Strategic Planning: Policy Formulation by MRS

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Strategic Planning: Policy Formulation by MRS

  1. 1. MARIBETH R. SUMAJIT ARLOYD P. CARRERA Reporters/Discussants PROF. JOSEFINA B. BITONIO, D.P.A STRATEGIC PLANNING (DM 214)
  2. 2. TOPIC OUTLINE:  Understanding the meaning of policy and policy formulation  Importance of policy formulation  Characteristics of a good policy  Policy making process  Steps in making a making a policy  How to write an effective policy  Sample policy format of PANELCO III
  3. 3. LEARNING • OBJECTIVE TO UNDERSTAND THE IMPORTANCE OF POLICY FORMULATION • TO FORMULATE EFFECTIVE POLICIES FOR IMPLEMENTATION
  4. 4. WHAT IS ?
  5. 5. A POLICY . . .  IS A PRINCIPLE OR RULE TO GUIDE DECISIONS AND ACHIEVE RATIONAL OUTCOMES  IS A STATEMENT OF INTENT, AND IS IMPLEMENTED AS A PROCEDURE OR PROTOCOL (WIKIPEDIA)
  6. 6. A POLICY . . .  IS A STATEMENT THAT PROVIDES A GUIDE FOR DECISION MAKING BY MEMBERS OF THE ORGANIZATION CHARGED WITH THE RESPONSIBILITY OF OPERATING THE ORGANIZATION AS A SYSTEM WITH THE PURPOSE OF ATTAINING THE ESTABLISHED OBJECTIVES OF THE AN ORGANIZATION.
  7. 7. A POLICY . . .  A PRINCIPLE OR RULE TO GUIDE DECISIONS AND ACHIEVE RATIONAL OUTCOME  IT CONTAIN THE “WHAT” AND THE “WHY” (NEEDS TO BE DONE)
  8. 8. WHAT IS POLICY FORMULATION?
  9. 9. POLICY FORMULATION . . .  A PROCESS TYPICALLY INCLUDES AN ATTEMPT TO ASSESS AS MANY AREAS OF POTENTIAL POLICY IMPACT AS POSSIBLE IN ORDER TO LESSEN THE CHANCES THAT A GIVEN POLICY WILL HAVE UNEXPECTED OR UNINTENDED CONSEQUENCES
  10. 10. POLICY FORMULATION . . .  INVOLVES THE CRAFTING OF ALTERNATIVES OR OPTIONS FOR DEALING WITH A PROBLEM  MAY ALSO REFER TO THE PROCESS OF MAKING IMPORTANT ORGANIZATIONAL DECISIONS
  11. 11. POLICY FORMULATION . . .  IS THE DEVELOPMENT OF AND ACCEPTABLE EFFECTIVE COURSES OF ACTION FOR ADDRESSING WHAT HAS BEEN PLACED ON THE POLICY AGENDA
  12. 12. TWO PARTS TO THE DEFINITION 1. 2. EFFECTIVE FORMULATION means that the policy proposed is regarded as a valid, efficient, and implementable solution to the issue at hand ACCEPTABLE FORMULATION means that the proposed course of action is likely to be authorized by the legitimate decision makers, usually through majority-building in a bargaining process
  13. 13. DEFINING POLICY FORMULATION TOPICS TWO ASPECTS: REMARKS TECHNICAL and POLITICAL the literature typically features either one or the other, rarely both simultaneously DEFINE POLICY FORMULATION Define as both effective + acceptable THE POLICY FORMULATION The formula is essential: Analysis + Authorization = FORMULATION THUS TWO ROLES: ANALYST and POLICY MAKER, but the latter has the responsibility
  14. 14. IMPORTAN CE OF A POLICY CONTROL COORDINATION COMPLIANCE COMMUNICATION CONTINUITY
  15. 15. WHY THE NEED FOR POLICIES AND PROCEDURES IN A WORKPLACE PURPOSE is to . . .  Ensure a safe, organized, convivial (warm, friendly, hospitable), empowering, nondiscriminatory work place What if there’s NO POLICY formulated?  Employees would feel as if they reside in a free-for-allenvironment of favoritism and unfair treatment
  16. 16. A POLICY IS NECESSARY . . . THE ACTIONS OF EMPLOYEES INDICATE CONFUSION ABOUT THE MOST APPROPRIATE WAY TO BEHAVE GUIDANCE IS NEEDED ABOUT THE MOST SUITABLE WAY TO HANDLE VARIOUS SITUATIONS WHEN NEEDED TO PROTECT THE COMPANY LEGALLY
