in a
policy or procedure, a short summary must be included in the Definitions section
along with a reference to its location.

OPTIONAL DOCUMENTATION

Optional documentation is common for procedure documents but infrequent for

policy documents. While you might be thinking, “Why not include a ninth

67
section?” An extra section is not an option because it would add inconsistency to
the standard WRITING FORMAT . Optional documentation is best handled as a
reference from the Definitions or Procedures section. Optional documentation is
placed at the end of a policy or procedure or referenced to an external location.

Optional documentation includes documents, forms, flow charts, diagrams,

cumbersome text, or other content where an earlier reference has indicated that the
reader would find that information in an appendix (i.e., supplementary material
attached to the end of a document). For instance, if a reference reads, “Refer to
Appendix A for a form sample and form instructions,” the reader would expect to
find Appendix A immediately following the Revision History Section 8.0.

FORMAT OF OPTIONAL DOCUMENTATION

Each document should be placed in a separate appendix using the same template
as in the policy or procedure. The word, “Appendix” plus a “[reference letter],”
(e.g., Appendix “A”), should be centered at the top of the page; the title of the
appendix should be placed as the second line underneath the Appendix Title,
centered, not bold. The appendix content should follow, e.g. flow chart, table,
report, and so on. Refer to sample documents in Part 3.

I prefer this method to just attaching documents without regard to format; it

provides an element of consistency when the reader sees all of the information of
a policy or procedure contained within the borders of a single template. When
including printed forms, the forms should be reduced to fit within the borders of
the template. This can be accomplished by reducing the printed forms on a
photocopy to fit within the borders.

For optional documentation, not included at the end of a policy or procedure, seek
out the “referenced” document to make sure it is easy to locate. Readers will
become quickly frustrated if they go to the effort of searching for a reference that
either cannot be quickly found or does not exist.

Some readers may question placing forms at the end of a policy or procedure
because forms add extra pages to a document and could make the document
cumbersome. While this practice can add extra work to the job of a procedure
writer, I believe it is a worthwhile effort. Users do not usually go to the effort of
finding the most current version of a form; they will use whatever is convenient
(e.g., old forms in their desk drawer or in a stationery cabinet).

A policy or procedure is an excellent place to include pictures of forms and form

instructions. Inexperienced writers tend to overlook form instructions. If a reader
sees a picture of the correct form, the chances of the correct form being used
68
increase, and hence, higher compliance can be achieved. A second benefit is that
the reader does not have to seek out other sources to find form instructions.

For network or web policies and procedures, you have more flexibility in the
manner in which you display optional documentation (i.e., there is no reason to be
confined to the limited space within a template because you can “hyperlink” to
almost any document or web address from electronically displayed documents on
a network or web site).

COMMON MISTAKES

 Omitting the Definitions section

 Omitting the words, “Not Applicable,” or leaving this section blank for
policy or procedure documents
 Writing lengthy definitions instead of summary paragraphs with reference
statements
 Failing to write definitions for terms, objects, acronyms, or abbreviations
 Failing to write reference statements at the end of a definition for objects
like forms, models, or diagrams
 Failing to include copies of forms and form instructions at the end of a
policy or procedure, or a reference to an external location
 Writing definitions about forms or documents with reference statements
and then failing to include the optional documentation at the end of the
policy or procedure or failing to include a reference to an external location
 Failing to include the correct reference (e.g., referencing Appendix B
when it should have been Appendix A) for optional documentation

SCENARIO OF THE DEFINITIONS SECTION

The scenario for the Definitions section includes a list of objects or terms
pertinent to this procedure. Objects or terms for this exercise include:

 Term: Maintenance, Repair, and Operating (MRO) Supply Items

 Object: Purchase Requisition (PR)
 Object: Request for Quotation (RFQ)

WHAT TO LOOK FOR

Check for keywords in your flow chart and task list that the audience may not
readily recognize or understand. Use a thesaurus to identify words that could be
easily confused. Use a dictionary to double-check your definitions. Look at the
inputs and outputs of the flow chart as a possible source of terms or objects that

69
could be defined. Review your definitions – there could be terms or objects within
the definitions themselves that should also be defined or referenced.

DEFINITIONS EXERCISE

Write definitions for the following: (1) maintenance, repair, and operating (MRO)
supply items, (2) purchase requisition (PR) form - include a reference statement
for the PR to an external forms catalogue, and (3) request for quotation (RFQ)
form – include a reference statement for the RFQ to the end of this procedure.
Record your answers on a notepad or word processor. Save your work.

“GOOD” ANSWER

4.0 Definitions

4.1 Maintenance, Repair, and Operating (MRO) Supply Items.

Expensed materials used by employees to help them perform their
jobs. These materials can include, but are not limited to, small
tools, cleaning supplies, office supplies, and a variety of other
consumable items that are not-for-resale, not for production
purposes, and cost less than $500.00.

4.2 Purchase Requisition (PR). This document is a three-part, pre-

numbered, form used by employees to request the purchase of
materials or services by the purchasing department. The purchase
requisition is the key document authorizing the purchasing
department to buy specific materials, parts, supplies, equipment,
and services. A purchase requisition describes what is to be
purchased, provides a record of the purchase requisition, and
approves the commitment of funds.

4.2.1 Completion of the purchase requisition alone does not

constitute placing an order.

4.2.2 Refer to the latest forms catalogue maintained by the forms

management department for a sample form and form
instructions.

4.3 Request for Quotation (RFQ). This document is a three-part, pre-

numbered, form used by the purchasing department to request bids
from suppliers. A request for quotation is a means of inviting bids
from prospective suppliers. This form is the buyer’s first official
contact with possible suppliers.
70
Explanation of Answer:

Each of these three definitions is clear in meaning and includes the appropriate
references and details to establish an explicit definition. Reference sentences are
included for each form (i.e., an object).

 In ‘4.1’ the ‘Maintenance, Repair, and Operating (MRO) Supply Items’

term is correctly defined; examples of supply items have also been
included. Dollar limits have been set for using the form. The abbreviation,
‘MRO,’ has been properly defined – it can now be freely used anywhere
from this point forward. No reference has been included because terms
generally do not contain additional information that would require a
reference.

