GUIDE TO THE DRAFTING OF POLICY DOCUMENTS

Transcription

1 GUIDE TO THE DRAFTING OF POLICY DOCUMENTS To be used in conjunction with the Policy Framework and the Policy Template Policy Title: [for ease of searching, policy title should not start with University ECU Computer Management or Policy unless absolutely necessary. Policy title should not end with Policy.] Policy Owner: Keywords: Policy Code: [Please insert the position title of the person with overall responsibility of the policy.] [Keyword descriptors are used as a tool for searching. Please insert keywords that are relevant to this policy.] [to be added by the University Governance Unit] Intent Organisational Scope Definitions Guidelines Content Related Documents Contact Information Approval History 1. INTENT 1.1 A policy exists because the subject matter is of importance to the operation of the University and there will therefore be a positive outcome for stakeholders. 1.2 The intent section should therefore reflect the vital nature of the policy and provide an indication of the positive outcomes which compliance with the policy will create. 1.3 This should be a brief outline (no more than two short paragraphs) of why the policy is required by ECU, and/or what it sets out to do. It should also provide the reader with a good idea of what the policy covers. 1.4 Include a statement This policy should be read in conjunction with the Guidelines and/or Procedures and provide a link to these documents, if applicable. 2. ORGANISATIONAL SCOPE 2.1 This outlines those individuals within the University that are covered by the policy. It may be students or staff only, or might apply to the entire University community. Options include: All ECU Students and Staff* All ECU staff* ECU Students, staff and Council Members* ECU contractors* ECU Students, staff, Council Members and Contractors* [*select as appropriate] Guide to the Drafting of Policies Page 1 of 12 Issue 4

2 2.2 If specific groups are NOT included in the policy, this needs to be stated. 3. DEFINITIONS 3.1 The purpose of the definitions section is to provide clarity so that readers can readily understand what key terms mean, and can decide whether a particular action or item is covered by the policy. 3.2 For the purposes of these Guidelines the following definitions are used: TERM Contact Person means Guideline means DEFINITION The position within ECU which is responsible for the day to day operation of a policy. This is the position to which all queries about the policy should be directed. In exceptional circumstances, more than one position may be identified in this role. a statement that provides guidance on how University policies will be implemented or applied. Policy means a concise, formal statement which prescribes how members of the University are to act in a particular area of its operation. Policies have University-wide application. All members of the University community are required to comply with ECU policies, and compliance may be audited. Policy means Approver The approving authority for the policy (Council or the Vice-Chancellor). Procedure means a statement that outlines the established method for implementing a particular University policy or process. Procedures are developed at an operational level and generally contain considerable detail which may require regular updating. 4. POLICY CONTENT 4.1 This is the key part of the policy since it sets out exactly the policy detail. A policy is a concise, formal statement of principles which prescribes how the University and how individuals covered by the policy should act in a particular area of operation. It is the overarching guide to good practice and decisionmaking. 4.2 It is the role of policy to: Help members of the ECU Community to translate ECU s values of Respect, Integrity, Rational Inquiry and Personal Excellence into action; Help ensure that ECU meets its obligations in relation to compliance - statutory and other; Reduce risk; Promote transparency in decision-making. Guide to the Drafting of Policies Page 2 of 12 Issue 4

