Writing Effective Policies and Procedures: A Step-By-Step Resource for Clear Communication
Nancy J. Campbell
Chapter 1 - What’s a Policy, What’s a Procedure?
In Chapter 1 of Writing Effective Policies and Procedures: A Step-By-Step Resource for Clear Communication, Nancy Campbell begins by defining policies and procedures, and explaining why they are important. She goes on to describe the different forms and formats that policies and procedures may take within an organization. Throughout the chapter, practical tips are offered for crafting policies and procedures effectively, along with pitfalls to be avoided. She concludes with a summary of the chapter and some useful lists and tools for policy and procedure formation.
Campbell divides the content of the chapter into 8 main sections.
Why You Need Policies and Procedures
Policies and procedures provide users in an organization with the information they need to do their job, preventing chaos and frustration. They tell users “what the organization wants done, why it wants it done, and how to do it” (1).
Policies
Campbell defines policies as a form of position statement. As “clear, conscious decisions about its own standards and principles of operation,” policies are meant to guide organizational action (2).
Because policies cannot, and often should not, attempt to cover every conceivable organizational decision, they include some degree of ambiguity. Campbell lists 3 factors that influence the degree of ambiguity allowed for within a policy. These include: the ability of users to understand and cope with the policy, the manager’s competence with the policy and willingness to enforce it (which may necessitate additional training), and the way in which the organization views the issue and its importance.
Procedures
Procedures are “action oriented” and represent a “protocol for implementation, the ‘how to’.” (3). They outline steps in a process in order to effectively guide users through a given task. Procedures often describe consequences for noncompliance, such as damage, loss, injury, or discipline. These help to convey the seriousness of the issue and a users’ responsibility to comply.
Campbell illustrates the issue of ambiguity in policies by giving an example of a highly ambiguous policy. Procedures are typically less ambiguous than policies, but may still include ambiguous elements. This ambiguity may be necessary in order to allow for professional judgments on behalf of its users.
The amount of ambiguity contained within a procedure is a subjective decision on the part of its author. Campbell goes on to assert that total objectivity is an impossible goal, but good procedures should encourage users to exercise “sound business judgment” within the framework of the procedure set forth (5). This requires that policy and procedure writers determine what situations require subjective judgment, how much subjectivity is called for, and what standards or parameters should guide that judgment.
When You Need Policies and Procedures
Policies and procedures are a means to an end, and should serve to accomplish a specific purpose. They can often be a reactionary response to an unforeseen situation. In these cases, policy and procedure writers should pause to ask the following questions before they “jump into the writing fray:
· Has such an incident ever happened before?
· Is it really likely to happen again?
· Is this an isolated, once-every-twenty-years occurrence?
· Are the consequences of the mistake so serious (financially, legally, or operationally) that you need to be sure it never happens again? (6)”
Situations such as personnel, health, and safety demand clear policies and procedures. They are necessary in virtually any situation that is both important, and requires clarification.
Important issues are those that affect the audience or the organization. These can include:
· Efficient use of resources
· Schedules
· Customers
· Finances
· Image or reputation
· Health and safety
· Productivity
· Marketing
· Staffing
· Liability and other legalities
Users are impacted by any issue that affects “their personal circumstances or well-being,” such as:
· Benefits
· Hours
· Working conditions
· Job security
· Stress
· Satisfaction
· Status
· Personal principles
· Personal goals
· Family
In recognizing important issues, it is necessary to look at the issue from all perspectives, and never underestimate different interpretations.
Many important issues require the clarification which a policy or procedure provides. This is important when the subject is:
· Lengthy
· Complex
· Routine but essential for successful operations
· Affects the reader’s ability to function
· Affects the reader’s status
· Affects the reader’s personally
· Involves significant change or high volumes of change
Sometimes, people simply need a reference or reminder to help guide them through a particular process.
Written vs. Unwritten
In most cases, it would be impossible to document every decision and procedure that a person will be required to make when working for an organization. “Organizational culture, like dress and hygiene” is an example of a scenario often governed by unwritten rules. A topic should remain unwritten if it:
- Involves organizational culture and norms
- Cannot be enforced consistently
- Could possibly be offensive or intrusive
- Is simplified
Policies and procedures that are codified in writing should always reflect:
- Accountability
- Clarity
- Consistency
- Critical importance
- Documentation
- Health or safety
- Legal liability
- Licensing or regulatory requirements
- Serious consequences
Often times, as an organization “grows, change increases, or complexity arises,” it is necessary to transform policies and procedures that were once unwritten into a written form.
Some reasons for doing so include:
- Accidents
- Changes
- Complaints
- Confusion
- Cost overruns
- New laws or regulations
What to Include in Policies and Procedures
As a policy and procedure writer, you need to make a judgment call as to what your audience needs to know, and what you want them to know. When uncertain as to what should be included, you can ask yourself two questions: “Who says so?” and “Why?”.
What Readers Want to Know
Readers of policies and procedures are interested in learning two things: what the policy or procedure will do FOR them, or TO them. It is important to identify with your reader by offering reasons for the policy or procedure and assigning responsibly for compliance. Campbell suggests you “use the writer’s motto: WIIFT…What’s in it for Them?”
Level of Detail
It can be challenging to determine the level of detail that a particular policy or procedure should include. It needs to be sufficient to accomplish its goals, yet remain appropriate to the subject and the audience. When dealing with complex subjects, one should take the experience level of the audience into account and perform a thorough audience analysis to help make good decisions concerning depth of detail.
Manuals and Handbooks
When dealing with multiple policies and procedures, for the sake of convenience it is common to combine them into a manual, handbook, or user guide. Campbell defines these products differently based on certain characteristics. A manual implies restricted circulation, while a handbook implies general distribution. By organizing policies and procedures into a logical structure, their creator will promote increased use among users, thereby increasing their overall effectiveness.
Chapter Summary (and Tools & Resources)
Campbell concludes with a summary of the chapter and several lists and tools that writers can use to create more effective policies and procedures.
