policy making guidelines - unsw

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UNSW Guideline

[NAME OF GUIDELINE]

Associated UNSW Policy &

Procedures

This guideline outlines recommended practice in accordancewith the following:

[Policy Name and/or procedure name]

Contact OfficerPosition contact details (email & phone) for person assignedday-to-day responsibility.

Effective DateDate this authorised version of the guideline comes into effect.Date this authorised version was rescinded.

File Number

Records of University-wide guidelines should be kept withassociated policy on a UNSW registered file. Contact theRecords Office - Ext 52858.

1. Introduction and Scope ................................................................................................12. Definitions.....................................................................................................................13. Guidelines.....................................................................................................................1

3.1 Associated Documents........................................................................................14. Modifications.................................................................................................................1

1. Introduction and Scope

Outline the purpose of this document. What is the objective and how can thisdocument help? Describe if the guideline outlines recommended practice inaccordance with legislation, policy or procedures.

To whom and what does this guideline apply? Specify the situations and issues forwhich this guideline may provide assistance. This guideline outlines recommendedUniversity practice in what area?

2. Definitions

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

3. Guidelines

List the information and advice that will provide guidance to the members ofgroups specified in the scope of this document. List the processes which provideexamples 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

Version

Date Author Approval

Sectionsmodified

Details ofamendments

5. AcknowledgementsThis section can be deleted if not required.

Page 1 of 1 Date Effective: XX/XX/XXXXName of Guideline Version: X.X: XX/XX/XXXX


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UNSW POLICY DEVELOPMENT PROCESS

Establish Need

Authorisation

Review

Research & Analysis

Communication

Drafting Consul

Implementation

UNSW Policy Development Process v1.0


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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 bethought of as making up the policy cycle. The phases are not rigidly separated and mayproceed concurrently. However, the phases flow logically from the first phase, establishingthe need for a new policy or amendment/replacement of an existing policy, to the last phasewhich is review.

Through the continuous policy development cycle, the University seeks to ensure that it hasa 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 experienceof others to improve its policy.

Phase 1: Establish Need................................................................................ 2Phase 2: Research and Analysis .................................................................... 3Phase 3: Drafting.......................................................................................... 3Phase 4: Consultation................................................................................... 3Phase 5: Authorisation.................................................................................. 3Phase 6: Communication.............................................................................. 3Phase 7: Implementation .............................................................................. 3Phase 8: Review ........................................................................................... 4Phase 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 beidentified, as should the person or persons who will be responsible for managing the policyproject through the policy development cycle.

The reason for starting a policy project to create or amend policy, must be clearlyunderstood and defined before further work is undertaken. In some cases external driverssuch as legislative change or government directive will establish the need, whilst in othercases 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 newpolicy, amendment of existing policy documents, development or amendment of aprocedure, 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 policyproject.

Page 2 of 4 Date Effective: 20/11/2007Outline of the Policy Development Process Version: 1.1


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Page 3 of 4 Date Effective: 20/11/2007Overview of the UNSW Policy Development Process Version: 1.1

Phase 2: Research and Analysis

This phase may proceed concurrently with consultation and drafting phases. The purpose ofthis phase is to gather the information which will inform the drafting process. A number oftasks 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 withconsideration of resource and operational constraints

Phase 3: Drafting

This phase can proceed concurrently with research and analysis and with consultation. TheUNSW Policy Template must be used when drafting policy with University-wideapplication. The policy may go through a number of drafts before proceeding toconsultation 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 andmaintaining a style that is consistent both within the document and with other policydocuments. Other documents should be prepared at this time including any associatedprocedures or guidelines and policy communication and implementation plans, whichassign 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 forits implementation, must be consulted. Effective consultation will facilitate the developmentof policy content that is both practicable and fulfils the policy intent. This in turn leads tothe 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 comesinto effect from the date specified, and any earlier version or superseded document ceasesto have effect.

