10 Considerations to Communicating with your Boss

1. Keep your boss informed. Your boss doesn’t like surprises.  If something bad has happened, its better they find out from you now then from someone else later.  If you want a better boss then keep them informed.
2. Meet with your boss frequently. It’s important to keep your boss updated on your progress, good and bad news, and what you might need help with in the future.  If you are struggling with an assignment or have finished early, let the boss know (see point 1).
3. Get your facts straight.  Opinions are not what the boss needs.  Management has a lot of their own opinions and if they want yours they will ask for them.  What management needs is unarguable objective evidence.  Subjective information will only weaken your argument.
4. Be prepared.  Think about what questions your boss may ask you and make sure you have researched the answers.  Not having the answers available when you are talking to your boss is wasting their time (see point 5).
5. Don’t waste the boss’s time. Keep updates short and to the point.  Explain the “bottom line”.  If you need something, be specific.  Saying “I need help” is undefined.  Instead say “I need [specific person’s name] help for 4 hours on this project.    The boss likes to make informed decisions and quick calculations of the impact.  To increase your productivity, try to increase your boss’s productivity too.
6. Don’t oversell. Once the boss has said yes, stop talking and say thank you.  If you keep explaining the reasons why, your boss may discover that your reasoning is faulty and take back the resource they just gave you.  After all, you got what you wanted so leave happy.
7. Focus on solutions. We all have problems.  Your boss has big problems.  So you do not want to add to their problems do you?  Instead, offer your solution.  Support your solution with the facts and how the problem is solved with your resource request.
8. Don’t get mad at the boss! You may not understand it but your boss has a lot of different pressures to work under.  Your proposal may be the best solution given the information you have but the boss has additional information or political battles to fight that do not have to be explained to you right now.
9. Feedback from the boss is not criticism. You may not like it but there is some truth somewhere in the feedback you call criticism.  Use the feedback to devise solutions and not to offer excuses.  Even if you think you are in the right, your message is not getting communicated to the boss clearly.  Fix the communication and turn the criticism into corrective action.  All feedback is good feedback so use it to improve your performance.
10. Observe the chain of command. Going over your boss’s head to their boss can be dangerous.  Learn to pick your battles, observe the other nine communications points listed above, and be prepared for unintended consequences.  If you feel you must go over their head, then make sure you inform your boss of what you are doing (see point 1 above).

Communicating with authority figures can be a lot easier if you plan ahead and consider it from your boss’s point of view.  Your boss is not all that bad.  Do you know anyone that has a boss?  Then pass this article along to them so they can benefit too.  Use the “like”, Tweet, +1 or share buttons to pass it on.

10 Considerations to Communicating with your Boss

1. Keep your boss informed.
2. Meet with your boss frequently.
3. Get your facts straight.
4. Be prepared.
5. Don’t waste the boss’s time.
6. Don’t oversell.
7. Focus on solutions.
8. Don’t get mad at the boss!
9. Feedback from the boss is not criticism.
10. Observe the chain of command.

Complying with the law on employment related issues is a dynamic management task.  Federal legislation is written, followed by state and local legislative laws or acts, which lay out guidelines and enforcement action.  These laws and acts can become obsolete and require modification due to the changing nature of our workforce.

Thirty years ago, the workforce was more homogenous that it is today.  First, as an example of evolutionary laws, there was non-discrimination employment law/legislation to protect race.  Since then the law has been expanded to incorporate, age, female employees, homosexual employees, etc. just to name a few.  And, as the demographics of the potential hiring pool changes and norms in society change, we can look forward to additional new labor laws and legislation to protect employees and companies alike.

To facilitate our discussion we will present Federal Labor Laws that must be complied with in the small to mid-size business.  Following this paragraph is a chart of Federal Labor Laws and a list of required records/reports.  Every individual company is responsible to know the laws and to what extent any law might apply to them for their operation.

Federal Labor Laws

The following chart lists United States Federal labor laws that apply from the smallest group of employees to larger organizations.  Most of the laws listed apply to all companies.  Additional compliance is required at 15, 20, 50, and 100 employees and for companies servicing Federal contracts.  The alphabetical listing itself has no bearing as to the frequency of use or importance of the law.

Posting Requirements

Federal laws require that employers post certain notices in the workplace where all employees can view them.  If a company has more than fifty (50) employees, the employer must post information concerning:

• The Americans with Disabilities Act of 1990 (ADA);
• The Age Discrimination in Employment Act of 1967;
• Title VII of the Civil Rights Act of 1964;
• The Employee Polygraph Protection Act;
• The Fair Labor Standards Act (Current Minimum Wage);
• Family Medical Leave Act (FMLA) of 1993; and
  • Occupational Safety & Health Act(OSHA) of 1970.

A company with fewer than fifty (50) employees is not required to comply with FMLA and, therefore, need not post related information.

The Equal Employment Opportunity Commission (EEOC) can provide posters containing the above listed information, at http://www.eeoc.gov. In addition, the U.S. Department of Labor (DoL) makes many Federal labor posters available at http://www.dol.gov/compliance/topics/posters.htm. State labor law posting requirements may vary; see the particular state’s Labor department for more information.

