Policy Documentation Development Information

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Policy Documentation

Development Information

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Overview

Victoria University operates in an ever-changing environment. To do this, it requires a robust Policy Management Framework to support the pursuit of its objectives. The framework:

• provides a sensible, transparent and co-ordinated approach to the creation of statutes, policies, procedures and guidelines (policy documents), seeing them through the development and review life cycle;

• ensures that policy documentation supports the University community in complying with New Zealand (NZ) legislation and aligns itself with the University’s governing documents (the Charter, Strategic Plan and Investment Plan);

• allows the University community access to the documents that affect them

• optimises the number of University-wide policy documents to the minimum necessary for sound business practice;

• ensures a consistent standard of policy documentation; and

• assists in the gap analysis of the University’s overall policy portfolio.

The Policy Management Framework provides the rules and tools by which policy documents are developed, documented, approved, promulgated and reviewed.

Plans (such as the University Strategic Plan) are not included in the context of this framework, though it is important to recognise that one of the primary purposes of policy documentation is to give effect to such plans. Acts and regulations of the NZ parliament apply as a matter of course to the University and case law may also be used to determine University policy documents. Access to NZ legislation is available through the University’s policy website http://www.victoria.ac.nz/home/about/policy.

Policy Website

Policy documents are available on the University Policy Website on the above URL, and can be also be accessed through the Victoria University of Wellington home site http://www.victoria.ac.nz/home. The website offers users the ability to:

• search and access all stored policy documents; • identify policy documents currently under review;

• obtain information about policy documentation development and review, including document templates and cover memoranda for authorisation purposes; and

• obtain contact details for general enquiries in relation to policy documentation.

Policy Documentation Repository

The policy repository holds the University’s official authoritative policy documentation. The objective of providing a repository for policy documentation is to provide a location for reliable, consolidated, duly authorised and up-to-date versions of current documents.

Most policy documents are held in the policy document repository; the exception being the Qualifications Statutes that are part of the Victoria University of Wellington Calendar. These can still be sourced from the policy website alongside other policy documents held by the University.

Loading documents into the repository is a controlled function through the Policy Manager, who will also hold a hard-copy of such documents for use in the event of electronic resource failure.

Policy Levels

There are different levels of policy documentation held throughout the organisation:

• University-wide policy documents — these include statutes, policies, procedures and guidelines. They are kept in a centralised document repository. The words ‘statute’ and ‘policy’

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are reserved for university-wide documents. This information document refers to these types of policy documents.

• Faculty and Central Services Unit (CSU) policy documentation — these apply to a specific faculty or CSU and may vary from one faculty or CSU to another. Faculty and CSU documents are meant to add specificity to university-wide policy documents or address issues that only concern the faculty or CSU. They must not contradict or conflict with university-wide policy documents.

• School and Section documentation — these apply to a specific school or section and may vary from one school or section to another. School and section documents are meant to add specificity to faculty and CSU documents or address issues that only concern the school or section. They must not contradict or conflict with faculty or CSU documents.

University-Wide Policy Documentation

Different ‘types’ of policy documentation clarify the notions of importance and enforceability of the document and are classified in one of four categories:

Statutes

The Education Act 1989 (Section 194) gives the Victoria University Council the power to make statutes for the institution; including the imposition of penalties for contravention or failure to comply with them.

Only the University Council approves statutes; though where a statute has academic implications, Council must take advice from the Academic Board.

Statutes are permanent in nature though subject to periodic review. Compliance is mandatory and non-compliance is actionable through appropriate conduct policy documents.

Policies

Policies relate to issues where the University requires a certain line of action to be taken. A policy sets out the University’s position on a specific matter, but does not necessarily prescribe in detail how to perform certain functions. The main characteristics of policies are that they are formally documented, approved and reviewed. Compliance is required, and non-compliance is actionable through appropriate conduct policy documents.

Academic policies are recommended and approved through the Academic Board; University wide policies are approved by the Vice Chancellor. Where a need has been identified and requires a University-wide policy, these may be recommended through senior managers, or from a faculty or central service unit

Policies are intended to be long term in application. They are updated on a regular basis, but less frequently than procedures or guidelines.

