[NAME OF GUIDELINE]

UNSW Guideline
Associated UNSW Policy & Procedures Contact Officer Effective Date This guideline outlines recommended practice in accordance with the following: [Policy Name and/or procedure name] Position contact details (email & phone) for person assigned day-to-day responsibility. Date this authorised version of the guideline comes into effect. Date this authorised version was rescinded. Records of University-wide guidelines should be kept with associated policy on a UNSW registered file. Contact the Records Office - Ext 52858.

File Number 1. 2. 3.

Introduction and Scope ................................................................................................ 1 Definitions..................................................................................................................... 1 Guidelines..................................................................................................................... 1 3.1 Associated Documents ........................................................................................ 1 4. Modifications................................................................................................................. 1

1. Introduction and Scope

Outline the purpose of this document. What is the objective and how can this document help? Describe if the guideline outlines recommended practice in accordance with legislation, policy or procedures. To whom and what does this guideline apply? Specify the situations and issues for which this guideline may provide assistance. This guideline outlines recommended University practice in what area?

2. Definitions
Define any key terms and acronyms used in this guideline, or provide a link to associated policy or procedure documents where the definitions are provided.

3. Guidelines
List the information and advice that will provide guidance to the members of groups specified in the scope of this document. List the processes which provide examples of best practice and recommended course of action. 3.1

Associated Documents

List the forms or toolkits that are associated with this guideline. Include hyperlinks.

4. Modifications
Versio n Date Author Approva l Sections modified Details of amendments

5. Acknowledgements
This section can be deleted if not required.

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UNSW POLICY DEVELOPMENT PROCESS

Establish Need

Research & Analysis

Drafting

Consultation

Authorisation

Communication

Implementation

Review

UNSW Policy Development Process v1.0

UNSW Policy Development Process: An Overview

Policy@UNSW Manual
The UNSW Policy Development Process is used for the creation, authorisation, implementation and review of policy at the University. The policy development process is made up of a number of phases, which should be thought of as making up the policy cycle. The phases are not rigidly separated and may proceed concurrently. However, the phases flow logically from the first phase, establishing the need for a new policy or amendment/replacement of an existing policy, to the last phase which is review. Through the continuous policy development cycle, the University seeks to ensure that it has a set of policies which: meet the Universitys administrative and compliance needs; are consistent and integrated with each other; are practical and easy to implement; are easy to understand; are appropriately approved.

The University also seeks to learn from its own experience and the accumulated experience of others to improve its policy.

Phase 1: Establish Need................................................................................ 2 Phase 2: Research and Analysis .................................................................... 3 Phase 3: Drafting .......................................................................................... 3 Phase 4: Consultation ................................................................................... 3 Phase 5: Authorisation.................................................................................. 3 Phase 6: Communication.............................................................................. 3 Phase 7: Implementation .............................................................................. 3 Phase 8: Review ........................................................................................... 4 Phase 1: Establish Need
This phase is critical in determining the work to be undertaken and identifying the actual document to be produced. At this point the Responsible Officer for the policy must be identified, as should the person or persons who will be responsible for managing the policy project through the policy development cycle. The reason for starting a policy project to create or amend policy, must be clearly understood and defined before further work is undertaken. In some cases external drivers such as legislative change or government directive will establish the need, whilst in other cases it may be that new strategic priorities within the University have been determined. Time must be given to considering whether the policy issue is best addressed by a new policy, amendment of existing policy documents, development or amendment of a procedure, or some other method. Research should also identify areas of policy overlap with documents already in development. Any overlap must be resolved as part of the policy project.

Page 2 of 4 Outline of the Policy Development Process

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UNSW Policy Development Process: An Overview

Policy@UNSW Manual Phase 2: Research and Analysis
This phase may proceed concurrently with consultation and drafting phases. The purpose of this phase is to gather the information which will inform the drafting process. A number of tasks may be carried out such as: Review of legislation and policy in relevant organisations Review of University administrative files Costbenefit analysis Surveys Assessment of the advantages and disadvantages of alternate policy options with consideration of resource and operational constraints

Phase 3: Drafting
This phase can proceed concurrently with research and analysis and with consultation. The UNSW Policy Template must be used when drafting policy with University-wide application. The policy may go through a number of drafts before proceeding to consultation and authorisation. As well as making sure that the policy has the right content, it is important to make it as concise and clear as possible, using plain English and maintaining a style that is consistent both within the document and with other policy documents. Other documents should be prepared at this time including any associated procedures or guidelines and policy communication and implementation plans, which assign responsibility for specific implementation activities.

Phase 4: Consultation
This phase can proceed concurrently with drafting and with research and analysis. People/units who will be affected by the policy, including those who will be responsible for its implementation, must be consulted. Effective consultation will facilitate the development of policy content that is both practicable and fulfils the policy intent. This in turn leads to the development of a policy document which can effectively be implemented.

Phase 5: Authorisation
In order to be valid, it is crucial that the document is approved by an individual or body with clear authority to approve policy. The policy, or amendment to policy, formally comes into effect from the date specified, and any earlier version or superseded document ceases to have effect.

Phase 6: Communication
This phase usually forms part of the policy implementation but may occur prior to the policy coming into effect. The communication strategy for approved policy is implemented at this point. Web communication of policy documents is through a central policy repository.

Phase 7: Implementation
This phase may proceed concurrently with communication. The implementation plan developed for the policy prior to approval is applied at this point. Implementation is the process which ensures that the intent of the policy is put into action.

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UNSW Policy Development Process: An Overview

Policy@UNSW Manual Phase 8: Review
As the University operates in a dynamic environment, policy needs to be reviewed to ensure that it retains its relevance and effectiveness. During review consideration is given to the policy intent, implementation, and other factors such as local interpretation of the policy and unexpected outcomes. The effectiveness and consequences of the policy are considered to see how it is operating and whether it is achieving the desired results. The review acts as a link forward from implementation leading on to a return to the first phase of the cycle: the information gathered through review informs decisions about whether there is a need for revision or amendment of the policy, with which a new policy development cycle begins.

