Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers.

Applying Policy to Policy Development
Rod Hamilton, Associate Registrar

Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers are simple.” Can anyone guess who said this? Dr Seuss – you know – the Green Eggs and Ham guy!! The challenge of thinking about complicated things in simpler ways is something we all face in our daily work. I hope that our time here today can make your answers to life’s complicated questions, especially in the area of policy development, just a bit simpler!

Introduction – cont. Who am I? Rod Hamilton
Associate Registrar, Policy College of Physiotherapists of Ontario So who am I anyway? My name is Rod Hamilton. I am here talking to you because I am really interested in the policy development process. And -- a key aspect of the role of regulatory agencies is to develop policies, whether they be by-laws, administrative rules, regulations, standards or position statements. And -- like most things we do, policy development can be done better when we understand it better. And -- since I hope our shared goal is to do things better, I wanted to share with you what I think are some of the key steps we should take whenever we develop policy.

Introduction Thanks for coming!! I really appreciate it!
Okay, the first thing I want to do is thank you for coming to this presentation. For some reason, discussions about policy development often have what I think is an unjustified reputation as being just a bit dry… so I really appreciate the fact that you all showed up to listen to me. I am hoping there will still be a few a round at the end of the session to ask some questions!

Introduction – Cont. The Learning Objectives for today:
Learn about problems that arise when policy development does not follow a process Understand how these problems may be addressed by a policy development process or policy Learn some useful key steps/phases for a policy development process or policy So let’s continue with a brief reminder of our learning objectives. What I hope to do is at least three things. First, I will point out some of problems that can arise when policy development does not follow a process Second, I will make some suggestions as to how these problems can be addressed by a policy development framework Third, using the example of the policy development framework in my organization, I will suggest some useful stages that a policy development process should incorporate.

Introduction – Cont. The structure of the today’s session:
Problems arising from unstructured policy work How a policy development framework can address these problems What our policy development framework looks like Critiquing the framework Since we have defined some learning objectives, the session will pretty much follow that framework We will start with a look at the kinds of problems that arise from undertaking policy work without a framework Then we will consider how a policy development framework can address these problems Next we will look a what a policy development process might look like, using my organization’s framework as an example. And finally, I will offer a brief critique of our framework so that hopefully you can benefit from both the things we did well, and the things we did not do so well.

Key definitions: “Policy”: very broad - any organizational rules including by-laws, administrative rules, regulations, standards, position statements, or guidelines “Policy Development”: the process of developing organizational rules. Let’s start with a couple of key definitions. First, “policy”. Let’s consider policy in a very broad sense – as an organizational rule. This means that a policy could be any of a wide of rules including by-laws, administrative rules, standards, position statements or guidelines. A policy for us is pretty much any agreed upon decision of an organization that tells someone what they are supposed to do. Second, let’s consider “policy development”. Here again we are talking about a broad definition – in fact let’s consider policy development as the process an organization uses to come up with the rules that guide its work or the activities of its members. There are a couple of key things we should be aware of when we think about policy development. First, the process may be undefined, where there is nothing that lays out how the organization undertakes policy development. Or it may be defined, so that the organization has a consistent set of expectations for how policy work is to be undertaken, Second, policy development may be either linear or iterative. In the linear process, you develop a policy and when its complete, you stop. In the iterative process, policy development is ongoing. A policy initiative leads to the development of a policy, which leads to the assessment of the effectiveness of the policy, which leads back into the process of improving the policy. This iterative aspect of the policy development process emphasizes a need to review the process of how you develop your policy, not just the specific policy you are developing.

Part One – Problems arising from unstructured policy development
Problems include : When should a policy be developed? What kind of policy should be developed? Who should do the development work? Who should make the decisions? What information is needed to support decision-making? How can consistency be promoted? How can the process be improved? When the policy development process is not well defined, problems can arise. These include: Knowing when a policy should be developed. Should we do a policy for everything? If not when? Understanding what kind of policy should be developed. There is lot of different rule types – which one should we use? Knowing who should do the development work. Is it staff or the board who should be doing the background? Knowing who should make the decisions. Is it staff or the board that should be approving the policy? Understanding what information is needed to support decision-making. What is needed to make it clear what should be done? Understanding how can consistency be promoted. How can we have a consistent process if we don’t have a process? Understanding how can the process be improved. If we don’t have a clearly understood process, how can we evaluate and improve it?

