CHCPOL002 Develop and implement policy｜LisBaby幼教筆記

Baby Lis

今天小編分享的課題是「CHCPOL002 Develop and implement policy」中文翻譯為「制定和實施政策」。這個課題是小編感覺最弱的一課，不過這課不是很難，只是文字數量有點多，所以小編覺得比較讀起來辛苦一些。以下是這內容是小編個人認為是這課的重點，如果你有補充歡迎留言分享。

Two classifications that policies are generally grouped into:

  • Governance policies – roles and responsibilities of the Board or Committee of Management, including the selection of the CEO – philosophy, mission, goals and objectives, strategic direction, accountability to clients and the broad community
  • Operational policies – how day to day services and programs will be performed towards the aim of achieving goals and objectives

Two research methods include:

  • Quantitative data (eg. collected from questionnaires) is suitable for measuring variables and verifying or questioning existing theories or hypotheses.
  • Qualitative data (eg. collected from interviews) is useful for understanding meanings, beliefs and experience.

Potential stakeholders include:

  • Colleagues.
  • Clients.
  • Families and significant others.
  • Other organisations.
  • Funding bodies.
  • Community groups.
  • Ministers.

The following should be considered when involving stakeholders in policy development and consultation:

  • How is policy influenced by the government/service/culture of the organisation?
  • Is the content of the policy accurate, and does it reflect appropriate practice?
  • Is there a policy need?
  • When will the policy be put into practice?
  • Can the policy be evaluated?

Organisational policies on the consultation will vary, but could include:

  • When a consultation is needed (or planned) and what process is in place for informing relevant people.
  • Appropriate communication channels for consultation:
  • Focus groups.
  • Interviews.
  • Meetings.
  • Citizen’s workshop.
  • Online discussion group.
  • Electronic surveys.
  • Telephone surveys.
  • Face-to-face surveys.
    • Setting an agenda and what to include, eg. subjects for discussion.
    • Handling conflicts.

Intellectual property covers a wide range of ‘intangible’ assets including patents, trademarks, registering a domain name, design protection and copyright. There is a need to adhere to copyright law and follow organisational procedures to ensure no copyright infringement.

Copyright is the most applicable to this unit. Original material is automatically protected by copyright in Australia under the legislative framework. No specific registration is required. There are some exemptions from what is covered under what is considered ‘fair dealing’.

Potential stakeholders include:

  • Staff.
  • Service users.
  • Families and significant others.
  • Other organisations.
  • Funding bodies.
  • Research bodies.
  • Community groups.
  • City councillors.
  • Elected officials.

Consultation and communication processes that could be used include:

  • Structured interviews.
  • Team meetings.
  • Focus groups.
  • Questionnaires.
  • Informal interactions.

Documentation to assist in the consultation process may include:

  • Strategic Planning Worksheet to outline the primary considerations for the consultation.
  • A code of conduct which guides participants about their responsibilities concerning consultations.
  • Consultation Plan.
  • Meeting Summary to summarise information to participants after each meeting or consultation session.
  • Evaluation Checklist.

Stakeholders are likely to have a large amount of insight on policies, policy issues and how they can be resolved. When interacting with stakeholders:

  • Clarify roles:
    • Let stakeholders know what the aims are and what is needed from them.
    • Document this and provide them with any materials that they need.
    • Be sure they know the purpose of meeting with them from the start.
  • Set timelines:
    • Clarify feedback or participation deadlines.
    • Communicate with stakeholders to see how progress is being made.
    • Make sure meetings are on time and finish at the suggested time.
    • Arrange to speak with stakeholders so that they have time to prepare their input and can communicate with those involved.
  • Be professional:
    • Treat stakeholders with dignity and respect, do not patronise if they have less knowledge of policy and policy issues.
  • Welcome stakeholders:
    • View and use the time spent as consultation as an opportunity to develop a healthier relationship with stakeholders.
  • Respect confidentiality:
    • Keep any shared information provide and respect people’s opinions; use discretion when gathering information.
  • Manage conflict:
    • If there are disagreements or conflicts, approach them promptly, carefully and respectfully to avoid conflict.
    • Handle any conflicts of interest or opinion immediately, avoiding issues in the future.
  • Provide resources:
    • Provide the resources, materials or equipment necessary for recorded consultation with stakeholders.
    • To write things down, provide pens and paper.
    • If a conversation on the telephone is required, call them.
    • If facts and figures are required to make an informed opinion, or there is a reference to other policies, then have copies available.
    • Present resources in sustainable ways and avoiding wasting resources.
  • Thank people for their input:
    • Inform stakeholders of the value of their contribution.
    • Individual feedback is an excellent way to make sure that the ‘message’ was understood and helps the stakeholders feel valued.

