The ‘How- To’ of Policy Making

Build your Skills Program

HOW TO’S OF

POLICY MAKING

OVERVIEW

DEFINING POLICY

TYPES APPLICATIONS

IMPLEMENTING POLICY

COMMUNICATION EVALUATION

DEVELOPING POLICY PROCESS FACT- BASED

POLICY DECISIONS

REOMMENDATIONS DEBATE

COMPETENCIES

• Understands legislative powers

• Communicates effectively

• Approaches problems creatively

• Assumes oversight role

ETIQUETTE

• Respect the program & be on time after breaks

• Turn your phone to silent

• Be courteous and patient with others

• Assume required roles for activities

• Take time to listen to other points of view

• Encourage others

POLICY MAKING CHALLENGES

ITEM SCORE

WHAT DO YOU THINK ARE SOME OF THE SIGNIFICANT CHALLENGES YOU EXPERIENCE RELATING TO THE POLICY MAKING PROCESS?

Section 1 Policy Defined

WHAT IS POLICY?

• statement of intentions to guide decision-making

• translates vision to action

• a functional framework for staff actions

• regulates how citizens live in a community

POLICY TERMS

• Policy challenge – issue or problem

• Policy result – desired outcome

• Policy options – strategic alternatives

• Policy actions – implementation steps

POLICY DEFINITIONS

• Policy analysts – staff

• Policy makers – elected officials

• Policy process – issues, outcome, alternatives & actions

• Formal policy – public document

• Informal policy – inaction creating precedent

GOOD POLICY

• Beneficial to public respecting individual rights

• Consistent with legislative authority

• Reflects community vision

• Well informed

• Within the organization’s resource capacity

• Easy to interpret

• Adaptive

WHY POLICY?

• legislated requirement for elected officials

• framework for goal setting

• guides program design & service delivery

• rules and regulations for decisions

• principles that guide day-today actions

POLICY CATEGORIES

• governing policies

• operational policies

• administrative policies

What are some examples from your

organization within these categories?

BYLAW, POLICY or PROCEDURE?

Can you think of some examples from your

organization to add to these categories?

Bylaw Policy Procedure

Fees & Charges Bylaw Facility Use Policy Fee Collection Steps

Green Space Bylaw Park Reserve Park Maintenance Standard

Zoning Bylaw Application Process Application Checklist

Annual Budget Reporting Schedule Report format

Joint Use Agreement Scheduling process Cleaning Schedule

MAJOR APPLICATIONS

• land use

• service delivery

• funding

• administration

GOOD POLICY ACTIVITY

Purpose – to recognize the elements of good policy making

1. Select facilitator, recorder, timekeeper and presenter

2. Review policy checklist – make additions

3. Agree on 3 items critical to policy success

4. Share policies that fell short

5. Share policies that excel

6. Present one example to plenary

Section 2 Policy Development

POLICY MAKING PROCESS

INFORMED DECISION MAKING

• fact based

• informs rather than directs policy decisions

• inquiring minds want to know

• decisions based on evidence not emotion

• objective not subjective

• supports transparency

TYPES OF ISSUES

Routine Policy Challenge

• not new

• solutions known

• policy options clear

Complex Policy Challenge

• new, solutions are not clear

• unexplored policy options

• uncertain policy actions

DISCOVER STAGE

• defining the problem

• validity of facts

• more than one problem?

• what questions need asking?

• existing information

• research

• best practices

Results in a key question

POLICY BRIEFING

Issue Related problems

Background Data, feedback

Policy Challenge Key question that guides policy inquiry

Stakeholders Affected parties or those to involve

Expectations Measureable outcomes, impact

Policy Result Key outcome

Alternatives Ways to achieve policy result

Policy Option Best alternative to address issue

Policy Actions Implementation steps, milestones

Resources Fiscal, human & support required

Why is it helpful to have a standard format?

