A REPORT ON ETHICAL DECISION MAKING AND BEHAVIOUR

Submitted by
N.NITHIN
(13BBA028)
Under the guidance of
Mrs.V. Ambika MBA, M.Phil,
Assistant Professor

Submitted in partial fulfillment of the requirement of Bharathiar University, for the award
of Advanced Diploma
in

PERSONALITY DEVELOPMENT AND COMMUNICATION SKILLS

2015-2016
GRD INSTITUTE OF MANAGEMENT
Dr.G.R.DAMODARAN COLLEGE OF SCIENCE
Autonomous and affiliated to the Bharathiar University
Re-Accredited with A Grade level by the NAAC
An ISO 9001:2008 Certified Institution, Graded A by CRISIL
Civil Aerodrome Post, Avinashi Road
Coimbatore 641014
MARCH 2016

CERTIFICATE
This is to certify that the project entitled A REPORT ON SECRETERIAL
CORRESPONDENCE is a bonafide record of project work done by N.NITHIN
(13BBA028) submitted in partial fulfilment of the requirement for the award of Advanced
Diploma in PERSONALITY DEVELOPMENT AND COMMUNICATION SKILLS
of BHARATHIAR UNIVERSITY, Coimbatore and the project report has not formed the
basis for the award of any degree, fellowship or any other similar titles of any other
institutions.

FACULTY GUIDE

HOD/DIRECTOR

Submitted for the viva-voce examination held on

Internal Examiner

External Examiner

DECLARATION
I, N.NITHIN hereby declare that the project work entitled as A REPORT ON
SECRETERIAL

CORRESPONDENCE

submitted

to

GRD

Institute

of

Management, Coimbatore is a record of an original work done by me under the

guidance of Mrs.V. Ambika MBA. M.Phil, of GRD Institute of Management and this
project work is submitted in the partial fulfilment of the requirements for the award of
Advanced

Diploma

in

PERSONALITY

DEVELOPMENT

AND

COMMUNICATION SKILLSand the project report has not formed the basis for the
award of any degree, fellowship or any other similar titles of any other institutions.

Date:
Signature of the Candidate
Coimbatore
C.SHARON JOSEPH
(13BBA044)

ACKNOWLEDGEMENT
I

hereby

acknowledge

my

sincere

gratitude

to

the

Management

and

Dr.T.SANTHAM.Sc, PGDCA, M.Phil, M.Phil(CS) PhD., Principal Dr.G.R.Damodaran

College of Science, for giving me an opportunity to undertake this project.
I express my sincere gratitude to Dr.K.K.RAMACHANDRANM.Com, MBA,
MFT, M.Phil., PGDFT, PhD, Director, GRD Institute of Management, for his
encouragement during the project.
I record my indebtedness to Dr.S.BRINDHA MBA, M.Phil, PhD., Head of the
department, GRD Institute of Management for her valuable suggestions.
I wish to express my sincere gratitude to my faculty guide Mrs.V. Ambika
MBA. M.Phil, Assistant Professor for her enormous encouragement and the most
needed
moral support for the completion of this project.
Above all I thank the almighty and the wholehearted support of my family members
and friends for their love and cooperation during the course of my project.

TABLE OF CONTENTS:

S.NO

CONTENTS

PAGE NO.

1.

CHAPTER 1

7-24

2.

1.1. INTRODUCTION

3.

1.2. TYPES OF SECRETERIAL

CORRESPONDENCE

8-9

4.

1.3. MODERN DEVELOPMENTS

10

5.

1.4. PLAIN WRITING TIPS TO IMPROVE

CLARITY

11-14

6.

1.5. CORRESPONDENCE

15-17

7.

1.6. DECISION MEMOS

18-24

8.

CHAPTER 2
SUMMARY OF ISSUES AND DEPARTMENT
RESPONSE/ACTIONS

26-32

9.

CHAPTER 3
CONCLUSION

34

CHAPTER 1

1.1. INTRODUCTION
A secretary, personal assistant, or administrative assistant is a person whose work
consists of supporting management, including executives, using a variety of project
management, communication, or organizational skills. These functions may be entirely
carried out to assist one other employee or may be for the benefit of more than one. In other
situations a secretary is an officer of a society or organization who deals with
correspondence, admits new members, and organizes official meetings and events. Since the
Renaissance until the late 19th century, men involved in the daily correspondence and the
activities of the powerful had assumed the title of secretary.
With time, like many titles, the term was applied to more and varied functions,
leading to compound titles to specify various secretarial work better, like general secretary or
financial. Just "secretary" remained in use either as an abbreviation when clear in the context
or for relatively modest positions such as administrative assistant of the officers in charge,
either individually or as member of a secretariat. As such less influential posts became more
feminine and common with the multiplication of bureaucracies in the public and private
sectors, new words were also coined to describe them, such as personal assistant.

1.2. TYPES OF SECRETERIAL CORRESPONDANCE

With the Directors: As the secretary works as an employee of the company, his letters
to the directors must reflect the due deference. At times the directors may happen to be
inexperienced and may seek the guidance of the secretary in matters relating to its
management. Even in such cases the secretary must behave properly and should not forget his
subordination. The other occasions when he may have to address the directors are:

When a director who is absent from the meeting asks for a report of its proceedings.
When a director proposes in writing that a particular matter should be placed on the

agenda and the chairman asks the secretary to do the needful.

When a director proposes some course of action which is not in the interest of the
company or which is illegal or ultra virus.

When writing the above types of letters the secretary should exercise great tact and
state

nothing

that

is

likely

to

offend

the

director.