Phase 6: Communication

This phase usually forms part of the policy implementation but may occur prior to the policycoming into effect. The communication strategy for approved policy is implemented at thispoint. 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 theprocess which ensures that the intent of the policy is put into action.
http://www.policy.unsw.edu.au/manual/drafting/policy_templates.htmhttp://www.policy.unsw.edu.au/manual/communication/strategy.htmhttp://www.policy.unsw.edu.au/manual/communication/strategy.htmhttp://www.policy.unsw.edu.au/manual/drafting/policy_templates.htm


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Policy@UNSW Manual


Page 4 of 4 Date Effective: 20/11/2007Overview of the UNSW Policy Development Process Version: 1.1

Phase 8: Review

As the University operates in a dynamic environment, policy needs to be reviewed to ensurethat it retains its relevance and effectiveness. During review consideration is given to thepolicy intent, implementation, and other factors such as local interpretation of the policyand unexpected outcomes. The effectiveness and consequences of the policy are consideredto see how it is operating and whether it is achieving the desired results. The review acts asa link forward from implementation leading on to a return to the first phase of the cycle: theinformation gathered through review informs decisions about whether there is a need forrevision or amendment of the policy, with which a new policy development cycle begins.


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Page 1 of 2 Date Effective: 01/07/2008Policy Development Process: 1 Establish Need Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase one: Establish Need

One of the objectives of the policy framework is to prevent the creation of duplicate policyand 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 isintended to be achieved by the policy before drafting commences.

1. Understand why the issue has been identified as requiring a policy. Triggers fornew policy or procedures 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.

Policy review.2. 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 anddecide if the document(s) can be amended, merged, or must berescinded.

Check whether there is overlap with another document underdevelopment.

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 theDocument Hierarchy in the Policy Manual for these documentdistinctions.

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, valuesand vision?

Will the intended document be consistent with compliancerequirements?

Benchmark the Universitys current position on the issue.
http://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/manual/definitions.htmhttp://www.policy.unsw.edu.au/manual/definitions.htmhttp://www.policy.unsw.edu.au/


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Page 2 of 2 Date Effective: 01/07/2008

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase one: Establish Need

4. Brief relevant bodies (e.g. Executive Team [ET], VCAC) and other seniormanagement of the need to develop a policy to address the issue.

5. Make a decision:

Procedure orGuideline required.

No furtheraction.

Need?

Use the templates.

Seek advice fromPMU

Publish on thepolicy website, ifapplicable.

New or amendedpolicy is required.

Continue

1. Identify the document developer(s) responsible for the development of the policyand the content and accuracy of information within the policy. Documentdevelopers should be supported by a policy project team composed of staff with theexpertise required to develop a well informed policy.

2. The document developer(s) must familiarise themselves with the documents in thePolicy 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 andinitial project plan. Complete a Policy Submission Form on the Policy@UNSWwebsite, or email [email protected].

Policy Development Process: 1 Establish Need Version: 1.0
http://www.policy.unsw.edu.au/manual/drafting/procedure_template.dochttp://www.policy.unsw.edu.au/manual/drafting/guideline_template.dochttp://www.policy.unsw.edu.au/manual/contents.htmhttp://www.recordkeeping.unsw.edu.au/Forms/online_order_form.htmlhttp://www.policy.unsw.edu.au/manual/planning/pdp.htmhttp://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/mailto:[email protected]://www.policy.unsw.edu.au/manual/drafting/guideline_template.dochttp://www.policy.unsw.edu.au/manual/drafting/procedure_template.docmailto:[email protected]://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/manual/planning/pdp.htmhttp://www.recordkeeping.unsw.edu.au/Forms/online_order_form.htmlhttp://www.policy.unsw.edu.au/manual/contents.htm


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Page 1 of 4 Date Effective: 01/07/2008Policy Development Process: Research & Analysis Version 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase two: Research & Analysis

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

1. ResearchThe following is the minimum which should be undertaken when developing policy:

Determine how the issue is currently being managed and identifying strengths andweaknesses with the existing processes.

Benchmark the Universitys position regarding the issue against a range oforganisations.

Review related policy, procedures in government, other universities and other relevantbodies.

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 regulatoryrequirements (i.e. ESOS legislation, State Records Act), related UNSW policy, relevantstandards, etc).

Other research activities could include:

Surveying the University community. Seeking advice from subject matter experts.

2. Conduct Policy AnalysisThe 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 theresources necessary for effective implementation.

Keeping a record of the analysis undertaken is also a vital tool for future policy reviews. It isrecommended that a record such as the table below be completed and added to theadministrative file for the policy.

As there are varying levels of complexity of policy analysis which can be applied to a policyunder development resource implications of undertaking analysis need to be taken intoaccount.

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 ofthe University.
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Policy@UNSW Manual


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 aconsideration of how well the policy fulfils its intended goals, and other implications orconsequences 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? Isthe 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 comparisonof different policy options.

Cost-effectiveness analysis: This is similar to cost-benefit analysis. It is usedwhen the outcome is pre-determined and the different ways of reaching thatoutcome need to be costed for the purposes of evaluation.

