Pure Business Project

Project Overview - Understanding the Issues

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4 Project Plan and Delivery Approach for Phase One - Understanding Issues

4.1 Overview

Phase One of the project involves gathering information from the main government regulatory agencies that have impacts for SMEs and some SMEs, on how they work with each other, and sharing that information within a small project Interim Design Team (IDT). IDT members will visit with other agencies or SMEs as part of the information sharing process, which will initially take the form of exploration group meetings. Phase One of the project will establish the research methods, theoretical models, and networks to support the initiatives planned for Phase Two. This can only be done, however, from a basis of understanding what the issues are for the key stakeholders in regulation of SMEs.

Phase One will deliver the outcomes detailed below to a "Good Regulation" Forum of the next phase of the project, to be held on 23 June 2004. This function is organised to share and test two outputs from this stage of the project with government agencies, researchers (from New Zealand and overseas), SME representatives and other stakeholders:

• Development of the theoretical models to be used in research; these models will build on the work undertaken already in NZ (and overseas).
• Selection of problem or initiative areas for further research; and for the development and trial of potential solutions in Phase Two.
• Establish a network of participants with different levels of engagement to ensure the productivity and success of the project.

This section provides an overview of the research method, deliverables and processes. Details are contained in Appendix One - the Research Management Plan.

4.2 Intended Outcomes from Phase One

The intended outcomes of Phase One are:

• Commitment to shared generation and development of solutions to regulatory issues.
• A broad and multi-layered network of those involved in the project that runs through government and SME representative groups.
• Establishment of a shared language and understanding of regulatory terms and issues.
• Contextualised understanding about what is currently happening with regulations and SMEs.
• Definition of the scope and focus of Phase Two of the project as based upon Phase One outcomes.

4.3 Deliverables for Phase One:

Deliverables for Phase "One include the following plans and interim work products:

1. Project Overview and Management Plan
2. WEB Research Management Plan, which will include
   • design of Phase One
   • research process
   • methods of generating, collecting, analysing data from Agency and SME groups
3. Research Report for Phase One, which will include:
   • A model for a typology of SMEs and regulation
   • A summary of findings from Phase One
   • Recommendations for content and potential areas of research for Phase Two.

The following interim work products will also be produced, as a by-product of the process

• Sample model of Agency/SME conceptual map;
• Trial of the conceptual map with Exploration Group data with IDT
• Exploration Group overall summary of tensions and contradictions
• Eight individual Exploration Group summaries
• Tutorial on activity theory and DWR for IDT meeting
• Boundary-crossing tools for communicating with broad range of stakeholders
• list of contacts within SMEs and their representatives, and government agencies

The information from Phase One is expected to provide a clear indication of exactly where regulatory compliance problems lie and to highlight areas where solutions are most needed. This will set the framework for further research to be carried out in Phase Two.

4.4 Approach

Research consultants WEB Research have been contracted to assist DoL in completing Phase One of the project.

The research methodology for Phase One is based on a particular application of Activity Theory and DWR, developed by WEB Research and DoL for this project.

The approach assumes that, in complex situations of regulatory activity, the focus needs to be on the dynamics of the process. For this 'we need a theoretical framework and a systemic unit of analysis that allows us to analyse the relationships between different elements in human activity' (Virkkunen and Kuutti, 2000).

Phase One (Understanding Issues) stimulates the first steps of an expansive learning cycle, including fostering 'a process of collaborative analysis and modelling' (Engestrom, 2000:1966). Engestrom argues that this is a crucial precondition for the creation of a shared vision for the 'expansive solution' of systemic problems:

Diagram 3.Structure for Phase One of SME "Good Regulation" Project

To achieve the outcomes listed above, the following seven steps are needed:

4.4.1 Step One - Establish contacts and communication strategy

Establish contacts

WEB Research in conjunction with Richard Whatman of DoL will initiate interaction with existing and new contacts within regulatory Agencies and SMEs to outline the project and its goals. This will involve initial meetings with individuals within agencies, and is designed to set up contact networks in each agency to enable future access to key stakeholders to contribute to the research activities.

Communications Strategy

A communications strategy will be developed for Phase One of the project, outlining key messages, key audiences, what material is required for each audience, in particular the "Good Regulation" Forum, and how the messages will be delivered to that launch.

Deliverables / Interim work products

• Joint Deliverable (WEB and DoL) - list of contacts within SMEs and their representatives, and government agencies
• WEB deliverable - boundary-crossing tools for communicating with broad range of stakeholders (design of exploration groups, IDT and forum)
• DoL deliverable - communications strategy for the "Good Regulation" launch with Litmus.

4.4.2 Step Two - Exploration Group Meetings

A series of eight exploration group meetings^[12] will be held, to communicate the goals of the project, surface tacit knowledge, and gather feedback on areas of importance or concern, focussing on interactions with SMEs and regulation setting practice.