Procedures

Procedures set out, often in a step-by-step fashion, the University’s requirement for, or prescription of, best or safest practice. They are updated more often than statutes or policies as operational systems change in line with the University’s requirements. Procedures sometimes elaborate on, and give effect to, a statute or policy. Compliance with procedures is mandatory and non-compliance may be actionable through appropriate conduct policy documents.

Procedures do not necessarily require approval by the Vice Chancellor; approval is usually through either the senior manager of a CSU or a designated committee (such as the University Research Committee).

Guidelines

Guidelines embody the University’s current idea of best or safest practice. They are usually updated more often that statutes or policies as operational systems change in line with the University’s requirements. Guidelines can be thought of as a helpful advice on a matter, provided by the

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University. They are not necessarily set out in a step-by-step fashion, though they are sometimes associated with, and give effect to a statute or policy. Compliance with guidelines is recommended but not mandatory and, therefore, non-compliance is unlikely to be actionable.

Guidelines do not necessarily require approval by the Vice Chancellor; approval is usually through either the senior manager of a CSU or a designated committee (such as the University Research Committee).

Policy Documentation Life Cycle

There are nine steps in the policy documentation life cycle (see Appendix 1): • Identification • Evaluation • Development • Consultation • Quality Control • Approval • Implementation • Promulgation • Review

Identification

Identifying the purpose for which a policy document is necessary is a crucial step. A well-defined, clearly stated problem defines the issue and demonstrates an understanding of the desired outcome. Problem definition can be difficult. To facilitate this, the following questions should be asked:

• What are the issues for which a policy document is necessary (it may be a response to an identified problem or a creative opportunity)?

• What are the desired outcomes of the new policy document?

• What is the risk (likelihood, severity and frequency) of undesirable outcomes if there is no policy document?

• What are the risks of unexpected outcomes occurring from the new policy document? • What are the impediments to achieving the outcomes from the new policy document? • How will it be known if the new policy document has succeeded in what it set out to do?

Evaluation

Existing relevant policy documents should be examined to judge whether they cover the issue that has been identified. It may be that amendment to an existing policy document will cover the issue without a need to add to the overall policy documentation portfolio. Consider the following:

• Who would the policy document apply to in the University? • Who is the appropriate agency to write it?

• Who are the interested parties?

• Has feedback been sought about the document from interested parties regarding what works well and what does not?

• Deliberate on the issue and think about the level at which it should be addressed.

Options should be carefully evaluated, taking into consideration the costs, benefits, consequences, implications and risks of each. To aid this process, proposals need to make explicit the underlying assumptions and include relevant information (facts should be checked for accuracy and the degree

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of uncertainty), Decision-making is then more reliable and any known gaps that could significantly affect outcomes can be identified. Important considerations when analysing options include:

• Establishing the criteria for assessing the multiplicity of options (the benefits, costs and consequences for the University). Arguments should be logical with supporting facts as criteria that initially seem attractive may reveal serious flaws on further analysis.

• For each alternative, a realistic projection of all outcomes (or impacts) to ensure they adequately address the initial problem.

• The implications of adopting the various options in light of the University’s obligation under the Treaty of Waitangi (assumptions that are not likely to be shared cross-culturally need to be made explicit), and the impact each option might have on gender equity and for people in the University community who have special needs.

• The short and long-term costs of implementing each option.

• Whether any of the options impact upon, or conflict with, relevant legislation or other policy documents.

• Whether a ‘pilot’ is required to ensure the policy document is appropriate for the intended audience.

• A recommendation should be made based on the analysis and circulated for consultation. Informing and consulting with everyone can be costly and time-consuming, and is not recommended. However, identifying those who will be directly affected by the document is crucial, as is making the information generally available so that those who wish to take an interest can voice their opinion.

Development

This step ensures that policy documentation is relevant, easily recognised, includes all the information necessary, and considers cultural and social perspectives.

To ensure that policy documentation is compatible with kaupapa Māori (Māori issues and concerns), Toihuarewa, a sub-committee of the Academic Board, convened by the Toiahurei, PVC (Māori), should be approached as part of the consultation process. This committee assists the University to meet its obligations under the Treaty of Waitangi and will provide a perspective on all Māori related issues.