  17. 17. A POLICY IS NECESSARY . . . TO COMPLY WITH GOVERNMENTAL POLICIES AND LAWS TO ESTABLISH CONSISTENT WORK STANDARDS, RULES AND REGULATIONS TO PROVIDE CONSISTENT AND FAIR TREATMENT FOR EMPLOYEES
  18. 18. FUNCTIONS OF POLICY CONSISTENCY  PROVIDES AS PLANNING DOCUMENT OR FRAMEWORK IN WHICH ACTIONS ARE TO BE EXECUTED  SERVES AS A TOOL FOR QUALITY IMPROVEMENT WITHIN THE ORGANIZATION
  19. 19. FUNCTIONS OF POLICY PREDICTABLE BEHAVIOR  POLICIES PROVIDE AN IMPORTANT METHOD OF LETTING PERSONNEL KNOW WHAT IS EXPECTED OF THEM, THEREBY INCREASING THE PREDICTABILITY OF DESIRED BEHAVIOR
  20. 20. FUNCTIONS OF POLICY DELEGATION  POLICIES PROMOTE DELEGATION MAKING TO THE LEVEL IN THE MANAGEMENT HIERARCHY THAT MUST FACE THE PROBLEM WHEN IT ARISES
  21. 21. FUNCTIONS OF POLICY COMMUNICATION  POLICIES REDUCE COMMUNICATION RELATING TO ROUTINE DECISIONS
  22. 22. FUNCTIONS OF POLICY COORDINATION  POLICIES ENCOURAGE COORDINATION AND INTEGRATION OF ACTIONS AND PLANS WITHIN AND ACROSS FUNCTIONAL AREAS AND DEPARTMENTS
  23. 23. CHARACTERISTICS OF A GOOD POLICY CLEAR AND SIMPLE ASSUMPTIONS ARE CLEAR AND EXPLICIT THERE IS LINKAGE TO ORGANIZATIONAL DIRECTION
  24. 24. CHARACTERISTICS OF A GOOD POLICY BOTH EFFICIENT AND EFFECTIVE DUE PROCESS HAS BEEN OBSERVED CLEARLY INDICATES THE CONDITION TO WHOM AND TO WHAT EXTENT IT APPLIES
  25. 25. CHARACTERISTICS OF A GOOD POLICY THERE IS A CAPACITY TO EVALUATE OUTCOMES OUTCOMES ARE STATED IN MEASURABLE TERMS THE POLICY OUTCOMES ARE CLEARLY STATED
  26. 26. CHARACTERISTICS OF A GOOD POLICY GENERALLY LONG-TERM COMMITMENTS ESTABLISHED BY THE BOARD IT HAS BEEN APPROPRIATELY FUNDED AND SUPPORTED BY RESOURCES THERE IS CLEAR ACCOUNTABILITY
  27. 27. CHARACTERISTICS OF A GOOD POLICY IT FOLLOWS ALL APPROPRIATE LAWS IT DOES NOT CONFLICT WITH OTHER COOPERATIVE POLICIES IT IS ENFORCEABLE
  28. 28. CHARACTERISTICS OF A GOOD POLICY IT IS HISTORICALLY INFORMED IDEAS HAVE BEEN TESTED PRIOR TO IMPLEMENTATION
  29. 29. CHARACTERISTICS OF A GOOD POLICY STAKEHOLDERS HAVE BEEN INCLUDED IN THE DEVELOPMENT CONFORMS TO COOPERATIVE VALUES, PRINCIPLES, VISION, MISSION, CURRENT STRATEGIES, GOALS, OBJECTIVES
  30. 30. POLICIES, RULES & PROCEDURES
  31. 31. POLICY VS PROCEDURES POLICIES Boardapproved  Boardmonitored  PROCEDURES • Management• developed Managementmonitored POLICIES lay out what the Board wants the Management do (will contain the “what” and the “why”) PROCEDURES lay out what the Board wants the Management to do (will contain the “what”, the “how”, the “where” and the “when”)
  32. 32. STEPS IN POLICY FORMULATION 1. IDENTIFY 7. 2. FORMULATE REVIEW / EVALUATE 6. CONTROL POLICY MAKING PROCESS 5. DISTRIBUTE 3. ADOPT 4. IMPLEMENT
  33. 33. STEP 1 IDENTIFY POLICY MAKING PROCESS
  34. 34. STEP 2 POLICY MAKING PROCESS FORMULATE
  35. 35. STEP 3 ADOPT POLICY MAKING PROCESS
  36. 36. STEP 4 IMPLEMENT POLICY MAKING PROCESS
  37. 37. STEP 5 DISTRIBUTE POLICY MAKING PROCESS
  38. 38. STEP 6 CONTROL POLICY MAKING PROCESS
  39. 39. STEP 7 EVALUATE POLICY MAKING PROCESS
  40. 40. HOW TO WRITE EFFECTIVE
  41. 41. WRITING GOOD POLICIES Policies should be written in clear, concise and simple language  Not too technical – simple enough for members, leaders, staff to understand Don’t include information that may quickly be outdated (e.g. names, contact numbers)
