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Policy and Procedure Development and Review Processes

A downloadable version of the Policy and Procedures Development and Review Processes is available (rtf 104kb).

A downloadable manual (pdf 1.29MB) giving detailed instructions for completing the customised Policy and Procedures CMS web templates is also available.

Definitions

Definitions of key terms in the policy development and review process: Policy, Procedures, Policy Owner, Scope, Responsibility, Stakeholders, Penultimate (Endorsement) Body, Ultimate (Approval) Body.

Development of New Policy and Procedures

Identify need for new policy and/or procedures

The need for new policy and/or procedures may be identified by:

  • an ultimate (approval) body;
  • a penultimate (endorsement) body; or
  • a stakeholder.

The triggers for a new policy and/or procedures may include:

  • changes to the external operating environment;
  • changes to government policy or legislation;
  • review of the strategic directions of the university;
  • new initiatives within or across academic or management areas;
  • need for consistency across areas of service delivery.

Note that it is mandatory to prepare the procedures associated with a university-wide policy, and it is not possible to submit a policy to the Policy Bank without also submitting the procedures for its implementation.

Review of Existing Policy and Procedures

Policies and procedures of the university must be reviewed on a regular basis. The review cycle may vary depending on the policy type and its scope, but three years would be typical, and there must be no more than five years between policy reviews. Procedures are likely to be reviewed more frequently. Review dates should be set to allow adequate time for revision and approvals processes.

Minor editorial updates that do not affect the title or substance of the policy (purpose, scope, policy statement) do not need to go through the formal approvals process. These include correction of typographical errors or changes to:

  • stakeholders
  • policy owner
  • contact person/maintainer
  • key words and definitions

Notify policy maintainer review due

The policy maintainer is the position/role nominated to be the maintainer of the policy and its associated procedures in the web-based Policy Bank, and is also the contact person for queries about the policy. The maintainer will be notified automatically by the web application on the scheduled review date.

Processes Common to Policy and Procedures Development and Review

Identify scope and stakeholders

The policy owner identifies the scope and key stakeholders. An email distribution list of key stakeholders should be prepared at this stage of the process. The responsibility for maintaining the list of stakeholders rests with the policy owner. 

Research and analyse

Relationship to university legislation

It is important that the university’s statutes and regulations be checked prior to policy development/review to ensure consistency and prevent duplication. University policies must not cover the same matter as statutes or regulations. If it is considered that there is a need to review or repeal a piece of university legislation, this must be referred to the University Solicitor's Office.  

In some cases it may be desirable or necessary to have university policy dealing with areas of external (government) legislation in order to amplify and interpret the application of external legislation to the university context.

New policy and/or procedures

The research process for a new policy and/or procedures is initiated by the policy owner and may include environmental scanning and comparative analysis of relevant internal and external organisations, as well as investigation and analysis of:

  • relevant government policy and legislation, and national codes;
  • university legislation;
  • existing policies
    • gaps
    • need to revise or rescind
    • consistency
  • possible constraints on implementing the policy at lower organisational levels, particularly at off-shore-campuses with different legislative frameworks;
  • previous records of relevant bodies;
  • other relevant data.

Review of policy and/or procedures

The research process for review is also initiated by the policy owner and includes investigating:

  • whether the policy and/or procedures is still consistent with best practice, strategic directions of the university, and changes in national codes or government policy and legislation;
  • whether the policy meets stakeholders’ needs;
  • constraints on implementing the policy at lower organisational levels, particularly at off-shore-campuses with different legislative frameworks;
  • the level of compliance with the existing policy and/or procedures;
  • whether any related policies need to be revised or rescinded.

Draft policy and/or procedures

Based on research and analysis, a draft of the new, amended or revised policy and procedures is prepared by the policy owner. If consequential revision is required to related policies or procedures, these drafts must also be prepared.

Consult key stakeholders

The policy owner discusses the drafts and any recommendation to rescind with the key stakeholders, including the offshore campuses (South Africa and Malaysia). Consultation may include formal meetings, phone conversation or email.

The policy owner must also consult with the relevant University Compliance Officer to ensure that the draft is consistent with and complies with relevant legislation.

Amend or revise

After the consultation process, further amendments or revisions may be required. If further revision is recommended, a revised draft is prepared and a new round of consultation with the key stakeholders is initiated by the policy owner. This cycle is repeated until no further amendments/revisions are recommended by the key stakeholders.

Offshore campuses

University-wide policies apply to all campuses, both in Australia and offshore, and differing requirements for the offshore campuses should be accommodated as far as possible in procedures rather than policy.

However in some cases policy variations may be required at the offshore campuses due to differences in local law or their internal organisational structure. These will be determined on a case-by-case basis and approved by the same approval body as for the corresponding university policy after consultation between the campus and the central policy-owning group, and endorsement by the relevant campus body.

Consider for policy endorsement and procedure approval

When the key stakeholders are satisfied with the draft/s, the policy owner submits the draft/s to the penultimate body for endorsement of policy and approval of procedures, together with any recommendations for rescission of existing policy.

When the penultimate body is satisfied, the penultimate body submits the draft/s and any recommendation to rescind an existing policy to the ultimate body (Academic Board or Strategy and Resources Committee) for approval.

In the case of policies and procedures under review, if the policy owner considers that no revision is required, a recommendation is made to the penultimate body that the existing policy and procedures stand and be next reviewed according to the review schedule.  A recommendation to this effect is submitted to the ultimate body.

Notify policy owner

For both new policies and procedures and those under review, the penultimate body advises the policy owner if further amendments and/or revisions are required. The policy owner then re-initiates the process of revision and consultation with the key stakeholders.

When no further amendments and/or revisions are recommended to procedures, the penultimate body advises the policy owner.

Consider for policy approval

If the ultimate body is satisfied with the endorsed draft/s, the draft is approved as policy.

For policies under review, any recommendation from the penultimate body that no revision is required must be approved by the ultimate body. For existing policies, any recommendation to rescind must also be approved by the ultimate body.

Notify policy owner

If the ultimate body considers that further amendment and/or revision is required, the policy is referred back to both the penultimate body and the policy owner.

The policy owner then re-initiates the process of revision and consultation with the key stakeholders.

If no further amendments and/or revisions are recommended, the ultimate body advises the policy owner.

Submit policy and procedures

The policy owner or designated position submits the policy and procedures to the Policy Bank via the web-based submission templates.  The Policy form will not be published unless:

  • all defined fields are complete;
  • the Procedures form has also been completed and submitted.

If a policy is being rescinded, the policy owner or designated position also submits this information via the template.

Policy Bank updated

The Policy Bank will be automatically updated after the CMS template has been submitted by the policy maintainer and the generated web page approved by the policy owner.