Policy Management Manual

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Policy

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Accessibility

The ACT Government is committed to making its information, services, events and venues accessible to as many people as possible.

If you have difficulty reading a standard printed document and would like to receive this publication in an alternative format, such as large print and audio, please telephone

(02) 6247 4580.

If English is not your first language and you require the translating and interpreting service, please telephone 131 450.

If you are deaf or hearing impaired and require the TTY typewriter service, please telephone (02) 6205 0888.

Publication date: July 2010, updated July 2011, August 2011, October 2011, June 2012 and February 2013.

For further information about this publication please contact: Manager

Planning and Performance Branch Education and Training Directorate GPO Box 158 Canberra

ACT 2601

Or email: [email protected]

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Part 1 - Introduction

The purpose of this manual is to support and assist Education and Training Directorate staff to actively manage policy.

The Education and Training Directorate (the Directorate) has a range of operational policies which interpret legislative requirements, government priorities or Directorate goals. All staff of the Directorate should be familiar with the Directorate’s policies and apply them at all times.

Directorate staff responsible for managing and implementing policies must follow the framework of this manual. Policy management is primarily the responsibility of central office staff, however school-based staff should use the best practice principles in this manual to guide implementation in the school environment. Assistance is available from Planning and Performance Branch to support all staff to manage their policies. The manual provides an overview of the policy management process and all necessary templates for policy development and review activities.

Background information in relation to types of policies and the roles and responsibilities in relation to policy management are provided in Appendix 1 and 2.

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Part 2 – The policy management process

This part outlines the process of policy management within the Directorate. It guides staff through the five stages in the policy management cycle.

stage 1

– identify issues, analyse policy needs, seek permission to commence policy work

stage 2

– develop policy and procedures, seek permission to consult

stage 3

– consultation and seek endorsement

stage 4

– implement policy and procedures

stage 5

– ongoing monitoring and evaluation.

The policy management cycle is divided into a series of steps to assist staff in following the requisite processes. The following diagram is a useful illustration of the cycle and aids staff in monitoring their progress.

Description of pie chart

First piece going clockwise represents Stage one: Issue identification. Seek permission to commence policy work from relevant

Deputy Director General or Executive Director - time frame is 1-2 weeks.

Stage one: Issue identification. Seek permission to commence policy work from relevant

DDG/ED (1-2 weeks)

Stage two: Policy development/review (3-6

weeks). Seek permission to consult from relevant DDG/ED (1-2 weeks) Stage three:

Consultation (6 weeks). Seek consideration by Corporate Executive and

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Second piece going clockwise represents Stage two: Policy development/review - time frame 3-6 weeks. Seek permission to consult

from relevant Director General or Executive Director - time frame 1-2 weeks.

Third piece going clockwise represents Stage three: Consultation - time frame 6 weeks. Seek consideration by Corporate Executive

from relevant Deputy Director General or Executive Director - time frame 2-3 weeks.

Fourth piece going clockwise represents Stage four: Implementation - time frame 2-3 weeks.

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Stage 1: Identify issues, policy analysis and seek permission to commence

policy work

Step 1: Identifying the need to develop, review, consolidate or remove a policy

The Policy Owner identifies the need to develop, review, consolidate or remove a policy. This may occur through the annual scan, three year review or as a result of an incident or change affecting the currency of the policy.

The need to commence policy work may also be identified by: • Corporate Executive

• Senior Executives • Directors

• Branch

• school-based or central office staff • stakeholders

• another government agency; or • the public.

Step 2: Inform Planning and Performance Branch and attend a scoping meeting

The Policy Contact should inform Planning and Performance Branch that policy work is required. Planning and Performance Branch will schedule a scoping meeting. The Policy Contact should inform Planning and Performance Branch who will be attending the meeting. Discussion at the scoping meeting will cover:

• the policy management process and the preparation of required briefs

• identification of stakeholders, particularly in relation to circulation of the draft policy • expected timelines including consultation and circulation to stakeholders

• legislative obligations • working party

• identification of issues; and • risk assessment.

The template used by Planning and Performance Branch to guide the scoping meeting is at Form 1. Following the scoping meeting, the Policy Contact should have a clear understanding of the key steps involved in the review or development of the policy including:

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The

need

for a policy. Consider whether a policy is necessary and the most appropriate means of addressing the issue. A simple change in program administration or procedures may be sufficient.

