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How to Encourage the Use of Procedures
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| Categories: Writing Policies and Procedures Tags: Buy-In, corrective action, lean, poorly written, Well-Defined Processes, writing procedures | |||||
Our previous essay listed the typical problems with procedures that we hear from those attending our Well-Defined Processes class. We divided these problems into two broad categories: poorly written and not used. The previous essay also covered problems that fit into the “poorly written” category. The best way to address this problem is to invest in technical writing resources, whether developing it internally through training and feedback or hiring a full-time technical writer, or by using an external resource like contracting or a freelance technical writer. The point is that you can’t expect just anyone to be able to create a well-written procedure without proper training.
This week we will address the second category of procedure problems: when they are not used or not followed. There are a lot of reasons procedures are not used or are not followed. They include things such as: the staff is not aware of them, they don’t know where to find them, or the procedures are so out of date or inaccurate that they are simply ignored. Of course, before tackling this issue, the first step is to make sure the issues related to writing procedures are addressed. Can you really blame people for not following a hopelessly flawed procedure?
Use Training for Awareness and Buy-In
One way to find a solution to the problem of procedures not being used is to think about how procedures are released. Does the release process include communication to all the affected departments and processes? Communication doesn’t mean the procedure falls from the sky and arrives at the department along with a stack of other interdepartmental memos, documents and correspondence.
The release of newly developed or revised procedures should be accompanied by training that clearly explains why procedures are needed, why they were written, and why they should be used and followed. Having all the affected staff attend training directed at achieving those goals obviously creates an awareness of it. Attendees now know what it is called, its nomenclature (document number), what it looks like, what’s in it, and how to find it.
But let’s not gloss over all these “whys” too quickly. Answering these questions in a clear and straightforward way is the key to getting buy-in. And buy-in is what is really needed to make the idea of using the procedures stick. If you, however, as the compliance manager, department head, or process owner, do not have all the answers to these “why” questions, then the real question is – why was the procedure written in first place?
Too Many Procedures!
Another reason procedures may not be used is that there are just too many of them. An organization’s world of procedures may be a confusing maze some are unable to navigate and make sense of. Figuring out what procedures are truly needed (and why) and eliminating the rest can reduce confusion and complexity, and lead to procedures being better used and followed. Taking a lean approach to procedures in conjunction with other methods of communicating organizational knowledge (like training) can make a big difference not only in how people use procedures, but also their attitude toward them.
Schedule Audits to Ensure Procedures Are Used
After training creates awareness and buy-in, the next step is follow-up with auditing. Here auditing refers to observing compliance to the process documentation (the procedure). How is the process conducted? Does it match the procedure? Are people aware of the procedure and whether or not it is followed? Hopefully, the audit will find that the procedure is being followed, but if it does not then an analysis should follow to determine why. As always, the focus should be on determining where corrections need to be made in the system, and not on blaming individuals.
In any case, if issues are found with the procedure (with awareness, correctness, etc;) during the audit, corrective action is taken and a follow up audit scheduled for the not too distant future. Ignoring the problem will not likely lead to a solution.
Training and auditing. These are the keys to having procedures used and followed. Start with training to ensure the proper awareness and buy-in, and then follow-up with auditing to reinforce the importance of using the procedure.
The REAL Problem with Procedures
Now we have covered both of the major categories of “procedure problems.” While we separated procedure issues into two categories of solutions, the solution to procedure problems always comes from one place: management. The level of management’s commitment and involvement will almost always be the determining factor in how effectively procedures are developed and then employed. It is management’s responsibility to put resources in place to write good procedures, and it is management’s responsibility to put the resources in place to conduct training and auditing. Without the proper resources, it is difficult for procedure projects to succeed.
So if you are in management, and you wonder why people in your organization aren’t very good at writing or using procedures, now you know where the problem lies. If you are not part of management, then the next time you hear a top manager railing about problems with procedures;.well;try to keep a straight face.
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