Using risk management techniques is an important component in creating the internal control required for compliance with Sarbanes-Oxley (SOX) Section 404.  Risk management includes all the activities associated with identifying and reducing risk, as well as coping with negative events should they occur.  Identifying risks and creating systems and safeguards to ameliorate them is one way to create a basic internal control system.

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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.

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During our Well-Defined Processes course we spend a significant amount of time talking about procedures. The role of procedures in documenting processes as well as positive and negative attributes of procedures.

At the very beginning of the course, we ask the participants, “What is wrong with procedures in your organization?” The things that appear on the list are predictable. They include:

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Question of the month: Can you find useful information about policies and procedures on-line?

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According to comments we receive from attendees at the conclusion of our two day Well-Defined Processes course, one of the more enjoyable aspects of the course (besides the excellent instruction and great materials!) is the interaction that typically takes place between participants.

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Taking over a department can be challenging. You can see the potential, but if the department was not well-managed in the past then it may be in disarray. Disorganization is only the start of the problems. The staff may be demoralized and unproductive, goals are not understood – let alone being met. How do you get things on track?

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Question of the month: How can implementing a Quality Management System based on ISO 9001 improve your business, organization, or department?

Frequently the ISO 9001 Standard is perceived to be complicated and heavy on documentation requirements. These perceptions are not necessarily accurate. The ISO 9001 Standard is actually very straightforward with simple requirements for procedures and records. The ultimate goal, however, of implementing ISO 9001 should be to create an organization that continually improves.

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In our article series this month we have discussed how implementing an ISO 9001 Quality Management System can help your business. Two important topics covered so far were how it can actually help you streamline and simplify your document system (as opposed to the common misconception that ISO 9001 is a “document nightmare”). Last week we described how ISO 9001 can make your organization more competitive though a system of well-defined processes, by clearly capturing customer requirements, and an understood and regularly evaluated supply chain.

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In this series our topic is how to write procedures: what advice do we have to give about writing procedures? Most importantly – employ the writing process. The writing process considers activities that successful writers engage in while producing a piece of writing, and it applies whether one is writing an essay, a business letter, or a procedure. These writing activities are typically divided into three steps or phases – Planning, Drafting, and Revising. Having covered Planning and Drafting, let’s turn our attention to Revising.

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In the most recent article we began discussing the topic of using a process approach for writing procedures. It is useful to think of any writing project as a three step process consisting of Plan-Draft-Revise. Last week we covered planning activities associated with writing effective procedures, so this week let’s discuss Drafting.

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