Benefit-effectiveness analysis: This is also similar to cost-benefit analysis. It isused when the available resources for achieving an outcome are pre-determined and the benefits of different ways of using those resources need tobe evaluated.

Aspects of all three of the above can be used without the assignment of numericalvalues, however, the results will be less precise.

Community expectation surveys: This can help to bring a wider range ofviews to bear on the policy development process. The community to besurveyed might include any part of the University community and/or relevantexternal groups, including those who will be responsible for implementing thepolicy as well as those who will be affected by the policy.

Literature reviews: this is a review of information published on the policyarea. It is a way of discovering not only how other organisations or bodieshave 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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System modelling: Draws on technical expertise from different disciplines toproject 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 programmingmodels.

Sensitivity analysis: This can be used to test the extent to which anassumption relied upon in the development of a policy will affect theoutcomes achieved by the policy. It can be relevant where it is recognisedthat a policy option depends on assumptions about uncertain factors.Mathematical techniques can be used to determine which of several uncertainassumptions 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 unwantedresults. This can stimulate thinking about alternatives or improvements.Scenario writing can also help to focus attention on the perspective of thoseaffected by the policy and those responsible for implementing it.

Outcomes matrixes: These are a way of systematically comparing policyoptions in terms of pre-determined criteria.

Outcomes

Check again if related UNSW policy documents need to be revised in conjunctionwith 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 Analysis Checklist. Date Effective: 01/07/2008Version: 1.0

Policy@UNSW Manual

Policy Name

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

Details of analysis Completion Date Results

POLICY ANALYSIS RECORD


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Policy@UNSW Manual

n

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 theresources necessary for effective implementation.

The essence of policy analysis is to seek answers to questions such as Will the policywork? Is the policy working?, What is the potential or actual impact of the policy and onwhom?.

Anybody who is attempting to answer such questions on the basis of evidence is doing someform 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 isrecommended 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 complexityof the analysis. In order to ensure that the required analysis can take place, consideration ofthe resource implications and type of analysis needed must be given at the early stage ofpolicy development before drafting the policy.

An analytical approach to policy is potentially relevant at every stage of the policy processand 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 theorganisation.

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. Thisinvolves 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. Thisinvolves a consideration of how well the policy fulfils its intended goals, and otherimplications or consequences arising from the operation of the policy.

In each case, the policy analysis involves identifying the effects a policy has or will haveincluding the policys contribution to achieving desired goals.

Policy Analysis Tools

Effective policy analysis will only happen with the application of good analytical attitude andskills. These can be enhanced by the use of specialised tools.

The following tools will usually be considered the minimum to be applied in developing goodpolicy:

Check consistency (with legislation and other policies): Investigate the

legal and policy framework for this subject matter. Identify legislative andregulatory requirements. Consider the relationship with existing Universitypolicy. Review government or industry standards or guidelines.

Page 1 of 3 Date Effective: 26/11/2007Policy Analysis Version: 1.0 26/11/2007


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Review best practice: Consult related policy of other organisations andUniversities, in particular the Group of Eight (Go8).

Consult: Seek input on the policy issue or feedback on policy ideas fromrelevant 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 arequantified, usually by assigning a $ amount. This assists in the evaluationand comparison of different policy options.

Cost-effectiveness analysis :This is similar to cost-benefit analysis. It isused when the outcome is pre-determined and the different ways ofreaching that outcome need to be costed for the purposes of evaluation.

Benefit-effectiveness analysis : This is also similar to cost-benefitanalysis. It is used when the available resources for achieving an outcomeare pre-determined and the benefits of different ways of using thoseresources need to be evaluated.

Aspects of all three of the above can be used without the assignment ofnumerical values, however, the results will be less precise.

Community expectation surveys:This can help to bring a wider range ofviews to bear on the policy development process. The community to besurveyed might include any part of the University community and/or relevantexternal groups, including those who will be responsible for implementingthe policy as well as those who will be affected by the policy.

Literature reviews: this is a review of information published on the policyarea. It is a way of discovering not only how other organisations or bodieshave dealt in practice with a policy issue, but also what theoreticalconsiderations may assist in reaching the best result. It may includewebsite, government publications, and survey data from otherorganisations.

System modelling: Draws on technical expertise from different disciplinesto project outcomes which may arise from implementation of the policy. Forexample, it may be useful in different cases to use economic marketmodels, evolutionary models, operations research models, or linearprogramming models.