The goal of the exploration group meetings is to:

1. Ensure participants understand the project's objectives, content and deliverables, and confirm the role of each participant.
2. Develop a record of participants' views on:
3. what is working well between the Agencies and SMEs in the area of regulation
4. regulatory issues and problems.
5. Collect data that can be used to generate a conceptual 'map' of the relationships between the Agencies and SMEs when dealing with regulation.

Exploration group meetings will be held with the following five agencies:

• DoL (including Occupational Safety and Health and Employment Relations Services)
• ACC
• Ministry of Economic Development (MED - with NZ Trade and Enterprise)
• IRD
• Statistics NZ

Ministry for the Environment has been invited to participate and its possible role is under consideration by the Ministry.

Each exploration group will comprise a mix of management, policy and operational staff from the particular agency, together with a person from at least one of the other agencies (called the visitor). The visitor will provide an 'outsider's' perspective, and help facilitate a clearer explanation of the roles and responsibilities of the agency they are visiting. The exploration group meetings will be organised and facilitated by WEB Research.

Two further exploration group meetings will be held with SMEs and their representatives, in Auckland and Christchurch.

DoL staff and WEB will record the meetings. DoL staff will compile detailed meeting notes for each meeting, providing the first field data for the project.

Deliverables / Interim work products

• DoL will write up detailed notes for each meeting, from DVD's provided by WEB.
• WEB will produce a summary of the major points of each exploration group based on the detailed notes.

4.4.3 Step Three - Group Analysis of Data Collected and Conceptual Maps

The data generated at the exploration groups will be used to develop a conceptual map, based on an activity system model, of the regulatory activities of each agency, and their interaction with SMEs. The data will be analysed by WEB Research, DoL and the IDT using the analysis techniques described in Appendix One.

Deliverables / Interim work products

• sample conceptual map
• summary of emerging issues.

4.4.4 Step Four - Annotated Bibliography

An annotated bibliography of literature relating to regulatory practice and SMEs (produced both internationally and in New Zealand) will be compiled to supplement the data collected from the exploration groups. This work will be completed by Claire Massey and Kate Lewis of Massey University.

Deliverables / Interim work products

• Mind map of how information will be organised
• Annotated Bibliography

4.4.5 Step Five - Interim Design Team Meetings

The project will establish the IDT. The IDT will be comprised of:

• Visitors from the participating Agencies (IRD, DoL, Statistics NZ, Ministry for Economic Development/NZ Trade and Enterprise, ACC, and (to be confirmed) Ministry for the Environment).
• SME exploration group members (up to 5).
• Research team members (WEB Research and DoL staff).

All participants will have participated in exploration group meetings. An approach for the IDT meetings, their format and agenda, will be agreed within the research team.

Three IDT meetings will be held to validate the data, and set the strategy for moving forward into Phase Two. WEB Research will organise and facilitate these meetings. From the analysis of data collected in the exploration groups, and the framework for the annotated bibliography, a set of information will be compiled as key inputs into the IDT meetings.

Deliverables / Interim work products

• IDT team understanding of the principles of activity theory and the models to be used (so that they can apply them to the data)
• summary of IDT feedback and issues arising
• tutorial on activity theory and DWR for IDT meetings

4.4.6 Step Six - Phase One deliverables and planning for Phase Two

The IDT process will produce the outcomes of the research process in Phase One. The issues arising will be summarised and agreed with the IDT. The IDT and WEB Research will work together to document the outcomes and produce a final report for Phase One, including recommendations for Phase Two.

This base documentation will be used to generate communications material for the "Good Regulation" Forum of the SME "Good Regulation" Project in June 2004. DoL, in consultation with WEB Research, have key responsibility for preparing this material.

The draft report will be produced prior to the "Good Regulation" Forum (Step Seven) and include the material to be presented to the Forum. This will be updated for the results and outcomes of the Forum to form the Final Report for Phase One.

Deliverables / Interim work products

• Research Report for Phase One - The IDT will be in communication with WEB Research who will produce a Research Report for Phase One, which will include:
  • A model for a typology of SMEs and regulation
  • A summary of findings from Phase One
  • Recommendations for content and potential areas of research for Phase Two
  • Recommendations for the structure and ownership of Phase Two.

4.4.7 Step Seven - "Good Regulation" Forum

In June 2004, the results of Phase One - Understanding Issues will be presented to a "Good Regulation" Forum of the project, involving Ministers, senior Government officials, New Zealand and international researchers, and SMEs and their representatives and others. The launch is specifically aimed at consolidating the profile of the project and gathering stakeholder support for Phase Two. This stakeholder release will outline the progress to date and the plan to move forward.

This function is an integral part of the research method, and as such will contain a workshop component to provide an opportunity for stakeholders to have input into the process, by sharing and testing two outputs from this stage of the project

• Development of the theoretical models to be used in research. These models will build on the work undertaken already in NZ (and overseas)
• Selection of problem or initiative areas to be further researched or trialled in Phase Two.

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Footnote

[12] Depending on Ministry for the Environment’s involvement.