With the Shareholders: Among the many difficult matters that a secretary has to
deal with are requests from shareholders for information regarding the affairs of the
company. It includes requests for providing information about a forthcoming
dividend, the likelihood of a change in its directorate any modification of its business
policy, the possibility of its amalgamation with another company, etc. The drafting of
replies to such requests call for great tact and direction on the part of the secretary.
The general principle is that such information should not be communicated in advance
to the share holders. Until it is made available to all shareholders alike, the leakage of
this type of information injures the reputation of the company. On the other hand,
there is no harm if the secretary supplies information regarding ordinary details of the
8

companys affairs and satisfies the legitimate curiosity of any shareholder. The
secretary may also receive complaints on various matters such as an unsatisfactory
rate of dividend declared, their failure to patronise a share holder by not accepting his
tender, etc. Such matters are very delicate and the secretary must take every
precaution and ensure that the writer of the complaints is duly convinced of the fact
that the management has taken a particular step for promoting the best interests of the
company.
With the Office Staff: A secretary works as the head of the administrative staff
working under him. As such it is his duty to see that all members of the staff work
properly, while discharging their duties in the interest of the company. He has to
maintain discipline amongst them. His correspondence with the staff must, therefore,
be characterized by a note of authority and firmness and decisiveness tempered with
fairness,

sympathy

and

regard

for

their

welfare.

With the Registrar of companies: The secretary, in his capacity as a responsible

official of the company, has to see that the provisions of the Companys Act are
complied with. In these connections he has to go through certain formalities and to
submit periodically statements, returns, etc., to the Registrar of companies. He has
also to carry on correspondence with the Department of Company Law
Administration, Government.

1.3. MODERN DEVELOPMENTS

In 1870 Sir Isaac Pitman founded a school where students could qualify
as shorthand writers to "professional and commercial men". Originally, this school was only
for male students.
In the 1880s, with the invention of the typewriter, more women began to enter the
field and during the upcoming years, especially since World War I, the role of secretary has
been primarily associated with women. By the 1930s, fewer men were entering the field of
secretaries.
In an effort to promote professionalism among United States secretaries,
the National Secretaries Association was created in 1942. Today, this organization is known
as the International Association of Administrative Professionals (IAAP) The organization
developed the first standardized test for office workers called the Certified Professional
Secretaries Examination (CPS). It was first administered in 1951.
By the mid-20th century, the need for secretaries was great and offices and
organizations featured large secretarial pools. In some cases the demand was great enough to
spur secretaries being recruited from overseas; in particular, there was often a steady demand
10

for young British women to come to the U.S. and fill temporary or permanent secretarial
positions. Several organizations were created to assist secretaries from foreign lands,
including the Society of International Secretaries and the Association of British Secretaries in
America.
In 1952, Mary Barrett, president of the National Secretaries Association, C. King
Woodbridge, president of Dictaphone Corporation, and American businessman Harry F.
Klemfuss created a special Secretary's Day holiday, to recognize the hard work of the staff in
the office. The holiday caught on, and during the fourth week of April is now celebrated in
offices all over the world. It has been renamed "Administrative Professional's Week" to
highlight the increased responsibility of today's secretary and other administrative workers,
and to avoid embarrassment to those who believe that "secretary" refers only to women or to
unskilled workers.

1.4. Plain Writing Tips to Improve Clarity

Use active voice instead of passive voice. In the active voice, the subject of the
sentence acts. In the passive voice, the subject of the sentence is acted upon. Verbs in the
active voice are stronger and enhance clarity. They make a sentence easier to read.
Examples: Active: Passive: I received your letter. Your letter has been received. Tom will
prepare a report. A report will be prepared by Tom. Use action verbs to avoid word clutter.
Use does verbs instead of is verbs. Example: He runs instead of Him is running. Avoid past
perfect verbs. Example: We wrote instead of We have written. We are in agreement We agree
The host is remembering The host remembers

The Department has established The

Department established We have shared We shared The Task Force has compiled The Task
Force compiled State law is in compliance State law complies Write short sentences more
frequently than long sentences. Use short sentences to make your point clear on the first
reading. People digest short sentences faster than long sentences. Write short paragraphs.
Short paragraphs are easier to read than long paragraphs.

11

The white space after a paragraph gives readers a second to absorb the material they
have just read before moving to the next paragraph. Use pronouns. Use pronouns such as
you, us, and us, when appropriate. Pronouns are more direct and sound like everyday
language. In an instruction memo for job applicants, which sentence is more straightforward?
All job applicants are encouraged to bring writing samples to their interviews. We encourage
you to bring writing samples to your interview. Use parallel construction. Make sure a series
of words, phrases, or clauses in a list are in the same grammatical form so that they are
parallel. For example, if the first bullet in a list contains a phrase starting with a verb, all of
the bullets in the list should contain a phrase starting with a verb.
Avoid unnecessary words. Some of the most frequently encountered unnecessary
words and phrases, with suggested improvements, follow: Instead of the present time now
first annual first or inaugural in the event that if prior to before as a result of because for the
purposes of to reason why reason whether or not whethercertainly. Avoid redundant words or
phrases, both on the occasion when will suffice. When has the advantage of being shorter?)
True fact eliminate altogether Use abbreviations and acronyms sparingly. Do not introduce
an acronym unless it will be used more than once. Avoid using several acronyms in one
document, especially if they are not widely recognizable. Numerous abbreviations slow a
reader because he or she must stop frequently to recall the meaning of each acronym or find
the explanation again in the document. Generally, you should include the full title or name
before introducing its acronym. However, use common sense. If your memo is aimed at FDA
employees, you do not need to spell out Food and Drug Administration first before referring
to FDA. FDA employees know what FDA means.
Plain Writing Tips to Improve Readability Use white space and other design features
to make a document easier to read. Use bullets or a text box to help readers absorb the
material. Use headings and sub-headings to organize information.

.Isolate an idea for

emphasis. Avoid writing in all capital letters.

Word Usage
Word Usage Choosing the right word increases the precision of your writing. Avoid
incorrectly substituting similar words that have slightly different meanings; using nouns
incorrectly as verbs, and vice versa; and using outdated terminology. Below are some words
commonly used inconsistently or incorrectly?