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Guide to the Policy Development Process

Phase one: Establish Need
One of the objectives of the policy framework is to prevent the creation of duplicate policy and identify the circumstances where an issue is best addressed through new policy, amendment to existing policy, or through associated documents. Following the steps below will help to determine why a policy is needed and what is intended to be achieved by the policy before drafting commences. 1. Understand why the issue has been identified as requiring a policy. Triggers for new policy or procedures may include: 2. Changes to legislation or changes in government policy. Establishment of a new strategic direction for the University. New initiatives within or across academic or management areas. Operational requirements in a particular area of management or service delivery. Policy review.

Investigate precedents and other University policy related to the issue. Actions may include: Locating University Administrative files relevant to the issue.

Consult with relevant staff on the issue, including the Legal Office.
Checking the policy repository for existing policy, procedures or guidelines on the subject matter. If found, identify any policy gaps and decide if the document(s) can be amended, merged, or must be rescinded. Check whether there is overlap with another document under development.

3.

Decide if a document is needed to address the issue. Consider the following: If the issue is best addressed by a new policy or a new procedure, amendment of an existing document, or some other method. Refer to the Document Hierarchy in the Policy Manual for these document distinctions. Who will the document apply to? Will it apply to controlled entities? Wider possible implications of the document, such as budget implications and resource constraints. Does the intended document support the UNSW Strategic Plan, values and vision? Will the intended document be consistent with compliance requirements? Benchmark the Universitys current position on the issue.

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Phase one: Establish Need
4. Brief relevant bodies (e.g. Executive Team [ET], VCAC) and other senior management of the need to develop a policy to address the issue. Make a decision:

5.

No further action.

Need?

Procedure or Guideline required.

New or amended policy is required.

Continue

Use the templates. Seek advice from PMU Publish on the policy website, if applicable.

1. Identify the document developer(s) responsible for the development of the policy and the content and accuracy of information within the policy. Document developers should be supported by a policy project team composed of staff with the expertise required to develop a well informed policy. 2. The document developer(s) must familiarise themselves with the documents in the Policy Manual. 3. Identify the Responsible Officer for the policy. 4. Establish a central records file with the Records and Archives Office. 5. Prepare an initial project plan and approximate timeline for the development of the policy in accordance with the steps of the policy development process. 6. Contact the Policy Management Unit (PMU) to register the proposed policy and initial project plan. Complete a Policy Submission Form on the Policy@UNSW website, or email policy@unsw.edu.au.

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Guide to the Policy Development Process

Phase two: Research & Analysis

A policy cannot be developed without first determining which policy options will work within the context of the University. Each policy option which deals with an issue must be identified and evidence gathered regarding its feasibility and implementation constraints. By undertaking some of the actions below unworkable or inappropriate policy decisions may be avoided.

1. Research
The following is the minimum which should be undertaken when developing policy: Determine how the issue is currently being managed and identifying strengths and weaknesses with the existing processes. Benchmark the Universitys position regarding the issue against a range of organisations. Review related policy, procedures in government, other universities and other relevant bodies. Conduct a literature review on the issue. Review best practice. Check documents on UNSW administrative files. Identify areas of policy overlap with documents already in development. Any overlap must be resolved as part of the policy project. Investigate the legal and policy framework. Identify any legislative and regulatory requirements (i.e. ESOS legislation, State Records Act), related UNSW policy, relevant standards, etc).

Other research activities could include: Surveying the University community. Seeking advice from subject matter experts.

2. Conduct Policy Analysis

The application of policy analysis to a policy under development is a useful way for policy creators to reach the best policy solution to an issue, identify gaps in the policy and the resources necessary for effective implementation. Keeping a record of the analysis undertaken is also a vital tool for future policy reviews. It is recommended that a record such as the table below be completed and added to the administrative file for the policy. As there are varying levels of complexity of policy analysis which can be applied to a policy under development resource implications of undertaking analysis need to be taken into account. An analytical approach to policy is potentially relevant at every stage of the policy process and document developers should continually revisit questions about the policys potential effects, relevance to the University and consistency with the overall strategic objectives and values of the University.

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Phase two: Research & Analysis

Policy analysis can include: Analysing a problem or situation with a view to determining a policy response. Evaluating different policy options to determine which is the most suitable. This involves making judgements about how well options are likely to fulfil desired goals, taking into account the implications or consequences of implementing each option. Assessing existing policy to evaluate its suitability or fitness for purpose. This involves a consideration of how well the policy fulfils its intended goals, and other implications or consequences arising from the operation of the policy.

In each case, the policy analysis involves identifying the effects a policy has, or will have, including the policys contribution to achieving desired goals. Policy Analysis Tools The essence of policy analysis is to seek answers to questions such as Will the policy work? Is the policy working?, What is the potential or actual impact of the policy and on whom?. Below are some policy analysis techniques which may be useful in some cases: Cost-benefit analysis: The costs and benefits of policy options are quantified, usually by assigning a $ amount. This assists in the evaluation and comparison of different policy options. Cost-effectiveness analysis: This is similar to cost-benefit analysis. It is used when the outcome is pre-determined and the different ways of reaching that outcome need to be costed for the purposes of evaluation. Benefit-effectiveness analysis: This is also similar to cost-benefit analysis. It is used when the available resources for achieving an outcome are predetermined and the benefits of different ways of using those resources need to be evaluated.

Aspects of all three of the above can be used without the assignment of numerical values, however, the results will be less precise. Community expectation surveys: This can help to bring a wider range of views to bear on the policy development process. The community to be surveyed might include any part of the University community and/or relevant external groups, including those who will be responsible for implementing the policy as well as those who will be affected by the policy. Literature reviews: this is a review of information published on the policy area. It is a way of discovering not only how other organisations or bodies have dealt in practice with a policy issue, but also what theoretical considerations may assist in reaching the best result. It may include website, government publications, and survey data from other organisations.

