Policy Cycle Tips Stage 7 - Evaluation and Review

Policy Cycle Tips Stage 7 - Evaluation and Review

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INTRODUCTION

Policy Cycle:            

Stage 1:  Approval to Proceed
Stage 2:  Drafting / Writing
Stage 3:  Consultation
Stage 4:  Document Approval
Stage 5:  Publication
Stage 6:  Implementation and Communication
Stage 7:  Evaluation and Review

The Log of issues established during Stage 6 - Implementation and Communication can be used to inform evaluation and review.

EVALUATION

The Implementation Officer will:

  • Evaluate how effective the policy has been in terms of:
    • the original reasons the document was introduced (refer to the reasons provided at Stage 1 in the Approval to Proceed Checklist)
    • a control to mitigate against risk/s (refer to the risks identified at Stage 1 in the Approval to Proceed checklist).
    • deviations between the policy and actual practice; “take-up” rates; ease of application (refer also to the outcomes that were identified as being required in the Implementation and Communication Plan).
  • review the document to address concerns
  • report to the relevant Approval Authority on recommended changes.

REVIEW

The Policy Framework requires that:

  • policy documents undergo at least a regular three year review, and
  • amendments to existing policy documents are subject to the same quality assurance process as for new policy documents.

Initiate Review

Review of a policy document can be initiated by:

  • an Implementation Officer
  • a staff member through the Implementation Officer
  • an Approval Authority
  • an MQ Compliance Network Lead
  • the Office of General Counsel
  • the Policy Unit.

Timing of Review

A review can happen at any time that circumstances require.  The Implementation Officer will:

  • conduct the review
  • determine whether the implemented policy or procedure:
    • is operating as designed
    • is still needed
    • requires amendment based on changed practice
    • requires amendment to align with changed legislative requirements, or other policy documents, or changed business systems or strategic direction.

Review Methods

The review of a policy document will require at least one of the following actions as appropriate for the type of document being reviewed or the scope of changes likely to be required:

  • desk-top review
  • consultation with stakeholders
  • spot-check
  • sampling of data
  • checklist of questions
  • consultation with the people who perform procedural tasks
  • internal audit
  • external audit. 

Note that when a Policy is reviewed, it is appropriate to review any associated Procedure, Schedule or Supporting Material at the same time.  Note also that a reviewed document will require re-approval by the relevant Approval Authority.

NEXT STEP

If amendments are required, or a policy gap is identified, return to Policy Cycle Tips Stage 1 - Approval to Proceed.

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