Legislation Briefs

The following provides a brief description of some of the various acts relating to HR.  A more complete discussion of Federal compliance is included in the “Managers Manual”, found under the “300 Managers Manual” tab.

Clayton Anti‑Trust Act (1914)

Narrowed the availability of injunctions against labor organizations in cases involving employer and employees. Allowed injunctions only if it is necessary to prevent irreparable harm to property and no adequate legal remedy exist.

Norris‑LaGuardia Act (1931)

First general legislation specifically designed to strengthen unions in dealing with management. Prohibited “yellow day” contracts (agreements required by employers of prospective employees, by which the employee agreed not to join a labor union).

National Labor Relations Act (Wagner Act) (1935)

Congressional effort to equalize the disparity in bargaining power between employers and employees; gives covered employees the right to organize and bargain collectively.  Created the National Labor Relations Board (NLRB).

Fair Labor Standards Act (1938)

Known as the Wage and Hour Law. Regulates hours and wages of employees. FLSA prohibits oppressive child labor. Payment of overtime after 40 hours worked in one workweek and minimum wage is included under this law.

Executive Order 8802 (F.D. Roosevelt, 1941)

First federal action to deal with persistent and pervasive discrimination in employment against minorities and women. Defense contractors were forbidden to discriminate in employment on basis of race, creed, color, or national origin. Lacked Congressional support and was not vigorously enforced.

Taft‑Hartley Act (Labor Management Relations Act 1947)

Amended National Labor Relations Act. Covers all employees whose business affects interstate commerce.

Labor Management Reporting and Disclosure Act (Landrum‑Griffin Act (1959)

Further amended the NLRA; established a “bill of rights” for union members and required reports from union to the Secretary of Labor.

Executive Order 10925 (Kennedy, 1961)

Required all agencies of the federal government to include a nondiscrimination clause in their contracts.

Equal Pay Act (1963)

Requires that women be paid the same rates as men for equal work on jobs where the performance requires equal skill, effort and has the same level of responsibility.

Title VII of the Civil Rights Act of 1964

Prohibits employment discrimination based on race, color, religion, national origin, or sex. Employers with 15 or more employees are covered. Provisions enforced through the Equal Employment Opportunity Commission (EEOC).

Executive Order 11246 (L.B. Johnson, 1965)

Requires government contractors take affirmative action to insure that employees are hired and promoted on a non‑discriminatory basis.

Age Discrimination in Employment Act of 1967

Prohibits covered employers from refusing to hire, discharging or otherwise discriminating against persons 40 through 70 years of age. Since amended to include all persons over age 40 with no age ceiling.

Occupational Safety and Health Act (1968)

Imposes a general duty on employers to provide a place of employment free from recognized hazards (physical, chemical, biological, etc.) that may cause death or serious physical harm.

Amendments to Title VII of Civil Rights Act (1972)

Prohibits discrimination in employment of basis or sex, as well as, discrimination on the basis of race, religion, color, or national origin. Applies to all employers whose activities affect interstate commerce and who employ 25 people or more.

Rehabilitation Act of 1973

Requires employers with federal contract exceeding $2500 to take affirmative action to employ and advance in employment qualified handicapped individuals. Employers having federal contracts over $50,000 must develop and maintain written affirmative action programs.

Vietnam Era Veterans Readjustments Act (1974)

Requires federal contractors to promote employment opportunities for qualified disabled veterans and veterans of the Vietnam era.

Privacy Act of 1974

Protects individuals against the unauthorized disclosure of personally identifiable information by any agency of the federal government.

Employee Retirement Income Security Act of 1974 (ERISA)

Covers employee welfare plans providing medical, sickness, death, vacation and other fringe benefits that may include pension and other welfare plans. Does not require employers to establish or fund benefit plans. Established standards that existing and new plans must meet.

Immigration Reform and Control Act of 1986

Established opportunity for the naturalization of specified groups of aliens already living/working in the United States. Placed responsibility on employer to document and provide proof of employees’ right to work.

Federal Employee Polygraph Protection Act of 1988

Prohibits employer’s use of polygraph as pre‑employment screening tool. Limited use for banking in some cases of security violations after employment status is achieved.

Drug‑Free Workplace Act of 1988

Requires Federal contractors and grantees to maintain a drug‑free workplace.

Americans With Disabilities Act of 1990 (ADA)

Establishes protection of employment for disabled workers. Took effect for employers with 25 or more workers on July 26, 1992, and employers with 15 or more workers on July 26, 1994.

Family and Medical Leave Act of 1993 (FMLA)

Guarantees workers up to 12 weeks a year off, unpaid, for births, adoptions or the care of sick children, spouses, or parents.

And Elsewhere…

Council Directive 2000/78/EC

The subtitle of this legislation is “establishing a general framework for equal treatment in employment and occupation”. The Member States of the European Union (EU) ban discrimination in the field of employment and occupation. However, the scope of this prohibition, its content, and its enforceability vary from country to country; hence, this Directive is designed to lay down a general minimum framework for anti-discrimination.

