Writing King County Public Rules And King County Policies And Procedures
Document Code No.: INF 7-1G-1 (AEP)
Department/Issuing Agency: Division of Records and Elections, Records Management Section
Effective Date: May 19, 1989
Approved: /s/ Tim Hill
Type of Action: Superseding INF 7-1G (AEP)
1.0 SUBJECT TITLE: Writing King County Public Rules And King County Policies And Procedures
2.0 PURPOSE:
2.1 To establish and explain the standardized formats for writing all King County Public Rules, King County Administrative Policies and King County Department Policies.
3.0 ORGANIZATIONS AFFECTED:
Applicable to all Executive Departments, Offices and Agencies.
4.0 REFERENCES:
None
5.0 DEFINITIONS:
5.1 "Policy Writing Format (PWF)" means the standard format for writing all Rules, Policies and Procedures in the King County Policy Manual system, except Executive Orders. The PWF is a nine part outline designed to insure the inclusion of required information and to present policy/procedures in a uniform and usable fashion.
5.2 "Public Rule Summary Sheets" means copies of the first four sections of the PWF. Public Rule Summary Sheets will be distributed to County departments in lieu of Public Rules which are considered too large or of little effect to most County departments. Complete copies of rules can be obtained from initiating departments or Records Management Section.
5.3 "Keywords" are up to five words, each word having a 30 character maximum, chosen by the initiating department which will provide the data for a cross-index maintained by Records Management. Having the initiating department choose their own words for cross-indexing will ensure that the index is useful to the agency who will use it most.
5.4 "Playscript" means a style of writing used for describing procedures. This style is used in section 7.0 of the Policy Writing Format. Playscript lists the steps required to complete a procedure, in chronological order. To aid in reading, playscript uses two columns for each step. The left column identifies who is responsible for performing that step, while the right column explains the step.
6.0 POLICIES:
6.1 All Executive departments and offices will use the PWF for writing all policies and procedures except for Executive Orders (AEO's) as set out in Section 7.2 of this policy. AEO's will use the format set out in Section 7.3 of this policy.
6.2 Complete copies of Public Rules are required to be accessible in the initiating department, with the Clerk of the Council and in the Records Management Section of the Records and Elections Division. All other policy manual stations will have accessible Public Rule Summary Sheets containing copies of the first four sections of the Public Rule, including the name of the initiating department.
6.3 All Rules, Policies, and Procedures will use the Document Code Number for referencing and identification. The Document Code Number will be based on the function and level of the document as explained in Section 7.4.2(b) of this document.
6.4 All Rules, Policies, and Procedures will use the appropriate document letterhead and coversheets as available from the Records Management Section.
7.0 PROCEDURES:
Action By: Initiating Agency
Action:
7.1 DETERMINING SCOPE OF POLICY/PROCEDURE:
7.1.1 Insure that the scope of the document to be written fits into just one of the indexing categories defined in the RCCS (Records Classification Coding System) INF 15-1 (AP).
7.1.2 Determine the level of the document to be written by deciding who it is meant to affect.
(1) Public Rules (PR's) affect the public and are required for certain policies as described in R.C.W. 2.98.
(2) Administrative Policies/Procedures (AEP's, AEO's & AP's) affect most or all Executive departments.
(3) Department Policies/Procedures (DP's and DW's) affect the initiating department only. (See INF 7-1-1 (AEP) for more description of levels and types of documents.)
7.1.3 Determine subject of policy/procedure and clearly idenitify the subject title.
Action By: Initiating Agency
Action:
7.2 WRITING POLICIES AND PROCEDURES:
Use the PWF(Policy Writing Format) as explained in 7.2.1 for writing all
(PR's) Public Rules;
(AEP's) Executive Policies/Procedures;
(AP's) Administrative Policies/Procedures;
(DP's) Department Policies/Procedures;
(DW's) Department Work Procedures.
except for:
(AEO's) Executive Orders which are explained in section 7.3 of this document.
and
(DS's) Automated Information Systems Users manuals which will use a format designed by Systems Services.
7.2.1 POLICY WRITING FORMAT (PWF): --------------------------------------
1.0 SUBJECT TITLE:
1.1 EFFECTIVE DATE:
1.2 TYPE OF ACTION:
1.3 KEY WORDS:
2.0 PURPOSE:
3.0 ORGANIZATIONS AFFECTED:
4.0 REFERENCES:
5.0 DEFINITIONS:
5.1 (First definition of a key term in the body of this
document, followed by other key terms numbered 5.2, 5.3,
5.4, etc., as needed.)
6.0 POLICIES:
6.1 (Policy decision which underlies document, followed by
other relevant policies numbered 6.3, 6.3. etc., as needed)
7.0 PROCEDURES:
Action By: Action:
(Responsible 7.1 (First procedure in implementing the
Department) intent of this document.)