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Phase two: Research & Analysis
System modelling: Draws on technical expertise from different disciplines to project outcomes which may arise from implementation of the policy. For example, it may be useful in different cases to use economic market models, evolutionary models, operations research models, or linear programming models. Sensitivity analysis: This can be used to test the extent to which an assumption relied upon in the development of a policy will affect the outcomes achieved by the policy. It can be relevant where it is recognised that a policy option depends on assumptions about uncertain factors. Mathematical techniques can be used to determine which of several uncertain assumptions is the most important and how multiple uncertainties interact. Scenario writing: Is a way of envisaging the future impact of a policy, particularly scenarios in which a policy option might fail or have unwanted results. This can stimulate thinking about alternatives or improvements. Scenario writing can also help to focus attention on the perspective of those affected by the policy and those responsible for implementing it. Outcomes matrixes: These are a way of systematically comparing policy options in terms of pre-determined criteria.

Outcomes Check again if related UNSW policy documents need to be revised in conjunction with the new policy and consult with the policy contact officer. The best or preferred policy option should now be clear.

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Policy@UNSW Manual

POLICY ANALYSIS RECORD

Policy Name Contact Name Name of Document Developer(s) for this policy

Details of analysis

Completion Date

Results

Policy Analysis Checklist.

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Policy@UNSW Manual

Policy Analysis
n

The application of policy analysis to a policy under development is a useful way for policy creators to reach the best policy solution to an issue, identify gaps in the policy and the resources necessary for effective implementation. The essence of policy analysis is to seek answers to questions such as Will the policy work? Is the policy working?, What is the potential or actual impact of the policy and on whom?. Anybody who is attempting to answer such questions on the basis of evidence is doing some form of policy analysis. Inadequate policy analysis will result in flawed policies. Keeping a record of the analysis undertaken is also a vital tool for future policy reviews. It is recommended that a record such as the checklist below be completed and added to the administrative file for the policy. The resources necessary to undertake analysis are dependent upon the level and complexity of the analysis. In order to ensure that the required analysis can take place, consideration of the resource implications and type of analysis needed must be given at the early stage of policy development before drafting the policy. An analytical approach to policy is potentially relevant at every stage of the policy process and questions about the policys effects should help to remind us that a policy does not exist just for its own sake but for a larger purpose relevant to the needs or objectives of the organisation. Policy analysis can include: analysing a problem or situation with a view to determining a policy response. evaluating different policy options to determine which is the most suitable. This involves making judgements about how well options are likely to fulfil desired goals, taking into account the implications or consequences of implementing each option. assessing existing policy to evaluate its suitability or fitness for purpose. This involves a consideration of how well the policy fulfils its intended goals, and other implications or consequences arising from the operation of the policy.

In each case, the policy analysis involves identifying the effects a policy has or will have including the policys contribution to achieving desired goals. Policy Analysis Tools Effective policy analysis will only happen with the application of good analytical attitude and skills. These can be enhanced by the use of specialised tools. The following tools will usually be considered the minimum to be applied in developing good policy: Check consistency (with legislation and other policies): Investigate the legal and policy framework for this subject matter. Identify legislative and regulatory requirements. Consider the relationship with existing University policy. Review government or industry standards or guidelines.
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Page 1 of 3 Policy Analysis

Review best practice: Consult related policy of other organisations and Universities, in particular the Group of Eight (Go8). Consult: Seek input on the policy issue or feedback on policy ideas from relevant individuals and groups. (see Policy Consultation Planning)

Below are additional policy analysis techniques which may be useful in some cases: Cost-benefit analysis: The costs and benefits of policy options are quantified, usually by assigning a $ amount. This assists in the evaluation and comparison of different policy options. Cost-effectiveness analysis: This is similar to cost-benefit analysis. It is used when the outcome is pre-determined and the different ways of reaching that outcome need to be costed for the purposes of evaluation. Benefit-effectiveness analysis: This is also similar to cost-benefit analysis. It is used when the available resources for achieving an outcome are pre-determined and the benefits of different ways of using those resources need to be evaluated.

Aspects of all three of the above can be used without the assignment of numerical values, however, the results will be less precise. Community expectation surveys: This can help to bring a wider range of views to bear on the policy development process. The community to be surveyed might include any part of the University community and/or relevant external groups, including those who will be responsible for implementing the policy as well as those who will be affected by the policy. Literature reviews: this is a review of information published on the policy area. It is a way of discovering not only how other organisations or bodies have dealt in practice with a policy issue, but also what theoretical considerations may assist in reaching the best result. It may include website, government publications, and survey data from other organisations. System modelling: Draws on technical expertise from different disciplines to project outcomes which may arise from implementation of the policy. For example, it may be useful in different cases to use economic market models, evolutionary models, operations research models, or linear programming models. Sensitivity analysis: This can be used to test the extent to which an assumption relied upon in the development of a policy will affect the outcomes achieved by the policy. It can be relevant where it is recognised that a policy option depends on assumptions about uncertain factors. Mathematical techniques can be used to determine which of several uncertain assumptions is the most important and how multiple uncertainties interact. Scenario writing: Is a way of envisaging the future impact of a policy, particularly scenarios in which a policy option might fail or have unwanted results. This can stimulate thinking about alternatives or improvements. Scenario writing can also help to focus attention on the perspective of those affected by the policy and those responsible for implementing it. Outcomes matrixes: These are a way of systematically comparing policy options in terms of pre-determined criteria.

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Policy@UNSW Manual

POLICY ANALYSIS CHECKLIST

Policy Name Contact Name Analysis tool* Contact officer for this checklist Details of analysis Completion Date Results

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Guide to the Policy Development Process

Phase three: Drafting Drafting
Drafting is the physical expression of the preferred policy option identified through policy analysis in the format prescribed by the UNSW Policy Template and using plain English. The drafting process continues through subsequent phases of the policy development process.