 In ‘4.2’ the ‘Purchase Requisition’ is defined. While this information is

defined in detail in the ‘Procedures’ section, I prefer to give the reader
more detail up front than to assume he will read the ‘Procedures’ section
and find this same information. More detail enhances comprehension for
the reader. Note that a reference statement has been included, pointing the
reader to an external forms catalogue maintained by the forms
management department, for a copy of the referenced form and form
instructions.

When a form is involved, the procedure writer should coordinate the

writing of a procedure with the forms management department to ensure
that the design of the form and the form instructions do not contradict with
the details of the procedure.

 In ‘4.3’ the ‘Request for Quotation’ form is defined. Again, the detail of
the definition is your choice. A reference statement has been included as
the last sentence of the definition because an object was being defined.
The reader is pointed to the end of the procedure for a copy of the
referenced form and form instructions.

71
“NOT SO GOOD” ANSWER

4.0 Definitions

4.1 Maintenance, Repair, and Operating Supplies (MRO). Supplies

used by employees in the execution of their jobs. Examples include
small tools, cleaning supplies, and office supplies.

4.2 Purchase Requisition (PR). Form used by employees to purchase

materials or services.

4.3 Request for Quotation. Quotation form used by the purchasing

department to obtain bids from suppliers. Refer to Appendix B for
a sample form.

Explanation of Answer:

While these three definitions are passable, each definition contains several
common errors.

 In ‘4.1’ the definition is short, concise, and contains examples. Still, the
definition has three problems. First, the abbreviation, ‘MRO,’ should be
placed after the phrase, ‘maintenance, repair, and operating,’ not at the
end of the phrase. Second, the word, ‘supplies’ is used to define itself.
Third, the second sentence is a fragmented sentence. Fragmented
sentences should not be used in the ‘Definitions’ section.

 In ‘4.2’ the definition of the purchase requisition is vague and not

informative. A description of the physical characteristics of the PR should
be included as well as the purpose of the form. In addition, the reference
to the location of the object is not included.

 In ‘4.3’ the definition of the ‘request for quotation’ form is concise but
contains several errors. First, the abbreviation, ‘RFQ,’ is omitted and
should be placed after the object, ‘Request for Quotation.’ Second, the
word, ‘quotation,’ is used to define itself. Third, the reference to the
location of a copy of the current form is incorrect or it suggests (as is the
case) that an earlier reference was not included. Recall that the reference
statement in ‘5.2’ was omitted. This definition pointed to ‘Appendix B’
when an ‘Appendix A’ has yet to be identified.

72
CHECKING YOUR WORK

Check for words and phrases used in the first four sections of the WRITING
FORMAT – if they are not self-explanatory, then they should be defined in the
Definitions section. Check the definitions and determine if you have words within
your definitions that should also be defined. Double-check that you have included
reference statements. Verify that you have included the referenced document
either at the end of the procedure or at your designated external location.

SUMMARY

The importance of the Definitions section cannot be overemphasized.

Inexperienced procedure writers tend to exclude definitions because they think
their audience should understand the basic terms or objects of a specific policy or
procedure. If there is the slightest doubt that a term or object will be
misunderstood, it should be defined in the Definitions section and used in the
Procedures section. A definition of a term or object serves no purpose if the term
or object is not later explained in the Procedures section and in the case of an
object, referenced at the end of a specific policy or procedure, or at an external
location.

REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

73
74
Chapter 8

5.0 Responsibilities
Fifth Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this FIFTH section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Responsibilities section
 Provide questions and suggested answers to your
responses to the Responsibility exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 5.0: Responsibilities
Format of Responsibilities Section
Common Mistakes
Scenario of Responsibilities Section
What to Look For
Responsibilities Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

75
 WRITING FORMAT TEMPLATE

76
PURPOSE OF SECTION HEADING 5.0: RESPONSIBILITIES
This is the FIFTH section of the WRITING FORMAT . The Responsibilities section is
a summary listing that describes the roles and responsibilities of the individuals,
or group, that performs actions in a policy or procedure. The Procedures section
will provide the details behind the roles and responsibilities listed in this section.

The Responsibilities section should be written in the same sequence of events that
occurs under the Procedures section. Often the procedure writer can write the
Procedures section before the Responsibilities section.

FORMAT OF RESPONSIBILITIES SECTION

The Responsibilities section is written as summary statements such as “All

employees are required to…” or “Each sales office is responsible for…” There are
two formats for the Responsibilities section. First, a single paragraph can be used
if you only have one individual, or group, that is involved with a policy or
procedure. Second, an outline format can be used if two or more individuals
influence or support a policy or procedure. In both cases, summary statements are
written. The details of the actions of those individuals, or groups, can then be
included in the Procedures section.

The first sentence of a Responsibilities section is reserved for the individual who
oversees the compliance of a policy or procedure. This person is responsible for
resolving any conflicts, issues, or concerns an employee might have with a
specific policy or procedure. The assigned person of this “compliance” role
should be in a position that manages all of the functional areas of a specific policy
or procedure.

I usually ask the Chief Executive Officer (CEO) or President of the Company to
sign all policies and procedures. The “CEO” rationale is simple; the CEO or
President of the Company is not likely to be challenged. A compliance statement
could read, “The CEO shall ensure compliance to this policy/procedure.”

The compliance statement is important because it sets the stage

and identifies the person or persons that generally provides
oversight to the policy/procedure document.

The sentences that follow should contain the roles and responsibilities of those
individuals, or groups, performing actions to carry out the intent of a specific
policy or procedure. The actual names of individuals should not be used.

77
COMMON MISTAKES

 Omitting the Responsibilities section

 Writing the words, “Not Applicable,” in the Responsibilities section
 Failing to include a compliance statement as the first sentence of this
section
 Writing the Responsibilities section in a different sequence than entered
for the action statements in the Procedures section
 Writing procedural statements in the Responsibilities section
 Using a paragraph format instead of an outline style when there are two or
more individuals, or groups, performing actions
 Entering responsibility statements in the passive voice instead of the active
voice
 Writing actual names of persons instead of their roles or functions

SCENARIO OF THE RESPONSIBILITIES SECTION

The source of information for the Responsibilities section is derived from the two
information gathering tools: Flow chart and task list. For these exercises, you
know the following:

 The Purchasing Department Director oversees the purchasing process

 Employees initiate and prepare purchase requisitions for MRO supply
items
 Employees coordinate management and accounting approval of their
purchase requisitions
 The purchasing assistant reviews incoming purchase requisitions
 The purchasing manager reviews purchase requisitions upon receipt from
the purchasing assistant and assigns the appropriate MRO buyer

WHAT TO LOOK FOR

Look for all individuals, groups of individuals, or departments that perform some
kind of action, e.g., adhere to guidelines, select a form, review a form, approve or
disapprove a form, sign and date a form, assign a person to perform another task,
send out mail, receive a package, inspect an item, enter information into a log or
computer, or deliver received items to an employee. If you have completed the
task list, the statements within the Responsibilities section should be
straightforward to write.

