Strategies and Policies - Guidance and Templates

(Final Version)

Overview

The following guidance documents along with the attached templates should be used by anybody who needs to write either a new or revised Strategy or Policy.

Completion of either of these documents should be in conjunction with the completion of both a Route Card and a Positive Difference Analysis Form (PDA), so ensuring a consistent strategic approach across the Group. Furthermore, the process provides evidence that internal and external consultation along with robust analysis have taken place. Glossary Action Plan – The SMART (Specific, Measurable, Attainable, Realistic and Timed) action plan relates to the strategy’s long-term goals. The action plan should incorporate no more than six major key drivers or objectives – see example below and template attached

THG EQUALITY AND DIVERSITY

STRATEGIC ACTION PLAN 2014/15

(TEMPLATE) Strategic Objective 1: State your first strategic objective here To develop and support a framework across the THG which delivers a fair outcome to all tenants

Ref Action required Responsibility Target

date Progress & status complete

Success criteria

1.1 East and West E & D Working Groups to review THG Equality Impact Analysis Toolkit and relevant forms before re-launch

Group E & D Co-ordinator

June 2014

Completed Feb 2014

Positive Difference Analysis Form ( PDA) now in use

1.2 Newly appointed managers and co-ordinators to receive EIA training

Group E & D Co-ordinator

April 2014

Roll out of EIA (PDA) training has commenced – to be completed July 2014

PDAs now being by staff who attended

1.3

1.4

1.5

1.6

1.7

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Policies - These are individual statements of intention providing internal management with an agreed formal approach or guide to a specific subject or service area, and should underpin the organisation’s strategic goals. It should be remembered that policies should not :

Detail processes, events or timescales as these can frequently change;

Contain documented procedures which need to stand separate;

Incorporate statements of fact without reference to the supporting evidence e.g. appropriate legislation;

Be lengthy but brief to the point

Be submitted to the Governance Team without a completed Route Card and a PDA, so providing an audit trail that consultation has taken place. Positive Difference Analysis Form – This is the equality impact analysis form used to identify the positive and negative impacts for the protected characteristic groups, namely: Age; Disability; Gender Re-assignment; Marriage & Civil Partnership; Pregnancy & Maternity; Race; Religion & Belief; Sex and Sexual Orientation, when considering the strategy or policy. The form incorporates an assessment as to the potential risk of discrimination before deciding actions to reduce the risk. The Positive Difference Analysis Tool Kit is available on Owlbert. Route Card – Completion of this document along with the Route Card Consultation Feedback Sheet will ensure that:

there is a record for audit purposes that consultation about the strategy or policy has taken place, who with and the comments made before submission to Board;

feedback received following consultation has been recorded before making any relevant changes to the draft strategy or policy;

a PDA has been completed prior to submission to Board and any actions noted on the Positive Difference Analysis Improvement Action Plan;

the author and the Governance Officer (Policy) are both able to track the progress of the strategy or policy in respect of the Board submission dates for approval.

Strategies - The overall purpose of any strategy is to guide and direct the organisation from its current position to an agreed (better!) point in the future. Essentially, it is a plan of action incorporating longer-term goals and objectives resulting from identifying:

What business the organisation is working in;

The external constraints and opportunities where all the facts may not be known;

The allocation and deployment of the organisation’s physical and human resources to address the previously identified external constraints, whilst competing in business, and consulting a representative group of customers who access or use the service for their views; and should be involved throughout the process.

It is paramount that strategies and their associated action plans should be clear, concise, accurate, understandable and SMART whilst ensuring that the resources used are managed effectively and efficiently. Where appropriate, Key Performance Indicators (KPIs) may be used to monitor progress in key areas. Strategies should

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only be approved at Board level (unless agreed otherwise by Leadership). It should also be remembered that there may be times when a strategy may exist without a policy

All approvals shall be managed by the Governance Officer lead on strategies and policies to ensure only formally approved documents are made available to staff and stakeholders.