7.1.1 (Exception to 7.1, if needed.)
7.2 (Second procedure. followed by all
other steps and exceptions,numbered
7.3. 7.4, etc.)
7.2.1 (Exception to 7.2, if needed.)
8.0 RESPONSIBILITIES:
8.1 (Responsibilities of first department, followed by 8.2,
8.3, etc., as needed to identify departments involved and
their responsibilities.)
9.0 APPENDICES:
9.1 (First appendix, followed by 9.2. 9.3, etc., as
needed.)
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7.2.2 Use the following numbered and capitalized section headings and standards for writing policies and procedures using the PWF:
1.0 SUBJECT TITLE: Provide a brief descriptive title for the document. The title should provide readers with a clear overview of what the directive is meant to convey. Avoid titles which label rather than describe document.
For example:
(Not Clear) Public Disclosure
(Clear) Handling Requests for Disclosure of Public Records
Title should describe document and distinguish it from others which may be similar.
1.1 EFFECTIVE DATE:
(1) For policies of specific duration; indicate beginning and ending dates of policy effect.
(2) For policies of indeterminate duration, leave blank. Records Management will add the date 10 days after approval for Administrative policies and 30 days after approval for Public Rules.
For DP's and DW's, indicate date on which policy will take effect.
For Emergency Rules, indicate date on which document was filed with the Clerk of the Council.
1.1.1 FILE DATE: Include this section for Public Rules (PR's) only. Leave blank; Clerk of Council will complete.
1.2 TYPE OF ACTION: Indicate whether document is:
(1) NEW. First issuance of a policy in the King County Policy system as explained in INF 7-1 (AEP).
(2) SUPERSEDING. Replacement of one document with another document on the same subject. Indicate Document Code Number of the policy being superseded.
(3) RESCINDING. The recall of one document without replacement. Indicate Document Code Number of policy being rescinded.
(4) Note: Amendments which are not large enough to require superseding a previous document are not issued as new documents, see Section 7.5.
1.3 KEY WORDS: Provide a series of up to five words, no longer than 30 characters for each word, which can be used to cross-index policies by subjects.
2.0 PURPOSE: Provide a brief description of the purpose of the document.
3.0 ORGANIZATIONS AFFECTED: If applicable to most or all departments you may state "Applicable to all Executive Departments and Offices." If not applicable to all or most departments, list those departments or offices which are affected.
4.0 REFERENCES: Provide list of applicable laws, regulations, ordinances, charter or other legal or managerial authorization for the document.
5.0 DEFINITIONS: Provide a list, beginning with 5.1, which defines all terms, abbreviations and acronyms necessary for a complete understanding of the document.
6.0 POLICIES: Provide a list, beginning with 6.1, which clearly describes all decisions that management has made concerning the purpose of the document.
A primary purpose of writing policies is to save management from re-deciding issues that are already resolved. Another basic function of a written policy is to ensure consistency, predictability, and a proper foundation for rules and procedures. Policies answer the question "What should be done?" For a clean active document, avoid too much information and philosophy on "why" policies are being done.
A policy may include:
(1) Rules;
(2) Criteria (used in arriving at a decision);
(3) Assignments of Responsibility;
(4) Deadlines;
(5) Legal Requirements;
(6) Standards;
(7) Hours of Business;
(8) Charges.
7.0 PROCEDURES: Provide a list, using the playscript format, of the procedures or steps a team, group, or individual takes to complete the goal specified in the subject title of the document.
The playscript format is a method for presenting procedures in an easy-to-read, easy-to-follow style. Playscript uses two columns to link the chronological order of the actions to the appropriate actor. The left column designates who is responsible for doing the action, the right column describes in chronological order the action or what is being done. It is not necessary to rewrite the title of the actor for each step in a series completed by the same person.
For example: Action By: Action:
Title of 7.1 Action Verb and description of first action,
First Actor single-spaced within each action item.
7.la Phrase describing exception, action
verb and description of action.
The procedure section is a complete action loop. The first step should be a clear trigger (starting signal) to the person who will complete it, and the last should be a clear target (goal) which indicates that the desired end was achieved and who completed it. Use headings and sub-headings to separate and increase clarity of long steps of procedures.
8.0 RESPONSIBILITIES: Provide a list of responsibilities, duties, or authorities of affected parties, grouped by agency.
The Responsibilities section allows affected persons quick access to their part or responsiblities in a given policy. It is not necessary to use playscript for this section.
9.0 APPENDICES: Use this section for including information which does not fit into the other section for reasons of format, size, etc. List Appendices and titles starting with 9.1.