Sensitivity analysis: This can be used to test the extent to which anassumption relied upon in the development of a policy will affect theoutcomes 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 severaluncertain assumptions is the most important and how multiple uncertaintiesinteract.

Scenario writing: Is a way of envisaging the future impact of a policy,particularly scenarios in which a policy option might fail or have unwantedresults. This can stimulate thinking about alternatives or improvements.Scenario writing can also help to focus attention on the perspective of thoseaffected by the policy and those responsible for implementing it.

Outcomes matrixes: These are a way of systematically comparing policyoptions in terms of pre-determined criteria.

Page 2 of 3 Date Effective: 26/11/2007Policy Analysis Version: 1.0 26/11/2007


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Policy@UNSW Manual

POLICY ANALYSIS CHECKLIST

Policy Name

Contact Name Contact officer for this checklist

Analysis too l* Detai ls of analysis Completion Date Results

Page 3 of 3 Date Effective: 26/11/2007Policy Analysis Checklist Version: 1.0 26/11/2007


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Page 1 of 2 Date Effective: 01/07/2008Policy Development Process: 3 Drafting Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase three: Drafting

Drafting

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

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 whenworking 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 andshould 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 specialistknowledge 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 proceduresand 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 orsome other specified time.
http://www.policy.unsw.edu.au/manual/drafting/templates.htmhttp://www.policy.unsw.edu.au/manual/drafting/template_guide.pdfhttp://www.policy.unsw.edu.au/manual/review/version_control.htmhttp://www.recordkeeping.unsw.edu.au/Forms/online_order_form.htmlhttp://www.recordkeeping.unsw.edu.au/Forms/online_order_form.htmlhttp://www.policy.unsw.edu.au/manual/review/version_control.htmhttp://www.policy.unsw.edu.au/manual/drafting/template_guide.pdfhttp://www.policy.unsw.edu.au/manual/drafting/templates.htm


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Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase three: Drafting

4. Consultation and implementationCommence preparation of the consultation and implementation plans. These will need tobe finalised before the policy is approved.

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

Policy Development Process: 3 Drafting Version: 1.0
mailto:[email protected]?subject=Draftingmailto:[email protected]?subject=Draftingmailto:[email protected]?subject=Drafting


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Page 1 of 2 Date Effective: 01/07/2008Policy Development Process: 4 Consultation Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase 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 andimplementation resource needs that may have been overlooked. How we consult andcommunicate 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 anecessary tool for future policy reviews.

Consultation must be planned and recorded using the Consultation Plan.

1. The Consultation PlanVery 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 thisconsultation, 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 factthat 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 isaccessible to all staff and students and the wider community. It is recommended the draftbe 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 approachedThese may include: UNSW Council, Academic Board, and Faculty Board and theirassociated committees, Executive Team and VCAC, Deans and Heads of Schools,Managers of administrative units, representative groups of staff and students and soon.

Other administrative divisions/units need to also be consulted where policy overlapoccurs and/or where there is split responsibility for implementation of a component ofthe policy.

It is critical during this stage to be clear about the intent of the new policy (oramendment/s to an existing one). If it is a new policy, what gap is it filling? If it is anamendment/s to an existing policy, why does the existing policy need amendment?

Identify the goal of the consultation process with each target group/individualWhy is consultation needed and what is sought from the consultation?

A significant part of preparing the Consultation Plan will involve direct contact withkey stakeholders to ensure their input is taken into account at this early phase. Thisfeedback is vital to ensure accuracy in further development of the policy. Individualswithin each target group need to know why the policy is under consideration, how itmay impact on them, and why they are being consulted.

Identify the consultation methods to be usedA requirement of the UNSW Policy Development Process is a period of webconsultation (usually at least three weeks) via the Policy@UNSW website.

The following are just some suggested ways to reach your target audience:
http://www.policy.unsw.edu.au/manual/consultation/plan.dochttp://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/manual/planning/pdp.htmhttp://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/manual/planning/pdp.htmhttp://www.policy.unsw.edu.au/http://www.policy.unsw.edu.au/manual/consultation/plan.doc


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Page 2 of 2 Date Effective: 01/07/2008Policy Development Process: 4 Consultation Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase four: Consultation

Send out the draft document to individuals at senior levels within eachorganisation/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 Universitycommunity to the consultation process

Through the Universitys formal networks (such as AdminNet and FacultyGeneral Managers meetings) and other networks, emails may be sent outinviting feedback.

