Policy Directory

Policy Documents at a Glance

UOW Policy Documents

Writing & Reviewing Policy

PROCEDURE FOR THE DEVELOPMENT AND MANAGEMENT OF UOW POLICY


Date approved	6 March 2007	Date Procedure will take effect	6 March 2007	Date of Next Review	December 2011
Approved by	Administrative Committee
Author:	Senior Manager, Policy and Governance Unit
Custodian title & e-mail address	Senior Manager, Policy and Governance Unit governance@uow.edu.au
Responsible Faculty / Division & Unit	Policy and Governance Unit, Academic Registrar’s Division
Supporting documents, procedures & forms of this Procedure	UOW Policy Template UOW Procedure Template Policy Implementation and Communication Plan New Policy Proposal Form Web Content Check-in Form Policy Directory UOW Style Guide
References & Legislation:	Standard on UOW Policy
Audience	Public – accessible to anyone
Expiry date of Procedure	Not Applicable

Contents

1 Introduction and Purpose 3
2 Scope of Procedure 3
3 Definitions 3
4 The Procedure 3
5 Roles & Responsibilities 6
6 Flowchart for the Development and Management of UOW Policy 7
7 Version Control and Change History 9

1 Introduction and Purpose

1. This procedure supports the Standard on UOW Policy. The procedure provides instruction to UOW staff on the process to be used to develop and manage UOW policies. The procedure should be read in conjunction with the Policy.

2 Scope of Procedure

1. This procedure applies to all UOW staff who have responsibility for development and management of UOW policy.

3 Definitions

1. The definitions contained in section 2 of the Standard on UOW Policy apply to these procedures.

4 The Procedure

1. Policy Custodians or delegates shall follow the procedures set out in this document and in the Policy Development Flowchart.
2. UOW policies shall comply with the UOW Style Guide and will ensure that:

a. Title or main headings will be numbered sequentially
b. Paragraphs will be numbered sequentially following the numbering of the headings as this assists with cross-referencing. The following table provides a guide for numbering.
c. The header will include the UOW logo as illustrated in this document. The footer will include the document number, month and year of current approved version, the author, the title of the document, page number and will be in 9 point font, grey as illustrated in this document.

Heading (Heading 1 style: 12 point Trade Gothic, Arial or Helvetica, bold numbered)

1. Paragraph (List-Numbered style: 10 point text, justified):

1.1. Sub item (List-Numbered style: 10 point text, justified, indented)

a. List: a. b. c.

i. Sub-List if required using sub point i, ii, iii etc

1.2. Sub item (List-Numbered style: 10 point text, justified, indented)

Sub heading (Heading 2 style: 11 point bold)

2. Paragraph (List-Numbered style: 10 point text, justified):

a. a, b, c (List-Numbered style: 10 point text, justified, indented)

Heading (Heading 1 style: 12 point Arial or Helvetica, bold numbered)

1. Paragraph (List-Numbered style: 10 point text, justified)

1. Policy development will normally follow a staged approach. The steps in each stage are defined in the attached Policy Development Flowchart and Policy Development Stages Checklist. The staged approach to policy development follows the University’s continuous improvement cycle of plan, review, improve, act.

Stage One: Needs Analysis

2. In Stage One the issues that could trigger a policy review or new policy development are identified. Triggers can include:

a. The review date for the policy,
b. Policy gaps which may come through the committee process, faculties, consultation with students or other stakeholders, or changes in the environment within or external to the University including:

i. Legislative change
ii. An accumulation of a critical mass of issues in the Policy Issues Log.

3. The Policy Issues Log should be maintained by the Policy Custodian or delegate and can capture issues that emerge through implementation and use of the policy. It can be used to capture knowledge and inform future reviews.
4. In identifying policy issues a decision will need to be made by the Policy Custodian or delegate about the urgency of the issues and whether to:

a. Log the issues for a later review or development,
b. Address the problem through mechanisms other than the policy process, or
c. Proceed with a review or new policy development.

5. In the case of new policy development a New Policy Proposal Form shall be completed and submitted to the Policy and Governance Unit.
6. The Policy and Governance Unit will provide advice in relation to policy development, related policies, policies that may be superseded by the new policy and legislation and approval pathways. This information will assist in determining the scope and impact of the policy and the timeframe for completion.
7. In some instances it may be useful to consult with experts in the field and/or critical stakeholders as this information may be of assistance in identifying gaps in the current policy.
8. In the case of amendment of existing policy, further actions will be determined based on whether the amendment is a major amendment or a minor amendment.