A policy document is developed by its sponsor. Write access to the policy documents held in the repository is available through the Policy Manager ([email protected]). Also available are tools to help with the development of documents (including this Policy Documentation Development Information), templates for policy documents, and templates for the cover memoranda that accompany the draft policy document when it is submitted for approval. These are all available online at http://www.victoria.ac.nz/home/about/policy.

Consultation

This is the generation of opinions about the proposed document. The collection of ideas and reactions (including negative reactions) at the beginning could save a lot of effort later. Absolute agreement is not always possible or feasible but consultation is essential. This is usually accomplished through ‘What’s out for Consultation?’ in VicNews (https://staffvuw.vuw.ac.nz/consultation).

Consultation ensures that policy documentation is as accurate as possible and reflects best practice; as well as conforming to the University’s commitment to consulting its staff on matters of significant change, strategic planning, and the policies that affect them. The consultation process is driven by the document sponsor with an overview by the Policy Manager (on behalf of the Vice Chancellor) who ensures that adequate and inclusive consultation has taken place. Consultation is a useful tool at all stages of document development; it assists with problem and options identification, helps develop the operational details of the document, and helps achieve ‘buy-in’ and support as documents are developed.

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For University documents, particularly statutes and policies, there is a requirement to show evidence of benchmarking in the document writing process. As information gathering is a time-consuming and expensive exercise, it is important it has analytic value, therefore the following should be considered:

• Who will the new document affect? Submissions from as many interested parties as possible should be sought to ensure a full range of opinions are contemplated.

• Existing information and current practice within the University, as well as appropriate local and international theoretical frameworks and research.

• The needs, experiences, and priorities of the University community and outcomes which include appropriate cultural and social objectives.

Quality Control

This step is the responsibility of the Policy Manager and is part of the function of the Vice Chancellor’s Office. Draft policy documents and covering memoranda are checked for compliance with the relevant templates to ensure that the quality requirements of the University are met before drafted documents are submitted for approval (see Appendix (iii): Quality Control Checklist).

Quality Control is designed to improve the rigor of policy documentation, ensure that documents are compliant with legislation, robust enough to ensure acceptance by the University community and, where necessary, enforceable. It is also part of a process designed to add value by ensuring the documents are identifiable; maintaining a ‘look and feel’ in terms of branding, language, style and formatting.

Where a document is developed as a direct result of NZ legislation, a compliance check is made to ensure that it accurately reflects practices enshrined in the legislation (e.g. the Health and Safety in Employment Act 1992).

Approval

Policy documentation must be approved by the appropriate approval agency. In the interests of efficiency, minor amendments to statutes that do not affect its substance may be approved under authority delegated by the University Council to the Vice Chancellor.

Where documents impact on teaching and learning and research, they must always have the approval of the Academic Board.

The document’s sponsor has the responsibility for completing a memorandum (from the template provided at http://www.vuw.ac.nz/home/about_victoria/policy.html) and presenting the document to the appropriate authorising authority for approval. This table lists the approval agencies of the University:

Table 1 Approval Agencies

Approval Agency Authority

Council All statutes.

Academic Board Academic policy matters.

Vice Chancellor All employment matters.

All management policy.

Minor amendments to statutes under delegated authority from Council.

Groups (such as the University Research Committee) or Senior Managers of Central Services Units

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Implementation

Once approval has been given, the document sponsor has the responsibility to:

• Provide a copy of the document to the Policy Manager through [email protected] so that it can be placed into the document repository and uploaded on to the website, thereby ensuring that the University community has read access to all of the current and superseded policy documentation held by the University. The document will also be hyperlinked to other relevant documentation to aid navigation between documents.

• Consider whether separate implementation strategies are necessary for the document to be effective for specific cultural or social groups, or staff at other locations.

• Ensure the policy document is clearly communicated to all staff (including union representatives) and students through mechanisms such as VicNews, and in the latter case through course outlines, student representatives and student orientation.

• Provide feedback to interested parties on the process, giving an account of how the final decision was reached.

Review

All policy documents are subject to a process of periodic review. Reviews are a formal ‘check and balance’ system to ensure that the information contained in the document is still correct, accurately reflects the practises of the University, ensuring they remain compliant with NZ legislation and the University’s governing documents.

Prior to the review date, the Policy Manager notifies the Sponsor and Contact Person that a document is due for review and the date that it is due to be reviewed by. A ‘Word’ copy of the document is sent to the Sponsor and Contact Person so that no duplication of documents is extant. Scheduled reviews are usually 2-3 yearly (see Appendix ii).