78
RESPONSIBILITIES EXERCISE

Write four Responsibility statements using the following information: (1) the
purchasing director is the person who is accountable for the compliance of this
procedure; (2) the actions an employee should take when preparing a purchase
requisition form; (3) the actions performed by a purchasing assistant when
reviewing incoming purchase requisitions; and (4) the action of a purchasing
manager when reviewing purchase requisitions submitted from the purchasing
assistant. Record your answers on a notepad or word processor. Save your work.

“GOOD” ANSWER

5.0 Responsibilities

5.1 The Purchasing Department Director is responsible for ensuring

compliance to this procedure.

5.2 Employees are expected to select the current purchase requisition

and adhere to the guidelines of this procedure when requesting
MRO supply items.

5.3 The purchasing assistant shall review all incoming purchase

requisitions to ensure they are completed in accordance with
current purchasing policies and procedures.

5.4 The purchasing manager shall review those purchase requisitions

received from the purchasing assistant.

Explanation of Answer:

There were four roles stated in this exercise; therefore, the outline format was
selected. Your style of writing will determine the detail of your policies and
procedures.

 In ‘5.1’ the compliance statement is sufficient. You could write a more

detailed statement like, ‘The purchasing director shall ensure compliance
to this procedure and serve as the person who will resolve any procedural
conflicts that might arise.’

 In ‘5.2’, ‘5.3, and ‘5.4’ each responsibility statement has a summary-level

topic sentence. The details behind the action statements should be written
in the ‘Procedures’ section.

79
“NOT SO GOOD” ANSWER

5.0 Responsibilities

5.1 Donald Crawford, purchasing department director, shall ensure

compliance to this procedure.

5.2 It is the responsibility of employees to complete a purchase

requisition when requesting small tools and office supplies.

5.3 The purchasing assistant within the purchasing department shall

review all requisitions. The purchasing assistant shall initial the
purchase requisition in the lower-right hand corner of the
requisition.

5.4 Purchasing managers are responsible for making sure that all
employees adhere to the guidelines of this procedure.

Explanation of Answer:

While these ‘Responsibilities’ statements appear to be summary statements, each

statement has one or more errors.

 In ‘5.1’ the actual name, ‘Donald Crawford,’ does not belong in a policy
or procedure. If the term, ‘purchasing department director,’ is referring
to a specific person, then the initial letter of each word should be
capitalized. Otherwise, lowercase will suffice.

 In ‘5.2’ there are two errors. First, a sentence should not begin with ‘it’
because the reference is not clear. Second, the writer has limited the
employee’s choices of supply items. The scope should be broadened to
include all MRO supply items.

 In ‘5.3’ there are three errors. First, there is no need to mention the
department where the purchasing assistant works. Second, the correct
term to use is ‘purchase requisition’ or ‘PR’ not just ‘requisition.’
Purchase requisitions are not the only kind of requisitions in a company.
There are other requisitions such as material and personnel requisitions.
Third, the second sentence is a detail and it belongs in the ‘Procedures’
section.

 In ‘5.4’ the statement is valid but redundant. The Purchasing Department

Director (Section 5.1) is responsible for assuring compliance, not the
80
 purchasing managers. While the purchasing manager also has a
‘compliance’ responsibility, the purchasing manager has more specific
roles and responsibilities that should be mentioned in this section. Your
goal is to write clear and concise sentences.

CHECKING YOUR WORK

Check that the action statements in the Responsibilities section parallel the general
flow of the actions within the Procedures section. Revisit the common mistakes
section and make any appropriate adjustments. Double-check the flow chart and
task list to ensure you have identified the actions performed by all individuals, or
groups, that influence or support a policy or procedure. Confirm that only the
roles and responsibilities of individuals are included in the Responsibilities section
and that the Responsibilities statements are at the summary level and do not
contain detail that should be included in the Procedures section.

SUMMARY

The Responsibilities section is the FIFTH section of the WRITING FORMAT . The
purpose of this section is to write summary-level statements of those individuals
performing actions in a policy or procedure. The first sentence of the
Responsibilities section contains the “compliance” statement; this is one of the
most important statements to include in any policy or procedure. Otherwise,
policies and procedures could fail because there would be no one to hold “users”
accountable for their actions.

REFERENCES

Dobrian, Joseph, Business Writing Skills, AMACOM, New York, New York,
1998.

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

81
82
Chapter 9

6.0 Procedures
Sixth Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this SIXTH section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Procedures section
 Provide exercises and suggested answers to questions
posed in the Procedures exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 6.0: Procedures
Format of Procedures Section
Common Mistakes
Scenario of Procedures Section
What to Look For
Procedures Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary
References

83
 WRITING FORMAT TEMPLATE

84
PURPOSE OF SECTION HEADING 6.0: PROCEDURES
This is the SIXTH section of the WRITING FORMAT . The Procedures section
defines and outlines the rules, regulations, methods, timing, place, and personnel
responsible for accomplishing the policy statements as outlined in the Policy
section. The steps from the flow chart and task list are outlined in a general
sequence from start to finish in the Procedures section.

FORMAT OF PROCEDURES SECTION

The format of the Procedures section is generally laid out in an outline style.
While a single paragraph format is sufficient for short procedures, a list of
unnumbered paragraphs is not acceptable. By using the flow chart and task list as
references, the procedure writer can write the procedure statements in a logical
sequence laid out in an outline format. The paragraph format should be avoided
because it can be the root of potential problems and inconsistencies. Recall my
personal example where the procedure manager unknowingly buried important
points in lengthy paragraphs.