Minor Amendment

9. A minor amendment to a policy is a change to the current policy that is of an insubstantial nature, not affecting the meaning or intent of a policy.
10. Minor amendments to policy require approval from the appropriate member of the Senior Executive of the University. An example of a minor amendment may include a change to an administrative unit’s name.
11. Minor amendments to policies can occur outside of the policy review cycle.
12. All changes shall be documented in the Review and Change History of the Policy.
13. The latest approved version of the Policy shall be forwarded electronically, accompanied by the Web Content Check-in Form to the Policy and Governance Unit so that it can be placed in the Policy Directory.
14. The need for this form is generated by the web content management system that UOW is using to manage the web. The Policy and Governance Unit will not be able to check the policy into the Policy Directory without this form.

Major Amendment

15. A major amendment to a policy is a change to the current policy that is likely to impact upon the intent of the policy and/or on other related policies, stakeholders, aligned procedures, systems, UOW Rules or Codes of Practice or Conduct.
16. Major amendments to policy require the approval of the highest delegated authority being either the Administrative Committee and/or the University Council. An authorised delegate of the University Council can also approve policies subject to inclusion in the resolution of University Council.
17. In the case of major amendment, the Policy Custodian or delegate shall consult with the Policy and Governance Unit who will who will provide advice in relation to policy development, related policies and legislation and approval pathways.
18. All following stages in the policy development process apply to new policy development or major amendments.

Stage Two: Research

19. The Policy Custodian or delegate shall analyse any relevant information that could inform the policy development/review. This may include but may not be limited to data analysis, literature review and best practice.
20. The implications of the policy development/review should be determined with consideration of the impact on other policies, stakeholders, administration and systems development.
21. Identify stakeholders and mechanisms for consultation with stakeholders for action in Stages Three and Four. In some instances it may be useful to consult with experts in the field and/or critical stakeholders as this information may be of assistance in drafting the policy.

Stage Three: Drafting

22. In consultation with stakeholders, the Policy Custodian or delegate shall draft the new policy or amend the existing policy. The Policy Template and the Procedure Template should be used for all UOW policies and procedures.
23. Depending upon the extent of change, urgency and timing of the policy change, stakeholders will be consulted and have the opportunity to comment on the draft policy. Changes that emerge from this consultation process may require further drafting of the policy.
24. The Policy Custodian or delegate may find that early consultation with critical stakeholders or a working party will inform the drafting stage of the policy. The Policy Custodian, in consultation with the Policy and Governance Unit as appropriate, will ensure that any associated policies are modified or superseded and archived, as required.

Stage Four: Consultation

25. The stakeholders identified in Stages One and Two will be consulted regarding the policy.
26. A range of stakeholder consultation tools will be available on the Policy Directory.
27. It is good practice to send feedback to stakeholders who participate in the consultation process.
28. Depending on the constraints operating on the policy, it may not always be possible to consult with all stakeholder groups, however, these constraints should be made clear.

Stage Five: Approval

29. The final draft of the policy shall proceed through the approval pathway and be submitted for final approval to the highest delegated authority.
30. The policy shall include the Communication and Implementation Plan and the Web Content Check-in Form. Any policies that are superseded should be identified in the Communication and Implementation Plan.
31. The policy may require revision depending on feedback received as the policy moves through the approval pathway.
32. The policy shall be approved by either the Administrative Committee and/or the University Council. After the policy has been accepted by the highest delegated authority, the policy is then considered ‘Approved’.
33. The policy will then be submitted, with the relevant forms, to the Policy and Governance Unit so that it can be placed in the Policy Directory.

Stage Six: Communication and Implementation

34. The Policy Custodian or delegate will implement the policy in accordance with the Communication and Implementation Plan.
35. The Policy Custodian should maintain a record of progress against the Communication and Implementation Plan.

Stage Seven: Maintenance and Review

36. The Policy Issues Log should be maintained by the Policy Custodian or delegate throughout implementation and use of the policy. The log will record feedback regarding the policy and will be used to inform further reviews of the policy.
37. In order to ensure that the policy is being followed, it may be necessary to audit compliance with the policy or evaluate the policy.
38. The policy will be reviewed as required, commencing again at Stage One.

5 Roles & Responsibilities

1. Roles and responsibilities are detailed in the Standard on UOW Policy.

6 Flowchart for the Development and Management of UOW Policy

7 Version Control and Change History

Version Control	Date Released	Approved by	Amendment
1	6 March 2007	Administration Committee	New Procedure
2	June 2008	Dominic Riordan, Senior Manager, Policy and Governance	Footer correction Version control moved to end of document Changing version numbering
3	5 February 2009	Deputy Vice-Chancellor (Academic)	Migrated to UOW Procedure as per Policy Directory Refresh