1. Writing Effective Policies
and Procedures
By Stephen Page
MBA, PMP, CRM, CFC
Author of “Policies and Procedures” Books
Discounts for Conference Attendees
http://www.companymanuals.com/navref.htm
1

2. Handouts
1. Presentation - PPT Slides
2. 40-Step Action Plan- Word DOC
3. Writing Format - Word DOC
4. Sample Travel Policy &
Procedure – Word DOC
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3. Biography
 34+ years of experience
 MBA, PMP, CRM, CSQE, CFC, CQA
 4 Best-selling books; author since 1984;
sold 1000’s of books in more than 90
countries
 Worked in major and small companies
 Projects: ISO 9000, TQM, Six Sigma,
Value Engineering, Lean Improvement
Projects, CMMI
 EMAIL: stevebpage@gmail.com for free advice
any time
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4. Deliverables
 Two hours? Perhaps two days?
 What can be done in 2 hours?
• Principles of writing policies and procedures
• Qualifications of a policies and procedures
writer
• Action items for creating a framework for
writing effective policies and procedures
 Elements of a policies and procedures system
 Selecting a writer for policies and procedures
 18 decisions to make before writing the first word
 Writing format discussion and development
 Methods for quickly adding content
• Lessons learned
4

5. Why Write
Policies and Procedures?
 Public Companies
• Answer is easy...to satisfy various laws including SOX, HIPPA,
and other federal, state, and local laws
 Private Companies
• Answer is not as easy...follow similar laws as public companies
and for practices like ISO Quality Standards
 Not-for-Profit Companies
• Answer is easy...to satisfy two SOX requirements and various
other federal, state, and local laws and regulations as well as
overseers including FASB, SAS,IRS, VA, and granting
agencies.
• Additionally, the new IRS Form 990 asks whether nonprofits
have certain policies relating to governance. You don’t want to
answer “no”
• Also, nonprofits that administer federal grants must follow certain
OMB Circulars and regulations
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6. MORE Reasons for
Writing Policies and Procedures
 Help make instructions and guidelines definite and help in
the interpretation of policies and procedures
 Provide quick settlement of misunderstandings
 Help reduce the range of individual decisions and
discourage management by exception
 Cover recurring situations such that managers can begin to
make decisions that will be consistent every time
 Set boundaries for jobs so that each employee knows in
advance what response he or she will get from others when
taking actions, making decisions, and giving responses
 Provide protection in the event of an audit or lawsuit
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7. Examining the TITLE
of this Presentation
“Writing Effective Policies and Procedures”
Dissection of Key Words
 WRITING
 EFFECTIVE
 POLICIES and PROCEDURES
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8. WRITING
Effective Policies and Procedures
 What “Writing” IS?  What “Writing” ISN’T?
• Writing policies and procedures • Writing content in a vacuum
is more than typing words on without involving the users and
a page; it involves research, customers in the writing and
writing a draft, reviews, reviewing processes
approvals, publishing, • Buying canned content,
distributing, communications, attaching a logo, and calling it
training, maintenance, your own without sanitizing it
improvements, and revisions to assure it aligns with our
• Writing refers to the writer. environment, culture, and
• A writer is someone who resources
understands how to gather the • Expecting non-writers to write
information, document a high-quality policies and
process, present the words in a procedures that people will
logical fashion, and publish and understand and follow (a writer
train the audience to ensure the of business letters does not
content is understood make a good policies and
• Also, writing “to me” means procedures writer)
to write consistently using a
consistent writing format and
writing style
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9. Qualifications of a Good Writer
 Good Choices  Not So Good Choices
• Someone with writing and • Individuals who write
editing skills who has the business letters and
time and mobility to correspondence but have
interview users and never (or infrequently)
customers written policies or
• Someone who has worked procedures
on process improvement • Individuals who have the
projects knowledge but don’t have
• Someone with excellent the time
organizational skills and a • Individuals that take
passion to write content from others and
documents that can be format it in their own style
understood by the but don’t interview users
targeted audience to ensure the content is
• Analysts, Subject Matter correct
Experts, Leads,
Supervisors, and some
Managers
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10. Writer’s “Ultimate” Role
 Identify policy/procedure topics
 Conduct research
 Write the first draft and getting it reviewed
and revised
 Obtain approvals, publish, and distribute
documents
 Issue communications and conduct training
 Analyze documents for improvements and
make revisions
 And the cycle continues...from writing to
revising to writing to revisions...
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11. Writing EFFECTIVE
Policies and Procedures
 Effective Writing?  Not Effective?
• End result: Users can • Users ignore policies and
understand and apply the procedures for a variety of
policy/procedure content to reasons including:
their work processes  Author is not a credible source
• Users have clear job  Poor or sloppy writing
responsibilities and know  Grammatical and spelling
what’s expected of them, mistakes
without guessing  Complex or wordy content
• Users can make better
 Unclear purpose or title
decisions when they know
 Approver of policy/procedure is
not known to them or doesn’t
that the policy/procedure have the right authority
content will not change from  Communications and training
one day to the next efforts are lacking or weak
• Policies and procedures are  Documents conflict with one
consistent, accurate, and another
reliable from one document  Writing format is different from
to the next one document to the next
 Policies/procedures change
every other week
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12. Writing Effective
Policies and Procedures
(Definitions)
 Policies:  Procedures:
• Describe the “What,” the • Describe the “How” and are
“Who,” and the “Why” generally methods by which
• Are a predetermined course policies are accomplished.
of action established as a • Are a combination of one
guide toward accepted or more business
business strategies and processes
objectives • Identify the people, places,
• In a nutshell, “policies are processes, forms, and
guidelines dictated by actions necessary to carry
executives and/or extracted out one or more policies or
from regulations” to support or influence other
• NOTE: Other policy types procedures
could include public policies • NOTE: Procedures that
or institutional policies (not address a single process
covered here) such as how to complete a
form or cash a check are
often referred to as
“Desktop Instructions” or
“Work Instructions”
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13. A Framework for
Writing Effective
Policies and Procedures
 I have prepared a 40-Step Action Plan to help
you understand how a policies and procedures
department can be set up and how to process
documents (refer to handout for 40 Steps)
 The next slide contains HIGHLIGHTS of the 40-
Step Action Plan
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14. HIGHLIGHTS of 40-Step Plan
(see Handout)
1. Management shows commitment to policies and procedures
by authorizing the policy/procedure function
2. Person/team is assigned to write/manage policies and
procedures from research to publishing to revisions
3. Topics are identified and researched
4. Drafts are written in a standard writing format
5. Drafts are reviewed by users and management
6. Drafts are approved and published
7. Published documents are communicated and trained
8. Published documents are revisited to study possible
improvements and cost savings
9. Published documents are subjected to a revision process that
starts at #3 and the whole “topic-to-revision-process”
becomes a continuous cycle
14

