Policy Development Guidelines - EMRC

1 Produced by the Local Government Natural Resource Management Project March 2008 Policy Development Guidelines EMRC 71240 Policy Development Guidelines Page ii Table of Contents Table of Policy Development Guidelines ..4 Introduction ..4 Definitions ..4 Stages of Policy Development ..1 Policy Process Planning Template ..5 Predevelopment Phase ..5 Development Phase ..5 Maintenance Phase ..6 Policy Contents ..8 Background ..8 Policy Outline ..8 Operation of this Policy ..8 Statement of Policy Application of the Policy ..9 Review ..10 Policy Introduction.

2 11 EMRC 71240 Policy Development Guidelines Page iii Policy Outline ..11 1. Operation of this Policy ..11 2. Statement of Intent ..11 3. 4. Policy 5. Application of the Policy ..11 6. 7. Review ..11 EMRC 71240 Policy Development Guidelines Page 4 Policy Development Guidelines Introduction Policy Development is a key function of local government. Policies and procedures provide the framework within which an organisation operates. For local government, they define what the municipality does and how to do it. Having clear policies offers clarity and helps Councils operate more effectively as an organisation.

3 It means there will be fewer misunderstandings or debates about what to do in particular situations. For those policies which will affect ratepayers, it is good practice for both staff and the community to be involved in the Development of policies through consultation. However, the final decision about the content and how it works in practice is for the Council itself to decide. Developing and implementing Policy is a process of continuous improvement; there is never a moment when local government stop developing and reviewing policies. These Policy Development Guidelines outline a process that can be used by local government to develop policies, using the format adopted for policies within the Local Government Natural Resource Management (NRM) Policy Manual.

4 The broad process outlined below has been adapted from a series of existing templates, Guidelines and Business Management Systems. It is designed to be readily adapted to suit local governments own Policy Development processes, and adopted into Business Management Systems, if desired. It is by no means an exhaustive list, nor is it intended to prescribe the techniques that should be employed, since the details of the process should suit the issue being addressed, the stakeholders affected and the overall Policy objectives. Definitions For the purposes of this document, and to assist contextualisation of the role of a Policy relative to other documents, the following definitions apply: Policy : A decision or course of action to address a problem, issue or change.

5 Guidelines : Principles that set standards that support the course of action. Process: A series of actions to produce the desired change. Procedure: An established method for progressing an action. EMRC 71240 Policy Development Guidelines Page 1 Stages of Policy Development The Policy Development process can be conceived of as a cycle as shown in Figure 1. Figure 1: Policy Development Cycle To expand, the cycle should move through a series of stages, represented diagrammatically in Figure 2, below: Stage 1: Issue Identification and Policy Definition - Scoping The first question to ask in the Policy process is whether the issue requires a new Policy or is better addressed through other means.

6 If a new Policy is required, a synopsis or, in the case of significant issues, a discussion paper should be prepared that identifies: the need for the Policy , the issues being addressed and the intended Policy objectives; major benefits, costs and risks involved; consistency with related policies and whole-of-government policies; the target audience and key stakeholders; the authority required to formally initiate the Policy Development process and approve the final document ( CEO and Council endorsement); the timetable for the Policy process including the documents to be produced and other key deliverables; responsibility for leading the Policy Development process and people to be involved in its Development , such as the Development of a Policy team; consultation arrangements to be adopted at various stages in the Policy Development process identifying how key stakeholders, such as senior management, Councillors and the community, will be involved.

7 For further information on consultation, see Stage 2 (a) below; resources required for Policy analysis and consultation within the desired timeframe; implementation issues which will need to be addressed; and A briefing note outlining the need for the proposed Policy should be presented to Senior Management or Council for resolution to proceed with the Development of the Policy . EMRC 71240 Policy Development Guidelines Page 2 Figure 2: Policy Development Stages Stage 2: Clarify Policy Issues and Options Work in this stage should be guided by a small Project Team or Steering Committee with representation from each of the Business Areas within Council and other agencies if required.

8 The involvement of representatives from across Council is particularly important as it is through such involvement from the outset that whole-of-Council ownership of the Policy is taken. EMRC 71240 Policy Development Guidelines Page 3 The issue clarification and option review stage is crucial to the success of the Policy Development process. It is the stage when key issues and objectives are clarified, strategies are developed and the feasibility of options tested. Attention should be given to: a) Consultation: The Project Team manages the consultation arrangements approved in Stage 1.

9 It is important that the aims and objectives of consultation are clearly identified and communicated with stakeholders before proceeding with the consultation process so they are aware of why they are being consulted, how the consultation process will work, and how much influence they can realistically hope to have in decision-making. The techniques used should clarify the perspectives of those affected by a Policy and ensure the stakeholders and public have effective and appropriate input into developing policies. The process and strategy for consultation should be identified in the initial scoping paper.

10 B) Qualitative and quantitative analysis: An environmental scan should be undertaken to establish a baseline of information against which to measure performance of the final Policy , and to test the feasibility of options. c) Involvement and input by the various service areas: Services covered by the Policy need to be involved in developing and testing feasibility of options. This provides an opportunity to identify the implications of Policy options in terms of potential changes in service processes or operations. d) Implementation: This step should start to identify an effective implementation strategy.