12

Affect/Effect Effect is a noun. Affect is commonly used as a verb and rarely used as a

noun. Effect the noun means the result of:

The effect of the snowstorm was widespread. Cigarette smoke has an effect on my

breathing.
Affect the verb means to influence: The snowstorm affected travellers throughout the

Midwest. Cigarette smoke affects my breathing.

Affect is rarely used as a noun in contemporary usage. It means a persons expression

or demeanour she exhibited a disinterested affect.

Affect/Impact As noted above, affect is most commonly used as a verb meaning to
influence. The verb impact means to strike with a blow or to pack firmly together. Do

not use impact as a verb in place of to affect.

Composed of Comprise a medication may be composed of or may comprise a number

of ingredients. A medication is not comprised of ingredients. Ensure/Insure/Assure

Ensure means make certain.
Insure means to cover with insurance or agree to provide compensation for

damage.Assure means to inform confidently or remove doubt from someone's mind.

Example: Mike wanted to ensure that he protected his house from disasters. He
bought a homeowners policy that insured his house against fire, flood, theft, and
earthquakes. He assured his wife that the policy was affordable.

Capitalization/Punctuation
A document containing numerous capital letters is difficult to read. For example,
newspapers capitalize as few words as possible so readers can scan articles quickly. To make
documents easier to read, capitalize only those words that are proper nouns or parts of titles.
Do not capitalize words such as federal, state, or nation if used generically and not
part of a proper noun or title. Some federal regulations focus on the nations public lands. The
state-owned park was near the lake. I learned that the state bird of Wisconsin is the American
Robin. The biggest state is Alaska. Capitalize federal, state, or nation when theyare part of a
title. the Federal Elections Commission the State Department employees o the Navajo Nation
The plaintiff is the State of New York. Do not capitalize the word state when it refers
back to the proper name of a state previously mentioned. o He spoke at the State of
Washingtons centennial this summer. He had been to the state many times in the past. o The
State of Alaska is the largest state in the nation.

13

Do not capitalize the words congressional, members, government, department,

agency, local, and nation, except in titles. Capitalize the stand-alone word Department only
when referring specifically to the U.S. Department of Health and Human Services. The U.S.
Department of Health and Human Services is the largest domestic agency. The department
held a discussion on the energy crisis, and several members of Congress attended the event. o
The Department announced the national prevention initiative last week in the great hall.
Punctuation and Grammar Below are tips on punctuation and grammar. This section
includes information about commas, hyphens, quotation marks, periods, dashes, percentages,
titles, pronouns, websites, numbers, dates, state abbreviations, and the abbreviation of United
States. Commas a common mistake is the use of commas in compound sentences. When a
conjunction joins two independent clauses (clauses that can each stand on their own as a
complete sentence), a comma must precede the conjunction. When a conjunction joins an
independent clause with a dependent clause (a clause that cannot stand on its own as a
complete sentence), there is no comma. Correct: The agency published the regulation, and it
will closely monitor the impact of the regulation on access to health care.
Correct: The agency published the regulation and will closely monitor the impact on access
to health care.
Incorrect: The agency published the regulation, and will closely monitor the impact on
access to health care.
Enclose parenthetic or non-essential expressions between commas.

No comma

should separate a restrictive or essential element. Correct: After passing the House, which
voted unanimously in favour of it, the bill advanced to the Senate. Incorrect: It passed, by a
unanimous vote in the House, before advancing to the Senate.
Always use a comma before a conjunction in a series of three or more. Correct the
initiative will improve health care access, quality, and affordability. Incorrect (missing
comma after quality): The initiative will improve health care access, quality and affordability.
Use a hyphen between two words that form a compound modifier when that modifier
immediately precedes the noun it modifies. When a compound follows the noun it modifies,
hyphenation is usually unnecessary.

14

Pronouns: The antecedent of a pronoun must be unambiguous. Avoid drafting confusing

sentences such as the following example, in which it is not clear whether them refers to dirt
and blood or to glass vessels. o Incorrect: Dirt and blood cannot penetrate glass vessels, nor
does heat affect them.
A rule of thumb to remember: Commas separate elements that are both numbers or
are both words, and a comma must follow the year if it includes three date elements.

1.5. Correspondence
Correspondence Overview Everyone who writes to the Department deserves a
prompt, accurate, and courteous reply. When the Secretary receives a letter, the Office of the
Secretarys Executive Secretariat (Exec Sec) assigns it to the appropriate operating or staff
division (division) to prepare a response. Exec Sec designates letters to the Secretary in one
of two ways when assigning them to a division. Secretarial Signature letter: A Secretarial
signature letter is one the Secretary will sign.
For these letters, the division prepares the response, and the division head approves
the draft. This ensures the accuracy, responsiveness, and quality of responses, as well as their
adherence to Administration policy.
After reviewing a draft to ensure it meets the appropriate standards, Exec Sec puts
Secretarial signature letters into Departmental clearance. Chapter 9 describes the clearance
process for these letters. Whether you are drafting or clearing a Secretarial signature letter,
always remember that a letter from the Secretary carries huge weight. For example, the
media may quote the letter, an organization may post the letter on its website, or members of
Congress may refer to the letter during congressional hearings. Direct Reply letter: A direct
reply letter is a letter the Secretary receives in which a division will both draft and sign the
response.
15

Generally, the head of the operating or staff division or a designated senior official
signs direct reply letters. Exec Sec does not put direct reply letters into Departmental
clearance; the division preparing the response reviews it internally. Many direct reply letters
are from individual Americans seeking assistance from the Department.