1. Templates
The UNSW Policy Template contains the required sections for the policy document. Use the Guide to the UNSW Policy Template or contact PMU for assistance when working with the template. Procedure and Guideline Templates are available for associated documents. Use version control when drafting document and ensure major changes are filed on the policy administrative file.

2. Drafting Considerations
Use plain English. Clear, concise, simple language means policy statements will be understood. Use terms such as must and shall for mandatory requirements. Use may and should for non-mandatory requirements. Be concise, succinct and explicit. Avoid the use of acronyms, and use the same word for the same concept throughout. Do not use jargon that can only be understood by those with technical or specialist knowledge of the subject matter. Use short sentences and paragraphs. Do not include procedural actions and best practice guidelines in the policy.

3. Content Considerations
Ensure that each policy statement can be understood and does not raise unanswered questions. Indicate where further information will be, or is, covered by associated procedures and guidelines. Ensure consistency with legislation and existing policy. Clearly articulate what is wanted of individuals and groups, and why. Policy content must be practical and able to be implemented. Consider whether the date the policy comes into effect is the date of approval or some other specified time.

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Phase three: Drafting
4. Consultation and implementation
Commence preparation of the consultation and implementation plans. These will need to be finalised before the policy is approved.

Contact the Policy Management Unit when you are satisfied with the draft policy.

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Phase four: Consultation Consultation
Consultation and communication are proactive ways for policy creators to engage with staff, students and the community to help test policy options and identify any gaps and implementation resource needs that may have been overlooked. How we consult and communicate is an essential part of bringing onboard our stakeholders to ensure success. Keeping a record of who we have consulted and how we communicated with them is a necessary tool for future policy reviews. Consultation must be planned and recorded using the Consultation Plan.

1. The Consultation Plan

Very early in the policy development process the Consultation Plan should be drafted. The plan must include which groups/individuals are being targeted, the purpose of this consultation, the way you will reach your audience and the expected completion date. Prior to carrying out the actual consultation activities the first step is to publicise the fact that a policy is being created or reviewed and who should be involved in the consultation. A consultation draft should then be posted on the Policy@UNSW website, which is accessible to all staff and students and the wider community. It is recommended the draft be available online for at least three weeks to allow an adequate time for feedback. Suggested steps for preparing the Consultation Plan Identify the target groups/individuals to be approached These may include: UNSW Council, Academic Board, and Faculty Board and their associated committees, Executive Team and VCAC, Deans and Heads of Schools, Managers of administrative units, representative groups of staff and students and so on. Other administrative divisions/units need to also be consulted where policy overlap occurs and/or where there is split responsibility for implementation of a component of the policy. It is critical during this stage to be clear about the intent of the new policy (or amendment/s to an existing one). If it is a new policy, what gap is it filling? If it is an amendment/s to an existing policy, why does the existing policy need amendment?

Identify the goal of the consultation process with each target group/individual Why is consultation needed and what is sought from the consultation? A significant part of preparing the Consultation Plan will involve direct contact with key stakeholders to ensure their input is taken into account at this early phase. This feedback is vital to ensure accuracy in further development of the policy. Individuals within each target group need to know why the policy is under consideration, how it may impact on them, and why they are being consulted.

Identify the consultation methods to be used A requirement of the UNSW Policy Development Process is a period of web consultation (usually at least three weeks) via the Policy@UNSW website. The following are just some suggested ways to reach your target audience:

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Phase four: Consultation
Send out the draft document to individuals at senior levels within each organisation/school/faculty etc, inviting their feedback and those of their staff. Offer a deadline for return of their feedback. Contact Media and Communications who will assist you in drafting an article for the internal e-newsletter news@UNSW to alert the wider University community to the consultation process Through the Universitys formal networks (such as AdminNet and Faculty General Managers meetings) and other networks, emails may be sent out inviting feedback.

Identify the expected completion date for each consultation Contact the Media and Communications Unit to discuss publicity relating to consultation and feedback from consultation Phone: 9385 2864 Email: media@unsw.edu.au

2. Web consultation
A requirement of the framework is to ensure that staff and students of the University have the opportunity to be informed about policy under development and to provide comment. Accordingly Document Developers must contact PMU when a final draft is ready with the following: A copy of the draft policy in Microsoft word (*.doc) format including attachments (procedures, forms, checklists, etc) where relevant. Brief description of the policy and the background to its development. Date submissions are due how long the policy will be available for consultation. Suggested timeframe: minimum of three weeks. Contact officer and email, for submission of comments.

Feedback from the consultation process must be taken into consideration. If the issues raised are significant enough, a revised draft policy may need to be developed and resubmitted for another period of web or other consultation or communication before the policy proceeds to authorisation.

3. Implementation
Comment from the consultation will be critical in determining which practical strategies will most effectively deploy the policy and will help to inform the implementation plan.

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Policy Consultation and Communication

Consultation and communication are proactive ways for policy creators to engage with staff, students and the community. It not only helps to identify any gaps and implementation resource needs that may have been overlooked, but how we consult and communicate is an essential part of bringing onboard our stakeholders to ensure success. Keeping a record of who we have consulted and how we communicated with them is a necessary tool for future policy reviews.

THE CONSULTATION PLAN

Very early in the policy development process the Consultation Plan should be drafted. The plan must include which groups/individuals are being targeted, the purpose of this consultation, the way you will reach your audience and the expected completion date. Prior to carrying out the actual consultation activities the first step is to publicise the fact that a policy is being created or reviewed and who should be involved in the consultation. A consultation draft should then be posted on the Policy@UNSW website, which is accessible to all staff and students and the wider community. It is recommended the draft be available online for at least three weeks to allow an adequate time for feedback. Suggested steps for preparing your Consultation Plan 1. Identify the target groups/individuals to be approached These may include: UNSW Council, Academic Board, and Faculty Board and their associated committees, Executive Team and VCAC, Deans and Heads of Schools, Managers of administrative units, representative groups of staff and students and so on. Other administrative divisions/units need to also be consulted where policy overlap occurs and/or where there is split responsibility for implementation of a component of the policy. It is critical during this stage to be clear about the intent of the new policy (or amendment/s to an existing one). If it is a new policy, what gap is it filling? If it is an amendment/s to an existing policy, why does the existing policy need amendment? 2. Identify the goal of the consultation process with each target group/individual Why is consultation needed and what is sought from the consultation? A significant part of preparing the Consultation Plan will involve direct contact with key stakeholders to ensure their input is taken into account at this early phase. This feedback is vital to ensure accuracy in further development of the policy. Individuals within each target group need to know why the policy is under consideration, how it may impact on them, and why they are being consulted. 3. Identify the consultation methods to be used A requirement of the UNSW Policy Development Process is a period of web consultation (usually at least three weeks) via the Policy@UNSW website.