* * * * * * *

We’ve just scratched the surface of employment legislation and compliance. There are many, many more laws around the globe that we haven’t discussed. Obviously, complying with labor laws and employment-related issues is a dynamic and multifaceted management task — a task made considerably easier by the Bizmanualz Human Resources Policies, Procedures, and Forms manual.

[2] HIPAA applies only to companies providing employees with health care benefits (e.g., insurance).

[3] Companies with 11-14 employees must maintain a record of illnesses and job related injuries under OSHA.

Additionally, the very nature of a business itself, relative to its size and mission, will dictate the level of Human Resource Management and the structure and application of HR Policies & Procedures.

One thing every business has in common?

The HR department!

It’s a fact that Human Resources, or “HR”, is the most important — and often the most expensive — department. They’re responsible for an enormous amount of records, and they have to know more than a little bit about labor law, organizational behavior, privacy regulations, communication, job satisfaction, and so on.

Yet, surveys of company managers continue to report that the most serious management problems are those related to people — “people problems”.  The application and construction of sound management practices — policies and procedures — toward human resource (personnel) management in the workplace can help resolve these people problems, many times before they begin.

Typically, a small business begins with a product and a plan.  Entrepreneurs often start businesses with themselves as the only employee. They give little thought to human resource management. Even the founder of a small startup business with several employees will generally employ those with whom they have close personal and professional ties.  Outside of payroll taxes, the small startup may face very few compliance issues.

The founder/owner/chief executive eventually busies herself (himself) with critical product issues (developing the product/service, marketing and selling it, collecting revenue, etc.) and has to assign human resource duties, management and clerical, to other personnel.  Department or unit managers may begin to recruit and manage their personnel independent of any organizational HR plan (i.e., without a plan or uniformity).  This is where most HR problems begin.

The business is liable for employee actions at work, for manager’s actions in an interview, for how all employees treat all other employees, for how employees are hired or terminated and a wide range of health, safety, security, privacy and what seems like an endless number of regulations. To a growing business, many of these laws might be considered burdensome, but they’re designed to ensure fair and equitable treatment of all personnel (especially where the HR function might be understaffed, considered an afterthought, or just plain nonexistent).

As the business expands and growth occurs, the requirement to take a professional interest in personnel and the function of “Human Resource Management” becomes more apparent.  A mid- size business will be required to recognize and implement a full time Human Resource Management function and plan for operations.

The Recent Past

Human resource or personnel management has been an ongoing effort, ever since we were required to rely on one another to accomplish goals — like survival — for the good of the group.  As we evolved into a society of workers gainfully employed for the conduct of business (aka, mercantilism), we began to rely on structured organizational methods of managing everyone’s’ efforts toward production in hopes of ensuring a profit.

Human Resource Management educators generally agree that personnel management, the predecessor to human resource management, came into being as a business function in the early 1900’s in Europe and the United States. HR resulted from the development of businesses that produced large amounts of products from a single location during the industrial revolution — mass production techniques.

Mass production required a coordinated effort from workers. Workers now had to be recruited, trained, paid, and managed for the production of products and services. Governments became involved in the regulation of labor and the implementation of taxes on labor which we now recognize as “Labor Laws” and taxes such as “Social Security & Medicare” and “Unemployment Insurance”.

The HR Present

As mentioned earlier, the small business owner generally managed all personnel functions and requirements by himself/herself , or with the assistance of a trusted personal secretary or office manager. Once the business began to grow, the secretary would begin to take on all the responsibility of maintaining the personnel management function, as this was largely a file and record-keeping job.

However, as a business grows, the personnel function generally outgrows the simplicity of record keeping and evolves into a more sophisticated management function, which we now refer to as Human Resource Management

The competitive nature of business today places a greater emphasis on being able to recruit, train, and retain workers who understand the mission of the business and can work closely with management toward profitable goals.  Additionally, along with productivity increases, employers are faced with many involved and potentially complicated labor laws, which protect the rights of applicants and workers alike.  In fact, the relationship of business management and the workforce currently requires more attention to human resource management.

In a small to mid-size business, all management personnel are answerable for some functional responsibility toward human resource management and organizational policies & procedures.  Written policies & procedures ensure continuity in management, especially where personnel are concerned.

Today’s small (10-50 persons) and midsize (50-400 persons) businesses require personnel administration and human resource management.  Personnel management is the essential ingredient or clerical function associated with compliance issues and recordkeeping.  Human Resource Management includes clerical & record keeping duties, plus dynamic issues such as recruitment, hiring, planning, salary administration, and training, in line with the strategic plan for growth and development within the organization.

The HR Future

Personnel Management has evolved into Human Resource management, or Human Capital management. Today, practically everyone is familiar with the term Human Resource Management; very few have heard of Personnel Management.  As we turn into a more global society, human resource management responsibilities will escalate and expand.

As companies grow, they might have manufacturing/business locations in countries that have very different cultures and customs from those in the United States.  These countries have differing labor laws and traditions that require special attention, which function will fall to the human resources manager in the support of operations.

