Making Policies and Procedures Work—Applying Key Concepts of Critical Thinking
Karl P. Keller
Phone: 847-424-0608Fax: 847-328-5536Email: [email protected]: www.communipartners.com
Sponsored by
Tim GuntherDirector of Business [email protected] x 6033
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content
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At Communication Partners, we specialize in helping businesses communicate profitably – communipartners.com
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Why sets Communication Partners apart? Our experience with complex content
Principals teach at Northwestern, including Engineering, Business and Medical schools; teach in the professional masters program in Quality and Regulatory Sciences (QARS); we’ve been thought leaders in integrating communication into the technical curriculum
Communication Partners has long experience improving complex business and technical communication in consumer, media, pharma, engineering, technology, and consulting firms
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Before we dive into the agenda, let’s step back and look at the big picture
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Businesses of all kinds either have or need policies and procedures
Driven by regulations, and/or best practices, and/or corporate standards
However, for many organizations, policies and procedures are in a state of flux
Usefulness may be impaired for many reasons: • inconsistent structure and format• internal non-experts doing the writing• organizational confusion about what should,
in fact, be documented
The Key Question How, then, to bring order, coherence - and above all USEFULNESS - to policies and procedures?
The SolutionApply key concepts of critical thinking to the development and delivery of policies and procedures
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content
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Why do organizations have policies and procedures?
• Comply with regulations• Comply with best practices• Comply with company commitments• Keep job performance uniform• Keep activities uniform• Eliminate surprises• Cut liabilities—safety, personnel, legal• Serve as a reference or guide• Train new employees• Enhance security• Measure results, performance • Convey the culture of the business
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual – Understanding difference between processes, policies, and procedures – Using precise language
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content
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Understanding key terms is a critical thinking concept you must master before drafting effective policies and procedures
Term Definition Function
By understanding the process, you know the outcome and keep the “end” in mind
A set of logically related tasks performed to achieve a defined outcome (can contain multiple policies, procedures)
• Manufacturing drugs• Running research lab• Delivering auditsProcess
Policy
A set of requirements, what must be done, prompted by sound business, safety, legal, ethical, regulatory demands
By defining policies, everyone knows what must be done
• Must follow CFR Rules• Must properly store reagents• Must have annual audits
ProcedureA series of steps to follow to execute a business process or implement a policy
By documenting procedures, those who execute them know exactly what they must do, and in what order
• To follow CFR Rule #, do…• To properly store reagents,
do..• To execute annual audits,
identify…
Example
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Another critical thinking task: know organizational outcome[s] you want, then map processes, policies, and procedures
Providing Quality Laboratory Tests
Policies(when executing process)
You must log all samples received
All tests must use sufficient
sample amounts to ensure tests
are accurate
You must store samples in approved containers
Achieving this outcome
Procedure (s)(to implement policy)
Involves many Processes
(to achieve outcome)
To test sample A:Step 1Step 2Step 3Step N
You must log all samples received
You must store samples in approved containers
You must log all samples received
All tests must use sufficient
sample amounts to ensure tests
are accurate
You must store samples in approved containers
You must log all samples received
Taking in Samples Testing Samples
11Poll Question 1
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual – Understanding difference between processes, policies, and procedures– Using precise language
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content
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Processes, policies, procedures have their specific language patterns
Providing Quality Laboratory Tests
Policies(commitment when executing process)You must log all
samples received
All tests must use sufficient
sample amounts to ensure tests
are accurate
You must store samples in approved containers
Taking in Samples Testing Samples
Procedure (s)(methods to implement
policy)
Processes(to achieve outcome)
To test sample A:Step 1DoStep 2Step 3Step N
--ing word…
Must…
Impose the language pattern!!!
Imperative…
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Outcome
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It’s hard to determine which example belongs to what category if language is not precise
Process
Policy
Procedure
Taking in samples for laboratory tests
Store samples in approved containers
Conduct a quality control audit
Replace a spectrometer
Replace a spectrometer after 3 years
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These examples are not precise
ProcessMust store samples in approved containers
Conducting a quality control audit
To replace a spectrometer
Must replace a spectrometer after 3 years
Now the examples are precise
This first example is precise
Poll Question 2
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing – Taking an “undifferentiated” mass of words, and “chunking” them into
appropriate categories and component parts
• Critical Thinking Part 3: Organizing and Creating Content
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Understanding components of document hierarchy can help you draft effective policies/procedures
Required Definition Function
Policy Requirements What must be done, prompted by sound business, safety, legal, regulatory demands
By defining policies, everyone knows what must be done
Purpose The reason for a specific policy and the procedures to implement the policy
By establishing purpose, everyone knows why policy must be followed
Procedure A series of steps to follow to achieve the policy
By documenting procedures, those who execute them know exactly what they must do, and in what order
Roles & Responsibilities Actors in the policy and procedure and what they are accountable for
By defining roles and responsibilities, everyone knows who must do what and when
Definitions Items and concepts employed in the policy and procedure, or the procedure itself
By establishing definitions, terms and concepts are clear
As needed
Scope/Areas Affected Specific processes and areas policy applies to
By defining scope, everyone knows where policy applies and by inference where it doesn’t
Reasons for Revision Why policy/procedure has changedBy pinpointing revisions, everyone knows why changes have occurred
Materials required Essential items to execute policy / procedureBy pinpointing materials required, everyone knows what they must have to execute policy/procedure
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Note that in some organizations, policies and procedures are placed in separate documents
Policies
Policy 2 Policy 3. . .Policy 1 . . .Policy N
Procedures
ProcedureB
ProcedureC. . .
