Policy Development and Approval Procedure

This procedure will be reviewed after 12 months.  Policy developers who wish to provide feedback about this procedure should contact policy@newcastle.edu.au.  All feedback received will be considered in the course of the review.

1.      Context

This document provides a simplified step by step procedure for developing a new policy or revising an existing policy. It supports the University’s commitment to good governance and is supported by the Policy Development and Review Guidelines and Flowchart available on the policy@newcastle website.

2.      Definitions

In the context of this document:

policy means a concise formal statement of principles which dictates how the University will act in a particular area of its operation;

policy approval authority means the committee or position with authority or delegated authority, to approve policy or procedure;

policy contact means the position with responsibility for day to day advice in relation to the policy ie the position best suited to answer any questions on the application of the policy. The policy contact position will play a major role in the development, implementation and review of the policy;

policy developer means the individual or group responsible for driving the researching, drafting, consultation and approval of a new policy document or a revision to a policy;

policy owner means the officer with line-management responsibility for the policy  and for guiding the development, implementation and review of policy to ensure the content of the policy is accurate and reflects current needs and practice;

policy sponsor means the senior officer responsible for setting the strategic direction of policy and determining the overall context in which a policy might be developed or a major policy revision might be required;

procedure means a formal statement describing the actions or steps to be taken or conditions to be observed in implementing a policy or an aspect of a policy.

3.      Procedure

3.1.     Proposing Policy  

1. A member of staff or a committee with a particular interest in or responsibility for a policy issue may instigate the development of a new or revised policy /procedure /guideline document.
2. That person or committee will approach the Policy Owner (if he/she is not the Owner) with a proposal to develop or revise a particular policy document and to establish that an appropriate policy document does not already exist.
3. The Policy Owner will:
   1. liaise with the Policy Sponsor to discuss any strategic implications and
   2. identify the policy developer or policy working party (comprising appropriate stakeholder representatives) to act as the policy developer(s).

3.2.     Research and Analysis

1. The policy developer(s) will undertake the following tasks:
   1. investigate the triggers that have given rise to the proposed policy;
   2. locate any exiting precedents or policy documents related to the issue;
   3. identify any legislation that would support or require the development of the policy;
   4. establish the authority - in law or institutional strategic values/priorities or an existing higher order policy - for the development of the document;
   5. research the responses of other organisations to the issue;
   6. evaluate different policy options and their implications;
   7. establish the type of document required: policy, procedure or guideline;
   8. identify the broad policy principles that apply;
   9. identify the impact of the proposed policy on other related documents and record the need to revise or amend these documents and promulgate those changes;
   10. identify appropriate stakeholders for subsequent consultation; and
   11. contact the Governance and Academic Administration Unit  regarding the drafting and formatting of the document.

3.3.     Drafting Content

1. When the process of research and analysis is complete, the Policy Developer(s) will:
   1. draft the policy principles ensuring each principle is clear, unambiguous and self-explanatory;
   2. identify the responsibilities and expectations of individuals or groups;
   3. draft the document using the standard templates;
   4. use plain English which is also inclusive and non-discriminatory - refer Inclusive Language Guideline 000797;
   5. avoid complex or convoluted sentence structure;
   6. use acronyms and abbreviations only after they have been spelt out in full when first referred to;
   7. use version control and ensure major changes are captured in the policy file.

3.4.     Formatting

1. In formatting documents in the approved templates, policy writers will ensure that:
   1. the title of policies and procedures identifies the specific nature of the subject with key words appearing at the beginning of the title e.g. English Proficiency Policy;
   2. no policy or procedure title begins with the word Policy unless the subject is policy itself e.g. Policy Development Procedure; and
   3. the Governance and Academic Administration Unit is consulted to provide ongoing assistance regarding content and style.

3.5.     Consultation

1. The Policy Developer(s) will:
   1. develop a Consultation Plan which identifies:
      1. the target groups and individuals to be consulted;
      2. the goal of the consultation process with each stakeholder group or individual;
      3. the nature of the consultation and deadline for receipt of feedback; and
      4. external stakeholders e.g. alumni.
   2. distribute the draft document to stakeholder groups / individuals with a set timeframe for responding
   3. arrange with Governance and Academic Administration to post the draft document on the Policy Alerts website for wider optional comment; and
   4. document consultation and feedback.