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ROUTE CARD (TEMPLATE) Title: - Applies to: - GROUP/CHA/HP/GVH/PH2K/TVH Author: - (Leadership or SMT Lead) STAGE 1 Dates of Staff consultation (from/to): - Significant changes as a result: - (What changes have been made as a result of this consultation? State relevant

sections and reasons where possible) STAGE 2 Positive Difference Analysis needed? YES / NO (If not, state why):- Date completed: - Issues/Actions: - (State what was found or needed to address this) STAGE 3 Dates of customer consultation (from/to): - Groups consulted with: - Completed Route Card Consultation Feedback Reporting Sheet attached: Yes/No Significant changes as a result: - ( What changes have been made as a result of this consultation? State relevant

sections and reasons where possible) STAGE 4 Date of any wider (e.g. SMT/EMT or other stakeholder) consultation: - Significant changes as a result: - (As above) STAGE 5

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SMT Lead agrees approval level needed Group Board/Partner Board/Leadership/SMT (Forward Strategy/Policy to Governance Officer (Policy Lead) to manage approvals) STAGE 6 Date of Approval: - (Note - All approvals must be minuted) Issue Date: - (Date when policy/strategy notified to relevant staff and added to the

Intranet) Review date: - (Date when document must be reviewed by the author)

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ROUTE CARD CONSULTATION FEEDBACK REPORTING SHEET

Date Feedback

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Positive Difference Analysis’

Positive difference analysis of policy/service/function to be assessed: …………………………………………………………………………………………. Reason for PDA:………………………………………………………………….. Date analysis commenced: ………… Date analysis completed: ………… Name of manager responsible for completion:………………………………. Name of SMT Lead: ………………………………………………………………. Has a PDA been completed previously Yes/No. If yes, when? ...................

Members of the assessment team

Name Organisation Role

Summary of actions arising from assessment

Actions Responsibility Timescale

a) What is the overarching aim of the policy, service or function being analysed?

b) Whose needs is the policy/service/function designed to meet?

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c) Explain why you think the strategy/service/function could have a positive impact for the groups listed below? Please support with customer profile, ONS and other survey data.

Age Disability Gender Gender reassignment

Race

Pregnancy & maternity

Marriage & civil

partnership

Religion & belief

Sexual orientation

d) Explain why you think the strategy/service/function could have a negative impact for the groups listed below? Please support with customer profile, ONS and other survey data

Age Disability Gender Gender reassignment

Race

Pregnancy & maternity

Marriage & civil partnership

Religion & belief

Sexual orientation

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e) What is the potential risk of discrimination if the negatives identified are not addressed?

Negatives Identified Company’s. Risk Level (1=low 4=high)

Probability Factor (1=low 4=high)

Risk Assessment (RLxPF)

f) What new actions do we need to adopt to address the negative impacts?

Short Term Actions < 12 months Responsibility Timescale

Long Term Actions > 12 months Responsibility Timescale

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g) What will be the risk of discrimination once the actions listed above are in place?

Negatives Identified Company’s Risk Level

(1=low 4=high)

Probability Factor

(1=low 4=high)

Risk Assessment (RLxPF) List action(s) which reduce

score

h) If this policy, service or function involves the procurement of services, goods or facilities from an external supplier describe whether the supplier has adopted and implemented an E & D policy.

i) Having reviewed the previously completed THG Communications PDA are there any additional communication issues affecting this policy, service or function?

j) Please name and date the sources of data and consultation listed below you have referred to? Previously completed EIA/PDA Yes/No Customer profile analysis Yes/No ONS Census 2011 data Yes/No Complaints analysis data Yes/No Survey data Yes/No Resident Involvement feedback Yes/No Scrutiny Group feedback Yes/No

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E & D Group feedback Yes/No Consultation with staff teams Yes/No Service reviews Yes/No Other Yes/No

k) With regard the outcomes are there any resource implications for the service and how will these be addressed?

l) Complete where applicable

Date signed off by SMT Manager

Date agreed by E & D Group

Date copy forwarded to Governance Manager (where applicable)

Date PD Summary is published on internet/intranet

Proposed review date – 3 years or earlier if required

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DRAFT – version #

1.0 Aim 1.1 This should set out the purpose (or vision) of what the document is going to

cover. 1.2 Reference should be made here as to the Together Housing Group’s (THG)

shared Vision – “Making a Better Future Together,” and that actions arising from this strategy will meet the respective Corporate Objectives. (List the appropriate objectives from the following list):

Place customers at the heart of what we do.

Improve our customer services and access to those services.

Provide and develop a range of excellent quality homes.

Invest in our communities to improve their sustainability.

Create an economic, efficient and cost effective value for money business. 1.3 Make reference here to any current relevant THG policy. 1.4 Refer to any legislative requirements influenced by the PESTLE analysis referred to in paragraph 3.0. 2.0 Background

2.1 State the reasons behind the formulation of this strategy. (This could be a three year review of an existing strategy; it could be THG’s response to legislative changes; it could arise from risk mapping or business planning, or a Board/Committee request.)

2.2 Where this is a review of an existing strategy provide a brief overview of what

outcomes have been achieved since the strategy was previously implemented. 3.0 External Influences 3.1 (Prior to writing this strategy a PESTLE analysis should have been completed.

