One drawback of using the yardstick approach to structure business reports is that

Business Communication Today

Fourteenth Edition

Chapter 14

Planning Reports and Proposals

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Learning Objectives

14.1 Adapt the three-step writing process to reports and proposals.

14.2 List the options for organizing informational reports, and identify the key parts of a business plan.

14.3 Discuss three major ways to organize analytical reports.

14.4 Explain how to choose an organizational strategy when writing a proposal.

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Applying the Three-Step Writing Process to Reports and Proposals

LO 14.1 Adapt the three-step writing process to reports and proposals.

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Whether they are routine documents or the unconventional messages that Warby Parker (profiled in the chapter-opening Communication Close-Up) tends to create, reports are written accounts that objectively communicate information about some aspect of a business (see Figure 14.1).

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Types of Reports

Informational Reports Analytical Reports Proposals

Data Information Special Category

Facts Analysis Information

Feedback Recommendations Persuasive Communication

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Informational reports offer data, facts, feedback, and other types of information, without analysis or recommendations. Analytical reports offer both information and analysis and can also include recommendations. Proposals are a special category of reports that combine information delivery and persuasive communication.

The nature of these reports can vary widely, depending on the circumstances. Some of the reports you write will be voluntary, launched on your own initiative and following whatever structure you find most effective. Other reports will be in response to a manager’s or customer’s request, and you may or may not receive guidance regarding the organization and content. You may also write certain reports that follow strict, specific guidelines for content and layout.

Your audience will sometimes be internal, which gives you more freedom to discuss sensitive information. Other times your audience might include customers, investors, community members, or news media, any of which can create additional demands as you present company information to such external groups.

No matter what the circumstances, preparing reports requires all the skills and knowledge that you’ve gained throughout this course and will continue to gain on the job. View every business report as an opportunity to demonstrate your understanding of business challenges and your ability to contribute to your organization’s success.

By adapting the three-step writing process, you can reduce the time required to write effective reports and still produce documents that make lasting and positive impressions on your audiences. The concepts are the same as those you explored in Chapters 4 through 6 and applied to shorter messages in Chapters 10 through 12. However, the emphasis on specific tasks can vary considerably. For instance, planning can take days or weeks for a complex report or proposal.

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Defining Your Purpose

Informational Reports

Address a Predetermined Need

Meet Specific Audience Expectations

Analytical Reports

Written in Response to Perceived Problem or Opportunity

Clear Statement of Purpose

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Given the length and complexity of many reports, it’s crucial to clearly define your purpose so you don’t waste time with avoidable rework.

Informational reports often address a predetermined need and must meet specific audience expectations. For example, you may be asked to write reports that verify your company’s compliance with government regulations, that summarize sales, or that monitor a process—all of which have audiences who expect certain information in a certain format. With other informational reports, you will need to uncover audience needs before you can define the optimum purpose.

Analytical reports and proposals are almost always written in response to a perceived problem or a perceived opportunity. A clear statement of this problem or opportunity helps frame the communication challenge by identifying what you’re going to write about, but it’s insufficient to guide your writing efforts. To plan effectively, address the problem or opportunity with a clear statement of purpose that defines why you are preparing the report (see Table 14.1).

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Preparing Your Work Plan

Essential Elements

Statement of Problem or Opportunity

Statement of Purpose and Scope of Investigation

Additional Elements

Discussion of Tasks to Accomplish

Descriptions of Results

Review of Project Assignments

Plans for Following Up

Working Outline

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A formal work plan might include the following elements (especially the first two):

●● Statement of the problem or opportunity. This statement clarifies the challenge or opportunity at hand, helps you (and anyone working with you) stay focused on the core issues, and helps everyone avoid the distractions that are likely to arise along the way.

●● Statement of the purpose and scope of your investigation. The purpose statement describes what you plan to accomplish and therefore also defines the boundaries of your work. Delineating which subjects you will cover and which you won’t is especially important for complex investigations.

●● Discussion of tasks to be accomplished. For simple reports, the list of tasks to be accomplished will be short and probably obvious. However, longer reports and complex investigations require an exhaustive list so that you can reserve time with customers, with executives, or for outside services, such as market researchers or print shops.

●● Description of any additional products or activities that will result from your investigation. Often the only outcome of your efforts will be the report itself. In other cases you’ll need to produce something or perform some task in addition to completing the report. Make such expectations clear at the outset.