Procedure A
. . .ProcedureZ
Placing policies and procedures into separate documents has two “document management” advantages:
1. Allows easy reference via table of contents and/or index for numerous policies
2. Requires only one procedure document – a procedure may apply to multiple policies
Note: Policies may not necessarily have procedures required
Note: Procedures may not necessarily be associated with a policy
PolicyOverview
PurposesScope
RequirementsRoles and ResponsibilitiesReason for RevisionsApproverContact Person
ProcedureOverview
PurposesScopeRequirements
Procedure1…2…3…
Roles and ResponsibilitiesReason for RevisionsApproverContact Person
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You can of course combine policies and procedures into one document
PolicyOverview
PurposesScopeRequirements
Procedure1…2…3…
Roles and ResponsibilitiesReason for RevisionsApproverContact Person
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But if you do, you MUST (a) separate policies from procedures so readers are clear about where they are in the document and (b) consistently apply the distinct language patterns.
Policies
Policy 2 Policy 3. . .Policy 1 . . .Policy N
Procedures
ProcedureB
ProcedureC. . .
Procedure A
. . .ProcedureZ
Note: Policies may not necessarily have procedures required
Note: Procedures may not necessarily be associated with a policy
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As mentioned in the previous slide, we see organizations who fail to demarcate policy items and procedure items
PolicyOverview
PurposesScopeRequirements
Procedure1…2…3…
Roles and ResponsibilitiesReason for RevisionsApproverContact Person
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Organizations that produce stand-alone SOPs (Standard Operating Procedures) or “Work Instructions” are especially prone to this problem
Right way
Work InstructionsRequirements
Some Policy content mixed in with some Procedure content
InstructionsSome Policy content mixed in with some Procedure content
Wrong way
Poll Question 3
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content– Using principles of “structured writing” to organize your “chunked”
material for easy reading and quick reference– Using effective writing techniques: Writing Tips– Using flow charts to capture and document procedures
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Structured writing differs from traditional writing in two key ways
1. More modules Traditional Units Structured Units
Sections Sections
Paragraphs TopicsSubtopics
Sentences Sentences
Headings are either numbered and/or in a column on the left.
2. Different layout
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Requirements are grouped together into subtopics
Structure of document – consists of topics and subtopics that you must organize logically
Hand Washing within Biohazard Lab
Purpose Definitions Policy Requirements
Must wash with anti-bacterial soap
Must wash in following circumstances
Procedure
Before entering lab
Before executing any tests
After handling materials, equip Before exiting lab
Subtopics
Specific requirements come from regulations, safety needs, best business practices
Title
Sub-subtopics
Topics
Your mantra: categorize and chunk!
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Note: topics and their lower levels must be MECE
Mutually Exclusive Collectively Exhaustive* *Source: McKinsey & Co.
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One template format: combined Policy and Procedure comprises 4 topics
Topic Subtopics1. Overview Policy Title (name and numbering)
PurposeDefinitionsScopeAreas Affected
2. Requirements Phrased as a “must” if required; “may” if optional
3. Procedure Steps; phrased with the imperative; designate the actor if a specific actor has to perform it
4. Appendix Roles and ResponsibilitiesReasons for RevisionsApproverContact Person
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Here is Communication Partners’ policy template
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Topics Highlighted
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Subtopics signaled
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Process language applied consistently
Policy language applied consistently
References aligned
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content– Using principles of “structured writing” to organize your “chunked”
material for easy reading and quick reference– Using effective writing techniques: writing tips– Using flow charts to capture and document procedures
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Tip 1: When listing policy requirements, use the correct verb form: must, is required, or may.
Use the terms “must” or “is required” to indicate that something is a requirement: “
The supplier selection process must include the following.
Laboratory personnel are required to were latex gloves when opening vials.
• Must
• Is required
Use the word “may” to indicate that a requirement is conditional:
The supplier may provide a sample of the purchased material for testing before shipment.
When purchased materials cost more than $5000 per pound, the manufacturer may supply a notarized certificate as evidence that this material conforms to established specifications.
Each requirement must use one of these verbs.
Tip: Avoid using the verbs “will,” “should,” or “can.” These create ambiguity.
• May
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Tip 2: To make lists more concise, put the “must,” “is required” or “may” in an introductory statement
• For exampleLaboratory personnel receiving shipments must do the following:– Confirm that the purchased material was received from an approved supplier– Match the quantity received with the bill of lading and initial the bill of lading– Enter information about the shipment into the company’s computer system. – Store all containers in the supply room with label face out
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Tip 3: In writing lists or tables, use active voice
A sentence written in active voice indicates “who” is doing “what.” By contrast, a sentence in passive voice indicates “what is being done.”