COMMON MISTAKES

 Omitting this Procedures section from a policy document even when the
words, “Not Applicable,” are written in this section
 Failing to write, “Not Applicable,” in the Procedures section for a policy
document if the procedural statements are not needed
 Failing to write procedural statements that carry out the intent of the policy
statements in the Policy section
 Using the paragraph format instead of the outline style when there are two
or more procedural statements
 Writing procedural statements that do not follow the sequence of the
referenced flow chart and task list
 Failing to verify that the action statements within the Responsibilities
section parallel the action statements within the Procedures section
 Failing to write the necessary details to support the summary statements of
the Responsibilities section
 Writing policy statements in the Procedures section
 Failing to include the terms or objects that were defined in the Definitions
section

85
SCENARIO OF THE PROCEDURES SECTION

A scenario for the Procedures section includes any information collected during
the prewriting or research step. While the flow chart and task list are the primary
inputs to this section, any other information collected from interviews, workshops,
surveys, emails, questionnaires, or white papers, should be included. For these
exercises, you know the following:

 The type of demand that triggers an employee to prepare a purchase

requisition
 The process the employee performs when preparing a purchase requisition
and obtaining management and accounting approval
 The process the purchasing department performs upon receipt of a
purchase requisition from an employee
 The specific processes taken by the purchasing assistant, purchasing
manager, buyer, and purchasing clerk when processing a purchase
requisition, and generating a purchase order
 The actions the receiving department takes upon receipt of a copy of a
purchase order from the purchasing department, including the generation
of a receiver document and the processes required to process an incoming
order from a supplier

WHAT TO LOOK FOR

Look for information you gathered from: Interviews with business process
owners, users, customers, managers, and others involved with the purchasing
process. Double-check that you have identified all relevant sequence steps of the
flow chart and task list. Reread the current policies, procedures, forms, and form
instructions of the purchasing, receiving, and accounting departments.

PROCEDURES EXERCISE

Write three procedural statements based on the following information: (1) steps an
employee takes to prepare and process a purchase requisition, (2) the actions of
the purchasing assistant perform when processing an incoming purchase
requisition, and (3) the actions of the receiving clerks upon receipt of copy of the
purchase order from the purchasing department. Record your answers on a
notepad or word processor. Save your work.

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“GOOD” ANSWERS

6.0 Procedures

6.1 Any authorized employee can create a purchase requisition to

purchase Maintenance, Repair, and Operating (MRO) supply items
in accordance with the requirements referenced in this procedure.

6.1.1 The employee should normally view several catalogues or

past department orders to get an estimate of the total order
value of the items being requested on the purchase
requisition. This research will aid the employee and his/her
management in deciding if the items being requested are a
useful purchase for the department.

6.1.2 The employee shall obtain the latest version of the purchase
requisition form from the forms stock or designated
location for the forms inventory.

6.1.3 The employee should complete the purchase requisition and

forward it to his/her manager for approval. Upon approval,
the employee should forward the purchase requisition to the
accounting department for budget and signature approval.

6.1.4 When the accounting department returns the purchase

requisition to the employee, the purchase requisition can be
mailed, hand-carried, or faxed to the purchasing department
for order placement. Emails and electronic signatures are
unacceptable.

6.2 A purchasing assistant will review all incoming purchase

requisitions to ensure compliance with the guidelines contained in
this procedure.

6.2.1 The purchasing assistant will ensure that the department

and accounting signatures are correct and that all fields on
the purchase requisition have been properly completed in
accordance with the form instructions included at the end of
this procedure.

6.2.2 Upon approval, the purchasing assistant will initial the

purchase requisition at the bottom right corner and forward
it to the appropriate purchasing manager for review,
87
 approval, and assignment of an MRO buyer. In the
infrequent case that the Purchase Requisition (PR) is
disapproved, the purchasing assistant will make two
attempts to contact the employee. If the employee cannot be
reached, or if the problem cannot be resolved over the
telephone or with email, then the PR will be returned to the
employee for correction.

6.3 Upon receipt of a copy of the purchase order, a clerical person

within the receiving department will copy the purchase order onto
a pre-collated, four-part set of colored paper to produce a
“Receiver.” This document will be used to receive and
acknowledge the receipt of supply items.

6.3.1 The Receiver is filed in the receiving department with the

applicable PO copy.

6.3.2 Upon receipt of the items ordered, the receiving department

will match the order received to the packing sheet provided
by the supplier and to the Receiver. The receiving
information is recorded on the Receiver and any
discrepancies are noted. Depending on the terms and
conditions of the purchase order, the inspection department
might get involved with the order. If the order passes
inspection, the order is forwarded to the requesting
employee, and the order is distributed as follows:

6.3.2.1 Copy 1 is forwarded to the applicable buyer.

6.3.2.2 Copies 2 and 3 are forwarded to the accounting

department.

6.3.2.3 Copy 4 is retained by the receiving department.

Explanation of Answer:

This answer contains the right amount of detail for a typical procedure. More
detail is also acceptable. If you only write summary-level procedure statements,
the reader may not fully understand the intent of the procedure. The amount of
detail is your choice. The ‘Procedures’ section has been written in the outline
format because there are two or more procedural steps included in the flow chart.

88
In sections ‘6.1, 6.2, 6.3’ the first sentence of each section introduces the reader
to the topic of the paragraph (i.e., the exercise for this section). Each statement
that follows, supports the topic of the higher level heading or subheading. For
instance, sections ‘6.2.1’ and ‘6.2.2’ support the topic introduced in ‘6.2.’ This
kind of supporting evidence for a topic sentence is good practice. Each heading,
e.g., 6.1, 6.2, and 6.3, has at least two subheadings. The use of only one
subheading is poor practice and should be avoided.

“NOT SO GOOD” ANSWER

6.0 Procedures

6.1 Requesters will submit a purchase requisition form to his/her

manager for approval. Upon approval, the requisition form will be
forwarded to the purchasing department.

6.2 The purchasing department will receive all purchase requisitions

into their department where they will be reviewed for accuracy.

6.3 The receiving department will use a receiver to process items that
are received from the supplier filling the order. The receiver is
distributed in accordance with the distribution list printed at the
bottom of the receiving document.