●● Review of project assignments, schedules, and resource requirements. Indicate who will be responsible for what, when tasks will be completed, and how much the investigation will cost. If more than one person will be involved, you may also want to include a brief section on coordinating report writing and production, such as whether you’ll use a wiki to develop the report content. If constraints on time, money, personnel, or data are likely to affect the quality of the report, identify these limitations up front.

●● Plans for following up after delivering the report. Follow-up can be as simple as making sure people received the information they need or as complex as conducting additional research to evaluate the results of proposals included in your report. Even informal follow-up can help you improve your future reports and communicate that you care about your work’s effectiveness and its impact on the organization.

●● Working outline. Some work plans include a tentative outline of the report, as does the plan in Figure 14.2.

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Gathering Information

Planning Your Research

Prioritize Information

Focus on the Most Important Question

Adapt Existing Information

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The amount of information needed in many reports and proposals requires careful planning— and perhaps even a separate research project just to get the data and information you need. As Chapter 13 emphasizes, you should prioritize your information needs before you start and focus on the most important questions. Whenever possible, try to reuse or adapt existing information to save time.

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Selecting the Best Media and Channels

Observe Media Requirements

Consider How Audience Wants to Provide Feedback

Does the Document Need to be Searchable or Editable?

Observe the Message the Media Selection is Sending

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In addition to the general media selection criteria discussed in Chapter 4, consider several points for reports and proposals. First, audiences may have specific media requirements, and you might not have a choice. For instance, executives in many corporations now expect to review many reports via their in-house intranets, sometimes in conjunction with an executive dashboard, a customized online presentation of highly summarized business information. Executive dashboards are particularly helpful for accessing report content on mobile devices (see Figure 14.3).

Second, consider how your audience members want to provide feedback on your report or proposal. Do they prefer to write comments on a printed document or edit a wiki article? Third, will people need to search through your document or update it in the future? Fourth, bear in mind that your choice of medium sends a message. For instance, a routine sales report dressed up in expensive multimedia could look like a waste of valuable company resources.

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Organizing Your Information

Direct Approach Indirect Approach

Business Reports Shorter Messages

Lead with Key Findings Can Work in Combination with Direct Approach

More Forceful Report Intersperse Conclusions Throughout

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The length and complexity of most reports and proposals require extra emphasis on clear, reader-oriented organization. Your readers might have the patience to struggle through a short, disorganized email message but not through a poorly organized 200-page report. As Chapter 4 discusses, when an audience is likely to be receptive or at least open-minded, use the direct approach: Lead with a summary of your key findings, conclusions, recommendations, or proposal—whichever is relevant. This “up-front” arrangement is by far the most popular and convenient for business reports. It saves time and makes the rest of the report easier to follow. For those who have questions or want more information, later parts of the report provide complete findings and supporting details. The direct approach also produces a more forceful report. You sound sure of yourself when you state your conclusions confidently at the outset.

Although the indirect approach has advantages, some readers will always be in a hurry to get to the answer and will immediately flip to the recommendations anyway, thus defeating your purpose. Therefore, consider length before choosing the direct or indirect approach. In general, the longer the message, the less effective an indirect approach is likely to be.

Because both direct and indirect approaches have merit, businesspeople often combine them. They reveal their conclusions and recommendations as they go along rather than put them either first or last. Figure 14.4 on the next page presents the introductions from two reports that follow the same general outline. In the direct version, a series of statements summarizes the conclusion reached in relation to each main topic in the outline. In the indirect version, the same topics are introduced in the same order but without drawing any conclusions about them. Instead, the conclusions appear within the body of the report.

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Planning Informational Reports

LO 14.2 List the options for organizing informational reports, and identify the key parts of a business plan.

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Informational reports provide the information that employees, managers, and others need in order to make decisions and take action.

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Categories for Informational Reports

Monitor and Control Operations

Implement Policies and Procedures

Demonstrate Compliance

Document Progress

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Although dozens of particular formats exist, they can be grouped into four general categories:

●● Reports to monitor and control operations. Just as doctors rely on medical reports to see how well the various systems in a patient’s body are functioning, business managers rely on a wide range of reports to see how well the various systems in their companies are functioning. Plans establish expectations and guidelines to direct future action (see “Creating Successful Business Plans” on page 396). Operating reports provide feedback on a wide variety of an organization’s functions, including sales, inventories, expenses, shipments, and other aspects of company operations. Personal activity reports provide information regarding an individual’s experiences during sales calls, industry conferences, market research trips, and other activities.