Correct (active) Incorrect (passive)
Follow the steps in the table to revise the reevaluation period.
The steps in the table should be followed to revise the reevaluation period.
The quality control unit must approve the expiration date.
The expiration date must be approved by the quality control unit.
Active voice can either be in “command form” or “subject-verb” form.
command form
subject-verb form
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Tip 4: For bullet lists, use parallel construction
Examples of information that may be used to determine the expiration period are listed below.
– vendor stability data that indicates expiration of the material
– in-house stability data that indicates expiration of the material
Examples of information that may be used to determine the expiration period are listed below.
– vendor stability data that indicates expiration of the material
– review in-house stability data that indicates expiration of the material
In a parallel list, every item is the same kind of grammatical structure: noun phrase, verb phrase, full sentence, etc.
Parallel list:
items are noun phrases
Non-parallel list:
one item is a noun phrase, the other is a command
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Tip 5: Aim for consistency in writing
• Hands must be washed with the following materials:
• Hand must be dried with the following materials:
• Hand washing must be executed with the following materials
• Hand drying will require the following materials listed below:
By phrasing similar things in similar ways, you will set up a pattern that makes it easier for readers to understand and remember.
Correct (similar phrasing) Incorrect (different phrasing)
Phrase similar things in similar ways—even when items are in different subtopics.
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v
v
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Tip 6: Write concisely. Shorten phrases, eliminate words that are not necessary for meaning.
Vigilance is necessary to ensure that received materials are handled consistently in the loading process, in accordance with Six Sigma values.
A high level of vigilance is necessary to ensure that received materials will be handled in a consistent mannerthroughout the unloading process thus contributing to the maintenance of company’s Six Sigma values
Extra words get in the way of easy comprehension.
More conciseWordy
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Tip 7: For multiple step procedures, use tables
• Step action tableActions are best expressed in a step/action table
Step Action1 Put the step number in the left
column
2 Put the action in the right column
Conditional actions are best expressed in an if/then table; actions typically mutual exclusive
For DoA Y
B Z
• If/then table
• Decision table
If ThenA is true You do B
C is true You do D
Actions based on similar categories are best expressed in decision table; actions typically non-exclusive and can be cumulative
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Tip 8: Procedures may also require “helpers”: information that supports steps in a procedure
The table below describes when to use common helpers
Helper When to use
Note Use a note to add general information the reader needs to know to complete steps. A note contains no action statements
Result Use a result to point out something observable that occurs when an action is completed correctly
Example Use an example when it would help clarify the information in a step
Warning, Caution, or Danger
Use a warning, caution, or danger to point out a possible danger or cost of improperly performing a step
Reference Use a reference if the reader needs to go to another part of the document or another document
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Agenda – What we want to cover today
• About Communication Partners
• Why policies and procedures?
• Critical Thinking Part 1: The Conceptual
• Critical Thinking Part 2: Categorizing
• Critical Thinking Part 3: Organizing and Creating Content– Using principles of “structured writing” to organize your “chunked”
material for easy reading and quick reference– Using effective writing techniques: Writing Tips– Using flow charts to capture and document procedures
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Flow diagrams are useful to illustrate the procedure for executing a policy or process
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Note: it is very useful when documenting a procedure to have many individuals produce a flow diagram. Doing so uncovers different perspectives, different assumptions, and different ideas about what some consider essential to include in the “flow” and what some consider non-essential.
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User
Customer Care Agent
Relationship Data System
Problem Diagnosis System
Service System
ServiceAgent
Place Call
Identify User
Get User data
Known? Yes
No
Provide Personal
Data
Enter Data
Update Data
Ask about
problem
Provide problem details
Consult problem/service systems
Fixable by
user?
Yes
No
Enter Service Request
Get Procedure
Explain Procedure
Go to User
House
Solve Problem
ArrangeAppt
End Call
Swimlane diagram: shows how procedures are allocated to stakeholders (people and systems)
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Summary: What key “critical thinking” ideas did we cover today?
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Difference between processes, policies, and procedures
The advantages of structured writing—i.e., topics and subtopics, along with tables–-and ways to write sentences and lists
The appropriate categories – Purpose, Policy Requirements – etc. of a well-thought out document
The usefulness of flow charts to document procedures—and to bring consensus about what is important in the procedure
But, alas, what we’ve covered is conceptual—what really counts is in the execution of creating/revising your policies and their accompanying procedures according to this framework.
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To help you think through execution, Communication Partners is please to make the following offer:
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For the first 10 Webinar participants who e-mail [email protected]
. . .we will provide a no-charge 30-minute consultation.
Our Next Webinar will be Tuesday, 9/18 at 1:30 EST,
Five Essential Components of an Effective Policy & Procedure ProgramPresented by Raymond ErgoInvites to be emailed shortly
Tim Gunther, Director of Business Development, [email protected]
Thank you again for participatingSponsored by