Identify the expected completion date for each consultation Contact the Media and Communications Unit to discuss publicity relating toconsultation and feedback from consultation

Phone: 9385 2864 Email: [email protected]

2. Web consultationA requirement of the framework is to ensure that staff and students of the University havethe 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 includingattachments (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 issuesraised are significant enough, a revised draft policy may need to be developed and re-submitted for another period of web or other consultation or communication before thepolicy proceeds to authorisation.

3. ImplementationComment from the consultation will be critical in determining which practical strategieswill most effectively deploy the policy and will help to inform the implementation plan.
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nPolicy Consultation andCommunication

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 implementationresource needs that may have been overlooked, but how we consult and communicate is anessential part of bringing onboard our stakeholders to ensure success. Keeping a record ofwho we have consulted and how we communicated with them is a necessary tool for futurepolicy reviews.

THE CONSULTATION PLAN

Very early in the policy development process the Consultation Plan should be drafted. Theplan 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 apolicy 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 accessibleto all staff and students and the wider community. It is recommended the draft be availableonline 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 theirassociated 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 overlapoccurs and/or where there is split responsibility for implementation of a component of thepolicy.

It is critical during this stage to be clear about the intent of the new policy (oramendment/s to an existing one). If it is a new policy, what gap is it filling? If it is anamendment/s to an existing policy, why does the existing policy need amendment?

2. Identify the goal of the consul tation 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 keystakeholders to ensure their input is taken into account at this early phase. Thisfeedback is vital to ensure accuracy in further development of the policy. Individualswithin each target group need to know why the policy is under consideration, how it mayimpact on them, and why they are being consulted.

3. Identify the consul tation 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 eachorganisation/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 forthe internal e-newsletter news@UNSW to alert the wider University community tothe consultation process

Through the Universitys formal networks (such as AdminNet and FacultyGeneral Managers meetings) and other networks, you may wish to send outemails inviting feedback.

4. Identify the expected completion date for each consul tation

5. Contact the Media and Communications Unit to discuss publici ty relating toconsultation and feedback from consultationPh: 9385 2864E: [email protected]: 9385 2837



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Policy@UNSW Manual

POLICY CONSULTATION PLAN

Policy Name

Status New Under Review

Contact Name Contact officer for this plan

Targetgroups/individuals

Purpose Method/s Expectedcompletion date

Status

Required Web Consul tation

Web consultation Notice of Web Contact for Feedback Status

News@UNSW [Date]myUNSW [Date]}Other

Name & Email address



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Page 1 of 1 Date Effective: 01/07/2008Policy Development Process: 6. Communication Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase six: Communication

Communication

A requirement of the policy framework is to ensure that once approved the policy iscommunicated to staff and students.

Document Developers must contact PMU once a policy is approved with a copy of thepolicy in Microsoft word (*.doc) format including attachments (procedures, forms,checklists, etc) where relevant.

The Policy Management Unit will arrange to:

o Publish the policy on the Policy website.o Advise the University community of the new/amended policy and/or procedures

with a notice in the internal e-newspaper: news@UNSW.

o Arrange for the publication of a notice in myUNSW.o Notify faculties and school and administrative units of the approved policy.o Liaise with units regarding superseded or rescinded documents in publications.o Archive superseded or rescinded documents.

The document developer will arrange:

o Advise staff responsible for specific aspects of implementation that the policy oramendment has been authorised and effective date.

o Any direct communication from the Responsible Officer to Deans, Heads ofSchool/Units to advise of the new/amended policy and any changes required toimplement the policy.

o Communicate details of the policy applicable to students to key student groups;o Liaise with OSDS regarding inclusion of information about the policy in Human

Resources induction programs.

o Any additional communication requirements such education and training whichhave been specified in the Implementation Plan.
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Approved Policy Communication Version: 1.0 18/10/2007

Policy@UNSW Manual

n 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 theeffective roll out of the policy.