This is a review of the relevant political, economical, social, technical, legal and environmental factors at both national and local levels which could provide opportunities and threats for the strategy being introduced.) Give an overview of the identified factors here.

(Strategy title)

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3.2 Mention where appropriate how competitors, suppliers, customers, potential

entrants or alternative services could affect the outcome of this strategy. Competitors – describe how other housing organisations and service providers

are performing in the same area of business as the strategy refers to and whether they provide value for money.

Suppliers - refer to the range of choice and ability to use alternative suppliers.

Customers – discuss how the segments of the targeted customer base access and use the service the strategy refers to. This can be at national and local levels. Potential entrants – discuss how easy it is for organisations from other sectors (both nationally and internationally) to enter the market the strategy refers to. For instance, private builders may decide to manage social housing. Alternatives – consider whether our customers can gain similar services or products from a different sector and whether they provide value for money.

3.3 Discuss how the outcomes from paragraphs 3.1 and 3.2 may provide

opportunities and threats for THG. (This can be completed as part of a separate SWOT exercise).

4.0 Internal Influences Discuss in this section THG’s strengths and weaknesses relating to resources

to address the opportunities and threats for the strategy. 4.1 State the financial costs including: set up costs; running costs and the cost

difference between existing and proposed processes. Explain how the monies will be recouped i.e. through rent increases or as efficiency savings etc.

4.2 Discuss how value for money will be achieved referring to the annual value for

money self assessment, and whether there may be non cashable savings/benefits to the Group as a result of the proposals.

4.3 Mention what relevant social value the business provides. 4.4 Discuss the human resources involved in the area covered by the strategy and

their training achievements and needs . 4.5 Mention whether the current technological resources are sufficient and

appropriate to implement the strategy. 4.6 Highlight the relevant business accolades THG has achieved.

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5.0 Interdependencies

5.1 During this strategy’s development process certain aspects of service delivery may be identified as either dependant on or heavily influenced by the following

THG policies and/or strategies:

(These interdependencies and relevant policies and strategies should be referred to here.)

Ditto

5.2 The action plan attached with this strategy will take account of those relationships and activities to ensure that the strategic outcomes across the organisation are achieved.

6.0 Equality & Diversity 6.1 When implementing this strategy the Together Housing Group will ensure that

the organisation complies with the Equality Act (2010).

6.2 Through implementation of this strategy, Together Housing Group does not discriminate on the grounds of any protected characteristic, namely: age; disability; gender; gender reassignment, marriage and civil partnership; maternity; race and ethnicity; religion or belief; and sexual orientation.

7.0 Strategic Plan 7.1 This strategic plan will focus around X (state the number which should be no

more than six)) key strategic objectives which have been developed to ensure that the internal and external influences (ie threats and weaknesses) posed for THG are successfully managed within the timescales identified. This along with the Action Plan referred to below will ensure successful implementation.

7.2 The key strategic objectives for the Together Housing Group are as follows:

i) (Key strategic objective here)

ii) (Key strategic objective here) iii) (Key strategic objective here)

iv) (Key strategic objective here)

v) (Key strategic objective here) vi) (Key strategic objective here)

8.0 Action Plan 8.1 The Together Housing Group will implement the attached SMART (Specific,

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Measurable, Achievable, Realistic and Timely) Action Plan (Appendix 1) which will focus around the ( X) key strategic objectives named above. (Please refer to the Glossary example of the Action Plan layout).

9.0 Managing Strategic Risk 9.1 In order to ensure that neither the service nor the organisation is exposed to

unnecessary risk, the following areas have been considered as part of the action planning process:

i) ii) iii) iv) v) vi) 9.2 The identified risks have been incorporated within a Risk Map, and the higher risk areas along with their controls have been recorded on the Action Plan.

(Management of these risks will be the responsibility of the author and monitoring groups).

10.0 Monitoring

10.1 The Action Plan will be updated by the author and reviewed by the relevant teams six monthly, with overall performance monitored annually by the authorising body.

11.0 Evaluation 11.1 An annual report referring to the strategy’s performance over the previous 12

months will be submitted to the respective Board to discuss. 12.0 Review 12.1 This strategy (and where appropriate, associated policy and/or procedures) will

be reviewed every three years – or more frequently if required.