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The following are just some suggested ways to reach your target audience: Send out the draft document to individuals at senior levels within each organisation/school/faculty etc, inviting their feedback and those of their staff. Offer a deadline for return of their feedback. Contact Media and Communications who will assist you in drafting an article for the internal e-newsletter news@UNSW to alert the wider University community to the consultation process Through the Universitys formal networks (such as AdminNet and Faculty General Managers meetings) and other networks, you may wish to send out emails inviting feedback.

4. 5.

Identify the expected completion date for each consultation Contact the Media and Communications Unit to discuss publicity relating to consultation and feedback from consultation Ph: 9385 2864 E: media@unsw.edu.au F: 9385 2837

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POLICY CONSULTATION PLAN

Policy Name Status Contact Name New Under Review Contact officer for this plan Method/s Expected completion date Status

Target Purpose groups/individua ls

Required Web Consultation

Web consultation i d Notice of Web C News@UNSW lt ti [Date] myUNSW [Date]} Other Contact for Feedback Name & Email address Status

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Phase six: Communication Communication
A requirement of the policy framework is to ensure that once approved the policy is communicated to staff and students. Document Developers must contact PMU once a policy is approved with a copy of the

policy in Microsoft word (*.doc) format including attachments (procedures, forms, checklists, etc) where relevant.
The Policy Management Unit will arrange to: o o Publish the policy on the Policy website. Advise the University community of the new/amended policy and/or procedures with a notice in the internal e-newspaper: news@UNSW. Arrange for the publication of a notice in myUNSW. Notify faculties and school and administrative units of the approved policy. Liaise with units regarding superseded or rescinded documents in publications. Archive superseded or rescinded documents.

o o o o

The document developer will arrange: o o Advise staff responsible for specific aspects of implementation that the policy or amendment has been authorised and effective date. Any direct communication from the Responsible Officer to Deans, Heads of School/Units to advise of the new/amended policy and any changes required to implement the policy. Communicate details of the policy applicable to students to key student groups; Liaise with OSDS regarding inclusion of information about the policy in Human Resources induction programs. Any additional communication requirements such education and training which have been specified in the Implementation Plan.

o o o

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Communication of Approved Policy

The following is the minimum communication of approved policy. The Implementation Plan must identify communication requirements additional to the standard below necessary for the effective roll out of the policy.

STANDARD POLICY COMMUNICATION 1. Web Publication

The Policy Creator will: Email an electronic copy of the policy in word format to policy@unsw.edu.au immediately after approval of a new/amended policy.

PMU will: Publish the policy document to the web in PDF format. Establish online links to related policy and other documents. Ensure documents superseded by the published policy are available online in a policy archive. Advise the contact officer designated in the policy of the URL.

2. University community advising

The Policy Creator will: Advise the policy project team and other staff responsible for specific aspects of implementation that the policy or amendment has been authorised and effective date.

PMU will: Place an article and link to the policy in news@UNSW. Place an article and link to the policy in myUNSW. Notify Faculties and schools and administrative units of the policy approval. Confirm with policy creators if there is a need to contact Deans/HOS or ET directly. Liaise with OSDS and policy creators regarding inclusion in HR induction programs.

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Policy Implementation

Implementation
The practical strategies which will most effectively implement the policy must be considered before seeking policy approval. Resource needs, timeframe requirements, systems development and other requirements to implement the policy will have emerged through the policy development process and must be incorporated into an Implementation Plan for the policy.

The Implementation Plan

Each policy document developed under the UNSW policy framework must clearly articulate the implementation responsibilities of particular staff and units in an Implementation Plan. The implementation plan will facilitate policy implementation and compliance by: Assigning responsibility to individuals for implementation tasks and feedback. Specifying policy communication requirements. Identifying the resources necessary to carry out implementation actions.

Suggested steps for preparing the Implementation Plan Identify staff members/units who will be involved with initial rollout and subsequent ongoing support of the policy

o o o

Determine who will be responsible for oversighting implementation activities if not the Contact Officer. Determine who will be responsible for providing advice on the application of the policy if not the Contact Officer. Identify the need for, or the intended development of, supporting documentation such as procedures, guidelines, tool-kits and forms to provide further information and facilitate compliance with the policy. Determine who will be responsible for the creation of supporting documentation. Assign responsibility for each implementation task*. Identify Communication requirements additional to the Standard Policy Communication. Liaise with staff and/or units responsible for particular aspects of implementation to establish agreement regarding implementation obligations and timeframes If it is not possible to clearly determine the necessary implementation steps prior to seeking approval as above, give the reason(s) implementation tasks cannot be identified and the intended future actions which will be undertaken regarding implementation.
Date Effective: 26/11/2007 Version: 2.0 01/07/2008

o o o

o o

Page 1 of 3 Policy Implementation Plan

After policy has been approved o o o o A copy of the final implementation plan must be provided to PMU for the purposes of monitoring and evaluation. Individuals must be notified of their responsibilities. Implementation tasks must be followed up to ensure they occur. Feedback on the effectiveness of implementation should be communicated to the Policy Management Unit.