Some

correspondents may be in dire situations, needing help with a child support case, a health
insurance problem, a domestic violence situation, or a relative diagnosed with mental illness.
Exec Sec assigns these letters to HHS divisions that can directly address each individuals
concerns. The responses should communicate the Departments empathy, and each division
should answer these letters as diligently as letters for the Secretarys signature.
Timeliness The Secretary places great importance on timely responses to
correspondence. The expectation is that the Department will answer Secretarial signature
letters in three weeks, which includes time to prepare and clear the response. See the chart
below for a complete breakdown of the three week timeframe. For direct reply letters, the
deadline is two weeks (10 business days).
If extraordinary circumstances cause you to expect a delay at any stage of the
authoring or clearance process for Secretarial signature letters, notify the appropriate policy
coordinator in Exec Sec before the deadline passes with a detailed explanation for the delay.
The Departments Executive Secretary and the Chief of Staff will receive notifications of all
explanations.
Secretarial Signature Correspondence Timelines (In Business Days) Day 1 Document
received in Exec Sec and sent to authoring agency Days 2 thru 6 Document drafted/cleared
internally by authoring agency (five days) Days 7 thru 9 Document cleared in Department
(three days) Day 10 thru 12 Document revised (three days) Day 13-14 Document released in
Department (two days) Day 15 Document sent up for signature
Forms of Address for Letters Many high-level officials are referred to as
theHonorable (not Honorable) in the address on letters and envelopes. These officials include,
but are not limited to: The President, Vice President, Cabinet and Sub-Cabinet members
(Deputy Secretaries and Assistant Secretaries) High-level officials in the Executive Office of
the President (such as the U.S. Trade Representative) Members of Congress Justices of the
Supreme Court and other judges State and local elected officials (governors, mayors, state
legislators)

16

o Salutations for Letters Use the following salutations for high-level officials:
Dear Mr./Madam President: (President of the United States) Dear Mr./Madam
Vice President: (Vice President of the United States) Dear Mr./Mrs. (surname):
(Spouse of the President of the United States) Dear Mr./Madam Secretary:
(Cabinet Member) Dear Mr./Ms. (surname): (Deputy Secretary, Assistant
Secretary) Dear Mr./Madam Attorney General: (Attorney

General

of

the

United States) Dear Mr./Madam Chief Justice: (The Chief Justice, Supreme
Court) Dear Mr./Madam Justice: (Associate Justice, Supreme Court) Dear
Judge: (Chief Judge/Judge) Dear Mr./Madam President: (President of the
Senate) Dear Mr./Madam Speaker: (Speaker of the House) Dear Senator
(surname): (United States Senator) Dear Representative (surname): (Member
of U.S. House of Representatives) Dear Mr./Madam Chairman/ (Chairman of
a congressional committee or Chairwoman: subcommittee) Dear Senator or
Representative (Ranking minority member of a congressional (surname):
committee or subcommittee) Dear Mr./Madam Ambassador: (United States
Ambassador) Dear Mr./Madam Minister: (American Minister) Dear Governor
(surname): (Governor) Dear Senator (surname): (State Senator) Dear Mr./Ms.
(surname): (State Rep., Assembly Member or Delegate) Dear Mayor
(surname): (Mayor)
o Mailing Addresses and Salutations for the President and His/HerSpouse
Because the White House has its own ZIP code, letters to the White House do
not need a street address. Please address letters to the President and his/her
spouse as follows: The President Mr./Mrs. [full name] The White House The
White House Washington, DC 20500 Washington, DC 20500
o Mailing Addresses and Salutations for Members of Congress Since the House
and Senate each have their own ZIP codes, letters to members of Congress do
not need a street address.

Below are examples of mailing addresses to

members of Congress:
o Mailing Addresses and Salutations for State Legislators

Inside Address:

Outside Address: The Honorable [full name] The Honorable [full name] Name
of State [House of Name of State [House of Representatives, Assembly,
Representatives, Assembly, or House of Delegates] or House of Delegates]
City, State ZIP Code Street address City, State ZIP Code

17

1.6. Decision Memos

Decision Memo Overview A decision memo asks the Secretary to sign a document or
approve a proposed action. A decision memo might ask the Secretary to:

.Approve and sign a draft regulation

.Make a policy decision on how to implement a new law
.Sign letters transmitting a report to Congress
.Authorize your division to reorganize in a certain way
.Approve a media campaign on an important health topic
.Sign letters inviting outside guests to a special Departmental event
.Delegate authority for a particular program to your division A decision memo must
accompany nearly every document you ask the Secretary to sign. The one exception is
you do not need a decision memo for a draft letter that the Secretary will sign in
response to an incoming letter.
Process Only division heads may send a decision memo to the Secretary. Once your

division head signs a decision memo, send the original memo and accompanying documents,
with two hard copies, to the appropriate policy coordinator in Exec Sec. Please also send an
electronic version. Exec Sec clears all decision memos at the Departmental level before they
are sent to the Secretary for signature. Upon receipt, the policy coordinator will send the
decision memo and documents to other operating and staff divisions for review and comment.
Timeliness If you need the Secretarys approval on a decision memo by a certain date,
send the decision memo and associated documents to Exec Sec in enough time to allow the
18

necessary clearance process. The Exec Sec policy coordinator can provide guidance in
advance on the appropriate amount of clearance time necessary for a given document. For
lengthier documents, such as regulations and reports to Congress, reviewers may take one to
three weeks to review the package and comment. The documents may then need revision and
re-clearance. Therefore, for important or lengthier documents, try to allow at least one month
for clearance and signature. Submit short decision memos asking the Secretary to sign a
routine document within two weeks of the time you hope to gain approval.
Decision memos to the Secretary should focus on necessary and relevant information.
Put yourself in the Secretarys position: What would you need to know to make an informed
decision on the topic? In general, stay out of the weeds. For example, the Secretary does not
need to know all the details of every regulation; she needs to know its key and controversial
provisions, whether it is new or an adjustment to an existing regulation, and the known and
likely concerns of the regulated community or other stakeholders. Throughout the memo,
address the Secretary directly by using the second person (you).
If you are explaining a highly technical or scientific issue in a memo, try to distill the
information as much as possible. The decision memo must present information in a logical
way that is easy to read and understand. To achieve this goal, always start the memo with the
introductory section presenting the issue, and end the memo with the closing section
presenting the final recommendation(s). Other than that, however, you have flexibility to use
different subheadings in the body of the memo, depending upon the content. The standard
format uses the following subsections to organize the content: .Issue: Briefly state what you
are requesting the Secretary to do, e.g., sign a certain document or approve a particular
regulation. This introductory section generally is only one or two sentences long.
.Background: Provide the necessary background information about the subject of the memo.
This may be several paragraphs long.