The writing style should:

  • Be clear and concise.
  • Use present tense.
  • Use active verbs.
  • Use consistent heading formats and capitalisation.
  • Provide references to other documents and information sources where appropriate (eg. legislation that the policy addresses).
  • Use position titles rather than individuals’ names where a listing is required for a particular position to undertake a task (eg. Line Manager).

Report writing steps:

  • Decide on the ‘Terms of Reference’.
  • Decide on the procedure.
  • Find the information.
  • Decide on the structure.
  • Draft the first part of the report.
  • Analyse findings and draw conclusions.
  • Make recommendations.
  • Draft the executive summary and table of contents.
  • Compile a reference list
  • Revise draft report.

Elements that may be in a policy draft:

  • Policy title.
  • Policy number and dates.
  • Introduction – Describes the reasons for the development of the policy and what it will address. Some examples may be:
    • State or federal law or policy requires a policy or procedure on the subject.
    • Policy better fits organisation principles, values and philosophy.
    • To ensure accountability, address expected behaviour.
    • To improve the interests or expectations of various stakeholders.
    • Overall benefits.
  • Definitions – defines any technical language, words used in a particular sense or words that may be uncommon to the layman
  • Additional Authority – List of laws, regulations and other relevant authorities that govern the policy
  • Scope – addresses the circumstances around what is covered by the policy, eg. the employees that must observe the policy and (in turn) follow its set ‘procedure’, or how the policy has to be followed to allow an individual to undertake their job efficiently.
  • Policy Statement(s) – aspects of policy that create rights or duties. Depending on the subject matter’s complexity, a statement may be a short paragraph, or contain various sections with subparagraphs:
    • These can be seen as objectives which explain the areas in which the policy will be addressed.
    • There may be strategies to help achieve these objectives.
  • Procedures – Steps that must be followed to comply with the policy:
    • This may include specific actions to be taken.
    • This may include desired outcomes of the specific actions.
  • Performance indicators – How the success of the policy will be measured.
  • Management plans and operational rules – How the policy will be implemented and observed.
  • Policy review – How the policy will be reviewed, eg. evaluation of performance indicators, consultation with stakeholders and to what timescale, etc.

Funding is allocated with strict conditions, including:

  • How the service will use the funding.
  • Insurance requirements.
  • Reporting requirements, including (in some cases) audited reports being prepared.
  • Repercussions is the funding is not used as directed.
  • What to do with unspent funding (this will vary, depending on the provider of funding.
  • Compliance.
  • Non-compliance.

Funding may be sought from departments, including:

  • Community Child Care Fund (CCCF).
  • Community Grants Program.
  • Start Strong Capital Works Grants Program.
  • Disability and Inclusion Program.
  • Start Strong Capital Works Grants Program.
  • Quality Learning Environments Program.
  • Child Care Development Block Grant Program.

Common reasons plans fail are: 

  • Poor communication – where the policy is not effectively communicated to involved stakeholders they often do not understand how they can contribute, or what to do.
  • Lack of ownership – people need to feel invested, in order to make necessary changes.
  • Losing sight of the big picture – people who are working to solve daily operating problems, lose sight of long-term goals.
  • Not relevant – the policy is treated as something separate and removed from management and normal operating processes.
  • Overload/lack of focus – the goals and actions generated by the policy are too numerous, because tough choices to eliminate non-critical actions were not made; therefore, people do not know where to begin.
  • A meaningless plan – the vision, mission, and value statements are viewed as ‘flowery’ and insufficient; there is no apparent support by actions, or there is no employee ‘input’ in the development of the plan.
  • Not having relevant timeframes – if things are not looked at regularly, or goals are unrealistic, people are more likely to see them as unimportant or consider them not worth their time.
  • Lack of forethought on policy implementation – implementation strategies are not discussed adequately in the policy; people have a lack of guidance on what to do.
  • No progress report – without an adequate progress report or review, people do not feel any momentum concerning the policy being successful, and there may be a lack of enthusiasm to continue following the policy.
  • No accountability – accountability and high importance assist in driving change; therefore, each objective, data source, measure and initiative, must have an ‘owner’ (an individual who is held accountable).
  • Lack of empowerment – the people held accountable, must have the responsibility (and the authority) to evaluate the impact of a policy, and be able to take appropriate actions based on the evidence presented; otherwise, they may resist involvement and ownership.

