Policy Framework Procedure

Contents

Summary

This procedure describes the process and requirements for the development, review and management of Policies at Swinburne University of Technology (Swinburne).

Purpose

The purpose of this Procedure is to support the Policy Framework Policy by providing additional information for the development, review, implementation, revocation and management of Policies at Swinburne.

Scope

This Procedure applies to all staff and to all Policies developed for Swinburne.

1. Policy development and review cycle

1.1. Proposal

When a new Policy is proposed the Legal, Risk and Compliance unit must be notified.

A policy proposal must be submitted containing the following information:

• The purpose and reason for the proposed policy.
• Preliminary plans for the development of the proposed policy including, identification of stakeholders to be consulted and timelines for development and approval.

1.2. Drafting

A Policy must be drafted using the Policy template and set out the following.

• Summary – a brief description of the Policy.
• Objectives – intent of Policy.
• Scope – identify who and what the Policy will apply to. 
• Policy Details – the main body of Policy, use of headings and subheadings is encouraged. 
• Roles and Responsibilities – table of roles and responsibilities applicable to the Policy.    
• Definitions (where applicable) – a table to insert key definitions used in the Policy.  This does not include terms already defined in Swinburne’s glossary.
• Policy Details – the meta data of the Policy, including the allocated domain and sub domain (appendix 1), approval and endorsement details, Policy Sponsor, Policy Owner, Policy Author, status of Policy, version and scheduled review date.
• History – a table containing the version history of the Policy.
• Policy Governance – this will contain the Authority that the Policy is made under (Legislation, University Statute and/or Regulations), supporting procedures, supporting documents, associated Policies, and related legislation and associated documents.
   

When drafting a proposed Policy, the following should be considered:

• The position of Senior Management and the broader Swinburne community on the Policy proposal.
• Have there been any issues, concerns, comments or feedback from Senior Management and or staff in the area that the Policy is being developed.
• Have there been any environmental or regulatory changes in the area that the proposed Policy sits.
• Identify any relevant University legislation, existing policies, frameworks, manuals guidelines and or procedures that may inform or impact on the development of the proposed Policy.
• Reviewing similar policies at other comparable institutions or organisations.
• Identify and become familiar with relevant national, state and territory legislation that need to be adhered to when drafting the proposed Policy.
• Identify the approval process and timelines, access the tools and templates required. 
• Identify relevant stakeholders
• Any IT considerations with the proposed Policy.
• Determine if a gender impact assessment needs to be completed.  Legal Risk and Compliance can assist
   

Policy should be drafted using clear, precise and unambiguous wording. The author should refer to the Swinburne Style Guide when drafting the Policy. 

1.3. Consultation

Consultation of stakeholders must occur with the development, review and amendment of Policy.

Suggested stakeholders can include:

• Any group affected by the introduction of the proposed Policy.  This could include but is not limited to, staff and students.
• Any Swinburne staff and senior management that have specific knowledge and expertise in the area of the proposed Policy. 

1.4. Implementation

The implementation of a proposed Policy or amendments to existing Policy should be considered during development.  The implementation and communication template can be used.  Alternatively, the implementation plan can be addressed in the submission when seeking endorsement and approval.

The implementation plan must address a strategy which covers communications, training and support, any support materials to be prepared and how the Policy effectiveness will be monitored and evaluated.  The plan must include who is responsible for actioning these elements and a timeline for completion.

Submissions for the endorsement and approval of Policies must:

• Explain the need for the new Policy or reason for changes to an existing Policy.
• Attest that:
  • Consultation has occurred with the relevant stakeholders.
  • Advice has been sought from Legal, Risk and Compliance.
     
• Identify the date in which the Policy is to come into effect, being either:
  • Date when the Policy is published on the Policy Library.
  • Or specify a date.

1.6. Publication

Once approved a Policy or amendments to Policy will be published on the Policy Library accessible from the Swinburne website.   Legal Risk and Compliance is responsible for coordinating the Policy to be published.

1.7. Review

Approved Policies will be reviewed a minimum of every five years by the Policy Owner.

The review of a Policy must address the following elements:

• Does the Policy support compliance with regulatory and other requirements.  If the regulatory environment for this Policy has changed since its inception or last review, analyse how and how this will it impact on the Policy.
• Effectiveness of implementation – identify the procedures, guidelines, manuals and work instructions supporting the Policy and if they are effective in addressing the objectives of the Policy.
• Adequate decision-making frameworks – is there adequate frameworks within the Policy to guide decision making.
• Benchmarking – review and analyse equivalent organisations, industry groups, government organisations to ascertain best practice to compare with current Swinburne practice.
• Review any feedback received on the Policy and its effectiveness.

1.8. Amendments

Submissions for an approval for a major amendment must include:

• The catalyst for the amendments.
• How the implementation of the amendments will be actioned (see 1.4)
• Attest that:
  • Consultation has occurred with relevant stakeholders.
  • Advice has been sought from Legal, Risk and Compliance.
     
• Identify the date in which the policy is to come into effect, being either:
  • Date when the policy is published on the Policy Library
  • Or specify a date.

1.9. Revocation

A Policy can be revoked when:

• A new Policy is approved which covers the field.
• The Policy is no longer relevant or required.
   

Submissions for the revocation of a Policy must include:

• The reasons for revoking the Policy.
• Attest that:
  • Consultation has occurred with the relevant stakeholders.
  • Advice has been sought from Legal, Risk and Compliance.
     
• Identify the date in which the Policy is be revoked, by either:
  • Date when the Policy is to be removed from the Policy Library
  • Or specify a date.

Procedure details

Procedure governance