●● Reports to implement policies and procedures. Policy reports range from brief descriptions of business procedures to manuals that run dozens or hundreds of pages. Position papers, sometimes called white papers or backgrounders, outline an organization’s official position on issues that affect the company’s success.

●● Reports to demonstrate compliance. Even the smallest businesses are required to show that they are in compliance with government regulations of one sort or another. Some compliance reports, such as quarterly and annual tax reports, affect all businesses. Others concern particular industries, companies using hazardous materials, specific professional functions, or other special factors. Compliance reports are usually created in specific formats that must be followed exactly.

●● Reports to document progress. Progress reports range from simple updates to comprehensive reports that include such elements as measured progress toward goals, comparisons of budgeted versus actual expenses, and lists of ongoing concerns and risks.

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Organizational Strategies for Informational Reports

Comparison

Importance

Sequence

Spatial Orientation

Chronology

Geography

Category

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Most informational reports use a topical organization, arranging the material by topic in one of the following ways:

●● Comparison. Showing similarities and differences (or advantages and disadvantages) between two or more entities

●● Importance. Building up from the least important item to the most important (or from most important to the least, if you don’t think your audience will read the entire report)

●● Sequence. Organizing the steps or stages in a process or procedure

●● Spatial orientation. Organizing parts of a physical space by their relative locations

●● Chronology. Organizing a chain of events in order from oldest to newest or vice versa

●● Geography. Organizing by region, city, state, country, or other geographic unit

●● Category. Grouping by topical category, such as sales, profit, cost, or investment Whichever pattern you choose, use it consistently so that readers can easily follow your discussion from start to finish. Of course, certain reports (such as compliance or monitor-and-control reports) must follow a prescribed flow.

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Creating Successful Business Plans

Mission, Structure, Objectives and Operations

Before the Company is Launched

When Company is Seeking Funding

After Company is Up and Running

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A business plan is a comprehensive document that describes a company’s mission, structure, objectives, and operations. In general, business plans can be written during three separate phases of a company’s life: (1) before the company is launched, when the founders are defining their vision of what the company will be; (2) when the company is seeking funding, in which case the business plan takes on a persuasive tone to convince outsiders that investing in the firm would be a profitable decision; and (3) after the company is up and running and the business plan serves as a monitor-and-control mechanism to make sure operations are staying on track.

At any stage, a comprehensive business plan forces you to think about personnel, marketing, facilities, suppliers, distribution, and a host of other issues vital to a company’s success.

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A Typical Business Plan (1 of 2)

Summary

Mission and Objectives

Company and Industry

Products or Services

Market and Competition

Management

Marketing Strategy

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The specific elements to include in a business plan can vary based on the situation; here are the sections typically included in a plan written to attract outside investors:

●● Summary. In one or two paragraphs, summarize your business concept, particularly the business model, which defines how the company will generate revenue and produce a profit. The summary must be compelling, catching the investor’s attention and giving him or her reasons to keep reading. Describe your product or service and its market potential. Highlight some things about your company and its leaders that will distinguish your firm from the competition. Summarize your financial projections and indicate how much money you will need from investors or lenders and where it will be spent.

●● Mission and objectives. Explain the purpose of your business and what you hope to accomplish.

●● Company and industry. Give full background information on the origins and structure of your venture and the characteristics of the industry in which you plan to compete.

●● Products or services. Concisely describe your products or services, focusing on their unique attributes and their appeal to customers.

●● Market and competition. Provide data that will persuade investors that you understand your target market and can achieve your sales goals. Be sure to identify the strengths and weaknesses of your competitors.

●● Management. Summarize the background and qualifications of the key management personnel in your company. Include résumés in an appendix.

●● Marketing strategy. Provide projections of sales volume and market share; outline a strategy for identifying and reaching potential customers, setting prices, providing customer support, and physically delivering your products or services. Whenever possible, include evidence of customer acceptance, such as advance product orders.