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Author and Organisational Leads:-

(Name) (Author) (Name) (SMT Lead)

State approval body and date approved: Group Board/Partner Board/Leadership/SMT

Date: -

Issue No: - 1

Review date: (Month and year)

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FLOW CHART FOR COMPLETION OF A STRATEGY

Identify the strategy to be completed

Aim

State the ‘Vision’ or purpose of the strategy

Refer to ‘Making a better future together’ and the Corporate Objectives

Refer to any relevant THG policy

Refer to any relevant legislation

Background Discuss the reasons for the strategy & where appropriate outcomes since implementation of previous strategy

External Influences ( Opportunities and Threats)

Complete PESTLE Analysis

Discuss the competitive environment ie Competitors, Suppliers, Customers, Potential Entrants and Alternatives

Internal Influences ( Strengths and Weaknesses)

Discuss financial costs and non cashable savings

Discuss human resources and training

Refer to IT which will be used and business accolades achieved

Interdependencies Identify other policies and strategies the strategy may be influenced by

Equality & Diversity Incorporate the standard statements regarding the Equality Act 2010 and the protected characteristic groups

Strategic Plan & Action Plan Identify no more than six key strategic objectives before completing the Action Plan using the template provided

Managing Strategic Risk Identify the risks before incorporating in a Risk Map. Record higher risk adn controls in Action Plan

Monitoring & Review

Author updates Action Plan 6 monthly before reviewed by relevant team

Provide annual updated to Board

Review strategy every 3 years or less if required

End

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DRAFT - Version# 1.0 Aim

This should summarise what the document is going to cover. 1.1 This policy aims to summarise how the Together Housing Group (or named

heritage company) is going to achieve/promote.......... 1.2 Include reference to any strategy or corporate objectives the policy might

support. 2.0 Policy Statement 2.1 The Together Housing Group ( or named heritage company) recognises its

responsibilities to provide........

Policies are individual statements of intention towards particular aspects of the business that will support overall strategies or corporate objectives. They provide a formal focus from senior management and set out the intentions of the organisation towards meeting its strategic goals.

3.0 Scope 3.1 This section should clearly set out whom or what the policy applies to e.g. The

E & D Policy applies to any person or organisation that any member of the THG has contact with as a landlord, employer, contractor, partner or purchaser.

3.4 Policies should NOT include any procedural elements such as a sequence

of actions or events or data that is likely to change frequently. You may make reference to procedures, but this should be limited to acknowledging their existence or for putting points of policy into context.

4.0 Context Refer to the appropriate legislation and any relevant codes of practice. 4.1 This policy has been produced in accordance with........ 5.0 Definitions 5.1 Definitions of terms may be added for clarity 6.0 Associated Documents

POLICY TITLE HERE

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6.1 This should clearly identify any other relevant strategies, policies & procedures. 7.0 Equalities

PLEASE USE THE FOLLOWING STATEMENTS IN ALL POLICIES 7.1 When implementing this policy and relevant procedures the Together Housing Group will ensure that the organisation complies with the Equality Act (2010).

7..2 Through implementation of this policy, the Together Housing Group does not discriminate on the grounds of any protected characteristic, namely: age, disability, gender, gender reassignment, marriage and civil partnership, maternity, race and ethnicity; religion or belief; and sexual orientation.

8.0 Performance Reporting 8.1 Policies should make reference as to what performance measures are in place

and how these will be monitored and reported.

8.2 Once again, avoid detail and set out only those measures which are in place, the frequency of reporting; to whom the reports are sent and that actions may be taken to address poor performance.

Document Control

All policies shall be controlled in the same way. At the foot of each policy, please ensure the following is included.

9.0 Policy Review 9.1 This policy (and where appropriate, the associated strategy and/or procedures)

will be reviewed every three years – or more frequently if required. Author and Organisational Leads:- (Name) (Author) (Name) (SMT Lead)

State approval body and date approved: Group Board/Partner Board/Leadership/SMT Date: - Issue No: - 1 Review date: (Month and year)

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FLOW CHART FOR COMPLETION OF A POLICY

Identify the policy to be completed

Aim

State the ‘Vision’ or purpose of the strategy

Refer to any strategy the policy supports

Discuss any relevant legislative requirements

Policy Statement

Provide a statement of intention

Discuss the organisation’s intentions in relation to the policy description

Do not include procedural elements

Provide definitions for clarity

Scope

Clearly set out whom or what the policy refers to

Do not include any procedures

Definitions

Definition of terms may provide clarity

Equality & Diversity Incorporate the standard statements regarding the Equality Act 2010 and the protected characteristic groups

Policy Review Review the policy every three years or less if required

End

Context

Refer to appropriate legislation & codes of practice

Associated Documents

Clearly identify any relevant strategies, policies or procedures

Performance

Make reference to performance measures & how they will be measured

Frequency of reporting

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