15. Establishing a
Policy/Procedure Framework
BEGINS with 5 Agreements
 AGREE on the importance of a writing format and agree on
which writing format to use in which situation
 AGREE on the use of a single writing format for policies
and procedures or two writing formats for policy and
procedure documents; and one desktop instruction format
 AGREE on communications media to be deployed
 AGREE on training methods to be utilized and repeated
 AGREE to write a “Procedure on Procedures” to capture
the essentials of writing policies and procedures (I call
these essentials the “The 18 Decisions” – see next slide)
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16. 18 Decisions
Before Writing SHOULD Start
1. What’s the justification? 11. Who reviews drafts?
2. Who authorizes? 12. Who approves drafts?
3. Who manages function? 13. Who distributes and
4. Who writes policies and publishes documents?
procedures? 14. Who communicates?
5. Do you deploy printed 15. Who trains?
and/or online manuals? 16. Who audits?
6. Do you use 1 writing format, 17. Who monitors to ensure
2 writing formats; and current regulations are
desktop instruction formats taken into consideration?
7. What’s your document 18. Who recommends
numbering system? improvements?
8. Where does content come
from?
9. What’s the layout of your
writing format?
10. Are forms designed to align
with policy and procedure
content?
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17. Importance of the
Writing Format
(FIRST AGREEMENT)
 Heart of a policies and procedures system
 A writing format is a way to:
• Present your content in a logical and easy-to-read
sequence that makes sense to the targeted audience.
• Present enough information about your content that
helps the audience understand the importance of your
policy or procedure topic.
• Ensure consistency from document to document for both
the policy and procedure documents.
 A writing format contains a specific number of
section headings and never changes after the
writing format is approved for use
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18. Writing Format
SECTION HEADINGS
(See Writing Format Handout)
 Header – Logo, title, number, dates, approvals
 1.0 Purpose
 2.0 Scope
 3.0 Policy
 4.0 Definitions
 5.0 Responsibilities
 6.0 Procedures
 7.0 Revision History
 Optional documentation (appendices can be used as a
way to include flow charts, diagrams, and other material)
 Adding Section Headings
• Possible additions include “Background,” “References,”
“Document Approvals,” or “Disciplinary Actions”. If you add
more headings, integrate them into the writing format and
stick with that number of section headings
• Never deviate for any reason: Consistency is King
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19. BUT FIRST…
We Must Select which STYLE of
Writing Format to Use
 Selections:
• One (1) Writing Format that combines
policy and procedure elements
• Two (2) Distinct Writing Formats:
 One (1) for a Policy Document
 One (1) for a Procedure Document to cover
two or more business processes
• One (1) “Desktop Instructions” Writing
Format for single business processes
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20. One Writing Format
(See Handout of Section Headings and Explanations)
(See Sample Travel Policy written in this Format)
 Combines policy and procedure elements into a
single writing format
 WHY?
• Easy fill-in of content using the seven section headings
of my copyrighted writing format
• Reduces redundancies, duplication, and inconsistencies
when two documents cover the same, or similar, subject
• Eases reading by the targeted audience by:
 Providing a logical sequence of section headings starting
with “Purpose”...and ending with “Revision History”
 Not asking the reader to search out two documents that
cover the same, or similar, subject(s)
 Eliminating redundancy of two documents published on
similar subjects
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21. Two Writing Formats
 Option 1: Two Writing Formats:
• One distinct writing format for policy
documents
• A second distinct writing format for procedure
documents that address two or more business
processes
 Option 2: You can use the same seven
(7) section heading Writing Format (Slide 18)
for each document type except:
• Write “Not Applicable” in the PROCEDURES
Section for POLICY Documents
• Write “Not Applicable” in the Policy Section for
PROCEDURES Documents
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22. Desktop Instructions
Writing Format
 Writing Format for single processes such
as:
• How to fill out a “Travel Request” form
• How to request “Petty Cash”
 WRITING FORMAT Section Headings
(template not shown):
1.0 Purpose
2.0 Activities (Step-by-step instructions)
3.0 Change History
4.0 Document Approvals
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23. Basic 7 Section Headings
Explained
(All Formats use a
combination of
these headings)
(Refer to Handout)
23