* Possible implementation tasks Briefings for staff affected by the policy. Staff and student workshops or focus groups to introduce the new or amended policy in practical terms. Online tutorials to guide staff and students (where applicable) through the policy statement, with links to associated documents or tool-kits. Incorporate relevant information into induction programs for new staff. If the policy is relevant to students, contact Arc@UNSW and arrange communication with students. Include information in relevant University publications. Survey the University community or affected groups, within 12 months of the policy coming into effect, to ascertain policy take-up. Monitor and review issues which arise during implementation

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Policy@UNSW Manual

IMPLEMENTATION PLAN
Policy Name Contact Name Action Contact officer for this plan Responsible Officers Expected completion date Status

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Policy@UNSW Manual

Policy Implementation
N

Issues relating to the effective implementation of a policy and the consequent actions necessary to ensure that a policy will take effect must be considered before seeking policy approval. The identified issues, such as resource needs, timeframe requirements, systems development and so on will most likely have been identified during the early policy development phases of consultation and policy analysis. Implementation and compliance will be enhanced if: documents clearly articulate the responsibilities of members of the University community to whom the policy applies; individuals are advised of their responsibility for implementation; the policy and its impact are well communicated and understood; sufficient resources are allocated to carry out implementation actions; the policy is monitored and reviewed and issues which then arise receive an appropriate response.

Implementation Plan
Each policy document developed under the UNSW policy framework must clearly articulate the implementation responsibilities of particular staff and units in an Implementation Plan. At a minimum an implementation plan should include: Identification of the staff member or unit clearly responsible for explaining particular implications of the policy to those affected by the policy. Identification of staff or units with specific assigned responsibility for aspects of the policy implementation and who are available to answer questions about the policy. The intended development, or existence, of supporting documentation such as procedures, guidelines, tool-kits and forms to provide further information and facilitate compliance with the policy. Communication requirements additional to the Standard Policy Communication.

Other possible implementation actions: Briefings for staff affected by the policy. Staff and student workshops or focus groups to introduce the new or amended policy in practical terms. Online tutorials to guide staff and students (where applicable) through the policy statement, with links to associated documents or tool-kits. Include information about the policy in the induction program for new staff. If the policy is relevant to students, contact Arc@UNSW and arrange communication with students. Inclusion of information in relevant University publications. Online survey for the University community or affected groups, within 12 months of the policy coming into effect, to ascertain policy take-up.

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Implementation Plan Tasks Prior to policy approval Liaise with staff and/or units responsible for particular aspects of implementation to establish agreement regarding implementation obligations and timeframes Develop the Implementation Plan

After policy has been approved Provide a copy of the implementation plan to PMU for the purposes of monitoring and evaluation. Email policy@unsw.edu.au. Notify specific individuals of their responsibilities. Follow up implementation tasks to ensure they occur. Liaise with the Policy Management Unit to obtain feedback on effectiveness of implementation.

Policy@UNSW Manual

IMPLEMENTATION PLAN
Policy Name Contact Name Action Contact officer for this plan Responsible Officers Expected completion date Status

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Policy@UNSW Manual
N

Guide to the Policy Development Process

Phase eight: Review Periodic Review
Policy needs to be regularly reviewed to ensure that it retains its relevance and effectiveness. During review the policy intent and implementation are revisited, and the effectiveness of the policys deployment and any unexpected outcomes are considered. Policy review must commence three years from the date of approval of the policy unless otherwise stated within the policy document. The Policy Management Unit will: o o Contact the person responsible for review as identified in the policy and advise them of the review requirement. PMU will update the policy document with any revised review

commencement dates. o Provide reviewers with feedback received on the policy obtained prior to the review commencing. o After the review is completed PMU will update the central policy repository.
The policy reviewer will: o o o o o o Evaluate the effectiveness and consequences of the policy during its time in force. Investigate the level of compliance. Evaluate whether the policy is still consistent with other UNSW policy and legislative or other requirements. Undertake consultation as necessary to help inform the evaluation of effectiveness and compliance. Examine whether or not the policy has achieved its initial purpose. Advise PMU when the review has been finalised.

Ad Hoc Review
Ad hoc reviews may occur at any time outside of the period review or the scheduled review date. Triggers for an ad hoc review may include: Changes to legislation or changes in government policy Establishment of a new strategic direction for the University New initiatives within or across academic or management areas Operational requirements in a particular area of management or service delivery

Contact Officers must advise PMU of the commencement of an ad hoc review. The relevant parts of the Policy Development Process should be followed.

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Policy@UNSW Manual
N

Guide to the Policy Development Process

Phase eight: Review Review Outcomes
Substantial or significant changes are necessary to the policy
o The Policy Development Process must be followed from the first phase Establish Need.

Minor Amendments
Minor amendments do not change the intent, scope, application or meaning of the policy. Minor amendments can be made to: o o o o The policy header. Section 3, Definitions. As long as the amendment does not alter the meaning or intent of the policy. Section 5, Legal & Policy Framework. Section 6, Implementation

Minor amendments include: o o o o o o o amendment to position titles; updating responsible units; changing the titles of associated document; modification of URLs, or any documents hyperlinked from the policy; references to legislation; links to, or titles of, publications; minor updates to the name(s) of external bodies.

The Responsible Officer will advise the Policy Management Unit of the requirement for a minor amendment and send the amended document to PMU. PMU will publish the amended policy and update the version control number and the Modification History. All other amendments, in particular those which revise the Policy Statement (Section 4), will not be considered a minor amendment. Document developers must follow the Policy Development Process to review the policy.

No Amendment
o The policy reviewer advises PMU that following review there are no amendments required. PMU will update the Review Section on the policy.

