By John Swain and Kathleen Dolan Swain

Writing effective rules—whether they be procedures, directions, or policies—can be one challenging responsibility of a public manager. Some rules have the force of law (binding), whereas others are simply instructive or advisory (nonbinding). No matter the type, their effectiveness, that is, how well they are understood and therefore followed, lies in how clearly each rule is written.

In this article, we provide an overview of what is involved in creating rules that have an impact.

General Guidelines

We recommend this four-step process for writing useful rules: prepare; organize; write; and review, revise, and proofread.

Step 1: Prepare. Preparing requires understanding the aspects of rules: subject matter, purpose(s), audience(s), process(es), and applicability (who, what, when, and how).

The rules should speak to these aspects because they are present and relevant in all rule situations. Often, frequently asked questions can be anticipated at this point in the writing process. One example: “What are the costs and benefits?” The best starting point is usually previously prepared rules.

Step 2: Organize. Organizing is probably the most difficult activity in writing rules. It involves deciding how to group and sequence rules information based on the aspects discussed above.

Creating an outline, if only in an informal style, is essential. One organizes to emphasize the more important aspects, to downplay the less important ones, and to place the material in a logical order; for example, put like material together and separate unlike material.

Relative importance is indicated by order and level of organization; more important points appear earlier and at higher levels of organization. Also, outlines provide titles and headings to provide readers with signposts to navigate through rules to the relevant passages.

Figure 1 shows a simple example of an outline created for plumbing rules. In this example, the writer determined the content by first focusing on the purpose of the rules and then directing the information to the audiences most likely to need to read and observe the rules, which in this case are property owners/agents and actual plumbers.

A full outline would include, in outline form, the information now shown in parentheses, but this example can provide a good starting point for understanding the elements involved in creating a good outline.

Step 3: Write. When you start writing each rule, keep in mind that your purpose is to both inform the readers and to influence their future actions. Take care to ensure that your words and sentences are both clear and concise. These guidelines can help:

• Use concrete words and terms, not abstract ones.
• Place negative words near the beginning of the sentences to tell the reader that something is about to be prohibited or excluded.
• When writing action sentences—sentences that indicate what people should, should not, and may do—be short and direct, even blunt.
• Place action sentences first, before any explanations, lists, or details.
• Generally use sentences that categorize by inclusion rather than exclusion, because readers find inclusion easier to follow. Inclusive sentences avoid “the exception to the exception” situation that writers and readers find difficult to comprehend.

Legalistic writing—sometimes called “legalese”—is a frequent problem in written rules, whether binding or nonbinding. Avoid legalistic writing to the extent possible. If some legalistic writing is actually required because the rules are binding, relegate the legalistic writing to explanations.

Legally binding writing does not have to be legalese; in fact, rule writing that focuses more on clarity, conciseness, and coherence for the audience to be affected by the rule or rules is infinitely more preferable.

Here is an excerpt of a rule in the Code of Federal Regulations that is followed by a rewrite of the rule using some of the guidelines described in this article:

Legalistic writing: “(A) Except as otherwise provided in this chapter, the following is prohibited: (1) Possessing, destroying, injuring, defacing, removing, digging, or disturbing from its natural state: plants or the parts or products thereof.”

Better: “Do not harm plants.”

Of course, not all rules will be this easy to rewrite. The legalese in the rule shown next was not as easy to simplify, but the writer succeeded by writing both more clearly and concisely.

Legalistic writing: “Disorderly conduct, or conduct which creates loud and unusual noise, or which impedes ingress to or egress from public property or facilities, or otherwise obstructs the usual use of entrances, foyers, corridors, offices, elevators, stairways, and parking lots, or which otherwise tends to impede or disturb the public employees in the performance of their duties, or which otherwise impedes or disturbs the general public in transacting business or obtaining the services provided on property, is prohibited.”

Better: “No disorderly conduct allowed. Disorderly conduct refers to making loud or unusual sounds, blocking the paths of others, or otherwise interfering with the public’s use of city property or the work of city employees.”

Step 4: Review, revise, and proofread. The process of reviewing, revising, and proofreading rules is best carried out in three stages:

• Stage 1: Writers should review rules to be sure they are clearly written and logically organized. Writers should then revise where necessary and proofread systematically for possible errors. (Systematic proofreading involves looking at the text in a focused manner; for example, check spelling, then check the organization, and then check the clarity sequentially.)
• Stage 2: Experts in the subject matter, potential users of the rule, relevant policymakers, and possibly lawyers should review each rule to ensure that all policy, technical, and legal issues have been clearly and completely addressed. The writers can then make and proofread appropriate revisions.
• Stage 3: After rules have been in effect for a short period of time, public officials should review them again, this time keeping in mind any questions that have come up since the rules went into effect and any unanticipated effects that have occurred because of the rules. After that review, some revisions might be necessary.

Clarity and Logic

Local governments can generate many rules, some binding and some nonbinding. Because rules are so consequential to community well-being, great care needs to be taken to be sure they are clearly expressed and logically presented.

We believe rule writers will be well served by following the four-step process described in this article.

Figure 1. Example of an Outline Created for Plumbing Rules.