Explanation of Answer:

While these three procedure statements provide adequate responses to the

exercises, each statement contains one or more errors. Note that these answers do
not contain enough detail. The two primary references, the flow chart and task
list, contain sequence steps that should be described in detail, not omitted. The
more information the reader has about a specific policy or procedure, the better
chance he will adhere to its guidelines.

 In ‘6.1’ there are four errors. First, the term, ‘requesters,’ is a poor choice
because the word has not been used in the procedure. Second, the event
that causes the employee to initiate a purchase requisition should be
described. Third, the term, ‘requisition,’ is incomplete; the modifier,
‘purchase,’ is necessary to avoid confusion as to the type of requisition
used. Fourth, there is no indication as to who will forward the purchase
requisition to the purchasing department.

 In ‘6.2’ there are three errors. First, there is no indication as to who in the
purchasing department will accept and review the incoming purchase
89
 requisitions. Second, there is no indication how and by what standards
(i.e., reference to a current policy or procedure) the purchase requisition
will be reviewed. Third, there is no mention of what happens when a
purchase requisition is accepted or rejected.

 In ‘6.3’ these two sentences are adequate though the source of the receiver
is not clear. Additionally, there is no indication how the receiver is used
when items are received.

CHECKING YOUR WORK

Check your procedure statements with the flow chart and task list you created
during the research or prewriting step. Verify that the Procedures section contains
statements that carry out the intent of the policy statements in the Policy
statement. Double-check that the Procedures section has been written in a logical
flow from start to finish.

SUMMARY

The Procedures section is very important to a procedure document because the

processes are laid out in a sequential and logical order. The level of detail usually
depends on your writing style, current practices on writing policies and
procedures, expectations of the readers, and the culture.

REFERENCES

Page, Stephen B., Achieving 100% Compliance of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 2000.

Page, Stephen B., Establishing a System of Policies and Procedures,

BookMasters, Inc., Mansfield, Ohio, 1998.

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Chapter 10

7.0 Document Approvals

Seventh Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this SEVENTH section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Document Approvals section

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 7: Document Approvals
Format of Document Approvals Section
Common Mistakes
Checking your Work
Summary

91
 WRITING FORMAT TEMPLATE

92
PURPOSE OF SECTION HEADING 7.0: Document Approvals
This is the SEVENTH section heading of the WRITING FORMAT . The Document
Approvals section contains the information necessary to show evidence of
approvals for policies and procedures documents.

Note: This section does not contain exercises and answers, as this section is self-
explanatory for the most part.

FORMAT OF “DOCUMENT APPROVALS” SECTION

The format of the Document Approvals section contains five columns and as
many approval signatures deemed necessary by your department and by your
organization. In some cases there will be two signatures: Author and Final
Approver. In other cases, a department executive or manager might want every
manager to approve a policy or procedure to show that he/she understands and is
accountable for the content. I have seen documents with 15 approval signatures.

Column Descriptions:

 Role: Functional role of the approver.

 Position: Position title of the approver.

 Name of Approver: Printed name, first and last name of the approver.
This name shall be placed on the first page where it reads, “Final
Approver” in the upper right-hand corner of this document. This name
must only be placed on the document AFTER all changes are made and
after all signatures on this document are completed.

 Approval Signature: Upon approval from the individual (e.g. through an

email, a comment, or a wet signature), the words, “Approval on File,”
should be written in this space by the person responsible for gathering the
approvals; and for storing the files along with the official document. My
preferred way to collect approvals is to send out an email with the final
93
 document (after all reviews and edits) attached and with a subject line of
“APPROVAL REQUESTED of [Title of policy or procedure]”. In the
body, write words such as, “Please reply to this email with the word
‘APPROVED’ in the body.’”

o For “Wet” signatures (signed with pen), scan the document into a
PDF format and save the document as evidence of approval. Input
“Approval on File” on the original document.

o When the approver inserts a “Comment,” with the words,

“Approved on MM/DD/YYYY,” scan this document with the
comment into PDF format and save this document along with the
official document and the approvals.

o For those individuals that returned your email with the words,
“Approved,” in the body of the email, input the words, “Approval
on File” and file the approval with the rest of the approvals and the
official document.

 Date Approved: Date the approver “writes his/her wet signature,” “inserts
a comment,” or “returns an email with an approver.” The last approver in
the list of approvers is the Final Approver; the “Final Approver” must
always sign last; and his/her “date of approval” should be after the first
two dates as auditors get crazy when the final approver signs a document
before the earlier approvers. This “final approver” name and date of
approval is carried forward to the first page of the document as follows:

o The effective date becomes the “final approver’s” date of approval.

o The word, “Draft,” becomes the actual name of the person, instead
of a title.

o An identification number (ID) is selected and entered into this

identification section on the first page of the document.

COMMON MISTAKES

 Omitting the Document Approvals section completely

 Failing to enter the correct approvers for the document
 Failing to enter at least two approvers, other than you
 Failing to convert “wet” signatures to a scanned, PDF file, that can be used
for filing and as evidence for auditors and/or management, if questioned

94
  Failing to remove added “comments with an approval date” and replacing
the comment with the words “Approval on File” on the master, official
document
 Failing to file the officially, published document along with the approvals
in one, secure repository
 Failing to detect the use of weekend or holiday dates in the “Date
Approved” column
 Failing to prepare the official document for distribution and filing with the
“Effective Date,” “Name of final approver,” “Identification Number,” on
the first page section heading, and the words, “Approval on File” in the
“Documents Approvals” section

CHECKING YOUR WORK

Verify that your Document Approvals section looks something like the following
example upon final distribution and retention of the document:

Role Position Name of Approval Date

Approver Signature Approved
Author Technical Writer Albert Smithson Approval on File 02/15/2012
Owner Controller Erica Ramos-Stein Approval on File 02/16/2012
Final
President/CEO Joan Riverton Approval on File 02/21/2012
Approver

SUMMARY

The Document Approvals section is the SEVENTH section of the WRITING

FORMAT . This section is used to show the evidence of the individuals that have
approved the publication, training, and retention of the policy or procedure
document.