Part Two – How a framework can address problems
Should a policy be developed? A framework can help you identify significant policy issues What kind of policy? A framework can help you ask the right questions to determine the right kind of tool to use Who should do development? A framework can help you decide who should do what, in what circumstances Can defining a process for policy development actually address some of these problems? The simple answer is: Yes, it can! How? Well let’s go back to our problem list If the problem is knowing when a policy should be developed then you can use your framework to determine how your organization should identify policy issues that are significant. This can help you avoid distracting or sexy issues and concentrate on the ones that are important to your organization. If the problem is understanding what kind of policy should be developed, since there are lots of different rules to choose from, then your framework can help you understand what are the right questions to ask to determine what kind of rule is most suitable. If the problem is figuring out who should do what, like the research, analysis and policy development, then a framework can assist you with working through the decision process and assessing the circumstances to assign the work within the organization.

Part Two – How a framework can address problems, cont.
Who should make decisions? A framework can help people understand what their roles are What is needed for decisions? A framework can assure that you collect and present the right information How can consistency be promoted? A framework can provide the steps to follow and the questions to ask If the problem is understanding who should make the decisions that are required for the policy work to start, to continue, or to end, then a framework can define the roles for various players in the organization. If the problem is determining what information is needed to support decision-making, then a framework can help you identify what is required to be collected and presented as a component of your work. If the problem is assuring that the way your organization undertakes policy reviews in consistent, then a framework can drive you toward a consistent approach by defining the steps to work through and the questions to ask in every policy review.

Part Two – How a framework can address problems, cont.
How can the process be improved? A framework will define a consistent process which can then be assessed for improvement opportunities There are lots of good reasons to have a policy development framework! If the problem is understanding how the policy development process can be improved, then a framework will give you a consistent process that can be reviewed and evaluated for possible improvements, which will permit the process itself to be redefined. So, in our organization we have come to the conclusion that having a policy on policy development that guides consistent thinking is fundamental. It helps build a common understanding of the steps to be taken in the policy development process. It facilitates common understanding of staff and board roles It helps to ensure that organizational policy proposals are as complete as possible. It helps the Board get the information it needs to make its decisions. And it helps to identify steps where the policy development process could be improved.

Part Three – what our framework looks like
Remember framework’s purpose: Process Guidance Direction on Decision Making Identification of Critical Questions So now let’s look at our framework. The framework’s purpose is to: Provide an overview of the phases the policy development process should move through Provide direction on significant decision making points Help identify critical questions that need to be asked during the policy development process.

A Multi-Step Process Anywhere from 4 – 10 typical phases in policy development have been identified Often, each phase has two or more steps within it Things to Consider/Questions to ask – Each step has one or more things to consider or questions to ask associated with it When we benchmarked against other organizations we found that anywhere from 4 to 10 phases have been identified and labeled in the policy development process. Each phase is typically divided into steps. There are usually at least two steps in each phase. It is the phases and steps that define a coherent and consistent policy development process. In our framework, the phases and steps have a number of questions associated with them. These questions are very important – not because they define the process, but because they are essential reminders of things that need to be considered as the process is followed.

The phases of policy development
Issue Identification Research and Analysis Consultation Option Development Decision Making Policy Implementation Policy Evaluation/Review Process Evaluation Let’s look at the Framework in a little more detail. For our framework we decided to use 8 phases. We see these phases as: Issue Identification Research and Analysis Consultation Option Development Decision Making Policy Implementation Policy Evaluation/Review Process Evaluation The work associated with these phases and steps is shared – much of the operational work is typically carried out by staff while the Board will generally takes the governance, or decision making role.

Phase One – Identify Issues
Phase one helps identify the issues that are worthy of having policy development resources assigned to them The phase has both governance and operational aspects Phase one helps identify the issues that are worthy of having policy development resources assigned to them Part of this phase involves simple issue identification using a variety of tools. However, this phase also requires the assessment of relevance of the issue. Factors determining relevance might include whether an issue falls within the normal scope of the organization’s activity and whether the organization has the resources to deal with it. An issue may be interesting - but it has to be within mandate and supported by the organization in order to be sufficiently relevant to become part of the organizational work plan. This phase has both governance (Board decisions) and operational (staff activities) aspects.