Human resource issues are becoming increasingly complex and diversified at an ever-accelerating pace, due to:

• The work place becoming friendlier to working mothers.
• The requirement to recruit highly skilled workers.
• The need to retrain employee’s to keep up with technology.
• Compliance with labor laws that protect minority workers.
• Telecommuting and Outsourcing.
• Employee leasing.
• Global competition and outiside influences.
• The alignment of the workforce with short and long term business strategic planning.

It is certain that the workplace will continue to change, requiring special attention toward the function and responsibility of Human Resource Management, your HR policies and procedures, and your company employee manual.

The economy is said to be improving. Though they’ve had their ups and downs, the Dow, NASDAQ, and other market indexes are up from a year ago. The housing market may have also hit bottom.

One indicator that doesn’t bode well, however, is the unemployment rate. Firms still aren’t hiring. They’re getting by with what — or whom — they have. What does this mean for the currently employed? It means we’re expected to be more efficient…more productive. “We’ve go to do more with less!”, we so often hear it. This is frustrating for both sides. Employees are trying their hardest, in virtually all cases. And, employers want to keep growing.

As a manager or owner, simply telling your employees “we have to be more efficient” won’t motivate them. Saying, like wishing, doesn’t make it so. You have to be a mentor and coach to get the most out of your employees — all of them.

You say you “don’t have time for that”? Well, do you have time for inadequate performance? Do you have time to replace and train a replacement? Time to acclimate them to the “company way”? Time to recoup the investment you’ve already made or the experience? The wisdom?

How do your employees stack up to expectations? Are they performing at a satisfactory level? If not, could that be due to:

• Poor training?
• Inadequate equipment?
• Time pressure?
• Lack of priorities and/or organization?
• Poor communication?
• Lack of motivation?

Home in on the reason(s) for employees’ underperformance to determine if better coaching will address them.

What, When, and Why — Does the employee know what to do, when to do it, and why? If not, you need to tell (maybe even show) them.

What Is and What Should Be — What is the standard of performance and how does the employee measure up to it? Does the employee know what the standard is? You have to let them know clearly what’s reasonably expected of them.

Communicate — Does the employee know his/her performance isn’t meeting the standard? You need to let them know.

Train — Does the employee have the skills needed to do the tasks required of them? If not, you need to invest time in training to get higher performance in return.

Realistic Expectations — That standard of performance: is it reasonable? What’s it based on? Is your standard current? Stretch goals are fine…as long as they’re fact-based.

The Butterfly Effect — What impact does substandard performance have on the rest of the organization? The employee may need to be reminded of his/her place in the firm, their relationship — direct and indirect — to everyone else, and how inadequate performance affects other people and processes. The organization is, after all, only as strong as its weakest links.

Ample Resources — Does the employee have enough (time, money, materials, etc.) to get the job done? You have to see that they do.

Performance Hurdles — Is something beyond the employee’s control affecting his/her performance? Is there something you, the employer or manager, can do to help?

Positive Feedback — Is the employee getting the occasional, well-placed “attaboy”/”attagirl” for a job that exceeded expectations? Or, are they being “rewarded” by having more responsibilities heaped upon them? “You did this so well, we’re going to give you more” can be as damaging as “You stink!”

Motivation — Is the employee’s heart in the job? If not, more training, better equipment, and more resources (like time) aren’t going to solve the problem of poor performance.

Now, let’s say you’ve analyzed the situation and have come to the conclusion that coaching will help turn the employee’s performance around. Here’s how you might go about it:

1. HOLD THE COACHING SESSION IN PRIVATE

Nobody but the two of you need be involved.  Be warm and courteous. Remain calm and keep a positive attitude.

2. CLEARLY STATE UP FRONT THE REASON FOR THE SESSION

Don’t be blunt, though. Say “I’d like to discuss (XYZ)”, rather than “I need to talk to you about your recent performance problems.” You want to engage them, not talk at them.

3. SHOW YOUR CONCERN FOR THE PERFORMANCE ISSUE

Example: “It looks like we’re not following up with customers as quickly or as thoroughly as we should. We used to get back to 80% of our customers within 10 days of their purchase. Now it’s more like 10%.” Focus on the problem, not the person.

4. DESCRIBE THE WAYS IN WHICH THE PERFORMANCE ISSUE AFFECTS OTHERS (INCLUDING YOU)

Example: “When we don’t follow up with customers in a timely manner, they probably feel like we don’t care about anything but their money.” Emphasize “we” and “the team”. Putting the focus entirely on them only deepens the sense of isolation they already feel.

5. ACKNOWLEDGE THE EMPLOYEE’S SIDE OF THE ISSUE…AND LISTEN

Regardless of whether the employee apologizes, rationalizes, promises to do better, etc., hear them out. They may have a valid explanation (like that they’re overworked — you might do more with less but you can’t do more with nothing).

Remember: there are always at least two sides to every story.