Action By: Initiating Agency
Action:
7.3 WRITING AN EXECUTIVE ORDER (AEO):
7.3.1 Use the following for writing Executive Orders: ---------------------------------------------------------------------
Executive Order___________ XXX-O (AEO)
Abbreviated Title
Summary Paragraph
WHEREAS --------------------------------------------------------
---------------------------------------------------.
WHEREAS --------------------------------------------------------
---------------------------------------------------.
WHEREAS --------------------------------------------------------
---------------------------------------------------.
NOW, THEREFORE, I, __________, King County Executive, do order
that -----------------------------------------------------------
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Dated this_______day of _________, 19____.
___________________
(Executive's Name)
King County Executive
Attest: ________________
(Manager's Name), Manager
Division of Records and Elections
Department of Executive Administration
[NOTE: if executive order exceeds one page in length, a portion
of the text of the order must appear on the last page with the
signatures.The signatures may not appear alone on the final page.]
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7.3.2 Use the following sections and standards for writing Executive Orders:
(A) Summary Paragraph: Provide an indented, single-spaced paragraph which briefly describes the purpose of the Executive Order. Include citations of any previous orders which are affected, and any laws, regulations, ordinances, or other references related to the order.
(B) Provide, in a series of single-spaced paragraphs, the reasons and causes for the document. Begin each new paragraph with WHEREAS, in capital letters.
(C) Provide, in double-spaced paragraphs, the body of the document or description of what will be done. Begin the body section with: NOW, THEREFORE, I, (in capitals) (Executive's name), County Executive, do order that ..... Each following paragraph in the body will start with FURTHERMORE (in capitals).
If the document is to be effective only for a specific period of time, event, or set of circumstances, this should be stated in the body as the last statement of the body.
(D) Provide, in the Closing Phrases and Legal Signature section, the following information: (This section must not appear on a separate page without some portion of the body of the Order appearing on the same page.) DATED this ____ day of ______, ______.
(day) (month) (year)
(Executive's Signature)
County Executive's Name
KING COUNTY EXECUTIVE
ATTEST:
(Records & Elections Division Sig.)
(Manager's Name), Manager
Records and Elections Division,
Department of Executive Administration
Action By: Initiating Agency
Action:
7.4 COMPLETING THE DOCUMENT LETTERHEAD AND TYPING THE DOCUMENT FOR DISTRIBUTION:
7.4.1 Completing the Public Rules Cover Sheet:
NOTE: Use the Public Rules coversheet available from Records Management.
7.4.l(a) Rule No.: Use the Document Code Number as written in the letterhead of the Rule. [See below 7.4.2(b).]
7.4.l(b) Title: Use the title or an abbreviation of the title as used in Section 1.0 of the Rule.
7.4.l(c) Issuing Agency: Provide the name of the department and division/section which is originating the Rule.
7.4.l(d) Date Filed: Leave blank; to be completed by Records Management according to the Clerk of the Council's stamp.
7.4.l(e) Date Effective: Leave blank; to be completed by Records Management to reflect 30 days after file date.
7.4.2 Completing the letterhead:
NOTE: For the first sheet of all Rules, Policies and Procedures in the Policy Manual System, use the special letterhead designed for that document type. Letterhead is available from Records Management.
Fill out the sections as follows:
7.4.2(a) TITLE: Provide a brief descriptive title for the document. Use the title or an abbreviation of the title used in Section 1.0 Subject Title.
For Executive Orders, precede the title with EXECUTIVE ORDER # (15 blank spaces). Records Management will supply number after Executive signs.
7.4.2(b) DOCUMENT CODE NO.: For Public Rules (PR's), Executive Orders and Policies/Procedures (AEO's/AEP's) and General Administrative Policies/Procedures (AP's), leave ten blank spaces after the Document Code Number. The Records Management Section will complete this section.
For Public Rules (PR's), also provide the title, chapter, and section of the King County Code to which the Rule applies.
For DP's and DW's, also provide a department assigned number which identifies each document as unique.
The Document Code Number is displayed as follows:
000-#-##-### (00) xx.yy.zz
000 = Primary Code from the RCCS.
# = Secondary Code from the RCCS.
## = Records Management or Department assigned chronological number to keep documents unique.
### = Indicates how many times document has been superseded or that document was rescinded.
(00) = Document Type [See INF 7-1 (AEP)].
xx.yy.zz = Title, Chapter and Section of King County Code, for Public Rules (PR's) only.
Use the Records Classification and Coding System [RCCS, see INF 7-1 (AEP)] to provide the primary and secondary code which best fits the function of the document. The function of the document is not the same as the organization which creates it. For example, all Financial Policies and Procedures are in the primary category FIN, whether they are created by the Finance department or not.