Phase One – the Steps Identify significant policy issues through means like: Environmental scanning Data on practice trends Changes to organizational legal authority Strategic planning decisions College internal reviewing tools like the Document Review Matrix Assess whether the College needs to establish or maintain a position on the matter considering the College’s legal mandate, mission, vision and strategic goals Obtain authorization/support at the governance level for initial work to proceed. Depending on the type of issue, the authorization or support can come from: Council Committee Staff Obtain direction on who will be the responsible committee or staff. The responsibility for the policy issue may be delegated to: An individual A team A committee Define project scope, definitions terms and deliverables by developing project charter/scope of project Okay, so this what the steps in phase one look like – don’t worry -- there is no test at the end of this session! But these are the kinds of things you would want to make sure you do as you identify the issues!

Phase One – The questions to consider
Has legislation changed? Have changes to the College mission or vision been made? Has the environment changed? Is practice evolving? Are there new relevant legal decisions? Has government’s policy agenda changed? Has the media identified a new issue? Have the College’s internal processes identified a new issue area? Does the College statutory mandate support further or continued work on the issue? Has the College statutory mandate changed? Has the College’s mission or vision changed Have we reviewed the College statutory mandate, mission and vision to ensure that this issue is (or is still) within mandate? Is it in (or still in) the public interest to consider the issue? Have we used the College’s public interest tool to assess the issue’s public interest relevance? Does the issue fit (or still fit) within the College’s current strategic focus? Who (or which committee) should be responsible for managing this issue? Have we provided sufficient information/detail in the project charter to define what we want to achieve? Have we identified the true issue and not just a symptom? Have we drilled down to the real core of the issue? Are we clear about what we are going to consider? And here are the kinds of questions that we are supposed to be asking ourselves when we are identifying issues. These kinds of questions are quite organizationally specific and they are offered here just to show you that we give some serious thought to these issues! Naturally you would want develop your own questions depending on the way you conduct your business. So that’s probably enough detail about the steps and question since for each phase, there will be another group of steps to go through and another series of questions to consider! For the rest of the phases, we will just hit the top line. But if you would like to get a copy of the complete framework, let me know at the end of the session or send me an .

Phase Two – Research and Analysis
Phase two defines how the policy issue under consideration should be researched and analyzed This is generally an operational (staff) role. Phase Two is Research and Analysis Phase two in the policy development process defines how to collect information that is related to the issue and analyze it. This enables better understanding of what the issue is really about and facilitates the ability of staff and the Board to gain a comprehensive grasp of it. Research and analysis is typically seen as an operational activity conducted by staff.

Phase Three – Consultation
Phase three defines the process for how stakeholder consultations should be planned, managed and reported upon. Consultation is generally an operational role Phase three defines the process for how staff should plan, manage and report upon stakeholder consultations. While consultation is identified as a distinct phase, it actually occurs in association or conjunction with other phases. The consultation provides information that is instrumental to progressing the other phases. Planning, managing and reporting on consultation activities and outputs is generally considered to be an operational or staff role.

Phase Four – Develop Options
Phase four defines the steps that should be used to identify, assess, refine and consult upon policy options that may address the policy issue identified Developing options is generally an operational activity – Board may offer feedback on options Phase Four is about developing options. Phase four defines the steps that should be used to identify, assess, refine and consult upon policy options that may address the policy issue identified. This is where all the prior work your staff has done can bear fruit. They need to explore everything they have learned to develop an array of options that can meet the needs that have been identified. The development of options is generally considered to be an operational or staff role, however often the Board is asked to provide feedback on the viability of options and provide useful direction to the overall policy work.

Phase Five – Decision Making
Phase five defines the steps that should be used to make decisions on the policy options presented through committee, approval in principle and final approval Decision making is a governance activity Phase Five is Decision Making Phase five defines the steps that should be used to make decisions on the policy options presented through committee, approval in principle and final approval. Generally speaking, like most other aspects of policy development, in most organizations, the process of decision making on policy issues is conducted in stages. A typical process might be one in which a policy is considered by the committee that sponsored the work, after which the issue is sent to the Board for approval in principle and then returns to the Board for final consideration after an additional round of consultation occurs. Given that these steps are generally require a decision in order to move the policy forward, this phase of work is considered to be focused on governance, or the role of the Board.

Phase Six – Policy Implementation
Phase six defines the steps that should be used to plan, implement and communicate any policy that has been approved. The implementation of the policy is generally an operational matter. Phase six defines the steps that should be used to plan, implement and communicate any policy that has been approved. Once the Board has made a decision on a policy issue, staff in the organization will generally need to plan its implementation. Strictly speaking, this is not policy development, but if your staff have undertaken a complete analysis of policy options they will already have been considering implementation issues and will be prepared to address them.