POLICY DEFINITION ACTIVITY

Purpose – to develop a real life policy recommendation beginning by identifying the policy issue or problem

1. Select facilitator, recorder, timekeeper and presenter

2. Discuss policy issues you are facing

3. Agree on one to use as a group

4. Identify info available to you (policy briefing worksheet)

5. Identify possible questions

6. Choose one key question

POLICY RESULTS

Subjective expectations – observable

Objective expectations – measureable

Input from citizens – property owners & residents

Input from agencies – non profit, private, gov’t

Indirect input – questionnaire, comment card

Direct input – advisory committee, public hearing

POLICY RESULTS ACTIVITY

Purpose – key result if the policy issue is addressed

1. Select facilitator, recorder, timekeeper and presenter

2. Determine stakeholders

3. List observable and measureable expectations

4. Determine key result

5. Debrief questions in workbook

IS A POLICY NEEDED?

• to comply with legislation

• to establish consistent treatment

• to guide repeat situations

• to establish standards & regulations

• to protect the municipality legally

• if employee actions indicate confusion

Can you think of an example when policy was not

needed for an issue facing Council?

DEVELOP STAGE

• seeing possibilities

• analyzing options

• best practices

• contrary views

• innovative ideas

• mandate & success & effort

• pros & cons, best/worst, rating

Results in a preferred option

PRACTICALITY CHECKLIST

Can you think of other practical considerations to

evaluate policy alternatives?

Options Analysis Criteria Likely Medium Unlikely

1. Legislative Ease Yes Maybe No

2. Existing Policy Consistency Yes Maybe No

3. Existing Contract Ease Yes Maybe No

4. Political Will to Proceed High Neutral Uncertain

5. Human Capacity to Implement High Medium Low

POLICY RESULTS ACTIVITY

Purpose – to generate possibilities & alternatives for resolving the policy issue

1. Select facilitator, recorder, timekeeper and presenter

2. Determine stakeholders

3. List observable and measureable expectations

4. Determine key result

5. Debrief questions in workbook

DELIVER STAGE

• plan to implement best option

• sequenced actions

• responsibilities

• timeline

• resources

• expenses

• revenue

• start-up costs

Results in a policy action plan

POLICY ACTIONS ACTIVITY

Purpose – to identify actions, timelines and resources to implement the policy recommendation

1. Select facilitator, recorder, timekeeper and presenter

2. Identify required actions to implement the preferred option

3. Sequence the actions using a timeline

4. Assign positions to tasks

5. Identify resources

6. Debrief questions in workbook

POLICY RECOMMENDATIONS

Policy Briefing

• facts & comparative information

• prepared for Council discussion & debate

Policy Format

• policy recommendation

• prepared for Council debate & approval

Can you recall a time when staff prepared information that was not what Council was looking for?

POLICY FORMAT

Municipal Logo Type of Policy Policy #

Approved by:

Effective date:

Department:

Policy Title

Purpose of Policy Describes the issue the policy is meant to addressDescribes the desired policy result and outcomes

Definitions Defines terms included in the policyProvides clarity & consistent understanding

Policy Statement Reflects relevance to organization’s broad visionCites relevant laws, regulations or codes

Policy Content Conditions, principles and applicationsWho will administer the policy

Related Documents Linked or superseding policiesReference to implementation procedures

Appendices Related information leading to the policyRelated information for implementing the policy

Approval Date: Date of resolution by Council

POLICY RECOMMENDATION ACTIVITY

Purpose – to review a policy recommendation to ensure support from Council

1. Select facilitator, recorder, timekeeper and presenter

2. Review Policy Briefing info & determine final recommendation

3. What factors affect the recommendation?

4. How will you address these factors?

5. What information needs to be presented to Council?

6. Debrief

Section 3 Policy Decisions

MAKING DECISIONS

CONSENSUS

INFORMEDDECISION

SIMPLE MAJORITY

IMPOSEDAGREEMENT

Consensus – working through views until agreement among all

Informed – analyze options through respectful discussion

Majority – voting by those who have authority to vote

Imposed – decision by one with authority

INFORMED DECISION MAKING

• adequate information

• good debate

• factual information and data

• forecasts and trends

• perceptions from various interests

• justification and further analysis

TYPES OF DECISIONS

Routine Problem and solution are well know

Minimal criteria and options necessary

Yes/No Choice to be made among alternatives

Focused on debate

Best Choice Assessment of various complex alternatives

Information & debate required

Possibilities? Problem & solution are not known

Information & debate required

What are some examples for each decision type in your community?

