Policy Making Process

Policy Making Cycle

1. Policy Making
…”Process”
Shahid Imran Khan

2. HOW TO’S OF
POLICY MAKING
OVERVIEW
DEFINING
POLICY
· TYPES
· APPLICATIONS
IMPLEMENTING
POLICY
· COMMUNICATION
· EVALUATION
DEVELOPING
POLICY
· PROCESS
· FACT- BASED
POLICY DECISIONS
· REOMMENDATIONS
· DEBATE

3. COMPETENCIES
• Understands legislative powers
• Communicates effectively
• Approaches problems creatively
• Assumes oversight role

4. Policy Defined

5. 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

6. POLICY TERMS
• Policy challenge – issue or problem
• Policy result – desired outcome
• Policy options – strategic alternatives
• Policy actions – implementation steps

7. POLICY DEFINITIONS
• Policy analysts – staff
• Policy makers – elected officials
• Policy process – issues, outcome, alternatives & actions
• Formal policy – public document
• Informal policy – inaction creating precedent

8. 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

9. 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

10. POLICY CATEGORIES
• governing policies
• operational policies
• administrative policies

What are some examples from your
organization within these categories?

11. BYLAW, POLICY or PROCEDURE?
Can you think of some examples from your
organization to add to these categories?
Bylaw Policy Procedure
Fees & Charges BylawFacility Use PolicyFee Collection Steps
Green Space Bylaw Park Reserve Park Maintenance
Standard
Zoning Bylaw Application ProcessApplication Checklist
Annual Budget Reporting Schedule Report format
Joint Use AgreementScheduling process Cleaning Schedule

12. MAJOR APPLICATIONS
• land use
• service delivery
• funding
• administration

13. 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

14. Section 2
Policy Development

15. POLICY MAKING PROCESS

16. 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

17. 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

18. 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

19. 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?

20. 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

21. 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

22. 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

23. 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?

24. 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

25. PRACTICALITY CHECKLIST
Can you think of other practical considerations to
evaluate policy alternatives?
Options Analysis Criteria LikelyMediumUnlikely
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 Uncertai
n
5. Human Capacity to Implement High Medium Low

26. 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

27. DELIVER STAGE
• plan to implement best option
• sequenced actions
• responsibilities
• timeline
• resources
• expenses
• revenue
• start-up costs
Results in a policy action plan

28. 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

29. 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?

30. 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 address
·Describes the desired policy result and outcomes
Definitions ·Defines terms included in the policy
·Provides clarity & consistent understanding
Policy Statement ·Reflects relevance to organization’s broad vision
·Cites relevant laws, regulations or codes
Policy Content ·Conditions, principles and applications
·Who will administer the policy
Related Documents ·Linked or superseding policies
·Reference to implementation procedures
Appendices ·Related information leading to the policy
·Related information for implementing the policy
Approval Date: Date of resolution by Council

31. 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

32. Section 3
Policy Decisions

33. MAKING DECISIONS
CONSENSUS
INFORMED
DECISION
SIMPLE MAJORITY
IMPOSED
AGREEMENT
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

34. INFORMED DECISION MAKING
• adequate information
• good debate
• factual information and data
• forecasts and trends
• perceptions from various interests
• justification and further analysis

35. 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?

36. 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?

37. 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

38. 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

39. 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

40. Section 4
Policy Implementation

41. IMPLEMENTATION FACTORS
Capacity to implement the decision
• staff time
• fiscal resources
• expertise
Unforeseen conditions
• community acceptance
• political will
• legal capacity

42. 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?

43. 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?

44. 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

45. 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?

46. 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?

47. 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?