.Discussion (if needed):

Discuss why you are

recommending a particular action in the memo. If the memo is about a policy issue, for
instance, you may discuss the reasons why you are recommending a particular option rather
than those considered but dismissed. .Recommendation: Briefly state your recommendation
to the Secretary.
Types of Decision Memos StandardMemos Most decision memos ask the Secretary to
approve a single document or action. Organize the content in a basic format, such as above.
Below is a template and example of this type of memo. Memos with Multiple Policy Options
19

If you want the Secretary to make a policy decision involving two or more options, you may
need to prepare a longer, more complex memo. This type of memo presents more Than one
policy option for the Secretary to consider and includes the following information: .Pros and
cons under each option .Estimated budget impact of each option within the pros and cons
anticipated stakeholder reaction within the pros and cons .Relevant statutory or other
deadline, where applicable below is a template and example of this type of memo. Memos on
Regulations Some decision memos ask the Secretary to approve and sign regulations. This
type of memo includes the following information about the regulation: .Purpose .Changes to
current practices or programs .Underlying law the regulation implements (if a statutory
requirement) .Statutory deadlines for issuance, if applicable .Consequences of disapproval
.Economic and/or budget implications.
Expected stakeholder reaction below is a template and example of a regulations
memo. Memos on Agency Reorganizations Some decision memos seek approval from the
Secretary for an operating or staff division to reorganize its offices or functions. This type of
memo describes the proposed changes and why they are preferable over the current
organization. Attached to these memos are: .Current organizational chart or charts .Chart or
charts of the proposed organization .Draft Federal Register notice announcing the
organizational change The Office of the Assistant Secretary for Administrations
Office of Business Management and Transformation (ASA/OBMT) can provide assistance
in preparing a reorganization memo and/or the Federal Register notice. Consult with the
Office of the Assistant Secretary for Financial Resources (ASFR) to confirm whether your
reorganization needs Secretarial approval. ASFR will also prepare and clear notification
letters about the proposed reorganization to the relevant House and Senate Appropriations
Subcommittee Chairs and Ranking Members.
Exec Sec will clear the reorganization memo at the Departmental level and then
present it, with attachments, to the Secretary for approval. Once the Secretary approves
reorganization, Exec Sec notifies ASFR, which sends the notification letters to Congress. A
15-day waiting period begins after sending the notification letters, after which HHS can
announce the reorganization in the Federal Register. Contact Exec Sec for an example of a
reorganization memo.
Memos on Delegations of Authority Some decision memos request that the Secretary
Delegate authority currently vested in the Secretary to a particular operating division. These
20

decision memos set out the specifics of the potentially delegated authority and the rationale.
Attached to these memos are: .Memo putting the delegation into effect .Excerpt of the public
law allowing the re-delegation or other background information (if applicable) and/or a draft
Federal Register notice informing the public that the delegation has been made (if
applicable). ASA/OBMT can assist in preparing a delegation of authority. Contact Exec Sec
for an example of a delegation of authority memo.
Example of Standard Decision Memo (Note: This is not a real example.)

Decision Issue
I request your signature on a letter to Small Business America to thank them for their
participation in the rollout of the Departments new prevention initiative and their continued
partnership in educating the small business community about the important benefits of
prevention.
Background
The Office of Intergovernmental and External Affairs is working to educate and
engage targeted constituencies on the benefits of the prevention initiative. Sally Brown, Vice
President of Policy and Strategy at Small Business America, joined you during the press
conference at Bobs Hardware when you made the announcement on the prevention initiative.
This letter will recognize the continuing efforts of Small Business America as they work to
educate communities about the benefits of prevention. It is critical that we continue to
engage Small Business America because they are a key partner. This thank you letter will
convey our appreciation for their collaboration and will ensure a continued partnership
moving forward. Provide a recommendation for the suggested course of action, if
appropriate. If you have no preference for one option over the other(s), please indicate that
you have no recommendation.
Decision

21

If the Secretary is considering more than one issue; list each recommendation with
appropriate

approval/disapproval/need

more

information

lines

below.

