Policy Development: Practical Guidelines for writing MS/OD

Policies & Procedures

SAIMAS 22 February 2019

Presenter: Dirk Ehlers

083 625 2032

Discussion Points

• Defining Policy – Policy Scenario 1 : Why do policy fail ?

• Policy Making • Policy Analysis • Policy Design • Policy Approval • Policy Implementation • Policy Evaluation/Assessment

– Policy Scenario 2 : Case Study

• Policy Change Management • Practical Templates

Policy Scenario 1

• Make a List of typical OD/MS Policies • Discuss why do policies fail and what are the root

causes for this • Suggest some change strategies in order to

minimise the risk of policy failures

Policy Failures

• Lack of crisis perception by policy-makers

• Ideological, rational and/or emotional resistance

• Lack of Support

• Legal Obstacles

• Financial Obstacles

• Honesty and Integrity

• Lack of Resources

• Lack of implementation strategy

• Communication

Case Study Example

Change Resistance Strategies

• Tactical application of sudden or gradual change • Use terminology that minimise resistance • De-legitimise the old system by legitimising the new system • Use innovation and adoption rather than termination and/or

succession • Create a win-win scenario • Use windows of opportunities to initialise the change • Sound management practices, E.g. risks and change management • Transparent, honest and participatory change processes • Structures and processes change easier than behaviours and

attitudes • Peripheral values change more easily than core values

Reasons for Policy Changes

• Changing external environment

• Changing stakeholder requirements

• Changes in the demands of Government

• Change in the resource base

• Changes in institutions

• Changes of Political Leadership

• Changes in service delivery strategies

Underlying Principle

State the Policy don’t Motivate it !

Definitions Framework • Ranney ( 1968:7) defines policy as “ a declaration and implementation of

intent “

• Easton (1953:129) defines policy as “ the authorative allocation through the political process, of values to groups and individuals”

• Hanekom (1987:7) states that “ policy-making is the activity preceding the publication of a goal, while a policy-statement is the making known, the formal articulation, the declaration of the intent of the publication of the goal that needs to be pursued. “

• Originates from the Greek, Latin and English words implying : – Polis = State/City/Region (Organisation)

– Policie = conduct of affairs (Functions/Processes/People/Technology)

– Police = administration of law and order (Administration)

– Politics = realisation of goals (Strategy/Plan/Management)

Procedure

• A procedure is a document written to support a "policy directive".

• A procedure is designed to describe who, what, where, when, and why by means of establishing corporate accountability in support of the implementation of a "policy". Wikipedia

Policy Levels

Policy Level Policy Authority Applicable to: Supported by:

Government Policy Level 0

Departmental Policy Level 1

Branch Policy Level 2

Divisional Policy Level 3

Government

Head of Department Accounting Officer

Branch Policy Owners

Divisional Heads

Government Departments

All Branch & Divisional Heads

Divisional Heads

Unit Managers

Executing Authorities

Divisional Heads

Unit Managers

Business Process Owners

Policy Hierarchy

Governmental Policies

Group & Business & Functional Policies

Administrative, Operational & Technical Policies (AOT)

Regulative

Directive

Compliance

Type & Format Focus

Accountability

Policy Models

Policy Conversion of demands

into policy outputs (authoritive sub-process

in the social system)

Policy Outputs • Policy Statements • Policy Documents • Policy Decisions

Policy Feedbacks • Monitoring

Activities • Evaluation

Reports

Policy Inputs • Requirements • Resources • Support

Source: Fox et.al.(1991:31)

Others: • Social Interaction Model (Influencing Styles) • Institutional Model (Political) • The Group Model (Interest Groups) • The Elite/Mass Model ( Private/Family Company)

Policy Making Model

Problem Structuring

Forecasting

Recommend

Monitoring

Evaluation

Agenda Setting

Policy Formulation

Policy Adoption

Policy Implementation

Policy Assessment

Source: Dunn (1994:17)

Phases of the generic process model

Policy Process Initiation • Mandate & Legitimacy • Stakeholder Consultation • Pre-luminary Goal

Setting • Rules of Engagement

Monitoring & Evaluation • Management

Arrangements • Monitoring Criteria • Information • Evaluation • Reporting

Policy Implementation • Translation into

Operational Policies • Planning, Programming

& Budgeting • Management • Monitoring &

Evaluation

Policy Process Design • Agreement on process • Objective setting and

agenda • Organisational

Arrangements • Policy Project Planning

Policy Analysis • Issue priorities • Options • Consequences • Predictions • Values

Policy Formulation • Report Format • Confirmation • Prepare

Proposals

Policy Decisions • Decision-making

process • Consultation • Mandate Decision • Debriefing • Re-negotiation

Policy Dialogue • Communication &

Change Strategies • Active Dialogue • Ensuring Feedback • Implementation

Actions

Source: De Coning (1995)

Policy Impact Value Chain

National Goals and Strategies

National Policies

Policy Instruments

& Institutions

Society

Programmes

Plans

Plans

Plans

Economic Political Cultural Demographical Technological Global

Factors that shape

Expressed as Implemented by Which affect

Feedback Impacts

Policy & Planning Alignment

Initiatives

Value Streams

Outcomes

Value System Impact

Competencies

Value Chain Business Processes

Capabilities

Activities

Inputs Services

Outputs

Enablers

Information

Impact Assessment &

Policy & Strategy & Plans

Annual Performance

Plan

Operational Planning

National Priorities

Departmental Programmes

Organisational Plans

Organisational Operations

Operational Requirements

Eco-system

Public Policy

Departmental Policy

Divisional Policy

Operational Policy

Mandate vs Policy

The authority given to an elected group of people, such as…, to perform an action or govern a function-English Dictionary