STANDARD POLICY COMMUNICATION

1. Web PublicationThe Policy Creator will:

Email an electronic copy of the policy in word format to [email protected] 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 advisingThe Policy Creator will:

Advise the policy project team and other staff responsible for specific aspects ofimplementation 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.

mailto:[email protected]://www.newspaper.unsw.edu.au/http://www.my.unsw.edu.au/http://www.my.unsw.edu.au/http://www.my.unsw.edu.au/http://www.my.unsw.edu.au/http://www.newspaper.unsw.edu.au/mailto:[email protected]


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Policy@UNSW Manual

NPolicy Implementation

Implementation

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

The Implementation Plan

Each policy document developed under the UNSW policy framework must clearly articulatethe 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 ongoingsupport of the policy

o Determine who will be responsible for oversighting implementation activities if notthe Contact Officer.

o Determine who will be responsible for providing advice on the application of thepolicy if not the Contact Officer.

o Identify the need for, or the intended development of, supporting documentationsuch as procedures, guidelines, tool-kits and forms to provide further informationand facilitate compliance with the policy.

o Determine who will be responsible for the creation of supporting documentation.o Assign responsibility for each implementation task*.o Identify Communication requirements additional to the Standard Policy

Communication.

o Liaise with staff and/or units responsible for particular aspects of implementation toestablish agreement regarding implementation obligations and timeframes

o If it is not possible to clearly determine the necessary implementation steps prior toseeking approval as above, give the reason(s) implementation tasks cannot beidentified and the intended future actions which will be undertaken regardingimplementation.

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After policy has been approved

o A copy of the final implementation plan must be provided to PMU for thepurposes of monitoring and evaluation.

o Individuals must be notified of their responsibilities.o Implementation tasks must be followed up to ensure they occur.o 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


Action ResponsibleOfficers

Expectedcompletiondate

Status



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Policy@UNSW Manual

NPolicy Implementation

Issues relating to the effective implementation of a policy and the consequent actionsnecessary to ensure that a policy will take effect must be considered before seeking policyapproval. The identified issues, such as resource needs, timeframe requirements, systemsdevelopment and so on will most likely have been identified during the early policydevelopment phases of consultation and policy analysis.

Implementation and compliance will be enhanced if:

documents clearly articulate the responsibilities of members of the Universitycommunity 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 articulatethe 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 particularimplications of the policy to those affected by the policy.

Identification of staff or units with specific assigned responsibility for aspects of thepolicy 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 andfacilitate 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 policystatement, 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 communicationwith students.

Inclusion of information in relevant University publications.

Online survey for the University community or affected groups, within 12 months of thepolicy 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 toestablish 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 andevaluation. Email [email protected].

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 ofimplementation.


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Policy@UNSW Manual

IMPLEMENTATION PLAN

Policy Name


Action ResponsibleOfficers

Expectedcompletiondate

Status

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Page 1 of 2 Date Effective: 01/07/2008Policy Development Process: 8. Review Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase eight: Review

Periodic Review

Policy needs to be regularly reviewed to ensure that it retains its relevance andeffectiveness. During review the policy intent and implementation are revisited, and theeffectiveness of the policys deployment and any unexpected outcomes are considered.

Policy review must commence three years from the date of approval of the policy unlessotherwise stated within the policy document.

The Policy Management Unit will:

o Contact the person responsible for review as identified in the policy and advisethem of the review requirement.

o PMU will update the policy document with any revised reviewcommencement dates.

o Provide reviewers with feedback received on the policy obtained prior tothe review commencing.

o After the review is completed PMU will update the central policyrepository.

The policy reviewer will:

o Evaluate the effectiveness and consequences of the policy during its time inforce.

o Investigate the level of compliance.o Evaluate whether the policy is still consistent with other UNSW policy and

legislative or other requirements.

o Undertake consultation as necessary to help inform the evaluation ofeffectiveness and compliance.

o Examine whether or not the policy has achieved its initial purpose.o 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 reviewdate. 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 deliveryContact 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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Page 2 of 2 Date Effective: 01/07/2008Policy Development Process: 8. Review Version: 1.0

Policy@UNSW Manual

N Guide to the Policy Development ProcessPhase 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 EstablishNeed.

Minor Amendments

Minor amendments do not change the intent, scope, application or meaning of thepolicy. Minor amendments can be made to:

o The policy header.o Section 3, Definitions. As long as the amendment does not alter the meaning or

intent of the policy.

o Section 5, Legal & Policy Framework.o Section 6, Implementation

Minor amendments include:

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

The Responsible Officer will advise the Policy Management Unit of the requirement fora 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 thePolicy Development Process to review the policy.

No Amendment

o The policy reviewer advises PMU that following review there are noamendments 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 andapproved for distribution, and once published may be amended. Version control can be usedto 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 Guidelinetemplates.

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 amendmentapproved: Version 1.1, 1.2 and so on. The 12th minor amendment without any majorrevision would appear as 1.12;

a full review would result in the number to the left of the point incrementing by 1 andthe 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. Forexample, to comply with new/amended legislation or other external factors. In thesecases a change from, for example, Version 1.3 to Version 2.0 will need to be made inorder 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 thenthere 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 fourminor revisions since publication.