Reviews of documents can also be carried out at any time if it becomes evident that the document requires amendment. Where a review is required that is not a scheduled review, a ‘Word’ version of the document should be requested through [email protected].

Policy Groups and Sponsors

Policy documentation responsibilities are integrated into the normal line management structure of the University. For statutes and policies, the sponsor will normally be the Vice Chancellor (VC), a Deputy Vice Chancellor (DVC), Assistant Vice Chancellor (AVC), Pro Vice Chancellor, or the Director or Senior Manager of a Central Service Unit. The role of the sponsor is to:

• guide the document development process;

• ensure the document is compatible with NZ legislation and the University’s governing documents;

• ensure the document is set at the appropriate level for the compliance required;

• ensure that the policy document goes through the appropriate consultation process and is presented to the appropriate authority for approval;

• liaise with the Policy Manager to ensure the approved policy document is quality checked, entered into the document repository, and posted onto the policy website.

• ensure that the policy document or amended document is reported in VicNews and promulgated through other appropriate channels; and

• ensure the policy document is reviewed on a regular basis.

The following table lists the current policy groups in the University, and the staff within each group responsible for sponsoring policy documents.

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Table 2 Policy Groups and Sponsors

Policy Group Policy Examples Sponsor

Academic Policy Group Academic Grievance

Policy Assistant Vice Chancellor (Academic)

Research Policy Group Recognition of Authorship

Policy Assistant Vice Chancellor (Research)

Human Resources Policy Group Equal Employment

Opportunity Policy

Director, Human Resources

Finance Policy Group Travel & Expenses Policy Chief Financial Officer

Facilities Management Policy

Group Security Policy Director, Facilities Management

ITS Policy Group Information Systems

Statute Director, Information Technology Services

Library Policy Group Library Statute The University Librarian

Governance Policy Group Academic Dress Statute Vice Chancellor or Deputy

Vice Chancellor

Student Policy Group Student Conduct Statute Vice Chancellor or Deputy

Vice Chancellor Marketing and Communications

Policy Group

Web Publishing Policy Director, Communications and Marketing

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Appendix (i): Policy Documentation Life Cycle

The following diagram outlines the policy documentation life cycle.

Identification/Evaluation

Costs, benefits, consequences, implications and risks Policy Sponsor

Document Development

Inform Policy Development Manager of intention, get templates, draft initial document taking legislation and supporting documents into

account (i.e.. Strategic Plan)

Policy Sponsor

Consultation (1)

Initial consultation within own department, interested parties, taking gender, ethnic and disabilities into account, consult with University

community through VicNews

Policy Sponsor

Integration (1)

Integrate comments from initial consultation process Policy Sponsor

Quality Control

Check documents conform to University requirements by measuring against set criteria

Policy Manager Consultation (2)

‘Targeted’ consultation with appropriate body (i.e. SMT, Academic or Research Committee)

Policy Sponsor

Integration (2)

Integrate comments from ‘targeted’ consultation process Policy Sponsor

Approval

Cover memo completed (from template), to Approval Agency for ‘sign-off’

Policy Sponsor Approval Agency

Implementation

Inform relevant parties, Report in VicNews, send to Policy Development Manager to replace on repository and website

Policy Sponsor Policy Manager

Review

Policy Document can be changed as required or reviewed on a regular basis every 2-3 years

Policy Sponsor Policy Manager

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Document Development Process by responsibility

Step Action by Document Sponsor Action by Policy Manager

1. Policy Sponsor wants to develop a policy document.

Policy Manager directs sponsor to related policy documents, policy templates, and policy

development document and advises whether a policy statement could be added to existing policy document(s).

2. Sponsor goes through a consultation process and writes policy document.

Policy Manager provides advice, as required. 3. Sponsor sends policy document to Policy

Manager for quality control. Policy Manager runs quality control questions across the document and provides feedback.

4. Sponsor makes changes, as required and

presents a final version with a cover memorandum (using the appropriate template) to the approval agency. Sponsor may be asked to make changes before final approval is granted

Policy Manager puts approved policy onto the repository and policy website and notifies the sponsor and the contact person when this has been done

5. Sponsor implements the policy document

by reporting the change in VicNews and to affected parties

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Appendix (ii): Document Review Process

The following outlines the process for reviewing a policy document.