The factors:

  • People
  • Resource
  • Structure
  • Systems
  • Culture

The following steps as a guideline to developing the plan:

  1. Finalise the plan after obtaining input from all invested parties.
  2. Align the resources to goals based on the resource assessment.
  3. Produce the various versions of the plan for each group.
  4. Establish a system for tracking and monitoring the plan.
  5. Establish a performance management and reward system.
  6. Inform people of the plan.
  7. Set up regular meetings with established reporting to monitor progress.
  8. Set up regular review dates, including new assessments and a large group meeting for an overall policy review.

Contacting stakeholders

  • Colleagues.
  • Clients.
  • Families and significant others.
  • Other organisations.
  • Funding bodies.
  • Community groups.

Communication methods could be used include:

  • Structured interviews.
  • Team meetings.
  • Focus groups.
  • Questionnaires.
  • Informal interactions.
  • Email.

Communication processes can include:

  • Clarifying roles.
  • Setting timelines.
  • Being professional.
  • Welcoming stakeholders.
  • Respecting confidentiality.
  • Managing conflict.
  • Providing resources.
  • Thanking stakeholders.

Consider the following aspects of policy and the common issues that stakeholders may raise:

  • If there is a need for a new policy:
    • Some people cannot see the need for change.
    • Things are working now.
    • ‘If it ain’t broke, why fix it’
  • The policy needs to be communicated to relevant staff, clients and the public:
    • Some staff do not know how to use the new strategies communicated.
    • There may be language or cultural barriers to communication.
    • Some stakeholders were not consulted, so they do not wish to give ownership.
  • Policy review, monitoring and evaluation:
    • Who will review, monitor and evaluate the policy?
    • Will everyone have the opportunity to give their opinion?
  • Timelines for policy implementation and monitoring:
    • May think implementation time is too slow, or too fast.
    • May think time before evaluation is too short, or too long.
  • Policy budget, eg. funds for new equipment:
    • Might not think the budget is sufficient.

Concerns that people may have, include:

  • Being worried that while they are getting used to the new policy, their productivity or ability will be lessened, or that they will make mistakes.
  • Needing time to think about how the policy relates to them and how they will act before they are ready to implement the policy.
  • Feeling they lack the skill required to implement the policy.
  • Not seeing how they are ‘relevant’ to the new policy.
  • Believing they cannot cope with the new activities and processes that they will be required to do; this could include feeling the need for training and upskilling, or because they lack self-esteem.

Some useful ‘tips’ for implementing change:

  • Always give a ‘reason’.
  • Explain how the change will improve the situation and the resulting policy.
  • Explain in detail how any change will be implemented.
  • Let those involved have an opportunity to absorb the information.

Policy changes may cause variations in:

  • Organisation or service priorities.
  • Service agreements.
  • Budgets and resources.
  • Clients’ needs.
  • Community needs and expectations.
  • Information and research.
  • Service delivery models.
  • Technology.
  • Standards and ethics.

In order to give sufficient notice to those affected by policy change:

  • Offer training sessions.
  • Promote and discuss the policy to promote awareness.
  • Use relevant pathways and dissemination methods.
  • Explain (and inform) all current legislation, policies and procedures through relevant communication channels.
  • Offer avenues where people can seek clarification.

Methods for doing this include:

  • Circulating or presenting evidence to potential users, in formats that may be more or less tailored to the target audience:
    • Newsletters/e-mails.
    • Employee handbooks.
    • Presentations.
    • Information videos.
  • Interaction – developing stronger links and collaborations between the research/evaluation side of policy and the practical implementation:
    • Meetings.
    • Reviews.
  • Social Influence – relying on influential experts and peers, to inform individuals about the policy and persuade them of its benefits.
  • Facilitation – showing the evidence used to create the policy, through technical, financial, organisational and emotional pathways:
    • Statistics evidenced through databases such as Excel.
    • Records of feedback and information.
  • Incentives and reinforcement – rewards and other forms of control to reinforce appropriate behaviour.

nclude the following critical areas in the policy proposal:

  • Policy – the name/number of the policy and any title.
  • Summary – brief description of what is included in the policy.
  • Consultation – who should be, or who was, involved and how.
  • Scope – who will be affected by the policy.
  • Link back to the service – how the services mission/vision/philosophy and business/organisation plans are reflected in the policy.
  • Background, purpose and overview – a summary of the policy:
  • If the policy is new or amended.
  • Reasoning why the policy was developed or amended, eg. improvement to current practice and morale, an ‘issue’, or a non-compliance.
  • Rationalising why the policy has been amended to the standard, eg. through readings, conference information, stakeholder feedback and experience.
  • Any relevant legislation for the policy.
  • The improvements the policy will have on the service.
  • Effects – what impact the policy will have:
  • How the policy will affect the service.
  • What resources the policy will need for implementation.
  • Changes to the behaviour, or culture, of the service.
  • Any relevant legislation, compliance or regulatory effects such as approvals of people or outside influences.
  • Any required training.
  • Timelines – when the policy should start to be implemented and how long it should take to be in effect.
  • Roles/Responsibilities – who will be in charge of implementing different aspects of the policy?
  • The policy should identify who is responsible for compliance.
  • The policy should identify who will interpret information when questions/queries arise.
  • The policy should identify who will provide clarifications when there is a dispute.