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96
Chapter 11

8.0 Revision History

Eighth Section Heading of the Writing Format

Objectives for this Chapter

 Describe the purpose of this EIGHTH section and its
importance to the WRITING FORMAT
 Provide a complete analysis of the “do’s” and “don’ts” of
the Revision History section
 Provide questions and suggested answers to your
responses to the Revision History exercises

Topics Include:

Sample Template and WRITING FORMAT

Purpose of Section 8.0: Revision History
Format of Revision History Section
Common Mistakes
Scenario of Revision History Section
What to Look For
Revision History Exercise
Good Answers
“Not So Good” Answers
Checking your Work
Summary

97
 WRITING FORMAT TEMPLATE

98
PURPOSE OF SECTION HEADING 8.0: REVISION HISTORY
This is the EIGHTH and LAST section heading of the WRITING FORMAT . The
Revision History section describes changes, or updates, to a policy or procedure.
A history of changes serves as a reference for the reader to understand any
changes made to a policy or procedure. In addition, a list of document changes
can be useful for metrics, measurements, and audit purposes.

Note: This section does not contain exercises and answers, as this section is self-
explanatory for the most part.

FORMAT OF “REVISION HISTORY” SECTION

The format of the Revision History is your choice. My preference is a four-column

table. Though you could present the same information without the table borders.
For each change, the date, revision number, and references are included. The date
and revision number are recorded in this table as well as in the identification fields
of the template used for policies and procedures.

Effective Rev. Description of

Document Author
Date Letter Change

 Effective Date column: Date of new policy or procedure and subsequent

changes. The first entry is the “effective date” of the document.

 Revision Letter column: The first revision is “A” (also, could be “1”) and
the first use of the revision letter (or number) represents a new document.
For each change, the letter or number is incremented up one, e.g. A
becomes B or 1 becomes 2.

 Document Author column: The printed (real) name of the person

responsible for researching and/or writing the draft document.

 Description of Change column: Description of changes either by the

reference to specific numbers or with the use of the word processor’s
highlight feature; and thereby highlighting all changes in a bright color
such as YELLOW.

Be careful: Other colors tend to hide the writing, e.g. green or blue.

99
COMMON MISTAKES

 Omitting the Revision History section for new documents and for
subsequent revisions to the original document
 Failing to enter information for a “New” document in the first row
 Failing to complete the Revision History section for revisions
 Failing to increase revision letters or numbers for revisions
 Writing change descriptions which are too short to be meaningful
 Omitting small changes like a title change or spelling error
 Omitting a reference to a section
 Failing to find correct references

SCENARIO OF THE REVISION HISTORY SECTION

The scenario for the Revision History section is derived from two sources: First, if
a policy or procedure is being published for the first time, then the Revision
History table is used to record the identification information for this new
document. Second, a change has to occur in a document before a revised policy or
procedure is written.

Changes to policies and procedures come from three sources: (1) suggestions
from users of a policy or procedure, (2) observations by the procedure writers, and
(3) as the result of metrics and improvement plans. In this section, you know the
following:

 This procedure for MRO supply items is a “new” procedure

 The Purchasing Director has been promoted to Purchasing Department
Executive
 The Purchasing Assistant title has been changed to Purchasing
Administrator
 The Purchasing Department has added a debit card as an alternative to
using the purchase requisition for purchase requests

WHAT TO LOOK FOR

Look for any change, no matter how minor. Any time you make a change to a
specific policy or procedure, an entry should be added to the Revision History
table. Use the “search” or “find” features of your word processor for locating all
references to a proposed change. Record each section heading or subheading
number (e.g., 4.2, 5.2, or 6.2.2.1), in the “Reference Section(s)” column; or
highlight all revisions in YELLOW highlighter and write, “Refer to the
highlighted words, sentences, and paragraphs throughout the document.”

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REVISION HISTORY EXERCISE

Write three revision lines using the following information: (1) notice of a new
procedure being drafted; (2) addition of a debit card; and (3) title changes for the
Purchasing Director and Purchasing Assistant. Recreate the sample table from this
chapter and do the exercises. Record your answers on a notepad or word
processor. Save your work.

“GOOD” ANSWER

8.0 Revision History

Effective Rev Description

Document Author
Date LTR of Changes
New
06/04/2001 A Ray Green
document
Sections
10/05/2001 B Bob Adelson
5.1, 6.2

Explanation of Answer:

The above example is how a typical ‘Revision History’ table should be displayed
in a policy or procedure document. Notice how the table is aligned under the
section heading.

 In row one, revision ‘A,’ a new procedure is being introduced and the
“Description of Changes,” section has been marked as “New Document.”
The effective date has been recorded, and the author’s name is printed.

 In row two, revision ‘B,’ a change to the procedure is introduced on

10/05/2001. Two sections are noted: Either these are highlighted in
YELLOW or other word processor-friendly revision marks are used.

“NOT SO GOOD” ANSWER

8.0 Revision History

Effective Rev. Description of

Document Author
Date LTR Change
06/04/2001 A John NA
08/15/2001 B William Babcock
10/05/2001 C Mr. Whitley 6.3, 7.2.3

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Explanation of Answer:

This example contains multiple errors for each line in the ‘Revision History’ table
above:

 In row one, revision ‘A, there is no last name for John and the Description
of Change can’t be NA, Not Applicable.

 In row two, revision ‘B,’ there is no entry in the Description of Change; as

this is a revision of the original document, there has to be a reason for the
change of revision letter and the change of date.

 In row three, revision ‘C,’ the Description of Change contains two

numbers in what appear to be section headings; however, there never
could be a Section 7.2.3 as this is the Documents Approval section. Also,
the document author field is for the first and last name of the document
author; the formal, “Mr. Whitley,” is not acceptable.

CHECKING YOUR WORK

Verify that the Revision History entries do not conflict with the “Common
Mistakes” list above. Verify the dates are working days. Policies and procedures
are generally not released on nonworking days or holidays. Check that the
revision letter (or number) is recorded and is increased by one letter, or one
number, with each change. Verify that the change description is concise and
makes sense. Double-check the section references to confirm their accuracy.

SUMMARY

The Revision History section is the eighth section of the WRITING FORMAT . This
section serves the purpose of documenting all revision changes to a policy or
procedure document (including the publication of a new document or a document
that has been converted to this new writing format). The format for the Revision
History is your choice. Pay attention to the information you insert into this
section; the reader will thank you if the changes are easy to read and understand
without further reading or analysis.

