Policy Development

Organisations of all sizes and types need well-crafted policies to guide their operations, foster compliance, and promote a cohesive environment. The art of effective policy development constitutes a crucial cornerstone of modern governance. In this article, we delve into the realm of policy development, exploring the strategies that underscore this fundamental process, and some of the pitfalls to avoid.

Contents

  • what are policies?

  • policy development

  • policy content

  • visualising the policy process

What Are Policies?

Policies serve as navigational charts, providing structured guidance in the midst of organisational challenges and decisions. Essentially, policy development involves the creation of a set of guidelines and principles that facilitate consistent, ethical, and informed decision-making. By establishing clear boundaries and expectations, policies safeguard an organisation’s integrity and reputation.

Policies set out the organisation’s attitude toward a certain activity or area of work. Because they will explain how to achieve certain outcomes and help deliver organisational strategy they sit in a hierarchy:

  • objective

  • strategy

  • policy

  • technical guidance or standard operating procedures

Introduction to Policy Development

A number of things need to be taken into account before you start your policy development process. The starting point is working out if you even need a policy at all. Then you need to think about who will be involved in policy development, how policies will be approved, and how they will be communicated.

Identifying the Need for a Policy

Do you really need a policy? Before embarking on policy development, it is imperative to identify the specific issue or area that necessitates governance. This could arise from compliance requirements, emerging trends, incidents, or evolving stakeholder expectations.

You also need to consider whether a policy is really a policy. Would it be better framed as a standard operating procedure, or a strategy? Remember, a policy is likely to form part of employees’ terms and conditions of employment. Adding policies on top of policies is not usually an effective solution.

Involve People in the Policy Outline

A comprehensive understanding of the involved stakeholders is key. Recognising the perspectives, concerns, and roles of various stakeholders provides insights that shape policy content and implementation strategies.

For example you may need a policy on how to handle out-of-hours contact from customers, on how you will support disabled access to your offices, or your approach to equality and diversity. All of these could benefit from internal and external expertise.

The advantages of doing this are very real:

  • you get perspectives you might now have through of;

  • you build trust and confidence among your stakeholders;

  • the work of socialising your policy starts here.

Establishing a Policy Development Team

Once you have the input and information you need, crafting effective policies demands a collaborative effort within your organisation. Assembling a diverse team encompassing subject matter experts, communication specialists, and representatives from affected departments ensures a holistic and well-rounded approach. If need be you can also get input from legal representatives.

Getting Policy Approval

Larger organisations will have governance structures in place to review and approve policies. We have seen, from time to time, dedicated policy approval committees but we don’t like this approach. This is because such committees do not have the subject matter expertise or experience of, for example, a finance committee approving financial policies. Instead the policy author or owner should present the policy to people with a good understanding of the topic the policy covers.

For smaller organisations the owner, founder or director can approve policies. Overall so long as the policy approval process is appropriate, clear and is consistently followed there shouldn’t be any major problems.

Socialising New Policies

Policy making doesn’t end once the policy is approved. Naturally people expect policies to be understood and followed. This can only happen if people know about the policies, can access them, and understand them.

Policies must be available to anyone who needs to use and follow them. That means there needs to be a central library of policies that are freely and easily available.

Also, when new policies are published there should be some form of communication to people to let them know. Some places require people to sign a policy document or register to say they have read the policy. This isn’t necessary. However, being able to show policies were published and communicated is important.

If you are a public authority subject to the Freedom of Information Act you should include your policies in your publication scheme.

  • you can find out more about a statutory publication scheme here.

Policy Review

Policies are not eternal. IT will be necessary to review and update your policies from time to time. Policies should have a multi-year life span, with supporting documents like SOPs kept live. Nevertheless reviews should be scheduled to ensure policies remain current and appropriate.

Policies will also need to be reviewed when:

  • other linked policies are updated.

  • when the legal or regulatory environment changes

  • when unforeseen events occur that impact on the application of the policy

Policy Content

We’ve discussed how you go about developing and approving a policy, and who should be involved in policy development. But, we haven’t talked about what goes into the policy itself, or how you decide on that.

General Content

Any policy must be able to tell the reader:

  • who the author or owner of the policy is, and ideally the accountable executive director

  • when it is due for review

  • the overall organisational objectives or expectations in the relevant policy area

  • who to go to for advice and support

  • what to do if things go wrong

  • the consequences of failing to follow the policy

Legal and Regulatory Framework

Policies must align with existing laws and regulations pertinent to the organisation’s industry and jurisdiction. For example any organisation that processes personal data in the UK must abide by the Data Protection Act, and any data protection policies will need to reflect that.

Clear Policy Objectives

Central to policy development is setting clear and concise objectives. These objectives serve as the guiding principles for the policy, directing its scope and intended outcomes.

Scope and Applicability

Precisely defining the scope of the policy ensures that it addresses the intended issues without unnecessary constraints. Specifying the policy’s applicability clarifies who and what falls under its purview.

Roles and Responsibilities

Effective policies delineate the roles and responsibilities of individuals and departments involved in the policy’s implementation. This clarity fosters accountability and minimises ambiguity.

Sometimes specific people will have roles in the delivery of the policy. For example an organisation’s Data Protection Officer will have a key role in data protection, which will be discussed in the data protection policy. Anyone who the policy applies to will need guidance on who to turn to if they need advice or support, or they suspect something has gone wrong.

Accountability

It is important that people follow applicable policies. Therefore there should be consequences for failing to follow a policy. Exactly what they are will depend on the nature of the policy and the seriousness of the breach. However, it is important policies are enforced. Organisations are accountable for consistent policy compliance.

Visualising the Policy Development Process: A Guide for Policymakers

This infographic rehearses the key steps in policy development outlined above.

A step by step guide to policy development

Conclusion: Key Takeaways from Policy Development

Policies are an essential part of every organisation’s governance activities. Having robust and effective policies enables the delivery of strategy, and tells everyone what the organisation expects of them. By following the right policy making approach every organisation can build a comprehensive suite of policies that enable organisational success.