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A Typical Business Plan (2 of 2)

Summary

Mission and Objectives

Company and Industry

Products or Services

Market and Competition

Management

Marketing Strategy

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●● Design and development plans. If your product requires design or development, describe the nature and extent of what needs to be done, including costs and possible problems. For new or unusual products, you may want to explain how the product will be manufactured.

●● Operations plan. Provide information on facilities, equipment, and personnel requirements.

●● Overall schedule. Forecast important milestones in the company’s growth and development, including when you need to be fully staffed and when your products will be ready for the market.

●● Critical risks and problems. Identify significant negative factors and discuss them honestly.

●● Financial projections and requirements. Include a detailed budget of start-up and operating costs, as well as projections for income, expenses, and cash flow for the first few years of business. Identify the company’s financing needs and potential sources,

if appropriate.

●● Exit strategy. Explain how investors will be able to profit from their investment, such as through a public stock offering, sale of the company, or a buyback of the investors’ interest. As Chapter 13’s Communication Close-Up on page 363 notes, not everyone believes a conventional business plan is the right approach for every start-up company. If a company still needs to prove the viability of its business model or key product, the time it would take to write a full business plan might be better spent on getting the product or service operational and in front of customers in order to prove its viability. A regular business plan would make more sense after that, when the company needs to transition from start-up to ongoing operations.

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Planning Analytical Reports

LO 14.3 Discuss three major ways to organize analytical reports.

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The purpose of analytical reports is to analyze, to understand, or to explain a problem or an opportunity and figure out how it affects the company and how the company should respond.

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Types of Analytical Reports

Three Basic Categories

Reports to Assess Opportunities

Reports to Solve Problems

Reports to Support Decisions

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In many cases you’ll also be expected to make a recommendation based on your analysis. As you saw in Figure 14.1, analytical reports fall into three basic categories:

●● Reports to assess opportunities. Every business opportunity carries some degree of risk and requires a variety of decisions and actions in order to capitalize on the opportunity. For instance, market analysis reports are used to judge the likelihood of success for new products or sales initiatives by identifying potential opportunities as well as competitive threats and other risks. Due diligence reports examine the financial aspects of a proposed decision, such as acquiring another company.

●● Reports to solve problems. Managers often assign troubleshooting reports when they need to understand why something isn’t working properly and what can be done to fix the situation. A variation, the failure analysis report, studies events that happened in the past, with the hope of learning how to avoid similar failures in the future.

●● Reports to support decisions. Feasibility reports are called for when managers need to explore the ramifications of a decision they’re about to make (such as replacing an advertising agency or switching materials used in a manufacturing process). Justification reports justify a decision that has already been made.

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Challenges of Writing Analytical Reports

Analyzing a Problem or Opportunity

Presenting in a Credible Manner

Convince Others to Make Decisions

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Writing analytical reports presents a greater challenge than writing informational reports, for three reasons. First, you’re doing more than simply delivering information; you’re also analyzing a problem or an opportunity and presenting your conclusions. The best writing in the world can’t compensate for flawed analysis. Second, when your analysis is complete, you need to present your thinking in a credible manner. Third, analytical reports often convince other people to make significant financial and personnel decisions, so your reports carry the added responsibility of the consequences of these decisions.

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Defining the Scope of Your Analytical Report

What Needs to Be Determined?

Why Is This Issue Important?

Who Is Involved in the Situation?

Where is the Trouble Located?

How Did the Situation Originate?

When Did it Start?

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In some situations the problem or opportunity you address may be defined by the person who authorizes the report. In other cases you will have to define it yourself. Be careful not to confuse a simple topic (quarterly profits) with a problem (the decline in profits over the past six quarters). Moreover, if you’re the only person who thinks a particular issue is a problem, your readers won’t be interested in your solution unless your report first convinces them that a problem exists. As with marketing and sales messages, sometimes you need to “sell the problem” before you can sell the solution. To help define the problem that your analytical report will address, answer these questions:

●● What needs to be determined?

●● Why is this issue important?

●● Who is involved in the situation?

●● Where is the trouble located?

●● How did the situation originate?

●● When did it start?

Not all these questions apply in every situation, but asking them helps you define the problem being addressed and limit the scope of your discussion.

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Tackling Complex Problems

Problem Factoring

Divide into Series of Questions

Are You Advocating One Thought?

Are You Objectively Exploring All Available Options?