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UNSW Manual
n

Version Control

Policy, procedure and guidelines go through various iterations before being endorsed and approved for distribution, and once published may be amended. Version control can be used to track the changes that occur to a document and record its distribution throughout the document's development and subsequent revision(s). Version control numbering has been included in the Policy, Procedure and Guideline templates. Version Control principles all draft documents will initially be numbered Version 0.1; after each revision the number to the right of the point increases (version 0.2, 0.3 etc); when the document is authorised the number converts to Version 1.0 and the document is published to the Policy@UNSW website; once published the number to the right will increase with each minor amendment approved: Version 1.1, 1.2 and so on. The 12th minor amendment without any major revision would appear as 1.12; a full review would result in the number to the left of the point incrementing by 1 and the number to the right of the dot point returning to zero i.e. Version 2.0; there may be circumstances when a policy may require immediate change. For example, to comply with new/amended legislation or other external factors. In these cases a change from, for example, Version 1.3 to Version 2.0 will need to be made in order to show that the new version is a major change from the previous version.

Version numbering provides a wealth of information at a glance. If the version is 1.0 then there have been no changes since the document was authorised and communicated. A version number of 7.4 would indicate that this is the seventh version which has had four minor revisions since publication. Version Control in the UNSW document templates In the Policy Template all minor amendments and modifications will be recorded in the policy header in the Modifications field. Version numbers will be listed, the authorising body/person and the date the amendments were made. For example:
Version 1.0 approved by the VC 1 March 2003 Version 1.1 approved by the Chief Operating Officer 10 February 2006 Version1.2 approved by the Chief Operating Officer 15 September 2006

Modifications

Procedures and Guidelines will be modified with greater frequency, and therefore the modification history has been included in section 4 of both templates:
Version 1.0 1.1 Date 04/11/2005 10/02/2006 Author PMU Director PMU Director Approval COO COO Sections modified N/A 2 4.1 Details of amendments

2nd sentence revised Step 1 updated

Document Footer In all templates the version control number and date of the minor amendment are listed in the right-hand margin of the footer section. The version number and date approved need to be updated after each amendment. The date the policy came into effect must remain the date the original version was approved, until the next full review. Contact PMU for assistance.
Acknowledgement: Charles Darwin University 2006, Document History and Version Control Principles. Page 1 of 1 Version Control numbering for UNSW Policy, Procedure and Guidelines Date Effective: 18/09/2006
Version: 1.1: 12/11/2007

[SUBJECT] POLICY

UNSW Policy
Responsible Officer Senior Manager with operational responsibility for this area (include position details; the Managers name is optional). Insert position contact details (email & phone) for person assigned day-to-day responsibility. If this is more than one person and there are different areas of responsibility, all positions and the responsibility split should be stated (individual staff names are optional). Name of authorising individual or body Date of authorisation and resolution number if applicable. List the date this policy comes into effect [xx/xx/20xx] Record of all amendments and modifications to this policy, including dates that amendments were approved and/or came into effect. List all documents replaced by this policy. Identify responsible officer(s) for the review process, specify review commencement date(s)[Month Year] and gives the status of any review currently under way. All documents relating to the policy development, communication, implementation and review must be held on a UNSW registered file. Contact the Records Office. Ext 52858. List any supporting documents (guidelines, procedures etc) and other University documents which may be a useful reference for policy users.

Contact Officer Authorisation Effective Date

Modifications Superseded Documents

Review

File Number

Associated Documents

1. Preamble
1.1 1.2

Purpose * Background

Note: In this template the main headings are mandatory as well as the subheadings with an asterisk (*).

2. Scope 3. Definitions 4. Policy Statement 5. Legal & Policy Framework 6. Implementation

6.1 6.2 6.3 6.4 6.5

Roles & Responsibilities * Support and Advice * Communication * Procedures and Forms Guidelines

7. Review 8. Acknowledgements

Page 1 of 1 Policy Name

Date Effective: XX/XX/XXXX Version: X.X: XX/XX/XXXX

[NAME OF PROCEDURE]

UNSW Procedure
Linked UNSW Policy Responsible Officer Contact Officer Authorisation Effective Date Superseded Documents File Number Associated Documents 1. 2. 3. 4. This procedure details actions and processes pursuant to [Name of University Policy]. This is the senior person in whose portfolio of responsibilities the substantive focus of the procedure most clearly resides. Position contact details (email and phone) for person responsible for issuing procedure document. Name of the authorising individual or body [xx/xx/20xx] List the date this procedure comes into effect [xx/xx/20xx] List all documents replaced by this procedure. The procedure must be held on a registered file. Ph ext 52858. These are the documents which should be read in conjunction with this procedure, such other procedures and guidelines.

Purpose and Scope ...................................................................................................... 1 Definitions..................................................................................................................... 1 Procedure ..................................................................................................................... 1 3.1 [Step 1 - Name the Action to be undertaken] ...................................................... 1 Review & History .......................................................................................................... 1 4.1 Modifications ....................................................................................................... 1

1. Purpose and Scope

This is a short statement setting out the reasons why the procedure is required and the situations or circumstances in which it should be employed.

2. Definitions
This section sets out definitions for key terms and acronyms referred to in the procedure document. Definitions must be consistent with other UNSW documents, particularly the associated policy.

3. Procedure
This section sets out the actions to be performed. They must be described clearly and in order of performance. Descriptions should include specific responsibilities, timelines and circumstances in which procedures are varied. 3.1

[Step 1 - Name the Action to be undertaken]

4. Review & History

This section provides a brief description of the planned review of the procedure. In general procedure should be reviewed more frequently than policy. The history of modifications to the procedure must be detailed in the table below. 4.1

Modifications
Date Author Approva l Sections modified Details of amendments

Version

5. Acknowledgements
This section can be deleted if not required

Page 1 of 1 Name of Procedure

Date Effective: XX/XX/XXXX Version: X.X, XX/XX/XXXX

Guide to using the UNSW Policy Template

Policy@UNSW Manual
As part of the UNSW Policy Framework the UNSW Policy Template has been developed to: Introduce a standard presentation style for policy at the University. Enable a consistent approach to the creation of policy. Guide the language used when drafting policy and help develop clearly articulated policy. Include key elements essential to the effective operation of policy, including a description of the purpose or intent of a policy and implementation responsibilities. Link policy to the overarching legal framework, where applicable Reduce confusion over what is, and what is not, University policy. This document explains how to use the standard policy document template which must be used when writing policy with University-wide application. The template consists of the following sections:
1. Preamble ................................................................................................................................2 1.1 Purpose *......................................................................................................................2 1.2 Background ..................................................................................................................2 Scope......................................................................................................................................2 Definitions..............................................................................................................................3 Policy Statement .....................................................................................................................3 Legal & Policy Framework ......................................................................................................3 Implementation ......................................................................................................................3 6.1 Roles & Responsibilities *.............................................................................................3 6.2 Support and Advice * ...................................................................................................3 6.3 Communication * .........................................................................................................3 6.4 Procedures and Forms ..................................................................................................3 6.5 Guidelines....................................................................................................................3 Review....................................................................................................................................3 Acknowledgements ................................................................................................................3

2. 3. 4. 5. 6.