A policy proposal helps decision-makers to understand:

  • The policy being proposed.
  • The reasoning for the policy proposal.
  • How the policy is related to the service’s mission, vision, philosophy and business plan.
  • What practical effect the new or amended policy will have on the working environment.
  • How the policy will be implemented and what resources will be needed (time, human, financial or equipment).

Include the following critical areas in the policy proposal:

  • Policy – the name/number of the policy and any title.
  • Summary – brief description of what is included in the policy.
  • Consultation – who should be, or who was, involved and how.
  • Scope – who will be affected by the policy.
  • Link back to the service – how the services mission/vision/philosophy and business/organisation plans are reflected in the policy.
  • Background, purpose and overview – a summary of the policy:
    • If the policy is new or amended.
    • Reasoning why the policy was developed or amended, eg. improvement to current practice and morale, an ‘issue’, or a non-compliance.
    • Rationalising why the policy has been amended to the standard, eg. through readings, conference information, stakeholder feedback and experience.
    • Any relevant legislation for the policy.
    • The improvements the policy will have on the service.
  • Effects – what impact the policy will have:
    • How the policy will affect the service.
    • What resources the policy will need for implementation.
    • Changes to the behaviour, or culture, of the service.
    • Any relevant legislation, compliance or regulatory effects such as approvals of people or outside influences.
    • Any required training.
  • Timelines – when the policy should start to be implemented and how long it should take to be in effect.
  • Roles/Responsibilities – who will be in charge of implementing different aspects of the policy?
    • The policy should identify who is responsible for compliance.
    • The policy should identify who will interpret information when questions/queries arise.
    • The policy should identify who will provide clarifications when there is a dispute.

These additional documents can include:

  • A summary of the policy.
  • An electronic slide presentation that is specific enough to serve as a stand-alone report (ie. uses full sentences rather than phrases).
  • A press release that summarises what the public, and the people implementing the policy, need to know.

The following will form the basis for a presentation, and are factors that need to be considered and decided:

  • Scheduling of meetings, presentations and consultation.
  • The development of the budget and resource allocation.
  • Final policy decisions.
  • Issues related to the implementation.

Organisational approval procedures may include:

  • Producing and submitting documentation on proposals.
  • Taking part in consultations and discussions.
  • A management vote.
  • Allowing a period for the approvals to be made.
  • Obtaining verbal and written approval.

Successful policy implementation can be aided by considering five leading principles.

  • An effective policy will refer to the ‘culture’ within an organisation, and relate to the risk management associated with that culture.
  • An effective policy will have clarity, allowing people to know their roles and the limitations within that role; therefore, the policy content must be accurate.
  • An effective policy will be readily available, centrally ‘filed’ and stakeholders will know where to find the documents.

All policies within an organisation must be consistent:

  • consistency makes a policy document easier to write, using a template.
  • consistency allows stakeholders to find information readily.
  • consistency in the document structure allows an individual to recognise if the policy applies to them.
  • All policies need to be ‘co-ordinated’; avoiding similar policies being developed.

To minimise problems when developing policy implementation plans, consider:

  • Ensuring that implementation problems are considered when policy initiatives are being reviewed.
  • Identifying and taking into account lessons from previous implementation initiatives.
  • Regularly discussing and reviewing progress and performance of significant initiatives.
  • Putting in place robust governance arrangements with clear leadership and accountability (where implementation involves several entities).
  • Putting in place open and effective communication channels.
  • Having an appropriate leader, or group leadership, which is/are skilled and experienced.
  • Having in place an agreed process to encourage action when things may, or have, gone wrong.
  • Where necessary, having regular and candid discussions with the responsible government minister and the minister’s office about the progress of major initiatives.
  • Having in place advisory and quality assurance mechanisms.
  • Fostering an atmosphere where mistakes can be admitted.
  • Learning from ‘what went wrong, and why’ and including it into the process to benefit future initiatives.