7.4.2(c) Department/Issuing Agency: Provide the name of the Department and Division/Section of Issuing Agency. For Executive Policies/Procedures (AEP's), use the name of the initiating department/division.
7.4.2(d) Effective Date: Leave blank for all documents except Department Policies/Procedures (DP's) and Department Work Procedures (DW's). For DP's and DW's, provide the date on which policies are effective.
7.4.2(e) Approved: For AEP's and AEO's, leave blank for King County Executive signature. For PR's, obtain Department Director's signature. For DP's and DW's, obtain Department, Division or Section Head signature. For AP's, obtain Department Director or Manager signature.
7.4.2(f) Affected Organization Units/Position: For DW's only. Provide the section, agency, or position that document affects. Should match Section 3.0 of Policy/Procedure.
7.4.3 Preparing Subsequent Page Headings:
For all documents over one page, use the following for subsequent page headings: Upper left-hand corner: Initiating Agency
Effective Date
Upper right-hand corner: Document Code Number
Page ________
[(Amend mo-day-year)-amendments only]
7.4.4 Page Layout:
7.4.4.1 Use a left margin of 1-1/4 inches to allow for three-hole punching.
7.4.4.2 Single-space except where not appropriate for readability.
7.4.4.3 Print the documents on either two sides or one side, depending on amount of anticipated revisions.
7.5 AMENDING, SUPERSEDING, AND RESCINDING DOCUMENTS:
7.5.1 Use the same procedures for review and approval of amended, superseded and repealed documents as for the creation of new documents. Route only the amended pages, not the entire document.
7.5.2 Amending Documents:
To change small portions of the text of a document:
(1) Use a vertical line in the left margin to indicate the areas changed by the amendment.
(2) For DP's and DW's, indicate the effective date of the amended pages only, in the upper right-hand corner under page numbers or on the cover page under the last line of letterhead, as follows:
(Amended: mo-day-year)
(3) For PR's, AEO's, AEP's and AP's, the Records Management Section will add amendment date at the point of distribution. Only amended pages will be distributed. A cover memo will indicate replacement information.
(4) The document code number does not change for amendments.
(5) For approval and routing, see procedures for specific document type: INF 7-lA-1, 7-lB-1, 7-lC-1 and 7-lD-1 (AEP).
7.5.3 Superseding Documents:
To replace one document with another document:
(1) Prepare superseding document according to the PWF or Executive Order format, except in section 1.2, Type of Action, state SUPERSEDING in capitals and follow with Document Code Number of superseded documents.
(2) For PR's, AEO's, AEP's and AP's, leave Document Code Number in letterhead blank, Records Management Section will complete.
(3) For DP's and DW's, indicate the number of times the document has been superseded after the secondary code, e.g.:
INF 7-1-1 (AEP)
INF = Primary Code (Information Management).
7 = Secondary Code (Directives).
1 = First document issued under secondary.
1 = First time document has been superseded.
(AEP) = Executive Policy/Procedure.
4. For approval and routing, see procedures for specific document type:INF 7-lA, 71B-1, 71C-1 and 7-lD-1 (AEP)
7.5.4 Repealing Documents:
To retire a document from the system without replacing it:
(1) Prepare a document, the purpose of which is to repeal an existing document.
(a) In section 1.21, Type of Action, indicate REPEALING in capitals, followed with Document Code Number of repealed document.
(b) In Document Code Number section of letterhead, indicate that document is rescinded by inserting a zero after the secondary code:
INF 7-1-0 (AEP)
(c) Sections 6.0, 7.0,and 8.0, Policies, Procedures and Responsibilities, may be noted as not applicable.
(2) For approval and routing, see INF 7-1 A, B, C & D (AEP) for specific document type.
8.0 RESPONSIBILITIES:
8.1 The Initiating Agency is responsible for writing all rules, policies and procedures.
8.2 The Initiating Agency is responsible for:
* Writing documents.
* Assigning Document Code Numbers for DP's and DW's.
* Signing approval section of letterhead for AP's, DP's and DW's.
* Distributing DP's and DW's internally.
* Sending one copy of all DP's to the Records Management Section.
* Maintaining historical copies of all DP's and DW's.
8.3 The Records Management Section of the Records and Elections Division is responsible for:
* Assigning Document Code Numbers to all PR's, AEO's, AEP's and AP's.
* Distributing all PR's, AEO's, AEP's and AP's to county manual stations, including typing in the effective date, any amendment dates and the Document Code Number.
8.4 The King County Executive is responsible for signing the approval section of the letterhead for all AEP's, AEO's and for signing the closing phrases section of all AEO's.
8.5 The Manager of the Records and Elections Division, Department of Executive Administration, is responsible for signing the Attest section of all Executive Orders (AEO's).
9.0 APPENDICES:
None |