6. GET THE EMPLOYEE’S INPUT ON HOW TO IMPROVE THEIR PERFORMANCE

Ask, “What can be done to improve our follow-through with customers?” There may be some beautiful gems hidden among their thought nuggets – help them find those gems. After all, they’re on the front line every day, so they’ll have insights you won’t.

7. DISCUSS POSSIBLE SOLUTIONS

Work with the employee to develop a number of potential solutions to the performance issue. Make use of the employee’s ideas and offer guidance, but don’t take over the project. You’re a coach, not a critic.

8. AGREE ON A SOLUTION AND ACTIONS TO TAKE

Identify what you both think is the best solution. Agree on how to arrive at the solution and on reasonable deadlines. Be clear of your intent – that you want status updates so you can help them, not because you get any joy out of “riding” them.

Be sure to put the action plan in writing and make sure you both have a copy.

9. CHECK ON THE EMPLOYEE’S PROGRESS AND CONTINUE TO GET THEIR FEEDBACK

Give them additional guidance and reinforcement. Don’t hover around them constantly. Just make sure that they’re not stuck on something. If they have ideas on how to improve the process or the result, listen and evaluate. If they have a good idea, let them run with it.

10. GIVE POSITIVE FEEDBACK FOR POSITIVE RESULTS

Every time the employee meets a deadline or hands in a “deliverable”, give them a sincere “Good job!” Don’t say, “That’s more like it”, or “You should’ve been doing this all along.”

Remember — even star employees who are strongly self-motivated (and there are probably more of them out there than you think) can use a sincere pat on the back…or a handshake…or a shout-out. So, you can imagine how an employee who’s been struggling will benefit from quality feedback.

You’ve been there. You know how good it feels when someone takes you under their wings. Give back what you got.

Now it’s time for your feedback. Tell me what you think.

* * * * * * *

References

Toastmasters International Advanced Communication and Leadership Program, “Interpersonal Communication” — Project #4, “The Coach”.

]]> http://www.bizmanualz.com/information/2010/06/28/ten-keys-to-improving-employee-performance.html/feed 3 http://www.bizmanualz.com/information/2009/06/18/updated-iso-9001-policies-and-procedures-manual-simplifies-compliance-with-the-standard.html http://www.bizmanualz.com/information/2009/06/18/updated-iso-9001-policies-and-procedures-manual-simplifies-compliance-with-the-standard.html#comments Thu, 18 Jun 2009 23:05:25 +0000 Editor http://www.bizmanualz.com/information/?p=822 Lean approach simplifies the ISO 9001:2008 quality procedures manual and clearly points out the required QMS procedures and records.

St. Louis, MO – June 18, 2009 – Bizmanualz, Inc., a business publications, training, and consulting company based in St. Louis, MO, today announced the release of the updated ISO 9001 Policies and Procedures Manual. The company has greatly improved its product by modeling its policies and procedures on the Deming (“Plan-Do-Check-Act”) Cycle.

“The updated manual reflects our lean philosophy in multiple ways,” said Christopher Anderson, Managing Director of Bizmanualz. “For example, rather than borrow the text of the standard verbatim in the quality manual, we stripped it to the bare essentials. Putting in a lot of verbiage not required by the standard can make your Quality Manual less user-friendly, less useful, and less likely to be improved.”

The updated ISO 9001 Policies, Procedures & Forms Manual conforms to the ISO 9001:2008 standard, which was updated for the first time in eight years and released in November, 2008. ISO 9001 requirements for procedures and records are clearly identified throughout the updated manual. Recently ISO 9001 certified by using lean principles, the company has used a similar approach in the update process.

“We carried procedures over (from the old to the new ISO 9001 QMS manual) that most organizations consider critical,” said Steve Flick, Bizmanualz Product Director. “Similarly, we removed procedures that customers didn’t consider a high priority, or had little-to-nothing to do with 9001 requirements, or didn’t amount to more than simple work instructions.”

Twenty-three QMS procedures are included in the updated ISO 9001 manual. A forms list at the end of each procedure points out if the filled out form is a “required record” and which ISO 9001 clause requires that record. Bizmanualz redesigned its ISO 9001 QMS manual to help companies easily establish an effective quality management system, as well as to simplify the certification journey for organizations wishing to comply with ISO 9001:2008.

Bizmanualz also offers manuals for Accounting, Finance, Computers & Networks, Sales & Marketing, Human Resources, ISO 22000, Disaster Recovery, and Security. All of Bizmanualz® Policies & Procedures manuals are available via instant download or in hard copy form, with easily editable MS-Word documents included on CD.

Each manual provides prewritten policies, procedures, and forms that enable executives to create and maintain internal controls and implement best practices for all departments in their business.

Bizmanualz® ISO 9001 QMS Policies, Procedures, and Forms: How to Quickly Create an ISO 9001 Quality Management System with easily editable Policies, Procedures, and Forms. (400 pp/trade binder/$495.00) is a Knowledge Management title from Bizmanualz, Inc. It is available through the company’s website, www.bizmanualz.com, or by calling the publisher at 800-466-9953 (outside the USA, call 314-863-5079), faxing your request to 314-863-6571, or by e-mailing sales@bizmanualz.com.