Approved

Disapproved Need More Information Congress appropriated $50 million for the
demonstration for fiscal year 2011. The Administration on Aging plans to allocate funds this
summer. States and/or localities will have an opportunity to test a variety of ways to boost
nutrition and exercise among seniors.
For example, grantees may sponsor programs at senior centres to educate participants
about wise nutrition choices. Senior centres could sponsor field trips to take seniors to
farmers markets for fresher and lower cost foods. Grantees may provide more nutritious
foods through existing congregate meal sites or through meals-on-wheels programs. Grantees
could also use these same venues to teach older people simple and basic exercises for keeping
agile and fit. These are just a few ideas for carrying out the goals of the demonstration.
The Preventive Health Act gives you the discretion to determine how to distribute
funds. The authorizing committees gave HHS wide latitude for designing the program. After
conferring with OGC, AoA has determined that HHS may allocate funds either through a
competitive grant program or a formula grant program. Either way, the Act requires an
independent evaluation of the results of the demonstration. This memo presents you with two
options for distributing the funds.
Options
Option One: Distribute the funds equally among all 50 State Agencies on Aging.
Request that each state join in a consortium with one or more of their Area Agencies on
Aging to carry out the pilot project. States would have flexibility to decide how to choose
localities for participation in the pilot project. State Agencies on Aging favour this option.
Several have contacted AoA to urge equal distribution of funds among states. Under this
option, each state would receive $1 million to launch the pilot in the first year. Pros: .HHS
could distribute funds quickly because the Department would not have to develop a
competitive grant program, announce the availability of funds, and review grant
applications. .States want guaranteed funding and would favour this option. .State Agencies
on Aging have close ties with their Area Agencies on Aging and might be able to ascertain
quickly which agencies in their states would be most interested in and most capable of
operating a pilot project. Cons: .Some State Agencies on Aging may have little interest in the
objectives of this demonstration and may put little effort into designing a thoughtful
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demonstration. .if states choose to allocate funds to their Area Agencies on Aging through a
competitive grant process, the allocation of the funds would not occur faster than if operated
a competitive grant process.
Option Two: Announce a competitive grant process through which State Agencies on
Aging, Area Agencies on Aging, and County Offices on Aging across the nation could apply
for funds to operate a demonstration project.

HHS would encourage entities to form

consortia to operate pilot projects to test various approaches for meeting the goals of the pilot.
This option would give states and localities an equal opportunity to apply for funds. It would
also give HHS the flexibility to fund either a greater number of or a smaller number of
pilots, depending upon the proposed size of the demonstrations. Pros: .Because of the
necessary work to develop an innovative and winning proposal, only those state and local
agencies genuinely interested in operating a demonstration would apply. .HHS would have
the opportunity to review proposals ahead of time and ensure that the funding tests a variety
of innovative approaches. .HHS would have the flexibility to provide more funding to
demonstrations covering a larger geographic area and less funding to smaller areas. Thus,
HHS could more easily fund larger urban demonstrations, along with smaller rural ones.
Cons: .it would take longer to allocate funds because HHS would need to develop the grant
criteria, announce the availability of funds, and review grant applications. State Agencies on
Aging do not want to have to compete for funds and will be unhappy with this approach.
DISCUSSION Option one provides the fastest way to distribute funds. Choosing option one
would also please State Agencies on Aging because this would guarantee $1 million in funds
each. However, would have no ability to ensure that funds are ultimately going to consortia
of state and local agencies with innovative and thoughtful proposals for pilot projects.
It is the more traditional approach for operating a demonstration program and would
allow HHS to have control over the quality of proposals being funded. With only six months
to allocate funds, however, HHS would need to announce the availability of funds within two
months in order to allow sufficient time for applicants to develop and submit their
proposals.Believes that it can meet the two month deadline for announcing the availability of
funds. As such, AoA recommends option two because we believe it has the greater chance of
producing successful and innovative demonstration results.
Information Memo Overview Information memos educate the Secretary in writing
about an important issue or action where the subject matter does not warrant a face-to-face
23

meeting with the Secretary. They do not require the Secretary to take any action. Information
memos may focus on: .Findings of a key study .Program initiative by a division .Media
campaign to highlight an important health issue .Update on a critical court case .new
collaboration with another federal agency or agencies .Corrective action taken to solve a
major problem
Like decision memos, the head of the division preparing the memo must sign the memo.
Unlike decision memos, Exec Sec does not need to run a Departmental clearance for
information memos, and the memos do not require any approval or response from the
Secretary. The operating or staff division should always send a copy of the information
memo to the appropriate Exec Sec policy coordinator. A template and example are below.
Information Alert Overview Information alerts educate the Secretary about an urgent matter.
They describe the issue/problem, why it is critical for the Secretary to have the information
now, and what the Department is proposing to address the problem. Generally, they are only
one page with bullets and are sent to the Secretarys Office, through Exec Sec, by e-mail.
They do not require the Secretary to take any action.
They may focus on: .imminent public health or safety problems .Update on an issue of major
concern to the Administration .Information about a Departmental action that will become
public within a few days .Sensitive news story scheduled for release shortly Include a concise
description of the issue and why the Secretary needs to know the information.
BACKGROUND Include information about the origin and background of the issue,
report, study, initiative, or problem. This section sets the context for the information in the
memorandum.
DISCUSSION discusses the issue, report, study, initiative, or problem; describe the
implications for the Department; and present the divisions next steps. If relevant, include
information about public reaction, including the expected reaction from Congress,
stakeholders, media, and others. If the Department will pursue a new program, initiative, or
course of action, includes information about any opportunities for Secretarial involvement, if
appropriate.

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CHAPTER 2

25

SUMMARY OF ISSUE AND DEPARTMENT RESPONSE/ACTIONS

Plague-related deaths of prairie dogs and a suspected fatal case of bubonic plague in a
28- year-old male occurred today in Colorado Springs. While plague-related prairie dog
deaths along Colorado Front Range are not unusual, a human death is cause for concern. The
Colorado Springs Gazette plans to report in tomorrows edition that health officials are
investigating the death of a man who lived near the prairie dog colony. CNN has inquired
about the incident. We expect coverage on tonights news the local health department is
taking appropriate measures to reduce risk of human exposures. CDC will collaborate with
local and state public health authorities to respond to this outbreak by sending
epidemiologists to Colorado Springs tonight.
Briefing Memo Overview On any given day the Secretary participates in numerous
meetings, events, and phone calls with both internal and external participants. Briefing
memos provide the Secretary with the information necessary to successfully complete each
engagement. This chapter provides uniform guidance for the operating and staff divisions
preparing briefing memos for the Secretary. Process Every Friday, the briefing coordinator in
the Secretarys Scheduling Office sends out an e-mail summarizing the Secretarial events,
meetings, and phone calls for the coming week. The e-mail assigns a point of contact for each
event. The briefing point of contact is responsible for collecting all information relevant to
the Secretarys participation, writing the memo, and submitting it on time.
26

