Policy Writing
1 - What is a Policy?
2 - Policy Writing tips
3 - Format for Policy
4 - Development & Review of Policy
5 - Policy Development Stages
5.1 - Stage One: Needs Analysis
5.2 - Stage Two: Research
5.3 - Stage Three: Drafting
5.4 - Stage Four: Consultation
5.5 - Stage Five: Approval
5.6 - Stage Six: Implementation & Communication
5.7 - Stage Seven: Monitoring & Review
6 - Responsibilities
7 - Records management
1. What is a Policy?
University policy is important to the efficient and effective operation of the University. It is a tool enabling:
- individuals to get on with their jobs without needing to discuss issues each time they arise
- participants from different parts of the University to work towards a common goal
- consistency and predictability throughout the University
- compliance with legal and other requirements
- quality assurance and improvement
At UOW a Policy is a statement that outlines non-discretionary governing principles and intentions in order to guide University practice. Policies apply to the University as a whole. They comply with all relevant legislation and rules and shall be approved by the highest delegated authority being the University Council and/or Administrative Committee.
The following is a definition from Bridgman, P and Davis, G (2000). The Australian Policy Handbook. (2nd ed). St Leonards: Allen & Unwin, pp. 4, 6.
Policy….can be seen as an authoritative response to a public issue or problem. This suggests public policy:
- Is intentional
- Is about making decisions and testing their consequences
- Is structured, with identifiable players and a recognisable sequence of steps
- Is political in nature, expressing the electoral and program priorities of the executive
Public policy is ultimately about achieving objectives. It is a means to an end. Policy is a course of action by government designed to attain certain results.
The following elements characterise policy"
- a stated intention
- a considered, authoritative response to a problem
- a way to achieve goals and objectives
- a framework for action
2. Policy Writing Tips
The following checklist may be useful in determining whether a policy is well written.
Structure and layout
- organised into clear and logical sections
- sections logically sequenced
- hierarchy of information clear
- progresses from the general to the specific
- informative headings used
- short paragraphs used
- tables and flowcharts used where appropriate to explain text
- clear, user-friendly design
Language
- clearly expressed
- succinct
- unambiguous
- simple, concrete and familiar words preferred
- jargon avoided
- unnecessary technical expressions avoided
- technical expressions explained where used
- short sentences used
- sexist language avoided
Usefulness
- current
- consistent with other policy documents
- easy to follow by intended users
- capable of efficient implementation, taking into account burdens of workloads and limitations on resources
- meets needs of intended users (e.g. academic, administrative)
- improves the likelihood of the University providing a quality learning and research environment
Accessibility
- maintained centrally
- easy to access by interested persons
Consistent with UOW Policy & Guidelines on Non-Discriminatory Language Practice & Presentation Policy, UOW policies shall contain language that is in plain English and audience appropriate. A guide to plain English Writing is available here [pdf].
3. Format of Policy
3.1 All policies, shall be developed and/or reviewed according to theStandard on UOW Policy [pdf] and following the Procedure on the Development and Management of UOW Policy [pdf].
3.2 All policies will be in the UOW Policy Template format [doc]
3.3 The final approved policy and associated documentation will need to be forwarded in electronic format to the Policy & Governance Unit along with the Web Content Check-in form so that the policy can be placed on the Policy Directory. The Policy Directory will be the authoritative source for the most current version of the policy.
3.4 Policy documents will be consistent with the UOW Style Guide and in the style stipulated in the Procedure the Management and Development of UOW Policy. The following table illustrates the style Guide. The Policy and Governance Unit [e-mail] will assist with any policy related questions.
1. Heading (12 point Trade Gothic, Arial or Helvetica, bold numbered)
1.1 - paragraph (10 point body text, justified):
1.1.1 - sub item (10 point body text, justified, indented)
List: a. b. c. if needed further sub point i., ii. iii….
1.2 paragraph (10 point body text, justified)
Sub heading (11 point bold)
1.3 - paragraph (10 point body text, justified):
List a, b, c… (10 point, justified, indented)
2. Heading (12 point Arial or Helvetica, bold numbered)
2.1 - paragraph (10 point body text, justified) |
4. Development and Review of UOW Policy
4.1 The policy development and/or review process will follow the University’s adopted quality cycle of plan, act, review and improve.
4.2 The Policy Custodian is responsible for the policy. The Policy Custodian is The Officer that has overarching responsibly for the policy and for ensuring it is implemented, progress is monitored and reported against the policy and that it is reviewed.
4.3 New Policy: In the case where a new policy is identified as being needed, a New Policy proposal form shall be completed. The intention of the form is to provide structure to the scoping of new policy and to assist in the formulation of a policy development plan
4.4 Minor modification of a policy: A minor amendment to a policy is a change to a current policy that is of an insubstantial nature, not affecting the meaning or intent of the policy. Minor amendments to policy require approval from the appropriate member of the Senior Executive.
