Policy for the Development, Ratification, Implementation, Monitoring and Review of Policy Protocols, Guidance, Procedures and Standards
Contents:
Papers to support the process for policy development
top
Part One - Scope Context and Policy Statement
1.1 Agencies / Units / Services /People covered by the Policy
- Adult Services, Children's Services, Learning Disability, Mental Health Services Strategic and Corporate Services
1.2 National Policy and Legal Context.
- Race Relations Amendment Act.
1.3 Policy Statement
This policy describes the development, use and monitoring of policies, protocols, guidance and standards within the Social Services Directorate. It exists to provide a corporate framework for consistency, reliability and governance of policies, within the Social Services Directorate. This policy was developed by the SSD Policy Network with representatives of all Divisions to cover all Directorate policies.
1.4 Definition of Terms
Policy
A policy directs practice. It may be:
- Corporate
- Single client specific
- Cross-cutting (cross cutting means covering more than one division, or having implications for more than one division [1])
- Multi-agency
Policy is underpinned by Statute, Regulation or Guidance.
Corporate, cross cutting and multi agency policies will be approved by SMG. Single client specific policies will be approved by the appropriate Assistant or Deputy Director and their Management Team.
Protocol
A protocol defines roles and responsibilities between partners and stakeholders. There will be named individuals or professional groups identified within the protocol. Protocols require ratification by the Strategic Management Group or a nominated Multi-Agency Management Group.
Practice Guidance and Guidelines
A guideline/Guidance defines best practice and guides conduct. It is advisory, based on best-published evidence. If professional judgement dictates action outside of the guidelines/guidance, the rationale(s) for deviation must be well documented. Guidelines/guidance may be locally developed and must be ratified by the relevant Assistant Director for a single client division. Approval for guidelines/guidance which involve either cross-cutting and/or multi-agency practice must be agreed by the Strategic Management Group or a nominated Multi-Agency Management Group.
Procedure
A procedure defines the process to follow, often as a step by step guide. It may be county-wide or local, may stand alone or be part of a policy or protocol. If the procedure is county-wide, it will be ratified as part of the wider policy, protocol or guideline (see above). If local, ratification will need to be by the appropriate Locality Management Board.
Standard
A standard is an agreed minimum below which practise must not fall. A performance indicator is a way of measuring whether a standard is achieved. A target is a measurable for achievement. It must be based on sound evidence. It may be national or county wide. National and county wide standards will form part of a policy. County wide standards will be ratified by the Strategic Management Group or an appointed Multi-Agency Management Group.
top
Part Two - Protocols, Guidance and guidelines
2.1 Practice, procedural and administrative requirements
2.1.1 Process for Development
The need for policy development can be identified from a number of sources:
- National Audit Reports
- National Inquiries
- Acts of Parliament, Regulations and Guidance
- Local requirements for example from reviews, Member directions
- Adverse event reviews/critical incident analysis.
Policies and guidelines should draw upon published evidence, NICE (National Institute for Clinical Excellence) guidance, NSFs (National Service Frameworks), and other descriptions of best practice.
The following process for the development of policies has been discussed and agreed:
- The Policy Network ensures that all work is registered and notified to all Divisions, to avoid re-invention, duplication, inconsistencies and contradiction in policies. This will ordinarily be as a Policy Proposal Paper
- Where new policies are to be developed and they are cross cutting or corporate in nature the following procedure will be followed. Where policies are to be updated, adapted, or where National Guidance is prescriptive, the process may be adapted and shortened.
- At the outset agreement must be reached on whether this is a cross-cutting policy. The Head of Strategic Planning and Policy will advise the Assistant Directors on this matter.
- A Policy Development Group will be set up to look at and develop individual policies.
- Wherever possible and appropriate the policy project development group will draw upon and be informed by policy development which has taken place in originating organisations.
- The involvement of service users and carers is regarded as essential alongside other stakeholders and there must be good reason for any departure from this principle.
- Evidence of appropriate levels and methods of consultation and of its outcome should be presented for ratification alongside the draft policy.
- The Policy Network must quality-assure the process of policy development and ensure that any proposed policy has been scrutinised for discriminatory practice in order to comply with Equalities Legislation and the Race Relations Amendment Act 2000. (ref.)
2.1.2 Ratification
- Cross-cutting policies and strategies, for example risk policy, require Strategic and Corporate Services Management Group approval and then SMG Ratification.
- Policy which is client service specific will be ratified by the relevant Assistant Director.
- Protocols will be ratified by the Strategic Management Group or a nominated Multi-Agency Management Group.
- Guidance/guidelines for a client specific service will be ratified by the relevant Assistant Director.
- Guidance/Guidelines which involve cross-cutting and multi-agency practice will be ratified by the Strategic Management Group or a nominated Mutli-Agency Group.
- Procedures which are county wide will follow the Protocol process of ratification.
- Procedures which are local will be ratified by the Locality Management Board.
Policies should be presented using the format of the 'Policy Protocols, Guidance, and Procedures Document Template'.
2.1.3 Dissemination
- Copy to be sent to Web Publishing Team for publication on the Devon County Council Social Services Internet website.
- Notification of new policies, protocols, guidance etc. being published on the Social Services Intranet to be sent to all relevant staff
- Copies of relevant policies to be distributed to relevant staff groups.
- Staff can be asked to sign for their receipt of copies; line managers may store these signed receipts on personal files.
- A master list to be held at headquarters by SACS/System Support of all ratified policies
- A copy of all ratified policies to be held with the master list.
- Policies to be kept in each client division policy file.
Following ratification a nominated officer is responsible for overseeing the dissemination of copies including instructions on where the document is to be stored and the removal, destruction or archiving of existing documents.
2.1.4 Implementation
An implementation plan must be attached when policies are submitted for ratification. This should improve consideration of need for:
- How objectives will be achieved
- Learning and Development Proposal (see L&D Team for Proposal requirements)
- Learning and Development Plan
- Inter-agency elements of the process
- Resource allocation
- Use of documentation
- Frequently Asked Questions
- Monitoring of implementation and on going monitoring
- Identify indicators, targets and methods of capturing performance information.
- Performance Standards, indicators and targets
top
Part Three - Implementation Plan for this Policy
3.1 Lead responsibilities
- Lead Policy Manager – Paul Grimsey - Strategic Planning and Policy Team
3.2 Learning and Development
- To be integrated into Management Development Modules
top
Part Four – Monitoring and Review
4.1 Responsibility for Policy Review
- Paul Grimsey – Policy Projects Manager
top
Part Five - References
(27KB - pdf help)
Back to top