Phase Seven – Policy Evaluation/Review
Phase seven defines the steps that should be used to evaluate, review and update a policy once it has been implemented and in effect Policy evaluation is generally an operational role Phase Seven – Policy Evaluation/Review Phase seven defines the steps that should be used to evaluate, review and update a policy once it has been implemented and in effect for a period of time. This phase may not appear to be even remotely connected to what many of us would consider to be policy development. However if we think of policy development as a process, then the evaluation of the policy as it is implemented becomes a key opportunity to prepare ourselves to be able to review the policy and improve it in its next iteration. Policy evaluation and review is generally considered to be an operational role however the Board may wish to provide some guidance on the evaluation.

Phase Eight – Policy Development Process Evaluation
Phase eight defines how to evaluate the policy development process itself An evaluation of the policy development process is largely operational Phase Eight – Policy Development Process Evaluation Phase eight defines the steps that should be taken to evaluate the policy development process itself after a significant policy development exercise has been completed. This kind of evaluation is really the policy evaluation – applied directly to the policy on policy development. Strictly speaking, this may not be something that needs to be undertaken on every policy project. However, just as you would periodically review any other policy, an evaluation of the policy development process does sometimes need to occur in order to ensure that it is still relevant and useful. An evaluation of the policy development process is largely operational because it is an evaluation process.

Part Four – Our framework: A critique
First the good: It’s pretty complete! It’s based on benchmarking and best practice It gives us good outcomes if it is followed It’s innovative within our jurisdiction It has the capacity to promote quality improvement First the good: It’s pretty complete! It’s based on benchmarking and best practice It gives us good outcomes if it is followed It’s innovative within our jurisdiction It has the capacity to promote quality improvement

Part Four – Our framework: A critique, cont.
Then the bad: It’s pretty complicated! Limited examples to consider/emulate Compliance is limited as the process is time and labour intensive We are still promoting acceptance Quality improvement means change and change is not that popular Then the bad: It’s pretty complicated! Limited examples to consider/emulate Compliance is limited as the process is time and labour intensive We are still promoting acceptance Quality improvement means change and change is not that popular

Part Four – Our framework: a critique, cont
Possible improvements : Move to fewer phases: pre-development, development, maintenance Simplify the steps within the phases Take the questions outside the process So, as part of considering the content of this presentation I was thinking of ways I could improve the process: I think we should move to fewer phases, maybe something like: pre-development, development, maintenance. Pre-development might include Issue Identification and Research and Analysis. Development might include Consultation, Option Development, and Decision Making. Maintenance might include Policy Implementation, Policy Evaluation/Review and Process Evaluation I think we need to simplify the steps within the phases. There are just too many steps – we need to layout what needs to happen in a simpler way and clarify what exactly we want people to do Finally, I think we need to take the questions outside the framework. Since the questions are generally specific to certain situations and circumstances, they need to be taken outside the defined process as they should be a bit different in every circumstance.

In Summary You should have a formal policy development process
It should suit your organizational practices It should convey shared responsibility Needs research, analysis, consultation and evaluation Is an iterative process Is an important quality improvement tool To sum up some of the important ideas we talked about in this very quick overview of the policy development process, I think the following ideas might be worth remembering: To turn policy development into a process, you need to have a process that is defined in a policy and refined over time to account for common practices in the field and to meet your organization’s own specific needs. It should be formalized, that is, put into writing, so that people know about it and use it. Your process has to suit the way your organization does its business – its governance structure, its lines of authority, its roles. There are lots of ways to get it right A policy development process will typically convey shared responsibilities – the Board, staff, stakeholders and the members of the organization all have a role to play A policy development process needs robust tools and resources – you can’t do good work without being able to do the work including research, analysis, consultation and evaluation Policy development is iterative, that you need to do the same things over and over again till you get them right. The iterative nature of policy development makes it a great quality improvement tool – once you get a policy right, you start over again to make it better!

Questions??? Rod Hamilton ext 232

Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers.

Similar presentations

Presentation on theme: "Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers."— Presentation transcript:

Similar presentations

About project

Feedback

Log in

Auth with social network:

Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers.

Similar presentations

Presentation on theme: "Quote for today “Sometimes the questions are complicated and the answers are simple” - ?? ????? “Sometimes the questions are complicated and the answers."— Presentation transcript:

Similar presentations

About project

Feedback