  42. 42. WRITING GOOD POLICIES Keep the structure simple - gender neutral language - short sentences (max 15 words) - short paragraphs - don’t use acronym – spell it the first time
  43. 43. WRITING GOOD POLICIES  Be specific – mean what you say and say what you mean. - if action is mandatory, use “must” or “will” - if recommendatory, use “should” - if permissive, use “may” - avoid “shall” – confuses between mandatory or recommended
  44. 44. WRITING GOOD POLICIES  Keep it general - a policy cannot be written that will take precise account of all possible situations. Its provisions need to be general enough and clear enough to be applied to unanticipated circumstances.
  45. 45. POLICY FORMAT
  46. 46. POLICIES ARE . . . SET OF RULES AND GUIDELINES THAT WILL GUIDE THE MANAGEMENT IN IMPLEMENTING COOPERATIVE’S VISION, MISSION AND GOALS PLANS AND PROGRAMS
  47. 47. thoroughly discussed in the board meeting  always consistent with the vision, mission and goals of the cooperative  always accordance with the existing laws and regulations  reviewed and that changes or updates must be properly discussed and documented  implemented and regularly monitored 
  48. 48. POLICY CONTENTS 1. SUBJECT OR TITLE  It contains the Policy Title and the Number of the Policy  e.g. Policy No. 31-s-08-2013, A
  49. 49. 2. OBJECTIVE / PURPOSE OF THE POLICY  A concise statement of the rationale for the policy, including if appropriate, reference to bylaws, external regulations, etc. Outlines what the desired effect or outcome of the policy should be. e.g.  PANECO III values its employees and recognizes their needs for a safety and healthy work environment. Being one of the entities that created Occupational Safety and Health Committee became increasingly sensitive to health and safety practices at the workplace that protects its workforce.  To protect all individuals from exposure to secondhand smoke. 
  50. 50. SCOPE / CONTENTS Describes who the policy affects  Or which actions are impacted by the policy  may expressly exclude certain people, units, or actions from the policy requirements e.g. In Policy No. 31-s-08-2013, A III. CONTENTS A. Definition of Terms B. Implementing Guidelines and Procedures C. Penalty for Violation IV. SEPARABILITY CLAUSE V. RESPONSIBILITY VI. EFFECTIVITY 
  51. 51. Source: Bitonio (2012)
  52. 52. SUMMARY OF PANELCO III BOARD POLICIES YEAR NUMBER OF APPROVED RESOLUTIONS 2012 82 28 35 Total 145 2013 20 25 52 61 Total 158 (as of Sept. 2013) NUMBER OF APPROVED BOARD POLICIES (I, A) (F) (T) 25 (9 amended) (F) (I) (T, F) (A) 26 (5 amended)
  53. 53. IN SUMMARY . . . WE HAVE JUST LEARNED . . .  THE IMPORTANCE OF POLICY AND POLICY FORMULATION IN OUR ORGANIZATION  CHARACTERISTICS OF A GOOD POLICY  THE POLICY MAKING PROCESS STEPS ON HOW TO WRITE AN EFFECTIVE POLICY
  54. 54. A policy is a temporary creed liable to be changed, but while it holds good it has got to be pursued with apostolic zeal. Mahatma Gandhi
  55. 55. THANK YOU FOR LISTENING . . .
  56. 56. REFERENCES: - LEADERSHIP & POLICY FORMULATION :CDA DEVELOPMENT COURSE 2012) - THE AUSTRALIAN POLICY HANDBOOK BY PETER BRIDGMAN AND GLYN DAVIS - WIKIPEDIA - BITONIO (2012) POLICY FORMULATION. - NATCCO (2012 )POLICY DEVELOPMENT COURSE

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