4.5 Major amendment to policy: A major amendment to a policy is a change to a 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. Major amendments shall follow the approval pathway for academic and operational policies as defined in Section 2 of the Standard on UOW Policy [pdf].
5. Policy Development Stages
Stage One: Needs Analysis
5.2 - In Stage One the issues that could trigger a policy review or new policy development are identified. Triggers can include:
- The review date for the policy
- 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.
- Legislative change.
- An accumulation of a critical mass of issues in the Policy Issues Log
5.3 - The Policy Issues Log should be maintained by the Policy Custodian and can capture issues that emerge through implementation and use of the policy. It can be used to capture knowledge and inform future reviews.
5.4 - 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:
- Log the issues for a later review or development
- Address the problem through mechanisms other than the policy process or
- Proceed with a review or new policy development.
5.5 - The P & G 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.
5.6 - 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.
Stage Two: Research
5.7 - The Policy Custodian shall analyse any relevant information that could inform the policy development/review. This may include data analysis, literature review and best practice.
5.8 - The implications of the policy development/review should be determined with consideration of the impact on other policies, stakeholders, administration and systems development.
5.9 - Identify stakeholders and mechanisms for consultation with stakeholders for action in Stages Three and Four.
Stage Three: Drafting
5.10 - In consultation with stakeholders, the Policy Custodian shall draft the new policy or amend the existing policy. The Policy Template [doc] and the Procedure Template [doc] should be used for all UOW policies and procedures.
5.11 - 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.
5.12 - The Policy Custodian 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 P&G Unit as appropriate, will ensure that any associated policies are modified or superseded and archived, as required.
Stage Four: Consultation
5.13 - The stakeholders identified in Stage One and Two will be consulted regarding the policy.
5.14 - A range of stakeholder consultation tools will be available on the Policy Directory.
5.15 - It is good practice to send feedback to stakeholders who participate in the consultation process.
5.16 - 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
5.17 - The final draft of the policy shall proceed through the approval pathway and be submitted for final approval to the highest delegated authority.
5.18 - The policy shall include the Communication and Implementation Plan [doc]. Any policies that are superseded should be identified in the Communication and Implementation Plan. The intent of the communication and Implementation Plan is that Policy Custodians consider and outline how policy will be implemented.
5.19 - The policy may require revision depending on feedback received as the policy moves through the approval pathway.
5.20 - 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’.
5.21 - The policy will then be submitted, with the Web Content Check-in Form, to the P&G Unit so that it can be placed in the Policy Directory.
Stage Six: Communication and Implementation
5.22 - The Policy Custodian will implement the policy in accordance with the Communication and Implementation Plan.
5.23 - The Policy Custodian should maintain a record of progress against the Communication and Implementation Plan.
Stage Seven: Maintenance and Review
5.24 - The Policy Issues Log should be maintained by the Policy Custodian 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.
5.25 - In order to ensure that the policy is being followed, it may be necessary to audit compliance with the policy or evaluate the policy.
5.26 - The policy will be reviewed as required, commencing again at Stage One.
6. Responsibilities
6.1 - It is the responsibility of the Policy Custodian to:
- Complete New Policy Proposal Form [doc] for new policies and forward to the P&G Unit
- Use the templates provided in the Policy toolkit
- Develop, write and review the policy
- Consult with stakeholders
- Review and up-date policy to comply with relevant legislation.
- Consult with P&G Unit in respect to development and approval processes
- Ensure consistency between the policy and any related policies, procedures, systems, Codes of Practice or Conduct, Guidelines, Rules.
- Develop and maintain a full and accurate record of the policy.
6.2 It is the responsibility of the P&G Unit to:
- Provide appropriate support for the proposal, development and management of policy within the University. The P&G Unit will support the Policy Custodian through the provision of advice and expertise in the policy development process and will oversee, on behalf of the University, the policy style and format and recommend the most appropriate approval pathway.
- Review new policy Proposal forms in order to ensure consistency between the policy and any related policies, procedures, systems, Codes of Practice or Conduct, Guidelines, Rules, relevant legislation and approval pathways.
- Ensure the correct document control and approval mechanisms are in place
- Maintain the UOW Policy Directory
- Ensure a policy review takes place in a timely manner in consultation with the Policy Custodian
- Ensure that a full and accurate record of the policy is developed and maintained.
7. Records Management
7.1 - UOW policies shall be stored in a centrally controlled Policy Directory, which will be accessible through the UOW Website.
Policies on the Directory shall be considered the authoritative source. Individual faculties/units shall always link to this source.
As stipulated in the UOW Records Management Policy, a full and accurate record of all business activities related to each policy shall be developed and maintained by the Policy Custodian.
Last Updated: March 2007
|