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Chapter 12

Writing Format Checklist

Objectives for this Chapter

 Describe how the eight sections of the WRITING FORMAT fit
together
 Show how a “Writing Format Checklist” can be used to
verify that the common mistakes in Chapters 4 to 11 have
been isolated and corrected

Topics Include:

Congratulations: You Made It!

Putting it all Together
WRITING FORMAT Checklist

103
104
CONGRATULATIONS: YOU MADE IT!

If you have done all the exercises, you are on the road to developing a new and
improved writing skill for drafting policy and procedure documents. A checklist is
provided in this chapter to assist you with the review of your final policy or
procedure documents. In addition, you should refer to the “Editing Checklist”
from Chapter 2 once more. Use both checklists when doing a final review of your
draft policies and procedures.

Develop your own exercises and use them for training employees new to writing
policies and procedures. Introduce this book at team meetings when discussing a
new policy or procedure topic or when asking for assistance with the drafting or
editing of your documents. Make copies of Chapters 4 through 11 and distribute
them to team members and “would-be” procedure writers to assist you with the
prewriting and writing steps of the writing process.

With time, patience, and skill, you will soon be writing great policies and
procedures. Your reader will thank you. Reread the book, redo the exercises, and
make copies of the checklists for future use.

PUTTING IT ALL TOGETHER

Whether you have written the EIGHT sections of the WRITING FORMAT
sequentially or randomly, once you have completed the sections, you will have a
draft policy or procedure ready for editing and review. Recall that there is only
one sequence for policies and procedures sections using my template.

1.0 Purpose
2.0 Persons Affected
3.0 Policy
4.0 Definitions
5.0 Responsibilities
6.0 Procedures
7.0 Document Approvals
8.0 Revision History

WRITING FORMAT CHECKLIST

The “Writing Format Checklist” is being introduced as a method of double-

checking and auditing the writing style, headings, subheadings, paragraphs,
sentences, and words of each section of the WRITING FORMAT to ensure
consistency and standardization of format and content. The questions for the
checklist are derived from the “Common Mistakes” sections from Chapters 4
105
through 11. Use this checklist after you complete your first draft of your policies
and procedures, and after each subsequent draft.

The checklist contains more than 40 questions. Each question has been phrased to
accept a “Yes” answer if you are doing the step correctly. If you answer “No,”
you are not doing the step correctly. While I have included a place for “Not
Applicable” (NA), I think you should have an excellent reason for using, ‘NA.’
For any answer other than “Yes,” revisit the referenced chapter for ways to correct
your answers and turn them into “Yes” answers.

Writing Format
Checklist

Chapter Question Yes No/NA

Chapters Did you use the writing format presented in this
1-2 book? To continue, the answer must be “yes.”
Have you included all eight sections?
Did you keep the names of the eight section
headings the same (except for Persons Affected)
as the original, provided, template?
Did you refer to the “Editing Checklist” at least
once during the review and editing process of a
specific policy or procedure?

Chapter 4 Do you have a Purpose section heading?

Does your Purpose statement reflect the objective
or goal of your policy or procedure?
Is your Purpose statement brief, yet
comprehensive?
Have you written your Purpose statement with
abbreviations, acronyms, or technical terms that
are not defined yet?
Have you used an opening phrase that is
consistent from policy to policy or procedure to
procedure?

Chapter 5 Do you have a Persons Affected section?

Did you include all known audiences that support
or are impacted by a specific policy or procedure?
Did you limit your audiences only to those that
are involved with a policy or procedure?
If you included an exclusion statement, does it
make sense when read with the accompanying
inclusion statement(s)?

106
 Writing Format
Checklist
Chapter 6 Did you include a Policy section for your policy
or procedure?
Did you write the Policy statement based on the
mission, vision, goals, general attitude, and
culture of the company?
Do your policy statements support the main focus
of the Purpose section?
Did you write general statements instead of
procedural statements?
Did you use a standard opening phrase?
Did you write natural flowing sentences following
the opening phrase?
Did you use the active voice instead of the passive
voice?
If there is one policy statement, did you write the
statement in a paragraph format?
If there are two or more policy statements, did you
use the outline format?

Chapter 7 Did you include a Definitions section?

Did you define all abbreviations, acronyms,
technical terms, jargon, forms, and commonly
misunderstood words used anywhere in the policy
or procedure?
Did you write concise definitions?
Did you write summary level definitions?
Will the audience understand the definitions?
If a term or object is technical, will a non-
technical person understand the definition?
If an object was defined, did you include a
reference statement?
If there is an appendix at the end of a policy or
procedure, is there a corresponding definition in
the Definitions section?
If you pointed the reader to an external location
for a document, is that document easy to find?

Chapter 8 Did you include the Responsibilities section for

your policy or procedure?
Did you write summary-level statements in the
Responsibilities section?

107
 Writing Format
Checklist
Did you write the roles and responsibilities of the
Responsibilities section in conjunction with the
action-type events in the Procedures section?
Did you write the Responsibilities section in an
outline format?
Did you use the active voice instead of the passive
voice?
Did you include a compliance statement as the
first sentence of your Responsibilities section?

Chapter 9 Did you include a Procedures section in your

policy or procedure?
In the case of a policy document, did you write
“Not Applicable” under the Procedures section if
that section was not required?
Did you write the Procedures section in an outline
format, as is the free, provided, writing format
template you received when you purchased any of
my books?
Did you follow the sequence of events for the
Procedures section as depicted in the flow chart
and task list?
Did you verify that the roles and responsibilities
of the Responsibilities section parallel the events
in the Procedures section?

Chapter Did you include the Document Approvals section

10 in your document?
Did you use the same type of table suggested in
the original writing format template you received
when you purchased my books?
Did you save copies of your approvals as PDF
documents and keep them along with the original
policy/procedure document?
Did you transfer the final approver’s name and
effective date to the first page of the document
(this is assuming that you are using the provided
writing format template)?
Did you transfer the final approver’s date of
approval to the effective date field on the first
page of the template?

108
 Writing Format
Checklist
Chapter Did you include the Revision History section in
11 your policy/procedure document?
Did you update the Revision History for each
change that was made, no matter how minor?
Did you write brief, yet meaningful, change
descriptions?
Did you increment each revision letter (or
number)?
Did you find all the references to identified
changes?