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Another effective way to tackle a complex problem is to divide it into a series of logical, connected questions, a process sometimes called problem factoring. You probably subconsciously approach most problems this way. When your car won’t start, what do you do? You use the available evidence to organize your investigation and to start a search for cause-and-effect relationships. For example, if the engine doesn’t turn over, you might suspect a dead battery. If the engine does turn over but won’t fire, you can conclude that the battery is okay, but perhaps you’re out of gas. When you speculate on the cause of a problem, you’re forming a hypothesis, a potential explanation that needs to be tested. By subdividing a problem and forming hypotheses based on available

evidence, you can tackle even the most complex situations. With a clear picture of the problem or opportunity in mind, you’re ready to consider the best structure for your report.

Whenever you are preparing an analytical report, make sure you are clear in your own mind about whether you are advocating one particular line of thought or objectively exploring all the available options. Even if advocating one position is appropriate in the circumstances, your readers will expect you to have considered the other options so that you can help them understand why your answer is preferred.

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Organizational Strategies for Analytical Reports

Three Common Approaches

Focusing on Conclusions

Focusing on Recommendations

Focusing on Logical Arguments

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When you expect your audience to agree with you, use the direct approach to focus attention on conclusions and recommendations. When you expect your audience to disagree with you or to be hostile, use the indirect approach to focus attention on the rationale behind your conclusions and recommendations.

The three most common structural approaches for analytical reports are focusing on conclusions (a direct format), focusing on recommendations (another direct format), and focusing on logical arguments (an indirect format) (see Table 14.3).

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Focusing on Conclusions

Advantages Disadvantages

Direct Approach Ignores Questions

Presents Main Idea Potential for Oversimplification

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When writing for audiences that are likely to accept your conclusions—either because they’ve asked you to perform an analysis or they trust your judgment—consider using a direct approach that focuses immediately on your conclusions. This structure communicates the main idea quickly, but it presents some risks. Even if audiences trust your judgment, they may have questions about your data or the methods you used. Moreover, starting with a conclusion may create the impression that you have oversimplified the situation. You’re generally better off taking this direct approach in a report only when your credibility is high—when your readers trust you and are willing to accept your conclusions (see Figure 14.5 on the next page).

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Focusing on Recommendations

Five Steps

Establish or verify the need for action in the introduction by briefly describing the problem or opportunity

Introduce the benefit that can be achieved, without providing any details

List the steps (recommendations) required to achieve the benefit, using action verbs for emphasis

Explain each step more fully, giving details on procedures, costs, and benefits

Summarize your recommendations

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A slightly different approach is useful when your readers want to know what they ought to do in a given situation (as opposed to what they ought to conclude). You’ll often be asked to solve a problem or assess an opportunity rather than just study it. The actions you want your readers to take become the main subdivisions of your report. When structuring a report around recommendations, use the direct approach as you would for a report that focuses on conclusions. Then unfold your recommendations using

a series of five steps:

1. Establish or verify the need for action in the introduction by briefly describing the problem or opportunity

2. Introduce the benefit that can be achieved, without providing any details

3. List the steps (recommendations) required to achieve the benefit, using action verbs for emphasis

4. Explain each step more fully, giving details on procedures, costs, and benefits

5. Summarize your recommendations

If your recommendation carries any risks, be sure to clearly address them. Doing so not only makes your report more ethical but also offers you some protection.

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Focusing on Logical Arguments

Three Indirect Approach

The 2 + 2 = 4 Approach

The Yardstick Approach

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When readers are likely to be skeptical or hostile to the conclusion or recommendation you plan to make, use an indirect approach. If you guide people along a logical path toward the answer, they are more likely to accept it when they encounter it. The two

most common logical approaches are known as the 2 + 2 = 4 approach and the yardstick approach.

The 2 + 2 = 4 Approach. The 2 + 2 = 4 approach is so named because it convinces readers of your point of view by demonstrating that everything adds up. The main points in your outline are the main reasons behind your conclusions and recommendations. You support each reason with the evidence you collected during your analysis. Because of its natural feel and versatility, the 2 + 2 = 4 approach is generally the most persuasive and efficient way to develop an analytical report for skeptical readers. When organizing your own reports, try this structure first. You’ll find that many business situations lend themselves nicely to this pattern of logical argumentation.

