Policy-Making Process (HS)This is a featured page

This page contains a first draft of a summary of the evidence, experience and examples of effective policy-making processes for school-based and school-linked health promotion, safety, social development. Visitors to and members of this wiki-based community are invited to post comments using the "thread tool" at the bottom of the page or through the Discussions icon found in the top navigation bar. Visitors and members are also invited to edit the text of this page by using the "Easy Edit" tool found at the top of the page. (All versions of the page are automatically saved, so please feel free to make changes.) As well, visitors and members can still add case studies and other additional documents using the "Add a New Page" feature found in the left hand margin navigation menu.

BACKGROUND INFORMATION AND ACKNOWLEDGMENTS
Handbook Section: Policy-making Procces in School Health Promotion, Safety and Social Development (First Draft prepared December 2009) This draft is open for discussion
Writer/Editor: Doug McCall, Coordinator, International School Health Network
Contributors: Additional Contributors, Writers are welcome. Please contact dmccall@internationalschoolhealth.org
Sponsors and Partners: To be determined
First Draft Posted for Discussion: September 15, 2009 First Edition Completed: December 15, 2009
Further Comments: This summary has been drafted from an unpublished paper prepared for WHO and the International Confederation of Principals
Permissions for Use: The authors, writers, editors, contributors, sponsors, partners and the International School Health Network retain the right to first publish this document or adapted versions thereof in accordance with regular copyright laws. However, web links to this page and excerpts from this document are encouraged. As well, visitors to and participants in this wiki-based community are encouraged to add sub-pages or links to additional case studies or other documents and thereby become a contributor to this document.
Related Resources. See Policies in School Health Promotion, Safety & Social Development; School Nutrition Policies and School, Agency, Ministry Substance Abuse Policies


Policy-Making Processes in School Health Promotion, Safety and Social Development

The following summary describes a cyclical policy-making process. This type of process should be used in school and agency policy-making about health, safety and social development. This document presents a six stage model (which does not necessarily begin at stage one). The six stages are then explained, with strategic questions and suggested activities (ways and means) that can be used to answer the questions also provided.

Policy is Process, More than Product

Policy-making is more about process than product. Too often we focus on the wording of the draft policy. Instead we should see it as an opportunity to create consensus, gather commitments, redefine priorities, and re-focus our efforts and resources.
Policy-making must be cyclical. The first step in developing an effective policy is to understand the cycle (Downey, 1979). The model described here is similar to many others. The key is that policy-making does not end at the adoption stage. Implementation and evaluation are vitally important.

The Policy-Making Cycle

Problem Formulation: A common understanding of the problem is a prerequisite for united effective action within the school district. A well supported understanding of a realistic role for schools in responding to the problem is also necessary.

Policy Agenda: Getting an issue on the policy agenda is achieved in three basic ways; a school trustee or committee of the school board takes interest, a group of teachers, parents, administrators, or community representatives prepare proposals; a status report on the issue is requested or prepared for the school board.

Policy Formulation: Effective policy formulation is characterized by: a broad cross-section of opinion has been involved early in the process. The strengths and weaknesses of current policies, programs, services, and activities have been assessed. Formal mechanisms (surveys and questionnaires) as well as internal means (individual interviews) have been used to gather facts and opinions.

Policy Adoption: The key components of this stage are; positive recognition that a problem exists; formal, accessible, public decision making process; discussion of changes to system (assignments, school responsibilities, budget, training); clearly worded interest

Policy Implementation: The essentials for effective policy implementation include: a description of how curriculum instruction, inservice, administrative practices, services, relations with the community, parents or students and teaching duties will change, a description of goals for cooperation with other relevant agencies in the community so that their services are integrated with the Board Policy, a plan to communicate the policy, in writing, to the media, community, parents, staff and students at the time of adoption and periodically after that a timetable for implementation, including action plans for the school district, relevant departments and individual schools.

Policy Evaluation: The evaluation of policy should include: a stipulated reporting procedure preferably on an annual basis; formative feedback from stakeholders and external groups about the implementation of the policy; summative evaluation of the impact of the policy based on criteria and procedures determined at the time of adoption; annual progress reports from schools.

The Key Stages of Policy-Making

1. Problem Formulation
A common understanding of the problem is a prerequisite for united effective action within the school district. A well supported understanding of a realistic role for schools in responding to the problem is also necessary.

Policy-making CycleKey Questions
1. Do you understand the problem or issue?
2. How has the issue been handled in the past?
3. Where does the issue fit within your mission, goal, priorities and budget?
4. Do you have a choice in the matter?