Version Control in the UNSW document templates

In the Policy Template all minor amendments and modifications will be recorded in thepolicy header in the Modifications field. Version numbers will be listed, the authorisingbody/person and the date the amendments were made. For example:

Modifications

Version 1.0 approved by the VC 1 March 2003Version 1.1 approved by the Chief Operating Officer 10 February 2006Version1.2 approved by the Chief Operating Officer 15 September 2006

Procedures and Guidelines will be modified with greater frequency, and therefore themodification history has been included in section 4 of both templates:

Version Date Author Approval Sectionsmodified

Details of amendments

1.0 04/11/2005 PMU Director COO N/A1.1 10/02/2006 PMU Director COO 2

4.12nd sentence revisedStep 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 beupdated after each amendment. The date the policy came into effect must remain the date theoriginal 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 Date Effective: 18/09/2006Version Control numbering for UNSW Policy, Procedure and Guidelines Version: 1.1: 12/11/2007
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UNSW Policy

[SUBJECT] POLICY

Responsible OfficerSenior Manager with operational responsibility for this area(include position details; the Managers name is optional).

Contact Officer

Insert position contact details (email & phone) for personassigned day-to-day responsibility. If this is more than oneperson and there are different areas of responsibility, allpositions and the responsibility split should be stated(individual staff names are optional).

Author isationName of authorising individual or bodyDate of authorisation and resolution number if applicable.

Effective DateList the date this policy comes into effect[xx/xx/20xx]

Modifications

Record of all amendments and modifications to this policy,including dates that amendments were approved and/or cameinto effect.

Superseded Documents List all documents replaced by this policy.

Review

Identify responsible officer(s) for the review process,specify review commencement date(s)[Month Year] andgives the status of any review currently under way.

File Number

All documents relating to the policy development,communication, implementation and review must be held on aUNSW registered file. Contact the Records Office. Ext 52858.

Associated Documents

List any supporting documents (guidelines, procedures etc)and other University documents which may be a usefulreference for policy users.

1. Preamble

Note: In this template the main headingsare mandatory as well as the sub-headings with an asterisk (*).

1.1 Purpose *1.2 Background

2. Scope

3. Definitions

4. Policy Statement

5. Legal & Policy Framework

6. Implementation

6.1 Roles & Responsibi lities *6.2 Support and Advice *6.3 Communication *6.4 Procedures and Forms6.5 Guidelines

7. Review

8. Acknowledgements

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UNSW Procedure

[NAME OF PROCEDURE]

Linked UNSW PolicyThis procedure details actions and processes pursuant to[Name of University Policy ].

Responsible Officer This is the senior person in whose portfolio of responsibilitiesthe substantive focus of the procedure most clearly resides.

Contact OfficerPosition contact details (email and phone) for personresponsible for issuing procedure document.

Author isation Name of the authorising individual or body [xx/xx/20xx]

Effective Date List the date this procedure comes into effect [xx/xx/20xx]

Superseded Documents List all documents replaced by this procedure.

File NumberThe procedure must be held on a registered file. Ph ext52858.

Associated DocumentsThese are the documents which should be read in conjunctionwith this procedure, such other procedures and guidelines.

1. Purpose and Scope...................................................................................................... 1

2. Definitions.....................................................................................................................13. Procedure.....................................................................................................................1

3.1 [Step 1 - Name the Action to be undertaken]...................................................... 14. Review & History..........................................................................................................1

4.1 Modifications ....................................................................................................... 1

1. Purpose and Scope

This is a short statement setting out the reasons why the procedure is requiredand 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 theprocedure 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 clearlyand 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. Ingeneral procedure should be reviewed more frequently than policy. The history ofmodifications to the procedure must be detailed in the table below.

4.1 Modifications

Version Date Author Approval

Sectionsmodified

Details ofamendments

5. Acknowledgements

This section can be deleted if not required

Page 1 of 1 Date Effective: XX/XX/XXXXName of Procedure Version: X.X, XX/XX/XXXX


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Policy@UNSW Manual

Guide to using the UNSW PolicyTemplate

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 implementationresponsibilities.