POLICY CONSEQUENCES

Predictable Enough information to predict outcome

Dependent Different viewpoints that need comparison

Risky Possible or unknown negative consequences

What are some examples of different policy consequences you have experienced?

GODD DEBATE

• differs from discussion

• good debate intended to result in a decision

• formal process that occurs in public

• yes – agree with recommendations

• no – turn down recommendation

• refer or defer – more information required

DEBATE ACTIVITY

Purpose – to discuss reasons policy debate might derail

1. Select facilitator, recorder, timekeeper and presenter

2. Brainstorm factors that derail policy debate. Choose two

3. As Mayor, how would you deal with these?

4. As Councillor, how could you prevent these from occurring?

5. Report back to plenary

6. Debrief

DEBATE DERAILERS

Does the mayor have a different role than a Councillor?

DERAILERS ACTION

1._______________________ Remedy

Prevention

1._______________________ Remedy

Prevention

PRINCIPLES OF GOOD DEBATE

• know what you’re talking about

• use logic to present your side

• be accurate, rely on facts

• be professional in your conduct

• use supportive language

• avoid exaggeration

• follow protocols, points of order

• keep your perspective

POLICY DEBATE ACTIVITY

Purpose – to present and debate policy recommendations in a simulated Council meeting

1. Select facilitator, recorder, timekeeper and presenter

2. Prepare presentation using the ‘Policy Briefing’ worksheet

3. Present to a council within 5 minutes or less

4. Switch roles – Council & Observer

Group 1 presents to Council Group 2 – Observer Group 3

Group 3 presents to Council Group 4 – Observer Group 1

Group 4 presents to Council Group 1 – Observer Group 2

Group 2 presents to Council Group 3 – Observer Group 4

OBSERVATION WORKSHEET

Assigned Meeting Feedback

Observation Learning

Section 4 Policy Implementation

IMPLEMENTATION FACTORS

Capacity to implement the decision• staff time• fiscal resources• expertise

Unforeseen conditions• community acceptance• political will• legal capacity

UNINTENDED CONSEQUENCES

Tradeoffs • negative impact exceeds benefits

Social Impact • causes people to react in a negative way

Resource Leveraging• diminishes service or capacity

Can you think when a policy resulted in unforeseen resource issues, negative conditions or unintended consequences?

UNINTENDED CONSEQUENCES ACTIVITY

Purpose – to recognize, prevent or correct the impact of unintended policy consequences

1. Select facilitator, recorder, timekeeper and presenter

2. Identify inadequate resources, unfavorable conditions

and/or unintended consequences that may arise from your

recommendation. Agree on 5 to examine further.

3. How could you have prevented this in the policy definition,

development and decision stages?

4. Is there an opportunity to correct in the debrief or evaluation

stage?

WORKSHEET

ISSUE PREVENTIVE ACTIONS

CORRECTIVE ACTIONS

1.

2.

3.

4.

5.

Unintended Consequences

COMMUNICATING POLICY DECISIONS

Explain

• describe the policy process, outcome & action

• gains credibility

Acknowledge

• anticipate concerns & have answers

• phase in actions, monitor & evaluate

Champion

• stress benefits

POLICY AUDIENCES

INFORMEDExternal

IMPLEMENTERSAgencies

IMPACTEDDirect

PolicyAudience

INFORMEDLocal

IMPACTEDIndirect

IMPLEMENTERSStaff

OTHER

Who makes up the audience for your recommendation?

COMMUNICATION MEDIUMS

Public Media

• radio, newspapers, television

Target Mediums

• website blogs, give-aways, outreach programs

Informal Methods

• coffee shop conversation, trade show booth

How would you communicate your policy decision?

DEBRIEF STAGE

• progress

• contingency options

• check-in points

• data & statistics

• observations

• comparisons

• scheduled review

• legislated requirements

How would you suggest your policy decision be monitored?

SUMMARY

What are some key ideas you gained from this session?

How will you apply one of these ideas in your community?

What is one pitfall you would like your local government to avoid in the policy making process?

CONCLUSION

THANK YOU!

Please remember to complete and return your program evaluation.