7. 8.

Fonts used in the template:

Policy Name: The UNSW coat of arms and policy name appear in the first row of the template header, and are in 16-point Optima LT Std. The title assigned to the policy should be clear and concise and reflect the contents. Use the form [Subject] Policy. Avoid the use of specialised acronyms in the title. In general, the name of the University should not be used as part of a policy title. Header Text: All document header text is written is Optima LT Std, size 10 font.

1. Main Heading use Heading 1 Optima LT Std font, size 13

Use Body Text format under the main headings (Optima Lt Std, size 11) 1.1 Sub-Heading Heading 2 Optima LT Std, size 12 Use Body Text 2 for text under sub-headings and paragraph headings. 1.1.1 Paragraph Heading Heading 3 Optima LT Std, size 11 Use Body Text 2 for text under sub-headings and paragraph headings.

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[SUBJECT] POLICY
UNSW Policy
Document Number Once the policy has been approved the Policy Management Unit will register the document and assign a unique identifier. This is the senior person in whose portfolio of responsibilities the substantive focus of the policy most clearly resides. Insert the position name in the template. The name of the individual is optional. This is the person(s) with day-to-day responsibility for assisting staff, students or community members with interpretation and advice regarding the policy. If this is more than one person and there are different areas of responsibility, all positions and the responsibility split should be stated. Insert the position name(s) and contact details (email and phone). The names of individuals are optional. This section is completed after the policy has been approved. The name of the authorising individual or body, the date of authorisation and relevant authorisation reference (for example, Council resolution number) are inserted here. This is the date from which the policy takes effect. [xx/xx/20xx] This section records the history of the policys amendments and modifications. Insert the dates and authorisation references as well as version numbers. List the policy document(s), or parts of policy document(s), which cease to have effect as a result of this policy coming into effect. This section identifies responsible officer(s) for the review process, specifies review commencement date(s)[Month Year] and gives the status of any review currently under way. For new policy, the review commencement date is three years after approval, unless otherwise specified. This section records the UNSW Administrative file number assigned by the Records and Archives Office. Supporting papers relating to the development of the policy should be placed on this file. These are the documents which must be read to enable application of this policy, primarily documents which directly support the policy, such as procedures and guidelines.

Responsible Officer

Contact Officer

Authorisation Effective Date

Modifications Superseded Documents

Review

File Number

Associated Documents

The policy template comprises mandatory and non-mandatory components. Main headings numbered 1 to 7 are mandatory. Sub-headings with an asterisk * are mandatory.

1.

Preamble
The preamble introduces the policy. 1.1

Purpose *
This is a short statement, setting out in broad terms why this policy is required. It may include the risks to be addressed or the benefits to be achieved by the policy.

1.2

Background
This is a succinct overview of any internal or external background factors leading to the development of this policy, such as new or amended legislation, Council decisions or executive directives. This sub-section is not mandatory.

2.

Scope
This section describes to whom and what this policy applies (for example, specific areas or groups within the University, particular issues or situations). Areas or issues specifically excluded from the scope of this policy must be identified. If, after careful consideration, no exceptions are identified, the scope may be described in the following way: This policy applies across the University.

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3.

Definitions
This section sets out definitions for key terms and acronyms referred to in the policy. Definitions should be consistent with other UNSW documents.

4.

Policy Statement
This is a clear and concise statement of the Universitys intent and of the principles that govern what will or will not be done in relation to the policys subject area. Any additional information necessary for carrying out or complying with this policy must be detailed in a separate procedure or guidelines. Numbered and named subsections and paragraphs may be used if considered appropriate.

5.

Legal & Policy Framework

This section describes the legal and policy context within which this policy operates and with which the policy must conform. Include hyperlinks to directly related documents (both UNSW and external).

6.

Implementation
This section outlines the proposed implementation strategy for the policy and assigns responsibility for implementation tasks. Subsections 6.1 to 6.3 are mandatory. 6.1

Roles & Responsibilities *

This subsection describes the allocation of responsibility for implementation of the policy. Specify any unique responsibilities which are assigned to various individuals. Detailed procedural information is not included here but in separate procedures or guidelines.

6.2

Support and Advice *

This subsection identifies contact points for support and advice relevant to this policy. These may be internal or external.

6.3

Communication *
This subsection briefly describes how the UNSW community will be informed of this policy. At a minimum, the standard policy communication strategy is required.

6.4

Procedures and Forms

This subsection identifies any separate procedure documents which must be followed in relation to this policy and any forms which must be used. If documents are in preparation but not yet available, state when they will be available.

6.5

Guidelines
This subsection identifies any separate guidelines which assist in the implementation of this policy. If documents are in preparation but not yet available, state when they will be available.

7.

Review
This section provides a brief description of the planned review of policy content, communication and implementation. It also identifies responsible officer(s) for the review process and specifies review commencement date(s). For new policy, the review commencement date is three years after approval, unless otherwise specified.

8.

Acknowledgements
This section is for acknowledging any material used in development of documents by referencing the source of the ideas or written expression in accordance with the Universitys obligations under the Moral Rights Act 2002 (Cth). Correct academic citation practice must be followed.

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