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 beused when writing policy with University-wide application. The template consists of thefollowing sections:

1. Preamble ................................................................................................................................21.1 Purpose *......................................................................................................................21.2 Background..................................................................................................................2

2. Scope......................................................................................................................................23. Definitions..............................................................................................................................34. Policy Statement .....................................................................................................................35. Legal & Policy Framework......................................................................................................36. Implementation ......................................................................................................................3

6.1 Roles & Responsibilities *.............................................................................................3

6.2 Support and Advice * ...................................................................................................36.3 Communication * .........................................................................................................36.4 Procedures and Forms ..................................................................................................36.5 Guidelines....................................................................................................................3

7. Review....................................................................................................................................38. Acknowledgements ................................................................................................................3

Fonts used in the template:

Policy Name: The UNSW coat of arms and policy name appear in the first row of the templateheader, 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 specialisedacronyms in the title. In general, the name of the University should not be used as part of apolicy 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 13Use Body Text format under the main headings (Optima Lt Std, size 11)

1.1 Sub-Heading Heading 2 Optima LT Std, size 12Use Body Text 2 for text under sub-headings and paragraph headings.

1.1.1 Paragraph Heading Heading 3 Optima LT Std, size 11Use Body Text 2 for text under sub-headings and paragraph headings.

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UNSW Policy

[SUBJECT] POLICY

Document NumberOnce the policy has been approved the Policy Management Unit willregister the document and assign a unique identifier.

Responsible Officer

This is the senior person in whose portfolio of responsibilities thesubstantive focus of the policy most clearly resides. Insert the positionname in the template. The name of the individual is optional.

Contact Officer

This is the person(s) with day-to-day responsibility for assisting staff,students or community members with interpretation and adviceregarding the policy. If this is more than one person and there aredifferent areas of responsibility, all positions and the responsibilitysplit should be stated. Insert the position name(s) and contact details(email and phone). The names of individuals are optional.

Authorisation

This section is completed after the policy has been approved. Thename of the authorising individual or body, the date of authorisationand relevant authorisation reference (for example, Council resolution

number) are inserted here.Effective Date This is the date from which the policy takes effect. [xx/xx/20xx]

Modifications

This section records the history of the policys amendments andmodifications. Insert the dates and authorisation references as well asversion numbers.

Superseded DocumentsList the policy document(s), or parts of policy document(s), whichcease to have effect as a result of this policy coming into effect.

Review

This section identifies responsible officer(s) for the review process,specifies review commencement date(s)[Month Year] and gives thestatus of any review currently under way. For new policy, the reviewcommencement date is three years after approval, unless otherwisespecified.

File Number

This section records the UNSW Administrative file number assignedby the Records and Archives Office. Supporting papers relating to thedevelopment of the policy should be placed on this file.

Associated Documents

These are the documents which must be read to enable application ofthis policy, primarily documents which directly support the policy,such as procedures and guidelines.

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

1. PreambleThe preamble introduces the policy.

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

1.2 BackgroundThis is a succinct overview of any internal or external background factors leadingto the development of this policy, such as new or amended legislation, Councildecisions or executive directives. This sub-section is not mandatory.

2. ScopeThis section describes to whom and what this policy applies (for example, specificareas or groups within the University, particular issues or situations). Areas or issuesspecifically excluded from the scope of this policy must be identified. If, after carefulconsideration, no exceptions are identified, the scope may be described in thefollowing way: This policy applies across the University.

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

4. Policy StatementThis is a clear and concise statement of the Universitys intent and of the principlesthat 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 mustbe detailed in a separate procedure or guidelines. Numbered and named subsectionsand paragraphs may be used if considered appropriate.

5. Legal & Policy FrameworkThis section describes the legal and policy context within which this policy operatesand with which the policy must conform. Include hyperlinks to directly relateddocuments (both UNSW and external).

6. ImplementationThis 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 thepolicy. Specify any unique responsibilities which are assigned to variousindividuals. Detailed procedural information is not included here but in separateprocedures or guidelines.

6.2 Support and Advice *This subsection identifies contact points for support and advice relevant to thispolicy. These may be internal or external.

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

6.4 Procedures and FormsThis subsection identifies any separate procedure documents which must befollowed in relation to this policy and any forms which must be used. If documentsare in preparation but not yet available, state when they will be available.

6.5 GuidelinesThis subsection identifies any separate guidelines which assist in theimplementation of this policy. If documents are in preparation but not yetavailable, state when they will be available.

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

8. AcknowledgementsThis section is for acknowledging any material used in development of documents byreferencing the source of the ideas or written expression in accordance with theUniversitys obligations under the Moral Rights Act 2002 (Cth). Correct academiccitation practice must be followed.