Key Points.Submit Memos on Time: Memos must be submitted on time. Briefing

materials are generally due at noon the day before the event/meeting/call. If there are
significant updates after submitting the memo, contact the briefing coordinator and the person
staffing the event/meeting/call to discuss the best way to provide updated information to the
Secretary?O Note: Information memos on policy discussions will be due 48 hours prior to
the event/meeting/call so that the Secretarys counsellors have an opportunity to review them.
The Week Ahead Guidance schedule will reflect early due dates.
Define the Secretarys Role:

Above all, the memo should clearly define the

Secretarys role in the event/meeting/call. What is expected of her? What does her
participation involve? Why is she participating in this event?
The length of the memo should be proportional to the Secretarys involvement. The
amount of information included in a memo should reflect the amount of time she is spending
on the event/meeting/call. For example, a memo preparing the Secretary for an hour long,
open-press roundtable with members of Congress and a diverse group of stakeholders should
include a greater degree of detail than a memo in which the Secretary is delivering opening
remarks on a press call and then hanging up without taking questions.
Check the Week Ahead Guidance:
Every Friday, check to see if you have any memos due the following week. If you
notice an error in the Week Ahead Guidance assignments, please contact the Secretarys
briefing coordinator to seek clarification.
Draft the memo:
The person listed on the Week Ahead is responsible for collecting all information
relevant to the event/meeting/call and is responsible for drafting the memo.
Reach out to other operating and staff divisions:
Most events/meetings/calls are not limited to one policy area. It is the memo
drafters responsibility to reach out to other operating and staff divisions to make sure any
information pertaining to the event/meeting/call is included in the memo.

Make sure

information, numbers, and facts coming from a cross-section of divisions match. When
appropriate, include information that is topically related to the events or of particular interest
to the audience.
27

For example, if the Secretary is doing an event on obesity, please include recently
announced or upcoming grants related to obesity. TheOffice of the Assistant Secretary for
Public Affairs (ASPA) and the Office of the Chief of Staff can help provide information for
memos or help connect the memo drafter with appropriate operating and staff divisions.

Submit the memo on time:

Submit the memo by noon the day before the meeting/ event/call (or an earlier
deadline set by the briefing coordinator).
Update the memo:
If there are significant edits to the memo after its submission, contact the Secretarys
briefing coordinator and the person staffing the event/meeting/call to coordinate providing the
Secretary with an update.
Example:

The purpose of the press call is to announce the awarding of new

Community Transformation Grants and to draw attention to the Administrations work on

addressing health disparitiestomorrow, you will visit a pharmacy on the south side of
Chicago. During your visit, you will tour the store with pharmacy leadership, receive your
seasonal flu vaccination, and participate in a press conference with local media. The visit was
scheduled after you accepted an invitation from Pharmacy ABC President and CEO Bill
Smith. The purpose of your visit is to see firsthand strategies Pharmacy ABC is using to
address issues ranging from food deserts to preventive health services. Your visit will also be
an opportunity to promote the importance of flu vaccination. This is your third meeting with
Pharmacy ABC leadership in the past year.
Example: .Bill Smith, President and CEO, Pharmacy ABC. Bill Smith has served on the
companys board of directors since 2009. You last met with Bill Smith on May 20 at HHS to
28

discuss Pharmacy ABCs efforts to improve access to healthy foods and preventive services
in underserved communities. Agenda Insert agenda here. Do not copy and paste the entire
event agenda. Instead, include only the information relevant to the Secretarys participation.
Things to consider: .Will we announce grants or reports in conjunction with this
event/meeting/call? Has HHS awarded any other grants to the group/organization? .When
was the last time the Secretary met with this person, group? .is this event/meeting/call part of
a White House initiative? .What is the group/organizations position on the issue?
Example: This is the first time you are visiting the pharmacy, although you met with
Bill Smith in May as noted above. The visit is part of your initiative to increase public
awareness about flu and the importance of receiving a flu shot each year. It also offers an
opportunity for you to observe and increase public awareness about the increasing role
pharmacies can play in offering important health screening services in the communities they
serve. Finally, the pharmacys interest in promoting healthy foods is consistent with the First
Ladys initiative to fight obesity and improve nutrition. Attachments Include additional
documents crucial to the Secretarys participation. If the whole document is not necessary,
summarize the important information rather than attaching a lot of information that is not all
critical to the Secretarys participation.
Clearance Process
Clearance Process Overviewthe Department must clear all letters and decision memos
for the Secretarys signature. This means that other operating or staff divisions review these
documents to ensure their accuracy, quality, legality, and conformance with Administration
policy and message.

The Office of the Secretarys Executive Secretariat manages the

clearance process for most documents for the Secretarys signature. Policy coordinators in
Exec Sec work with specific operating and staff divisions to clear any documents these
divisions send to the Secretary. Policy coordinators receive documents from their divisions,
determine who should review them, and then send them for review to the appropriate
operating and staff divisions through a special computer system called SWIFT.
The documents go to each divisions executive secretariat, which distributes them to
appropriate staff to review. When reviewing a document in clearance, divisions have three
options Concur Clear the document without any changes. .Concur with comments Offer
substantive or editorial changes that you believe would improve the document. .Non-concur:
29

Signal that Exec Sec should not send the document to the Secretary for signature until the
authoring division makes significant changes. If a division non-concurs with a document in
clearance, the authoring agency must revise the document and then re-clear it with the nonconcurring division. No document can move forward for signature until all divisions concur
or concur with comments.