3 4.3 Policies set out high-level principles which are generally stable over a period of time. Whilst policies are subject to regular review as part of good governance, they do not contain the level of detail that means they rapidly become out of date as staff and procedures change. The Policy Content should not therefore contain the names of individual staff members, or dates, and should not include the detail of procedures or processes which Faculties and Centres might put in place to deal with specific matters. 4.4 Legal Status of Policies The provisions of policies are not legally enforceable on students in the same way as provisions contained in the Edith Cowan University Act and the Statutes, Rules and By-laws made under that Act are, unless a policy is incorporated by reference to its title in the relevant Statute, Rule or By-law. Policy drafters should obtain advice from either the Chair of the Student Appeals Committee, the Director, Governance Services or the Academic Secretary if an intent of a policy is to impose enforceable obligations (including penalties) on students. 4.5 Policy writers are responsible for reviewing the existing policy set and ensuring that any new policy complies with all relevant legislation, University Statutes, Rules, By-Laws and that it is consistent with all University policies. When developing a new policy, if it appears that the policy will create duplication or will conflict with existing policy document(s), the policy writer will contact the owner(s) of existing policies and discuss the possible duplication/conflict. 4.6 Where a related set of processes, forms and templates or procedures exist, these will be noted in a policy, and access details provided (ideally a hyperlink should take the reader to all related documentation). Readers might also be advised that a policy should be read in conjunction with a procedure or manual. Whilst procedures are separate from the policy document, all relevant documentation should be cross-referenced. Amendment and review of procedural matters is managed at School or Centre level. Changes to these should not require a policy to be amended nor need to be re-submitted through the policy approval process. 4.7 A policy may be supported by Guidelines which provide details on the operation of the policy. Guidelines will normally be approved by the member of the Senior Leadership Team responsible for the area of policy. High level Committees and Boards such as Council Committees and Academic Board may also approve Guidelines. 4.8 Procedures, typically developed at the operational level, provide statements outlining the actions or steps to be undertaken to implement a University policy or process. Procedures which may be supported by forms or templates, will be approved by the individual responsible for the implementation of the process (normally at Head of School/Manager/Director level). Procedures may either be applicable to students and/or staff across the University, or be School/Centre specific. 4.9 All University policies will comply with the principles of accessibility and user-friendliness. Policies will be written in plain English and will use inclusive and permissive style language. Guide to the Drafting of Policies Page 3 of 12 Issue 4

4 4.10 All policies will be presented in the standard ECU policy format using the policy template (unless it is a plan, charter or code, in which case the form appropriate to these documents will be used); 4.11 Policy development will give due consideration to the following: Clarity: In addition to the use of plain English writers must develop policies that are readily understood by readers who do not necessarily have expertise in the subject matter. The user of a policy should be able to understand what is required of them or of others, and who to go to for further assistance. Ideally the policy will also articulate why it is important to undertake activities in the required manner and what the consequences are (for individuals and for the University) of noncompliance. Accountability: Individuals are accountable for their actions and are expected to follow University policy. The University s Code of Conduct requires that staff comply with University policies. A sound policy framework assists individuals in their day-to-day decisionmaking as it outlines levels of accountability with in the University. Proximity: Responsibility will be closely located to the activity. The policy owner is the person with responsibility for the activities carried out pursuant to the policy Feedback: Provision is made for regular review and updating of policies, thus providing a continuous, active and responsive process. Externality: Policy development will, where appropriate, utilise external points of reference (for example, benchmarking with other universities). Transparency: There will be clarity and transparency about the policy making process. Accessibility: All members of the University community will have ready access to policies through the normal use of the ECU website without having to request permission for an access code to the policy sections. Consistency: The policy content will be consistent with the University s legislative framework (including the ECU Act, University Statutes, Rules, By-Laws, the policy framework and current policies) Policies will be developed through a process of consultation this not only makes for better policy documents but it will also help the writer to ensure that the requirements for compliance and consistency are met. A consultative process will ensure relevant committees and stakeholders are consulted and risk management assessment and strategies are considered as early as possible in the development of the policy. Policies are an important part of the University s risk management strategy. In considering whether or not a policy is required, writers should undertake a brief risk assessment strategy. Where the risk is considered to be low, is possible that there is no need for a policy. For matters that are considered to be a high or significant risk, policies should be developed as a matter of urgency Wherever possible the reader should be able to easily access all the material relevant to the subject matter of the policy. For example, Guidelines may be attached to the policy, hyperlinks may be included to link directly to forms etc BUT when using hyperlinks care should be taken to link to permanent web pages, and not to specific documents to prevent broken links. Guide to the Drafting of Policies Page 4 of 12 Issue 4

