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New employees must learn about
policies of the firm that apply to them. This article will
address how policies and procedures presented as an integral
part of the orientation and follow-up training processes are
developed.
Definitions
Policies – Administrative tools that help employees attain the
facility's goals. They describe what is to be done and why it is
to be done.
Procedures – A description of the process or actions that
comprise the commonly accepted ways to perform routine or
repetitive tasks. Procedures are developed by administrators and
are used by all personnel to help ensure that policies will
consistently be carried out.
Steps in Development
A formalized and sequential process
can be used to develop policies and procedures. Let's review
these steps.
Step 1: Define the Issue, Problem
or Task
The process of developing a policy
or procedure begins by recognizing the need for written
information that addresses a facility goal or challenge. Common
healthcare policies relate to personnel issues, the need to
perform tasks in specific ways and to recognize health and
safety concerns. Would the decision-making process be easier,
fairer and/or more consistent if a policy was in place? Is the
performance of a task so critical that it must be done by
everyone all the time in the same manner? If the answer to these
questions is "yes," a policy (in the first example) and a
procedure (in the second case) are necessary.
Step 2: Determine responsibility for development
Many employee policies (i.e., those
relating to vacations, holidays and sick leave) affect all
employees and should be developed by administrators with
company-wide responsibilities. Other policies (i.e., those
relating to the management of items in inventory) are
department-specific
Step 3: Develop a draft of the policy or procedure
Policies and procedures are usually
developed by a team. While a specific author must be identified,
input from affected personnel will likely be helpful. Depending
upon the policy or procedure being developed, information from
the manufacturers of equipment and supplies or the staff members
at all organizational levels can be beneficial. Employees for
whom policies will apply and those who must perform tasks
described in an operating procedure are normally consulted as
policies and procedures are developed or revised.
Step 4: Use an Agreed-Upon Template
Typically, policies and procedures used standard components
(elements) to help provide necessary consistency and usefulness.
Step 5: Review and Analyze the Policy/Procedure Draft
Legal advice may be necessary to assure that a policy is
consistent with relevant laws. The Board may sometimes become
involved to assure that a policy fully supports the
organization's mission, goals and objectives. Those with fiscal
responsibilities may assess financial aspects of proposed
actions. Ethical issues should also be considered, and other
questions should be addressed, including: Is the policy or
procedure reasonable? Are all requirements supported by need,
facts and/or benefits? Is the policy or procedure consistent
with existing policies or procedures? Can it be practically
administered?
Step 6: Revise the Policy/Procedure Draft
The document must be written clearly and specifically. It is
important to be declarative (i.e., the following procedure
"shall" [not "may"] be used.). Abbreviations and acronyms should
be spelled out at least the first time they are used. If a
procedure is complex, a flow chart attachment may help the
reader better understand each step.
Step 7: Conduct a Final Review
After the policy/procedure draft is revised and re-written as
necessary (Step 6), an additional, final review may still be
helpful. A new (proposed) procedure for new investments might be
reviewed and modified, if necessary, by the firm Risk Management
and/or Business Development Committees. Members should have
provided input when the first draft of the document was written
(see Step 3), but a final review that incorporates input from
numerous other constituencies is also important.
Step 8: Make Final Revisions
The policy/procedure should be revised based upon a last round
of additional input gained from the comments, recommendations
and suggestions of those asked to contribute to the final
review. (Step 7)
Step 9: Adopt the Policy/Procedure
After the policy or procedure is finalized, it should be
adopted. The document now represents the firm's formal
instructions about what is to be done and why it is to be done
(if a policy) or about steps that should be used by all
personnel to help ensure that the policy's intent is
consistently achieved (if a procedure).
Step 10: Implement the Policy/Procedure
The document should be distributed throughout the firm after it
is adopted. Implementation means that the document should be
consistently used to guide all applicable personnel. Training
may be required, and on-job training tactics should be revised,
if necessary, to incorporate new procedures. Equipment, tools,
supplies or other resources may need to be purchased as part of
the policy or procedure implementation process.
Step 11: Utilize On-Going Evaluation/ Revision as Necessary
Policies and procedures should be reviewed at least twice a year
because they can become out-dated, unclear or even contrary to
current best practices. Evaluation/revision is a cyclical
process.
In Conclusion
Managers conducting orientation programs for new employees must
ensure that a wide range of policies and procedures are
available and discussed, and those conducting orientation
sessions must be certain that this information is understood.
On-the-job compliance will be better assured because of the
explanation and justification process provided by properly
developed policies and procedures.
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