At Bizmanualz, we have helped a number of small and medium sized businesses move from having no real QMS to becoming ISO 9001 certified.   It is a process that usually takes about six months, but it can be done in three to four months for very small companies.  A project typically includes establishing all the required elements of the ISO Quality Management System and assisting them in getting it off ground functionally.

One way to establish priorities and milestones is to use the organization of the ISO 9001:2008 QMS Requirements itself as a pro-forma project plan.  The project we describe in this series is heavily influenced by the layout of the requirements.

The ultimate goal, however, of an ISO QMS is continual improvement.  So, to gain the benefits of improvement, an organization has to be committed to maintaining and modifying the system over time to best suit its needs.  Creating the ISO QMS is just the beginning.

Create an ISO Implementation Plan

Since the best approach is to treat your ISO implementation as a project, you should start with a project plan that estimates the resources needed (people, materials, expertise) and the project timeline from beginning until the certification audit.   If you have experience and knowledge of the ISO 9001 requirements, you might begin with a gap assessment, which provides input into the project plan.  A gap assessment is just as the name describes – comparing current systems and documentation to what is needed for a system that is ISO 9001 compliant.  If you don’t feel comfortable with the ISO 9001:2008 Standard, then perhaps the first step is ISO training for you and members of the project team or ISO Steering Committee.

The ISO Steering Committee includes key members from the quality department along with representatives from other departments like Sales & Marketing, Design & Development, Human Resources, Production, and Accounting.  The Steering Committee members provide valuable input to the ISO QMS development project about systems and processes, they divide up tasks and actions items, and assist in distributing important information throughout the organization.  But remember, involving a committee can also take more time as you wait for meetings in order to make decisions and follow-up on actions.  So be sure to build such delays into your project plan.

Start with Clause Four in the ISO 9001 Standard

The QMS really starts where the ISO 9001 General Requirements begin – in Clause 4, and that is where the efforts of phase one are focused.  It is well established that ISO 9001 is a process-based standard, and the General Requirements listed in 4.1 establish this clearly:

1. Determine the processes of the QMS
2. The sequence and interaction of the processes
3. The criteria and methods to ensure process are effective
4. Ensure availability of resources and information to operate and monitor the processes
5. Monitor and measure and analyze the processes
6. Continually improve the processes

The first two items are the focus while setting up your ISO QMS.  The remaining four become central as you maintain the ISO QMS and use it to improve the organization.

Define Your ISO Processes

Therefore, step one in creating the ISO QMS is to understand and define the processes of the QMS.  Understanding your processes is key to a functional QMS.  There is a scope question each organization has to answer (which will also eventually be included in the Quality Manual).  Exactly what processes will be part of the ISO QMS?    The ISO QMS could encompass the entire organization, a particular facility, or perhaps just a single product line.

Figure 1: Typical Organization Processes

One way to get started defining processes is to consider the over-arching, top level processes that convert supplies and resources (i.e. materials, knowledge, and capital equipment) into customer deliverables.  Figure 1 shows the top level processes of a typical organization.  If necessary, once top level processes are defined, you can identify key sub-processes that make up the top level process.  Notice that Figure 1 also displays the interaction of the top level processes.

Be sure to identify the process owners who have ultimate responsibility.

Creating the First Level of ISO 9001 Documents such as the Quality Manual

Once the QMS processes are defined, you are ready to start the next step in phase 1: creating the first level of documentation.  The first document tier in the QMS consists of the Quality Manual, the Quality Policy, and the Quality Objectives.

By having already clearly defined the QMS processes, creating a draft of the Quality Manual becomes easier because you have already determined much of the key content.  Remember, the description and interaction of the processes in the Quality Manual does not have to be large amounts of text.  Diagrams, process maps, and flow charts all describe processes just as well, if not better, than verbal descriptions.  Also, be sure to list all exclusions your organization has to the ISO QMS.

Completing Phase One with Quality Policy, Quality Objectives, and Document Control

At this point you have completed two crucial steps on your way to ISO compliance – defined processes and a draft of the Quality Manual. The next step is write drafts of the quality policy and quality objectives.  Remember, the quality objectives should be measurable and align/fulfill the quality policy.

The last step for phase one of your ISO QMS project is to create the document/record control system that will be used for the QMS documents.  How are they reviewed and released, updated, stored, and retrieved?  These questions should be addressed in ways that meet the requirements for document and record control established in Clauses 4.2.3 and 4.2.4.  This also includes writing the drafts of the required Document Control and Record Control procedures that will define your system of documents and records.

Now, at the end of phase one, you have fulfilled most of the requirements established in Clause 4 of the ISO 9001 Requirements, and you have also created the framework for meeting the additional requirements in other clauses of the ISO 9001 Standard.  While you may only have drafts of the quality manual and document and record control procedures, having a good draft in place represents a majority of the effort.  Hopefully you will only need to make minor additions and revisions to them as you continue on your ISO QMS project path.