5 Approval Processes 4.14 Policies will be approved by either the University Council or the Vice-Chancellor. Policies fit within a policy approval hierarchy. Authority to approve a particular policy may be stated in the: Edith Cowan University Act 1984 University Statutes University By-laws University Rules Matters to be Reserved to Council Resolutions of the University Council and Current ECU policies 4.15 In determining whether or not a policy requires Council approval, consideration will be given to issues such as: whether or not the issue is listed in the Matters to be Reserved to Council; strategic implications and risks that will impact on the direction of the University symbolic implications for the University the impact on the reputation of the University the effect on the student population the effect on staff 4.16 University Council will approve high level University policies where Council scrutiny is appropriate, consistent with the Matters to be Reserved to Council, and with the ECU Framework for Instruments of Governance (approved by Council in August 2006), attached as Schedule The Council focus therefore is on higher order strategy formation, policy making, accountability and monitoring/supervision. Council sets broad policy and planning guidelines through which more specific policy and process are developed. Council would generally approve ECU policies that deal with broad strategic or governance issues or set broad policy and planning guidelines. This would include those policies which have high-level strategic implications (including those which deal with strategic risks); those which apply only to the Vice-Chancellor; or those which deal directly with the operation of the University Council As a general guide the greater the implication and risk, effect or breadth of application of the policy matter the higher the level of policy approval required The hierarchy is illustrated in Schedule 2: Policy Implementation 4.20 The Policy Owner is responsible for all aspects of policy implementation. This includes, but is not limited to: Communication of the policy to the appropriate members of the University community; Provision of advice on all aspects of the policy; Development of supporting documents such as Guidelines, Procedures, Handbooks, Forms, Templates etc; Development of any staff training that is required; Maintaining the policy so that it remains current; Undertaking regular reviews of the policy (as a minimum, in accordance with the review process outlined below); Guide to the Drafting of Policies Page 5 of 12 Issue 4

6 Monitoring of the day-to-day operation of the policy including compliance, impact and consistency in application; Overall compliance with the policy. The Policy Owner may not be able to directly control the day to day activities of others, but the owner will take steps to check on compliance and to manage any risks associated with noncompliance. Review Process 4.21 As a minimum, the Policy Owner will undertake a review of the policy: three years after the date of approval or the latest date of amendment to the policy; or whenever there is a significant relevant change of circumstances The Office of Governance Services will contact policy owners at the start of each year and provide a listing of policies which are due for review during that year. It is the responsibility of the Policy Owner to undertake steps to review the policy and to complete the processes needed to ensure that the policy is updated by the review date After review, the policy must be re-submitted through the Policy Approval process for approval if changes other than minor amendments are required. 5. RELATED DOCUMENTS 5.1 Policy Owners must confirm that the content of a policy is consistent with the University s policy and legislative framework including the University Rules, ECU Act and Statutes. 5.2 The related Policies, Rules, Statutes and/or ECU Act provisions must be highlighted and linked to the policy through the Related Documents section. 5.3 Titles of relevant documents or policies should be referenced and hyperlinked to appropriate web pages where possible. 5.4 This Guide should be read in conjunction with the Policy Framework. 6. CONTACT INFORMATION Policy Owner: All Enquiries Contact: Telephone: address: Position Title. Normally either an Executive Dean or Centre Director, or in the case of Academic Board, the Academic Secretary. Position title of job-holder able to answer queries on the policy Phone Number address Guide to the Drafting of Policies Page 6 of 12 Issue 4

7 7. APPROVAL HISTORY Policy Approved by: Date Policy First Approved: Date last modified: Revision History: Next Revision Due: TRIM File Reference Policies will be approved by either the Vice-Chancellor or Council. Date the policy was first approved by either the Vice- Chancellor or Council. Date that the policy was last amended. A list of all approved amendments and revisions made to the policy since it was first approved. Date that the policy is next due for review. The number of the University Records File that relates to the policy. Guide to the Drafting of Policies Page 7 of 12 Issue 4

8 For this Guide to the Drafting of Policies CONTACT INFORMATION Contact Person: Manager, University Governance Telephone: address: Guidelines Owner Manager, University Governance APPROVAL HISTORY Policy Owner: Policy Approved by: COUNCIL SECRETARY University Council [UC128/20] Date Policy First Approved: 26 June 2008 Date last modified: Revision History: 10 December 2012 addition of 4.4 provisions regarding the need to ensure that policies are enforceable under the University Rules and Statutes 5 November August Minor amendments only. 5 November 2015 Minor amendments only. Next Revision Due: August 2018 TRIM File Reference Sub/2824 FURTHER INFORMATION For further information on the Policy Framework or any aspect of policy development, please contact the Manager, University Governance: Kathryn Clarke Acting Manager, University Governance Strategic and Governance Services Centre Edith Cowan University Kathryn.clarke@ecu.edu.au Telephone: Guide to the Drafting of Policies Page 8 of 12 Issue 4