109
110
 Part 3

TWO
Sample Policies
and Procedures
Employment of Relatives
Bereavement Absence

111
112
 No. 1001
Effective Date 1/5/2009
LOGO Employment of Relatives Revision Letter A
Final Approver Joe CEO

1.0 Purpose

This policy/procedure establishes guidelines under which

employees’ relatives may be hired, transferred, promoted, or
recalled under certain conditions. The policy also covers possible
ramifications when an employee marries, or establishes a “living-
as-though-married” relationship, with another employee.

2.0 Scope
All employees of the ABC Company and their relatives.

3.0 Policy
This Policy of the ABC Company shall:

3.1 Permit employees’ qualified relatives to be hired for a valid

job opening providing security, morale, or potential
conflicts of interests are not compromised.

3.2 Evaluate the reasonableness of the employment of an

employee’s relative(s) if the employee works routinely with
payroll or personnel data.

3.3 Critically evaluate the employment of Department

Executives’ relatives, and do so only on an exception basis
requiring the approval of the Human Resources Executive
and the President/CEO.

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 4.0 Definitions

4.1 Relative – Immediate family members related by blood or

marriage. This includes spouse, children (foster, step, and
adopted), parents, stepparents, brothers, and sisters.
4.2 Employment and Employee – These two terms refer to the
classification of employees including regular, part-time,
and on-call.

5.0 Responsibilities
5.1 The President/CEO shall ensure compliance to this policy.

5.2 Employees shall abide by the guidelines in this policy.

6.0 Procedures
6.1 Relatives of employees will be considered for employment
(regular, part-time, and on-call) provided their individual
qualifications satisfy the job requirements of a valid job
opening. These relatives may be subject to the following
limitations:

6.1.1 An employee may not work for a relative who has

the authority, direct or indirect, to audit the work
of, or supervise, appoint, revoke, or discipline that
employee. An employee cannot work in the same
chain of command as the employee’s relative.

6.1.2 Relatives may not be hired, promoted, transferred,

or assigned into positions where circumstances
exist which place the relatives in a situation of
actual or reasonable foreseeable conflict between
the employer’s interests and their own.

6.1.3 The ABC Company must limit the employment of

close relatives of policy-level officers who are
working for competitors, customers, regulating
agencies, or other organizations with which the
company is involved in conducting its business. This
is necessary to ensure and protect the Company’s
confidentiality and to avoid the reality or
appearance of improper influence or favor.
114
 6.1.4 Any exceptions to this policy will be reviewed on a
case-by-case basis by the Human Resources
Executive, and also will require the approval from
the President/CEO prior to acceptance of an
exception.

6.2 When employees marry, or establish a “living-as-though-

married” relationship, the Human Resources Executive will
review the employment situation to determine if the
guidelines of this policy apply.

6.2.1 If it is necessary to change the work assignment of

a spouse or an employee who is “living-as-though
married” because of conflict of interest, the
Company will determine which person should
change work assignments, if the employees
themselves cannot reach an acceptable solution.
When conditions exist which could be highly
detrimental to the Company, both the Human
Resources Executive and the President/CEO in
conjunction will make the decision with the parties
involved.

6.2.2 The Company is not obligated to give special

treatment in these cases to accommodate
employees and their relatives.

6.3 Employee’s relatives will be given the same opportunities

and be subject to the same standards of selection and
placement as all other employees within the limitations of
this policy.

115
 7.0 Document Approvals
Role Functional Name of Approval Date
Position Approver Signature Approved
Policies and
Author Approval On
Procedures Steve Writer 1/3/2009
File
Manager
Human
Approval On
Owner Resources Linda HR 1/4/2009
File
Executive
Final Approval On
President/CEO Joe CEO 1/5/2009
Approver File

8.0 Revision History

Effective Rev
Date Letter Document Author Description of Change
Initial Release of
1/5/2009 A Steve Writer
Policy/Procedure.

116
 No. 1002
Effective Date 1/23/2009
LOGO Bereavement Absence Revision Letter A
Final Approver Joe CEO

1.0 Purpose
This policy/procedure establishes guidelines by which the
company will provide employees with paid time-off when there is
a death in the family.

2.0 Scope
All employees of the ABC Company.

3.0 Policy
This Policy of the ABC Company shall permit a regular full-time
employee to take time-off as follows:

3.1 Up to three full days due to a death in the immediate

family.

3.2 Up to one full day of work time to attend the funeral of a

close relative, as defined below.

4.0 Definitions

4.1 Bereavement Absence – Defined as “Time-off due to the

death of a family member.”
4.2 Immediate Family – Includes current spouse, father,
mother, sister, brother, child, current parents-in-law,
grandparents or grandchildren, and sons-in-law, or
daughters-in-law.

117
 4.3 Close Relative – Includes cousins, uncles, aunts, nieces,
nephews, and brothers-in-law and sisters-in-law.

5.0 Responsibilities

5.1 The President/CEO shall ensure compliance to this policy.

5.2 Employees are responsible for notifying their supervisor of

their need for time-off, with satisfactory evidence to
support a bereavement claim.

5.3 The department supervisor shall post the appropriate time

to Payroll for proper payment.

6.0 Procedures
6.1 The employee will be paid the base wage for each day of
bereavement absence up to three full days for a death in
the employee’s immediate family.

6.2 The employee will be paid his/her regular wage for actual
work time required up to one full day of bereavement
absence to attend the funeral of a close relative.

6.3 Employees will be paid at their current straight time rate

including any shift premium.

6.4 The employee’s supervisor will post the appropriate time to

Payroll for proper payment.

6.5 Employees will not be eligible for bereavement time-off if

he/she is on vacation or disability.

6.6 If an employee requires more than the allowed paid time-

off, he/she may request additional unpaid time-off or the
employee may elect to use any unused vacation time.

118
7.0 Document Approvals
Role Position Name of Approval Date
Approver Signature Approved
Policies and
Author Approval On
Procedures Steve Writer 1/21/2009
File
Manager
Human
Approval On
Owner Resources Linda HR 1/22/2009
File
Executive
Final Approval On
President/CEO Joe CEO 1/23/2009
Approver File

8.0 Revision History

Effective Rev Document Description of

Date Letter Author Change
1/23/2009 A Steve Writer Initial Release of
Policy/Procedure.

119