24. Header Information
(All Writing Formats have Header,
or Title, information)
 Logo
 Title
 P/P Number
 Effective Date
 Revision Letter or Number
 Approvals
 Page Numbers
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25. 1.0 Purpose
Section Heading
 Contains introductory paragraph about the
objectives and reasons for writing the document
 Maximum of three (3) sentences
 Can begin with, “This procedure (or this policy or
this document) contains guidelines for …”
 Be careful:
• Don’t use cryptic words or acronyms that immediately
confuses the reader
• Don’t use subheadings or bullets
• Don’t use fragmented sentences
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26. 2.0 Scope
Section Heading
 Lists the audience or targeted users or
customers
 Scope can also include an exclusion
statement like, “does not include
accounting personnel”
 Can be a fragmented sentence
 Be careful:
• Don’t state, “All employees” when the
document actually targets two or more areas
• Don’t write complicated inclusion and exclusion
sections when a few simple words will suffice
26

27. 3.0 Policy
Section Heading
 Describes objectives, strategies, goals, culture, vision,
mission, and other guiding principles for the topic stated in
“TITLE” and “PURPOSE”
 Can be a single paragraph, several sentences, and
sometimes several pages
 Opening sentence might say: “The policy of XYZ company
is to: (Follow with statements or indented sentences)” (see
sample policy statements on next slide)
 Be careful:
• Don’t omit the “Policy” section heading when you don’t think
there are any policy statements surrounding procedures (there
is always a policy that guides a procedure, always)
• Writing policy statements that don’t support the main focus of
the “Purpose” section heading or the “Title” of the document
• Using specific procedural statements instead of general policy
statements
27