Ways and Means to Answer these Questions
  • Research, literature reviews
  • Focus groups
  • Needs assessment
  • District/Community inventories
  • Written report to school board
  • Meetings with other agencies
  • Meetings with teachers
  • Meetings with parents
  • Meetings with students
  • Assess legislation, regulations
  • Assess ministry directions
2. Get on the Policy Agenda
Getting an issue on the policy agenda is achieved in three basic ways;
-A school trustee or committee of the school board takes interest.
-A group of teachers, parents, administrators, or community representatives prepare proposals.
-A status report on the issue is requested or prepared for the school board.

Key Questions
1. Is the issue covered by legislation, regulation or collective agreement? (If so, you already have a policy in a de facto sense.)
2. Do you really need a policy? The board may be able to leave the issue to the professional judgment of staff.

Ways and Means to Answer these Questions
  • Seek advice from Community Advisory Committees
  • Discuss issue at the annual or periodic "retreats" of the school board and staff.
  • Raise the issue when reviewing Board Strategic Plan
  • Respond to questions at Board meetings
  • Raise issues during regular reviews of School Board policies
3. Policy Formulation
The National School Boards Association (NSBA, 1965) has defined policy as: "creating a framework within what the superintendent can discharge his/her duties. Policies tell what wanted, why the board wants it and how much of it the board wants." Effective policy formulation is characterized by:
  • A broad cross-section of opinion has been involved early in the process.
  • The strengths and weaknesses of current policies, programs, services, and activities have been assessed.
  • Formal mechanisms (surveys and questionnaires) as well as internal means (individual interviews) have been used to gather facts and opinions.
Key Questions
1. What do we want from the policy?
2. Why are we working on this policy now?

Ways and Means to Answer these Questions
  • include input from all sectors within the district
  • invite input from other agencies
  • do inventories and needs assessments
  • survey staff, students, parents and the community
  • use informal consultations with key individuals
4. Policy Adoption
The key components of this stage are;
  • Positive recognition that a problem exists
  • Formal, accessible, public decision making process
  • Discussion of changes to system (assignments, school responsibilities, budget, training)
  • clearly worded intent
Key Questions
1. Who is supposed to carry out the policy?
2. Is the policy consistent with the Board's mission and goals?
3. Does the policy specify what the Board wants when the Board wants it?
4. Have measurable outcomes or objectives of the policy been identified?
5. Have relevant administrative regulations and procedures been identified?
6. Have potential implementation problems been discussed?
7. Does the policy need to be reviewed by the Board's lawyers?
8. Has a date been set for when the Superintendent will report to the Board on how the policy is being implemented?
9. Has the Board decided what information it wants included in that report?

Ways and Means to Answer these Questions
  • consult stakeholders
  • format public notice
  • public hearings
  • review legislation
  • management plans
5. Policy Implementation
The essentials for effective policy implementation include a description of how curriculum instruction, inservice, administrative practices, services, relations with the community, parents or students and teaching duties will change, a description of goals for cooperation with other relevant agencies in the community so that their services are integrated with the Board Policy, a plan to communicate the policy, in writing, to the media, community, parents, staff and students at the time of adoption and periodically after that a timetable for implementation, including action plans for the school district, relevant departments and individual schools.

Key Questions
1. How will materials (curricula, programs, resources or structures) be changed?
2. How will practices, behaviour, skills or procedures change?
3. How will our beliefs, attitudes and understandings change?

Ways and Means to Answer these Questions
  • maintain system orientation,
  • address content and process simultaneously,
  • use informal networks,
  • change jobs descriptions, collective agreements, regulations, procedures, provide inducements,
  • build capacity
6. Policy Evaluation
The Canadian Association of School Administrators CASA (1992) recommends that the evaluation of policy should include:
a stipulated reporting procedure preferably on an annual basis
formative feedback from stakeholders and external groups about the implementation of the policy
summative evaluation of the impact of the policy based on criteria and procedures determined at the time of adoption
annual progress reports from schools

Key Questions
1. Was the vision underlying the policy communicated effectively?
2. Was implementation coordinated effectively?
3. Was adequate assistance provided?
4. Was there sufficient monitoring, latitude or pressure?
5. Was there appropriate and adequate teacher effort?
6. Did the Superintendent actually make the reports?
7. Did those reports include information on measurable outcomes?
8. Was the policy adjusted as required?
9. Were regulations or procedures adjusted as required?

Ways and Means to Answer these Questions
  • survey and questionnaires
  • analysis of reports
  • case studies
  • school, department reports
  • monitor student achievement
  • monitor system changes
  • monitor community change



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