Mandate derived from Policy

Authority

Purpose

Structure

Performance

Start by analysing the statutory mandate to

determine Group Policies

Performance

Purpose

Structure

Authority

Mandate Analysis Canvas

Note: Use the Statutory Mandate embedded within the Act/Regulations and Policies as starting point

The Policy Development Team (PDT)

PDT

External Stakeholders

Policy Owner

Policy Subject Experts

Employees

Management Policy Control Board

EXCO

MANCO

Roles of the PDT

• Create a climate of participation

• Organise resources

• Create Ownership and Accountability

• Formulate the basic concepts

• Scenario Forming

• Stakeholder Acceptance

• Communications and feedback

• Project Management

Policy Template Building Blocks

Approval Schedule

Policy Directive

• The purpose of the Policy Directive is to communicate information about policies, procedures and processes relating to matters overseen by the Department responsible for Administration and its divisions. Each division is responsible for administering its own policy directives.

Directive

It has been two years since our office building was designated "smoke free," and we appreciate your compliance with that directive. Our recent personnel questionnaire revealed that a majority of our workers want to extend the smoke-free zone to the loading docks.

Please consider this memo as our official declaration of policy to reaffirm the company's smoke-free zone in the office building, and to extend that zone to include the loading docks. Alternative sites for smokers are indicated on the attached map. You will note that with the exception of the loading docks, the areas are the same, with the addition of one place near the drying ponds. We appreciate your cooperation in making our workplace pleasant for everyone.

Guides/Manuals

Directive Guidelines • Clearly state your request or indicate what needs to be done and give as much

detail as necessary for the task, project, or other assignment to be accomplished. If a problem needs to be resolved, clearly indicate what the problem is and, if desired, how you would like it to be solved.

• Give the reason for the directive, if desired. • Specifically state how you expect the reader to proceed in order to accomplish the

task. • Give the deadline for which the task or project should be completed. Arrange for

follow-up or evaluation if needed. • Mention the benefits of the directive to the people involved, if applicable. • You might include the names of individuals the reader could contact or identify

available resources that can help him/her to complete the project or other assignment.

• If appropriate, offer to give assistance if needed or offer to answer any questions or address any concerns or problems that arise.

• Thank the reader and close by expressing your confidence that he/she can complete the task at hand.

Policy Evaluation Criteria

• The is concise and clear in what it wants to achieve (Policy Purpose)

• The policy is aligned with an higher level policy and/or procedure

• The policy can be linked with other cross-level policy and procedures

• The policy set-out applicable and relevant accountabilities for execution

• The policy process has analysed the impact and resource requirements in terms of execution and responsibilities

• The policy assumes clear measurement criteria to which the execution and compliance can be measured

• The policy is legally sound

• The policy provides sufficient content management information

• The policy supports a specific business objective

• The policy can easily be communicated to all employees

Standard Operating Procedures SOPs Building Blocks

Bizagi Screenshot

Process Descriptions

Policy Scenario 2 Joe Black died on the 23rd of September 2011. His death was the result of an occupational injury obtained at his workplace. In terms of the Compensation Act, Joe’s family is entitled to compensation in the form of pension payments to his widows. Joe has two wife’s and three(3) children of which: One is dis-abled, one is turning 18 whilst in matric and the other wishes to become a lawyer but is already 21 years of age. Joe’s wife’s are jobless and has no other form of income.

In terms of the Compensation Act, (Section 54 (c )) pensions for children should be suspended at the age of 18. Section 54 of the Act however, allows for the extended continuation of a pension under specific conditions which may include that of a disabled child, or children wanting to embark on a tertiary education.

Review the following in terms of a policy evaluation:

1. Analyse the above policy and generate a list of questions to highlight the policy issues?

2. What should the suggested policy be in terms of the Disabled Child?

3. What should the suggested policy be in terms of the second child ?

4. What should the suggested policy be in terms of the third child ?

5. What conditions should be set for accommodating the above?

6. If you would implement a system to support the above policy, what business rules would you suggest?

7. Write a Standard Operating Procedure (SOP) for your policy.

Policy Making Checklist

Policy Evaluation/Assessment

• Evaluation determines the value or effectiveness of an activity for the purpose of decision-making

• Evaluation is learning about the consequences/impact of the policy on real-world conditions

• Evaluation is to measure the performance so that continuous improvement and change management activities can take place…

Why ???

• Is there clarity about what should be evaluated?

• Is the reason to evaluate clear and justified?

• Is the evaluation feasible?

• Will the results influence future policy-decisions?

• Is there sufficient time for the evaluation?

• Are there sufficient resources available?

• Is the evaluation worthwhile?

Criteria for Policy Evaluation

• Relevance- must solve an existing issue

• Significance- must make a difference

• Originality-must generate new information

• Legitimacy- supported by stakeholders

• Reliability- data must be accurate

• Validity- findings and conclusions must have effective

causal linkages with the factual component of the evaluation

The “ what to change ”

Change Formula

Policy Change Model