28. Policy Statement
Examples
 Ensure a timely and comprehensive review of all
general ledger accounts to ensure accurate
representation of the company’s financial
statements
 Ensure all transactions are signed by at least
three signatures
 Ensure all physical inventory is periodically
counted and reviewed on a frequent basis and
under a common set of procedures and controls
 Ensure proper control procedures are followed for
all capital asset acquisitions, transfers, and
dispositions in order to provide internal control of
capital equipment and to assist in reporting
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29. 4.0 Definitions
Section Heading
 Defines objects or terms like acronyms, abbreviations, forms,
reports, flow charts, models, words infrequently used, or
technical jargon
 Don’t assume your audience has the same vocabulary as you
 Example: Purchase Requisition (PR) Form No. 1000 –
Electronic form used to capture a request to purchase all
products and services with a value of less than $5,000.00.
Click on the link to open “Forms Catalogue”
 Example: COD – Collect on Delivery, not Cash on Delivery
 Be Careful:
• Never omit a section heading
• Not to leave this section blank: All policies and procedures
have definitions of some sort
• Failing to define content in this section that is later placed
in the appendices as an exhibit or reference pointer
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30. 5.0 Responsibilities
Section Heading
 Summary of roles and responsibilities of the individuals or
groups that perform actions in a policy or procedure
 The “Responsibilities” section often parallels the flow of the
“Procedures” section, where applicable
 The responsibility section typically has at least two
sentences:
• “The [Title of Highest Approver] shall ensure compliance to
this policy (or procedure)”
• “Employees are required to…”
 Be Careful:
• There must be a “compliance” statement in every policy or
procedure document
• Don’t write procedural statements in this section; rather keep
to the responsibilities of the roles stated
• Don’t write actual names of persons; instead state only their
roles or functions
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31. 6.0 Procedures
Section Heading
 The Procedures section heading describes the rules,
regulations, activities, timing, place, and personnel necessary
to carry out the intent of the procedure and/or support the
essence of the policy statements contained within the Policy
section heading
 The Procedures section heading is required for procedure
documents but is optional for policy documents
 Be Careful:
• Never omit this section even if there is no content for a policy
document
• Ensure that the procedural statements support the policy
statements
• Ensure that the procedural statements follow the work flow
31

32. 7.0 Revision History
Section Heading
 Contains the history of the document from the first release
to the most current.
 The first release can be shown with a letter “A” or “1” in
the “Revision Letter” field in the header information within
the Writing Format
 Complete descriptions can be written in table form or
referenced in an attachment
 Be careful:
• Most readers don’t care about this section so don’t spend too
much time on the completion of this section heading
• Don’t omit descriptions of revisions when changes occur
• Don’t forget to increment the revision letter or number when
revisions occur
32

33. Optional
Documentation
 Optional documentation can be added to any policy or
procedure document
• One method is to define the documentation (like a flow chart
or report) in the “Definitions” section and refer to an appendix
where the document has been included
• Another method is to hyperlink a reference for electronic
policies and procedures (opens in its own window)
• In the case of a form, define it in the “Definitions” section, and
either add a hyperlink to the template or in the case of paper
forms, give directions on where to find the form (like a supply
cabinet) and show a sample image in an appendix
 Be Careful:
• Don’t include an appendix without a reference notation from
somewhere in the document or from the “Definitions” section
• Don’t include a reference in the “Definitions” section and then
fail to include the actual reference document or source either
as a hyperlink or as an appendix to the document
33

34. Optional
Section Headings
 The “Background” section heading is a common
addition. Background might explain why the
policy or procedure came about in the first place
• If you do add the “Background” section heading, insert
it after the “Purpose” section heading
 The “Document Approvals” section heading is a
common addition. This section includes all of the
signatures required on the document, e.g.,
owner, author, manager, policy and procedure
writer, legal review, Executive Director
• If you do include the “Document Approvals” Section
Heading, insert it immediately prior to the “Revision
History” section heading
34