In the next article, we will discuss phase 2 of your ISO QMS implementation project – putting in place the continual improvement processes described in Clause 8.

That’s a good policy, but as Dimitri points out, even the best of policies should have an exception.  His policy exception? “If you are trapped in a glass house and you have a stone, throw it!”

You Know Not to Throw Stones

It would be nice if policy setting was as clear and as easy as Mr. Martin’s example but setting good policies is difficult. Good policies are also important — they serve as guideposts, helping to keep your organization on track. You can learn a lot about an organization’s culture by reading its policies — how it feels about its employees and its customers, and where its priorities lie.

A quick reminder, though, that most organizations actually have two types of policies.  The first are the policies maintained by the Human Resources department.  These are necessary to ensure rules are applied fairly across the board, so certain employees are not treated more favorably in terms of attendance, discipline, reimbursement, or other matters.

Policy as a Goal

The other type of policy — the one we’re more interested in for this discussion — involves creating statements that serve as guidelines for executing the organization’s strategies and priorities. If “customer service” is a priority, company policies should articulate high-level customer service goals, such as answering calls promptly and resolving issues in a timely manner.  These high-level goal statements should then be fleshed out by department managers, with specific objectives that fulfill the overarching goals (for example, answering 95% of incoming customer service calls by the fourth ring, or resolving all customer questions or issues within one business day, or same-day shipping).

Good policies are usually developed by reflecting on how to operationalize strategies, set priorities, and address existing risks.  An overlooked step in some organizations is “clearly communicating company policies to team members”. Too frequently, we assume that the meanings and motives behind a policy are obvious.  It’s a mistake to assume anything, as those of us who have (or had) teenagers are reminded continually.  Clear communication about the logic and importance (success) of policies is a key to creating buy-in, which is a solid foundation for compliance.

Even more importantly, making sure employees understand policies thoroughly will also help them recognize when a situation calls for an exception. Being able to empower front line employees (especially those interacting with customers) is always a good thing, and the greatest impediment to good decision making is a lack of information. Training and communication on policies and policy development is one way to help alleviate this problem.

A Policy for Creating Policies?

So good policies are created by clearly stated company goals, and recall that our discussion of policy involves standards for achievement – not rules. Bad policies, on the other hand, can be a result of knee jerk reactions to a specific incident or occurrence. They are not well-thought out and are not based on fulfilling an over-arching strategy or priority. Some bad policies, however, are created because of misguided goals.

I read about a gourmet coffee chain recently, describing their policy of when the line of customers grew too long a staff member would take an order pad and pen out to the line and begin collecting orders from those in line and those queuing up. The odd thing about this policy was that it really didn’t get drinks to customers any faster. There were still the same number of cashiers ringing up sales, and the same number of baristas making the drinks. In fact, one could argue it actually slowed the process down.

But it turns out the goal of this policy was not to reduce the wait for drinks. The real goal of the policy was to make customers coming in and getting in line to feel obligated to stay and purchase the drink. Having placed an order, customers were much less likely to ditch the long line and go somewhere else. How is that for a customer focus?

A useful policy here should be to serve drinks fast enough to satisfy customers, not to lay a guilt trip on customers to keep them from leaving (happy or unhappy). I can’t help but think that if as much thought and effort was put into to creating the proper policy (backed by processes) to deliver drinks satisfactorily during a rush as was put into playing mind games with customers, a win-win situation would be created for customer and company. As is, this policy only benefited the company at the expense of the customer. While such policies might create a short term benefit, over the long haul it alienates customers and creates cynical employees.

So the question isn’t really just “what is your policy,” but “why is it your policy” as well. What is being accomplished? Who benefits? Who suffers? What message does it send? What direction does it take the organization? What does it say about your organization?

When it comes to understanding why, Dimitri Martin might say, “Because throwing stones isn’t nice and someone could get hurt.” Our goal should be to create policies that make as much sense.

We got into a discussion about the meaning of the term “policies and procedures,” and the differences between policies and procedures and other business documents like work instructions.

What do you think polices and procedures are? How did you form that definition? What was the source of your information?

Searching for Meaning on the Internet

Have you ever Googled the term policies and procedures? It is interesting what comes up in the 19 million sites it returns. Of course, our company (Bizmanualz) comes up near the top. On this extremely long list, however, we really need to create only a few categories in which to place this long list of web pages.

The most frequently occurring type of item found after the Google search are policy and procedures developed by universities and municipalities. I assume that they have placed them online for easy availability and transparency. If you take to time to delve deep into the Google listings, it is virtually all you will find far down the list.

There are a few companies selling policy and procedure related materials and services, which of course, we are one. Most are selling custom consulting services and policy management software. There is also a large category of Human Resources related policy sites. Typically these consider policies as rules for employees to follow, which can be considered slightly different than policies based on strategic management for guiding a business.

A Lack of Useful Content

Some sites try to provide definitions and explanations of the term policies and procedures. It is almost shocking, though, how little useful information these sites actually provide to those trying to learn to develop and use policies and procedures to enhance their business. Even the Wikipedia entry is amazingly sparse.

