1. POLICY DEVELOPMENT, IMPLEMENTATION and EVALUATION CONFERENCE 28-30 Sep 2011 Workshop B: Effective Internal Policy facilitated by Nola A. Hennessy, Serenidad Consulting Pty Ltd

2. Copyright: Serenidad Consulting Pty Ltd WORKSHOP B: Effective internal policy and its relationship to government policy sustainability

3. Copyright: Serenidad Consulting Pty Ltd Overview: Effective and appropriately focused internal policy is critical to an organizations 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.

4. Copyright: Serenidad Consulting Pty Ltd Workshop Program: Part 1: policy and the management system cyclepolicy and the management system cycle core internal policy componentscore internal policy components overview of 1 page policiesoverview of 1 page policies policy intent - obligatory or discretionary ?policy intent - obligatory or discretionary ? practical exercise – policy analysis; syndicate presentationspractical exercise – policy analysis; syndicate presentations Part 2: common mistakes in policy development common mistakes in policy development the first E in E2 policy – gaining efficiencies in policy development the first E in E2 policy – gaining efficiencies in policy development policy and its application at the coalface policy and its application at the coalface practical exercises – policy development; syndicate presentations practical exercises – policy development; syndicate presentations participants group discussion – past experience and lessons learned participants group discussion – past experience and lessons learned

5. Copyright: Serenidad Consulting Pty Ltd Part 1: Policy and the Management System Cycle (Ref: AS/NZS 4581) STRATEGY IMPLEMENTATION POLICYMONITORING & REVIEW

6. Copyright: Serenidad Consulting Pty Ltd Part 1 (continued) Core Internal Policy Components for Directing Organizational Effort Intent/Purpose (why) Intent/Purpose (why) Strategic Alignment/Linkages (why) Strategic Alignment/Linkages (why) Organizational Coverage/Scope (what) Organizational Coverage/Scope (what) Specific Requirements/Directives (what) Specific Requirements/Directives (what) Interdependencies (other policies, legislation) (E2) Interdependencies (other policies, legislation) (E2) Date of Effect Date of Effect Review Cycle and Method Review Cycle and Method Authorization Authorization (NB. The how is in the procedure, not the policy)

7. Copyright: Serenidad Consulting Pty Ltd Part 1 (continued) Overview of One Page Policies enterprise level coverage enterprise level coverage succinctly articulates the tone/culture for the organization succinctly articulates the tone/culture for the organization CEO/Board/Sec commitment and accountability CEO/Board/Sec commitment and accountability very high level why, what and how statements (key risk areas) very high level why, what and how statements (key risk areas) easily and quickly read and understood easily and quickly read and understood longer shelf life; less revisions longer shelf life; less revisions is foundation for subordinate policy/procedures is foundation for subordinate policy/procedures signed, dated and publicized signed, dated and publicized a strong internal and external marketing tool a strong internal and external marketing tool

8. Copyright: Serenidad Consulting Pty Ltd Part 1 (continued) The Difference Between Obligatory and Discretionary Policy – whats your intention? Obligatory: 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

9. Copyright: Serenidad Consulting Pty Ltd Part 1 (continued) The Difference Between Obligatory and Discretionary Policy (continued) Discretionary: Discretionary: – wide open to interpretation – can include principles-based policy – subject to individuals 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

10. Copyright: Serenidad Consulting Pty Ltd Part 1 (continued) Practical Exercise Policy Analysis: Policy Analysis: – one page enterprise policy (health and safety) – multi-page policies – safety on board, client health records Syndicate Presentations Syndicate Presentations

11. Copyright: Serenidad Consulting Pty Ltd REFRESHMENT BREAK

12. Copyright: Serenidad Consulting Pty Ltd Part 2: Common Mistakes in Policy Development written by someone without organizational/context understanding written by someone without organizational/context understanding too much information too much information creates and/or displays contradictions or ambiguities creates and/or displays contradictions or ambiguities predominantly discretionary predominantly discretionary no link(s) to the organizations strategic imperatives no link(s) to the organizations strategic imperatives no stakeholder engagement during design and development no stakeholder engagement during design and development no consideration of a change management strategy or communication plan (to give the policy legs) no consideration of a change management strategy or communication plan (to give the policy legs) no cross-check to interdependent policies, legislation etc no cross-check to interdependent policies, legislation etc participant examples………. participant examples……….

13. 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 policys design and development make one person fully accountable for the policys design and development provide enough resources (people, time, money, equipment) provide enough resources (people, time, money, equipment) set a deadline (and stick to it) set a deadline (and stick to it) say only whats needed – no filler words say only whats needed – no filler words use templates where available – dont re-invent the wheel use templates where available – dont re-invent the wheel keep communication and engagement channels wide open at all times 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 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

14. Copyright: Serenidad Consulting Pty Ltd Part 2 (continued) Policy and Its Application at The Coalface CEO/Board/Sec demonstrable commitment (walking the talk) CEO/Board/Sec demonstrable commitment (walking the talk) enterprise-level winning of hearts and minds enterprise-level winning of hearts and minds the role of line managers and supervising in championing policy the role of line managers and supervising in championing policy barriers to change - individual preferences, speed, loss/gain, tone, methods used 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 people at the coalface will make or break if implementation (and change) is not managed - demonstrate compassion be consistent with messages be consistent with messages review and monitor policy implementation – ask your people, check the stats review and monitor policy implementation – ask your people, check the stats

15. Copyright: Serenidad Consulting Pty Ltd Part 2 (continued) Practical Exercises Policy Development: Policy Development: – one-page policy – enterprise risk management – multi-page policy – financial management and statutory reporting (key headings and content only) Syndicate Presentations Syndicate Presentations

16. Copyright: Serenidad Consulting Pty Ltd Part 2 (continued) Participant Group Discussion Past Experiences Past Experiences Key Lessons Learned Key Lessons Learned

17. Copyright: Serenidad Consulting Pty Ltd Thank you for your participation and enthusiasm