35. Quick Ways to
Write Policies and Procedures
from Canned Content
 Two Methods:
1. Quickest...but acceptance is difficult: Find
or purchase a canned (generic content) policy
or procedure you like from a website or book,
don’t change a word, add your logo, and call it your
own. Unless you adapt content to your culture
and people, buy-in is highly unlikely
2. Best Method: Assign at least one writer and/or
form a cross-functional team, do research, use
canned content for reference purposes only ,
interview users, brainstorm ideas, write a draft
document, get it reviewed and approved, publish it,
and communicate and train 35

36. AND THERE IS MORE...
 Now that the policy/procedure
document has been written,
reviewed, approved, published, and
distributed,
the NEXT STEPS are to:
• Communicate and train
• Work on improvements for the next revision
• Update the document publish the revision
• Communicate and train...and so on
36

37. Communications
are a key to policy/procedure effectiveness
 Communications are key to policy/procedure implementation
because it’s a quick way to impart information about
policy/procedure content
 Communication Methods can include:
• Distribution of physical or electronic documents
• Letters, press releases, newsletters
• Paycheck stub or inserts
• Posters, bulletin boards, or brochures
• Team meetings, town meetings, staff meetings
• Email messages or broadcast emails
• Intranet news items
 The KEY is to provide communications in multiple ways to give
the reader added ways to understand the material. Keep in mind
that the “just once” communications method and plan is not
acceptable and plans must be made to communicate regularly to
ensure continued understanding on the behalf of the employee
and to reduce the tendency to “resist change”
37

38. Training
is key to policy/procedure effectiveness
 Training is defined as to make prepared, to teach to be
proficient, to undergo instruction, or to practice.
 In business, training is the formal process used to develop
in an employee the attitudes, knowledge, and skills an
employee needs to make him or her capable of efficient
performance (i.e., less time to carry out assignments)
 Training methods include but are not limited to :
• Lectures, workshops, or seminars
• Department or staff meetings
• On-the-Job Training
• Multimedia training and/or computer-based-training
• Mentoring and coaching
• Other creative training methods
 The KEY is to train and then to repeat training through on-
the-job training and mentoring. Peter Senge from “Dances
of Change,” said, “Training is not Learning”
38

39. Where We Are Now
 We have learned:
• Writing Effective Policies and Procedures is NOT as
simple as borrowing content, adding a logo, and calling
it your own
• Policies and procedures writers don’t just write
and edit but they are also responsible for researching,
writing, reviewing, approving, publishing,
communicating, training, improving, and revising
• Incorporating a consistent writing format will:
 Help the reader understand content quicker
 Ensure consistent and accurate policies and
procedures from one document to the next
• Most importantly, we have learned that a writer’s job
is not over when the document is published...INSTEAD
the writer’s job is just beginning…with communications,
training, reviews, audits, improvement activities, and
revisions
39

40. Techniques to
Ensure Success
 Management commitment to write policies and
procedures
 Qualified writers---More than just an editor
 Same writing format template used every time
 Communications issued in multiple media
 Training offered in a variety of formats
 Walk the Talk from management
 Mentoring and On-The-Job Training
 Ensuring legal review of all policies/procedures
 Auditing
 Annual policy/procedure reviews
 Adding policy and procedure understanding as a
percentage on an employee’s evaluation plan
40

41. Lessons Learned
1. Select a writing format and stick with it
2. Write a “Procedure on Procedures” and stick with your
decisions as you write policies and procedures
3. Designate a policies and procedures writer and give this
person the tools, time, and mobility he/she needs to be
successful
4. Don’t expect to be able to take a canned financial policy
or procedure, make a few changes, add a logo, and call it
your own if you actually want people to read and apply the
content
5. Put a policies and procedures writer in charge, follow my
advice, and do it right the first time...so that readers might
actually read the documents and apply the guidelines to
their jobs
6. Be proactive, as you are doing today, by listening to me
talk, and by attending conferences, and learning tested
methods for writing effective policies and procedures
41

42. 4-Book Policy/Procedure Set
SALE
to Conference Attendees
 Buy the 4-book set by October 31, 2008 and receive
large discounts:
 Go to: http://www.companymanuals.com/navref.htm
to receive your discounts:
• PDF – 4-Book Set - $60.00
• Printed – 4-Book Set - $75.00 plus s/h
 Reference URL and Email:
• http://www.companymanuals.com
• Email: stevebpage@gmail.com
42

43. Questions & Answers
43

44. THANK YOU
44