And then there is the band from Niagara Falls, Canada named Policies and Procedures. Who knows what they were thinking;.

If you modify your search slightly to “writing policies and procedures” you get a somewhat different result. Here you will find a few articles and tips on developing and writing procedures, several of them coming from our own informative blog where we archive these articles. (As regular readers know, we frequently write about policies and procedures.)

Where Do You Go When You Want Information?

We would like to know what places on the web you find useful when it comes to the subject of policies and procedures. You can leave your comments on our archive blog with this article (just enter them in the comments blockk below) or you can email me (click on the email link at the top of our email).

In our next article we will talk about various discussion groups and forums where other professionals are communicating as they face similar challenges in creating and implementing the policy and procedure documentation their company or their department needs.

Many of you have inquired about the possibility of downloading individual policy and procedure documents from our large collection of easily editable procedure manuals. We listened and, after several months of development and testing, are glad to announce the launch of PoliciesAndProcedures.com.

Each policy procedure document is an excellent starting point to write procedures for consistency, control and knowledge transfer. Considering the time it takes to write an effective policy and procedure, the documents available at www.policiesandprocedures.com really provide excellent value for you and your organization.

Currently, the new website includes policies and procedures from Accounting, Finance, Human Resources, Sales & Marketing, Computer & IT, and ISO 22000 Food Safety. Over the next several weeks, we will add more content from other manuals.

Most downloadable policy-and-procedure documents on the new website also include forms and references. Pricing is based on the length of each procedure. Discounts are available for multiple purchases. As a launch promotion, Bizmanualz is offering a $10 discount for all purchases (no minimum) for the month of August, 2008. As an added bonus, all buyers receive a free 16-page policies and procedures writing guide.

Please visit www.policiesandprocedures.com and explore the policy procedure documents available there. Once there, you’ll surely find many policy-procedure templates that address your needs. To get your $10 discount, simply use coupon code D-TEN when placing your order online.

Please feel free to contact us if you have any questions or feedback about the new website. Thank you for your support.

St. Louis, MO — March 25, 2008 — Bizmanualz, Inc., a business publications, training and consulting company based in St. Louis, MO, today announced the release of a unique new finance, treasury, and accounting resource designed for business owners, controllers, treasurers and executives interested in utilizing internal controls to improve financial operations compliance.

The new volume, Bizmanualz® Finance Policies, Procedures & Forms, includes a series of easily editable policies, procedures and forms to help CFOs, Controllers and Treasury Officers improve internal controls and compliance in all finance-related areas. Topics covered include risk management; raising, planning and managing capital; liquidity; working capital; credit; debt; treasury management; financial statements; business planning; auditing; board of directors; and other compliance related issues. The volume also includes a free business guide.

“The Securities and Exchange Commission, groups including PCAOB and COSO, and regulations such as Sarbanes-Oxley (SOX), all say that developing policies and procedures is essential for effective control,” said Christopher Anderson, Managing Director of Bizmanualz, Inc. “It’s the controller’s responsibility to create and maintain such controls. But most small businesses don’t have a controller, so they turn to Bizmanualz for help. Using even a single concept from any one of our manuals can add real money to a business’ bottom line.”

“Sarbanes-Oxley, COSO, and other compliance requirements have sent finance and accounting departments scrambling to develop the required internal controls, and there is really nothing like this on the market” said John E. Oeltjen, a CPA with the accounting and business advisory firm MPP&W who served as an advisor and reviewer during the development of the Bizmanualz® Finance Policies, Procedures & Forms. “There really was an outcry among small and medium sized business for a step-by-step roadmap that addresses these regulatory changes.”

“With SOX and other regulatory requirements, the main goal of internal control is compliance. However, if you are putting a control system in place for compliance only, then you are missing an important opportunity,” said Mr. Anderson. “The optimal system of control encourages continuous improvement by setting objectives, measuring performance, and adjusting to achieve stated objectives.”

Bizmanualz also offers individual department manuals for: Accounting, Human Resources, Computers & Networks, ISO 9001 Quality, AS 9100, ISO 22000, Disaster Recovery, Sales & Marketing, and Security. All of Bizmanualz® Policies & Procedures manuals combine a printed version with easily editable MS-WORD documents on CD-ROM. Each manual provides prewritten policies, procedures and forms that enable executives to create and maintain internal controls for all departments in their business. They are available through the company’s web site,www.Bizmanualz.com. Retail, affiliate or dealer programs are also available.

Bizmanualz® Finance Policies, Procedures & Forms: How To Quickly Create a Financial Management System to manage risk, optimize returns and establish internal controls using easily editable Policies, Procedures, and Forms. (600 pp/trade binder/ ISBN 1-931591-083 /$595.00) is a Knowledge Management title from Bizmanualz, Inc. It will be available from www.Amazon.com or by calling the publisher at 800-466-9953 (outside the U.S. call 314-863-5079); faxing 314-863-6571; e-mailing sales@bizmanualz.com ; or visiting the company’s website at www.Bizmanualz.com.