POLICY DEVELOPMENT,
IMPLEMENTATION and
EVALUATION CONFERENCE
28-30 Sep 2011
Workshop B: Effective Internal Policy
facilitated by
Nola A. Hennessy, Serenidad Consulting Pty Ltd
WORKSHOP B:
Effective internal policy and its
relationship to government policy
sustainability
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Pty Ltd
Overview:
Effective and appropriately focused internal policy is critical
to an organization’s governance, its culture, and its impact
internally and externally. Without unambiguous policy to
direct organizational effort policy simply becomes
discretionary guidance.
When an organization is operating at ‘peak’ internally, it is in
a more powerful position to develop and implement
sustainable government policy for the benefit of Australia
and its international partners.
Copyright: Serenidad Consulting
Pty Ltd
Workshop Program:
Part 1:
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•
•
•
•
policy and the management system cycle
core internal policy components
overview of 1 page policies
policy intent - obligatory or discretionary ?
practical exercise – policy analysis; syndicate presentations
Part 2:
•
•
•
•
•
common mistakes in policy development
the first “E” in E2 policy – gaining efficiencies in policy development
policy and its application at the coalface
practical exercises – policy development; syndicate presentations
participants’ group discussion – past experience and lessons learned
Copyright: Serenidad Consulting
Pty Ltd
Part 1:
Policy and the Management System Cycle
(Ref: AS/NZS 4581)
STRATEGY
MONITORING & REVIEW
POLICY
IMPLEMENTATION
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Pty Ltd
Part 1 (continued)
Core Internal Policy Components for Directing Organizational
Effort
• Intent/Purpose (why)
• Strategic Alignment/Linkages (why)
• Organizational Coverage/Scope (what)
• Specific Requirements/Directives (what)
• Interdependencies (other policies, legislation) (E2)
• Date of Effect
• Review Cycle and Method
• Authorization
(NB. The ‘how’ is in the procedure, not the policy)
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Pty Ltd
Part 1 (continued)
Overview of One Page Policies
• enterprise level coverage
• succinctly articulates the tone/culture for the organization
• CEO/Board/Sec commitment and accountability
• very high level why, what and how statements (key risk areas)
• easily and quickly read and understood
• longer shelf life; less revisions
• is foundation for subordinate policy/procedures
• signed, dated and publicized
• a strong internal and external marketing tool
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Pty Ltd
Part 1 (continued)
The Difference Between Obligatory and Discretionary Policy –
what’s your intention?
• Obligatory:
– clearly states expectations and minimum level
requirement(s)
– fact-based
– not a choice – directs effort
– organizational (internal) ‘law’ – links to codes of
conduct and legislation
– includes definitive and action-oriented words: “will”,
“must”, “is”
– non-ambiguous
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Pty Ltd
Part 1 (continued)
The Difference Between Obligatory and Discretionary Policy
(continued)
• Discretionary:
– wide open to interpretation
– can include ‘principles-based’ policy
– subject to individual’s choice (makes assumptions
about compliance)
– is actually “guidance”
– creates potential to contradict or negate other policy –
leads to QA risks
– includes non-committal words: “should”, “may”, “could”
– can create ambiguities at all levels
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Pty Ltd
Part 1 (continued)
Practical Exercise
• Policy Analysis:
– one page enterprise policy (health and safety)
– multi-page policies – safety on board, client health
records
• Syndicate Presentations
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Pty Ltd
REFRESHMENT
BREAK
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Pty Ltd
Part 2:
Common Mistakes in Policy Development
• written by someone without organizational/context understanding
• too much information
• creates and/or displays contradictions or ambiguities
• predominantly discretionary
• no link(s) to the organization’s strategic imperatives
• no stakeholder engagement during design and development
• no consideration of a change management strategy or communication
plan (to give the policy legs)
• no cross-check to interdependent policies, legislation etc
• participant examples……….
Copyright: Serenidad Consulting
Pty Ltd
Part 2 (continued)
The First “E” in E2 Policy – Gaining Efficiencies in Policy
Development
• make one person fully accountable for the policy’s design and
development
• provide enough resources (people, time, money, equipment)
• set a deadline (and stick to it)
• say only what’s needed – no filler words
• use templates where available – don’t re-invent the wheel
• keep communication and engagement channels wide open at all
times
• allocate a change agent/manager to document change requirements
and maintain a whole-of-organization view
NB. Identify (in advance) the key change advocates/champions you can utilize during implementation
Copyright: Serenidad Consulting
Pty Ltd
Part 2 (continued)
Policy and Its Application at The Coalface
• CEO/Board/Sec demonstrable commitment (walking the talk)
• enterprise-level winning of hearts and minds
• the role of line managers and supervising in championing policy
• barriers to change - individual preferences, speed, loss/gain, tone,
methods used
• people at the coalface will make or break if implementation (and
change) is not managed - demonstrate compassion
• be consistent with messages
• review and monitor policy implementation – ask your people, check
the stats
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Pty Ltd
Part 2 (continued)
Practical Exercises
• Policy Development:
– one-page policy – enterprise risk management
– multi-page policy – financial management and
statutory reporting (key headings and content only)
• Syndicate Presentations
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Pty Ltd
Part 2 (continued)
Participant Group Discussion
• Past Experiences
• Key Lessons Learned
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Pty Ltd
Thank you for your participation and
enthusiasm
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Pty Ltd