The Yardstick Approach .The yardstick approach is useful when you need to use a number of criteria to evaluate one or more possible solutions. These criteria become the “yardstick” by which you measure the various alternatives. With this approach, you begin by discussing the problem or opportunity and then list the criteria that will guide the decision. The body of the report then evaluates the alternatives against those criteria.

Second, the yardstick approach can get tedious when you have many options to consider or many criteria to compare them against. One way to minimize repetition is to compare the options in tables and then highlight the most unusual or important aspects of

each alternative in the text so that you get the best of both worlds. This approach allows you to compare all the alternatives against the same yardstick while calling attention to the most significant differences among them.

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Planning Proposals

LO 14.4 Explain how to choose an organizational strategy when writing a proposal.

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Proposals are written for both internal and external audiences.

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Types of Proposals (1 of 2)

Internal External

Request Decisions from Within the Organization Request Decisions from Outside the Organization

Purchase Decisions or New Research Projects Grant Proposals or Sales Proposals

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Internal proposals request decisions from managers within the organization, such as proposals to buy new equipment or launch new research projects. Examples of external proposals include grant proposals, which request funds from government agencies and other sponsoring organizations, and sales proposals, which suggest individualized solutions for potential customers and request purchase decisions.

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Types of Proposals (2 of 2)

Solicited Unsolicited

Expected Unexpected

Specific Instructions More Flexibility

Audience Aware of the Problem Being Addressed Audience Unaware of the Problem Being Addressed

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The most significant factor in planning any proposal is whether the intended recipient has asked you to submit a proposal. Solicited proposals are generally prepared at the request of external parties that require a product or a service, but they may also be requested by such internal sources as management or the board of directors. When organizations require complex products, services, or systems, they often prepare a formal invitation to bid on the contract, called a request for proposals (RFP), which includes instructions that specify exactly the type of work to be performed or products to be delivered, along with budgets, deadlines, and other requirements. To attract a large pool of qualified bidders, organizations send RFPs to firms with good records of performance in the field, print them in trade publications, and post them on the web.

Unsolicited proposals are created by organizations attempting to obtain business or funding without a specific invitation from a potential client. Such proposals may also be initiated by employees or managers who want to convince company insiders to adopt a program, a policy, or an idea. In other words, with an unsolicited proposal, the writer makes the first move. Even so, an unsolicited proposal should not come as a surprise to the recipient, but rather should be the summation of an ongoing conversation between the sender and the recipient. This approach helps ensure acceptance, and it gives you an opportunity to explore the recipient’s needs and craft your proposal around them.

Unsolicited proposals differ from solicited proposals in another important respect: Your audience may not be aware of the problem you are addressing, so your proposal must first convince readers that a problem or an opportunity exists before convincing them that you can address it. Thus unsolicited proposals generally spend considerable time explaining why readers should take action and convincing them of the benefits of doing so.

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Organizational Strategies for Proposals

Solicited Proposal

Direct Approach

Receptive Audience

Focus on Recommendations

Unsolicited Proposal

Indirect Approach

Skeptical Audience

Establish Credibility

Convince Audience that Problem Exists

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Your choice of structure for proposals depends on whether the proposal is solicited and, if so, whether you expect readers to be receptive to your specific recommendation. In general, your audience is likely to be more receptive to solicited proposals because the problem and the solution have already been identified. Submit your proposal for the solution specified in the RFP, and structure the proposal using the direct approach to focus on your recommendation. As soon as possible within the constraints of the RFP requirements, identify why your solution is unique and deserves close consideration.

Depending on the circumstances and your relationship with the recipient, the indirect approach is often better for unsolicited proposals. When writing unsolicited proposals, you must first convince the audience that a problem exists and establish your credibility if you are unknown to the reader. At the same time, you need to give the reader a compelling reason to keep reading a document that he or she didn’t request. Follow the AIDA model or a similar approach to grab the reader’s attention quickly. For an external proposal, for instance, you might start off with an attention-getter such as “In working with other companies in your industry, our productivity specialists were able to reduce their operating costs by as much as 15 percent.” Then, to convince the reader that you can back up that claim, present your solution in a logical fashion, with solid evidence, leading up to a request for a decision (see “Ethics Detective: Solving the Case of the Overblown Proposal”).

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Copyright

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