3.6.     Gaining Approval of Policies and Procedures

3.6.1.       Policies

1. Following feedback from stakeholders, the policy writer will finalise the draft document and submit this to the Policy Owner for sign off.
2. Policy documents must be approved by the individual or group with authority to approve policy, that is: Council (via the relevant committee) or, under delegated authority, Academic Senate (via the relevant committee process)  or the Vice-Chancellor (usually following consideration by Executive Committee).
3. Prior to seeking approval, the policy must be forwarded to the Legal Unit; the Equity & Diversity Unit, the Governance and Academic Administration Unit and the Policy Sponsor for sign off.

3.6.1.1.      Council Approved Policies

1. The final policy document endorsed by the Policy Sponsor will be submitted to the committee responsible for endorsing the policy e.g. the Audit and Risk Management Committee, and thence to Council for approval.

3.6.1.2.       Academic Senate Approved Documents

1. The final policy document endorsed by the Policy Sponsor will be submitted to the committee responsible for endorsing the policy (Program and Course Approval Committee, Faculty Boards, Research Committee or Teaching and Learning Committee) for endorsement and thence to Academic Senate for approval.

3.6.1.3.      Vice-Chancellor Approved Policy Documents

1. The final policy or procedure document endorsed by the Policy Sponsor and by the Legal Unit, Equity and Diversity Unit, and the Governance and Academic Administration Unit will be submitted to the Vice-Chancellor with the appropriate Approval Cover Sheet (refer 3.6.1.4).

3.6.1.4       Policy Approval Cover Sheets

1. Cover Sheets accompanying a request for endorsement/approval by a committee, the Vice-Chancellor or Senior Executive will indicate:
   1. the origin of the document;
   2. implementation date;
   3. key issues;
   4. breadth of consultation; and
   5. sign off from the appropriate Units.
2. Cover Sheets for approval by the Vice-Chancellor will use the template provided on the policy@newcastle website.

3.6.2           Procedures and Guidelines

1. Procedures supporting teaching and learning policies or research policies that relate to assuring the quality of those activities will require formal approval by the relevant committee of Academic Senate.
2. Procedures and Guidelines supporting non -academic policy may be approved by the senior manager in the relevant area e.g. Deputy Vice-Chancellor (Services); Chief Financial Officer; Director Risk & Commercial Services; Academic Registrar. Developers should refer to comparable documents within the Policy library for guidance on the relevant authority and consult the Governance and Academic Administration Unit for further advice.
3. When the final draft of the Procedure or Guideline document has been endorsed by the Policy Sponsor it should be formally submitted to the relevant senior executive responsible for approving the document. 
4. Cover Sheets for approval of Procedures and Guidelines that will appear in the Policy Library must follow the template provided on the policy@newcastle website

3.7.     Communication and Implementation

1. When the policy / procedure or guideline document is approved, the Secretary to the relevant authority will advise the Governance and Academic Administration Unit.
2. The Governance and Academic Administration Unit will:
   1. post the document in the Policy library
   2. notify stakeholders of the new document or rescinded documents via email and on the Policy Alerts page;
   3. archive superseded or rescinded documents;
   4. store approval in the registered file; and
   5. update official records
3. The Policy Developer(s) will:
   1. develop an implementation plan;
   2. advise staff or units responsible for specific aspects of the policy’s implementation;
   3. arrange direct communication with relevant managers eg Heads of School or Program Convenors;
   4. initiate any additional education or training required.

3.8.     Review

1. The Policy Contact will monitor feedback and advise the Policy Owner and Policy Developer(s) of any significant issues emerging.
2. The Governance and Academic Administration Unit will advise of periodic review (every 3 years) unless otherwise arranged.

3.9.     Measure Outcomes and Compliance

1. The Policy Owner will ensure that the outcomes and effectiveness of the policy are measured and that feedback informs the further  development of the policy.

4.      Essential Supporting Documents

Flowchart: Policy Development and Review

Policy Development and Review Guidelines

Policy, Procedure and Guideline Document Templates

Inclusive Language Guideline 000797