When your division comments on a document, your divisions executive secretary

will send the comments back through SWIFT to the appropriate policy coordinator in Exec
Sec. Policy coordinators manage revisions to the document and re-clear it, if necessary. Once
a document is ready for signature, the policy coordinator moves it forward to the Secretary
for consideration. In addition to clearing documents internally, policy coordinators also work
with other federal agencies, the White House, and the Office of Management and Budget to
clear documents such as regulations, guidance documents, and Federal Register notices.
Tips for Clearing Documents :
Review the document carefully Look for factual errors, consistency with
Administration statements and policy, any legal concerns, and technical accuracy. Style edits
are helpful, but substantive sign-off is much more important. .Check to see if others should
clear the document. Advice the Exec Sec policy coordinator immediately if you believe Exec
Sec should add a critical operating or staff division to the clearance process. .Settle policy
disputes early.
Discuss significant concerns with a document early with the authoring division. If
possible, do so before submitting a non-concurrence. You may either contact the authoring
division directly, or you may contact the appropriate Exec Sec policy coordinator. The policy
coordinator can set up a conference call or meeting, as necessary. .Be specific. Make sure
your comments are clear and specific. Vague comments are difficult to understand and to
incorporate. If you have a question about a policy issue in a decision memo, be precise in
presenting your question to the authoring agency. If you think wording in a letter is unclear,
suggest specific changes to make it clearer.
Meet deadlines. Particularly for high-priority correspondence for the Secretarys
signature, you have three business days to clear a letter. For other documents, the policy
coordinator will provide the necessary timeframe for your comments. Build in time for
30

internal review if your divisions leadership must approve your comments. If you are unable
to meet the deadline for any reason, inform the appropriate policy coordinator as soon as
possible before the deadline passes with a detailed explanation for the delay. The
Departments Executive Secretary and the Chief of Staff will receive notifications of all
explanations. .Send comments back through the SWIFT system.
Send your comments to your divisions executive secretary, who will send them to the
Departments Executive Secretariat via the SWIFT document management system. Use this
process even if you are simply concurring without comment. Do not send a hard copy or email unless the policy coordinator specifically requests this because of timing concerns.
.Know who clears what. While Exec Sec manages many clearance processes for the
Department, other parts of the Office of the Secretary also manage clearance processes, as
detailed on the following chart.
Decision memos for the Secretary:
Regulations

and

guidance

documents

requiring

Departmental

review

Correspondence for the Secretary Information memos and alerts Reorganization proposals
Reports to Congress for authorizing committees All regulatory/guidance documents sent to
review by the including the National Security Staff and Office of Management and Budget
Assistant Secretary for Financial Resources (ASFR)
Assistant Secretary for Planning and Evaluation (ASPE)
Assistant Secretary for Legislation (ASL)
Budget proposals:
Budget proposals and documents related to the development and issuance of the
budget, including the Budget in Brief and the Budget Reference Book communications with
and responses to House and Senate appropriations committees Congressional testimony
before appropriations committees and follow up questions for the record Reports to Congress
for appropriations committees Reorganization proposals Special funding opportunity
announcements requiring Departmental review Demonstrations

Departmental review of

legislative proposals submitted by Operating Divisions for inclusion in the HHS annual
budget communications with and responses to House and Senate authorizing committees

31

Congressional testimony before authorizing committees and follow-up questions for the
record

Coordinating Office Document Type Responses to GAO investigations, including

audits, reports, and testimony Responses to congressional requests on all matters related to
oversight and investigations into Departmental programs and activities
Assistant Secretary for Public Affairs (ASPA)
Office of General Counsel for Legislation (GCL)
Office of the White House Liaison
Bill reports (Secretarial letters presenting the Administrations views on pending
legislation), if GCL requests handling by ASL Media materials for major Departmental
initiatives and interview requests for senior Departmental leadership media materials,
including news releases, media advisories, statements, op-eds, letters to the editor, etc. Media
interview requests, editorial boards, etc. Publications, ad campaigns Rollout plans involving
major Departmental initiatives and/or senior Departmental or Administration leadership
FOIA requests All documents sent by the OMB Legislative Reference Division for HHS
review, including draft bills, other agency testimony, and Statements of Administration Policy
(SAPs) on pending legislation All language to implement the Administrations legislative
proposals that affect HHS programs (GCL is responsible for both drafting the legislative
language and clearing it within the Department) Enrolled bill reports (HHS letters to OMB
recommending that the President sign/veto bills passed by Congress that affect HHS
programs) Bill reports (Secretarial letters presenting the Administrations views on pending
legislation) unless GCL requests ASL to handle
Advisory Committees

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Clearance of appointments to Federal

CHAPTER 3

33

CONCLUSION
The most fascinating challenge facing the office secretary is the usage of his talents
and skills for the prospects of the organization. Rather than just being content with his routine
responsibilities and duties he must be aware that he is the backbone of the executive. An
office secretary who lacks these abilities and skills would not be of much help to the
executive and organization. Whitehead (1977) notes that the office secretary is the power
behind the work of many executives, as he does more to promote the efficiency of the
organization than any other occupation. His work is felt in all aspects of the organization
because he is the key link between the executives or top management, board members,
panels, or committees and the other workforce and the public.
The pro pacts and success of any organization, whether it be business, government or
non-governmental depend on the leadership of the organization. A dynamic, resourceful,
creative and intelligent leadership does not operate in a vacuum. He needs a superb assist ant,
a confidant, an organizer who is the graduate office secretary to make him succeed and
ensure the organizational progress and growth in the right direction. His level of training is
the most distinguishing characteristic. It marks him out from other secretarial hands. It is
therefore incumbent on the higher institutions of learning which, train graduate office
secretaries to be alive to their responsibilities. Their training cannot be left in the hand of
charlatans otherwise the office secretarys profession will also be infiltrate by charlatans and
this would impact negatively on the image of the profession. Employers of office secretaries
must recruit the right calibre (graduates) in order to ensure that they contribute maximally to
their organizations success.
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35