9 ECU Framework for Instruments of Governance The instrument is appropriate in the following circumstances: Schedule 1 ECU Act University Statutes University Land & Traffic By-Laws (Section 29 ECU Act) Scope: binds the public, students, staff & Council Susceptibility to Change: for provisions expected to change infrequently binds students, staff & Council for provisions expected to change infrequently binds the public, students, staff & Council for provisions expected to change infrequently Rules Council Policies Management Policies binds students, staff & Council for provisions which may be subject to change every few years may apply to staff, students & Council for provisions which may be subject to change every few years may apply to staff & students for provisions which may be subject to change every few years Authority/Scrutiny: where Parliamentary scrutiny is in the public interest where Council & Parliamentary scrutiny is in the public interest where Council & Parliamentary scrutiny is in the public interest where Council scrutiny is appropriate where Council scrutiny is appropriate where Council scrutiny is not required Purpose: establishing and defining the University and its purpose establishing the most important elements of the University s governance environment including the fundamental prescribing conduct which is of the penultimate level of importance to the governance of the University where it is intended to bind equally the conduct of staff, prescribing the conduct of all persons including members of the public when on University lands (or accessing University services?) providing a detailed prescription of conduct (such as admin procedures) within parameters stipulated in a University Statute where it is intended to bind equally the conduct of staff, guiding or prescribing conduct or articulating the University s public position Addressing matters which are of the penultimate level of importance to the governance and Guiding or prescribing conduct which is important to the governance and management of the University in areas which are within the authority of the CEO Guide to the Drafting of Policies Page 9 of 12 Issue 4

10 sources of authority & formal advice (ie. Council, CEO, Academic Board etc) students & Council to create an environment of mutual accountability (ie. Appeals procedures) to provide guiding parameters for both Council & management policies to create authority for a Rule that regulates conduct in detail to guide or limit management authority students & Council to create an environment of mutual accountability (ie. Appeals procedures) to guide or limit management authority management of the University as per the Policy Approval Hierarchy, including a. prescriptions regarding the strategic position and direction of the University; b. symbolic matters of the highest importance to the public standing of the University; and c. the self governance of Council. d. to provide guiding parameters for Management Approved Policies e. to guide or limit management authority * the Council Code of Conduct may reference relevant prescriptions of conduct in management approved staffing policies Approved by Council 17 August 2006 Guide to the Drafting of Policies Page 10 of 12 Issue 4

11 ECU Act Statutes and By Laws Rules Policies (Council- or VC- approved) Guidelines Procedures/Forms/Processes Guide to the Drafting of Policies Page 11 of 12 Issue 4

12 Schedule 2 Approval Level Legislative Context Document within the Policy Framework Parliament ECU Act and other relevant legislation; Statutes & By Laws HIGHER ORDER Council Rules Matters to be Reserved to Council, including strategic level policies Strategic Strategic Implications Impact on direction of the University Promotes Mission MIDDLE ORDER LOWER ORDER PROCEDURES Vice- Chancellor School Boards/ Executive Deans/ Directors Policies Organisational University-wide Compliance with law Reduces risk Reputational impacts Long-term application Procedures Operational procedures / guidelines Procedural detail on day to day operational issues adapted from Yellowlees (2005) Examples: Approval Level Examples* Comment Council ECU Qualifications Framework; Policy dealing with Fraud & Misconduct at ECU; Policy on Nominations to Council and Bodies Approved by Council HIGHER ORDER POLICIES Aim: to have a small body of Councilrelated or very high level strategic policies approved by Council MIDDLE ORDER POLICIES Vice- Chancellor Staff Code of Conduct; Critical Incident Management; Joint ventures Aim: to greatly reduce the current policy set to include only high level, over-arching policies (ensuring that we include those required by legislation) which set the principles, direction and strategic intent to guide decision-making within ECU. LOWER ORDER PROCEDURES School Boards /Executive Deans /Directors Freedom of Information ECU s Information Statement Cabcharge procedures; IT Backup and restoration procedures Aim: to place procedural documents outside the policy set. *NB the examples are illustrative only Guide to the Drafting of Policies Page 12 of 12 Issue 4