Resources can include:

  • Established communication channels and stakeholder engagement.
  • Relevant legal and financial services.
  • Risk management services.
  • Relevant audit, fraud and compliance mechanisms.
  • Resource management services such as project management and information, communications and technology (ICT).
  • Forms, system and process design services.
  • Methods for handling feedback and complaints.
  • Establishing teams for evaluation and review.

Impact problems may include:

  • Inefficient or suboptimal delivery methods.
  • Timeframes that are unrealistic or over-ambitious.
  • Lack of resources.
  • Inappropriate motivation, skills or capability for implementation.
  • Insufficient consultation and contingency planning.

Information to be included for staff may be:

  • Any training requirements, including which staff are affected, arrangements and timescales for delivering training.
  • Any resource requirements, including staff, and how these will be met.
  • Support available to assist implementation.
  • Arrangements for ensuring the policy, or procedure, is being followed.
  • Monitoring and auditing arrangements.
  • Established communication channels and stakeholder engagement.
  • Methods for handling feedback and complaints.

Information to be included for the public may be:

  • Overall vision and philosophy.
  • New arrangements.
  • How services will be affected.

Promoting the policy can help:

  • Promote the benefits of the organisation and its services and products.
  • Promote the image of the organisation and service.
  • Promote the people involved in the organisation.

Examples of targeted promotions are:

  • Word-of-mouth and networking – thorough, but slow.
  • Presentations and videos – fair distribution of information, but it has to gain attention.
  • Meetings, conferences and lectures – good, as this directly addresses clusters of people.
  • Specialist newspapers, journals and magazines – advertisements may be expensive but have the potential to attract many people.
  • Leaflets and posters –a technique that gives information to a target market.
  • Radio – most stations attract an identified target audience.
  • Website – information can be accessed at any time.

Examples of non-targeted promotions are:

  • Press releases – good for controlling the message, but difficult to target.
  • Letters and emails – a simple method of distribution to a large group.
  • Newspapers – allows control of a message with advertisements; note, an editorial or article, may distort the intended message.
  • Direct mail and newsletters or circulars – these can be inserted into local newspapers, or delivered to local homes and businesses.
  • Television – costly promotion and no defined target market.

Employee handbooks can:

  • Provide a framework for reflection and consistency.
  • Encourage compliance and implementation.
  • Promote the philosophy and service of the organisation.
  • Help communication and accountability.
  • Help clarify expectations.
  • Help create a positive image for the organisation.

The choice of promotional strategies will also depend on other considerations:

  • How quickly is the communication to take place?
  • Is the promotional strategy being undertaken jointly with another service or organisation?
  • The level of community involvement and consultation.
  • Costs and frequencies of promotion.

Things to consider when planning the evaluation:

  • Effective monitoring, review and evaluation provides information on potential issues, improves implementation and performance, as well as ensuring accountability.
  • Understands the differences between monitoring, review and evaluation.
  • Plan from the start what will be measured, how it will be measured, for what purpose, and who will receive the information.
  • Start by asking the right evaluation questions:
    • Is the policy correct?
    • Are we implementing it correctly?
    • Can it be improved?

Causes for a policy review may include:

  • Changes to the external environment of the service’s operation.
  • Changes to government policy, legislation or laws.
  • Amendment to strategic directions of the service.
  • New initiatives within the service, or areas of management.
  • New recruitment or training initiatives.
  • Need for consistency across areas of service deliver.

There will be designated areas and key aspects to review for each policy area, so having set guidelines in place will help manage this process. This may include:

  • Who is responsible for carrying out reviews.
  • How often the policy should be reviewed.
  • The processes followed when reviewing policy.
  • How will changes be documented.
  • How changes will be approved.

Reviewing and monitoring the initial (and ongoing) implementation of policies and procedures can be achieved using various strategies. These methods include:

  • Observation of staff.
  • Asking stakeholders for feedback.
  • Reviewing written reports about the system.
  • Carrying out spot checks (or audits) of the operation of the relevant aligned procedure.

The service should promote its policies through:

  • Newsletters.
  • Letters/emails.
  • Posters.
  • Websites.
  • Philosophy/mission statements.
  • Word of mouth.
  • Formal and informal meetings.

Things to consider regarding the information include:

  • A timeframe for a reaction.
  • How to document or record any ‘issues’.
  • All feedback should be, by its very nature, ‘educative’.
  • Whom ‘issues’ should be addressed to.
  • How ‘issues’ should be addressed and resolved.
  • Always remain sensitive to the individual involved.
  • Is the feedback urgent, or if it can wait for a review.
  • Making all relevant changes after a policy review.

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