Review Policy Document can be amended as required or reviewed on a regular basis

Minor Review Minor amendments that do not

affect substance of document Major Review

Needs major amendments that affect the substance of the

document

Policy Sponsor Contact Person

Approval Cover memo outlining amendments to Approving Authority Policy Sponsor Contact Person Approval Given Change document on repository and website, notify

in VicNews and to affected parties

Policy Sponsor Policy Manager Approval not Given

Approval Agency do not accept amendments minor

Policy Sponsor Contact Person Document redevelopment Process the same as for the development of new document

Approval Given?

Yes No

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Document Review Process by Responsibility

Step Action by Policy Manager Action by Document Sponsor

1. Policy Manager identifies documents

due for review and contacts the

document Sponsor and Contact Person or responds to a review request from a document Sponsor or Contact Person.

The document Sponsor arranges a review process to check the document for accuracy. A decision is made whether any amendments are required for the document. If amendments need to be made, they may be minor or major. If minor, the Sponsor presents an updated version of the document to the Policy Manager for quality control (if the amendments required are major the process is the same as for the creation of a new document).

2. Policy Manager checks the reviewed

document against the Quality Control questions and provides feedback to the Sponsor.

The Sponsor makes any necessary amendments and presents the final version of the reviewed document to the Approval Agency together with a covering memorandum outlining the amendments required, stating that these are minor and do not affect the substance of the document, and the consultation process. Sponsor makes any further amendments requested by the Approval Agency before final approval is granted and sends the document to the Policy Manager.

4. The final approved version of the policy is put onto the Policy Repository (the previous version is archived with the archive URL added to the new

document) and posted onto the website. The document Sponsor and Contact Person are notified when the document has been replaced.

Sponsor implements the policy document by reporting the amendment in VicNews and to affected parties.

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Appendix (iii): Quality Control Checklist

Every policy document must be submitted to the Policy Manager before being forwarded to the approval agency, to be checked against the following quality control questions. The Policy Manager will run through the questions and suggest changes to the policy sponsor, as required

Purpose:

Is the statement of purpose provided appropriate? Comments:

Yes No Is the purpose provided consistent with the strategic direction of the University?

Comments:

Yes No

Organisational Scope:

Is the organisational scope appropriate? Comments:

Yes No

Definitions:

Are all words requiring definitions included? Comments:

Yes No

Policy Content and Guidelines:

Is the document clearly written and grammatically correct, as well as formatted and presented in accordance with the template specifications?

Comments:

Yes No

Are appropriate means for addressing breaches of the document included in this document or by way of reference to other documents with appropriate jurisdiction? Comments:

Yes No

Is the document consistent with other policy documents or legislation? Comments:

Yes No

References:

Are all the references provided? Comments:

Yes No

Appendices:

Are all the appendices provided? Comments:

Yes No

Approval Agency:

Is the nominated approval authority appropriate? Comments:

Yes No

Approval Dates:

Is a placeholder for archive date of any supplanted document provided? Comments:

Yes No Is a placeholder for date of document approval provided?

Comments:

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Is a placeholder for the date the version will be approved on provided? Comments:

Yes No Is a placeholder for the date from which a document takes effect from provided?

Comments:

Yes No Is a placeholder for a document review date provided?

Comments:

Yes No

Are all dates expressed as dd-mmm-yyyy e.g. 25 Aug 2007? Yes No

Policy Sponsor:

Is the position (as opposed to the person’s name) with overall responsibilities for this document provided?

Comments:

Yes No

Contact Person:

Are the name, position and contact details provided for the person who may be approached on a routine basis in relation to the document?

Comments:

Yes No

Cover Memo (separate item):

Is there sufficient evidence that external and internal comparisons, where appropriate, have informed the document?

Comments:

Yes No

Are all repeals and amendments listed in appropriate detail? Comments:

Yes No Has any risk of adverse outcomes for women, Māori and people with disabilities

created by this document been minimised? Comments:

Yes No

Is there evidence of appropriate consultation? Comments:

Yes No Have the compliance costs and other requirements been properly identified and

presented for consideration? Comments:

Policy Documentation Development Information