Check if a

whole of government

policy exists to deal with the issue. Whole of government policies are located on the whole of government policy index page on the Shared Services website. If a whole of government policy exists, determine whether a Directorate procedure is required to address the policy issue.

An

environment scan

is a useful way of exploring issues impacting on the policy subject matter. An environment scan might look at:

• the existing policy

• priorities within the Directorate and other agencies

• the branch’s Business Plan and the Directorate’s Strategic Plan • other agencies with involvement in the subject matter

• programs or services

• existing guidance or policy associated with the issue, including • whole of government policy and inter-related policies

• legislation

• cost of implementation versus the benefits; and • other jurisdictions.

Development of a

project plan

with a realistic timetable for achieving the various goals in the process, including research, approval, drafting and finalising, consultation,

implementation, evaluation and review. A template for the project plan is at Form 2. The project plan should be provided as an attachment to the brief to the relevant Senior Executive when seeking approval to commence policy work.

Risk management

is a key component of policy management. In developing, reviewing, consolidating or removing a policy, consideration should be given to:

• risks associated with introducing/not introducing the policy • resource implications associated with addressing identified risks • how complaints relating to the policy issue are dealt with

• the implementation phase of the policy management cycle, where the risk of non-compliance is often highest; and

• seeking formal legal advice and/or advice from the Risk Management and Audit section if necessary.

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Stakeholder identification

- internal and external - who have a major interest in the policy issue is a useful starting point for developing an understanding of the policy scope (see Step 8 for common stakeholder groups). Consider significant equity groups among the Directorate’s stakeholders, such as women, Indigenous people, people with a disability, culturally and linguistically diverse people, and other disadvantaged groups. A template to record internal and external policy stakeholders is at Form 4.

Where a substantial amount of policy work is required, it may be helpful to create a

working

party

to assist in developing the draft policy. The working party may include representatives from important stakeholder groups and branches of the Directorate such as Human

Resources and Planning and Performance.

Identification of how and with whom you will need to

consult

in developing or reviewing the policy, both in the formal consultation phase and informally during the drafting process. Identify any issues associated with consultation. For example, if the consultation period occurs during a school holiday it will be necessary to extend the consultation period to allow school staff adequate time to provide feedback. More than one consultation method should be considered, to allow all stakeholders to contribute to the process. Both online and paper-based methods should be considered. More information about consultation is available at Appendix 3.

Develop a

communication plan

outlining how the policy will be communicated to stakeholders once it has Senior Executive endorsement. Consideration must be given to internal and external stakeholders as their communication needs may vary widely. It is important to ensure that strategies are in place to support school-based staff implementing the policy in the school environment.

Step 3: Preparing the brief to relevant senior executive

The

senior executive approval for policy management

template brief is available on the

Directorate’s Microsoft Word templates and at Form 5. The brief includes headings that will assist the Policy Contact to provide the relevant information to the Senior Executive.

The brief must be signed by the relevant Director and forwarded to Planning and Performance Branch prior to consideration by Senior Executive. The brief must be

counter-signed by the Director, Planning and Performance Branch so the policy register can be updated and will be forwarded to the relevant Senior Executive.

A decision by Senior Executive to approve or not approve the request to develop, review, consolidate or remove the policy is communicated to the Policy Owner and Policy Contact. If Senior Executive approves the request, work can commence immediately, however if Senior Executive does not approve the request, work must not continue until approval is obtained.

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Once permission to develop, review, consolidate or remove a policy is granted by Senior Executive, Planning and Performance Branch will update the policy register on the Policies (on “Index”) page on

Index

.

Once approval has been granted, the Policy Contact should begin drafting the policy and if applicable, develop procedures. An official file for the purpose of recording the process of policy review or development should be created.

Step 4: Developing a working party

If the Policy Owner and Policy Contact decide that a working party should be established, potential members should be identified and contacted. An expression of interest may also be used to form the working party. The working party should include representatives from key stakeholder groups, but should remain small enough to be effective. The working party must be provided with a clear

understanding of the purpose, roles and responsibilities of the group, as well as the process of policy development, consultation and approval. The Policy Owner or Policy Contact should chair the

meetings of the working party and ensure that the desired outcomes are achieved. Depending on the nature of the policy, this process may involve several meetings of the working party. Decisions made by the working party should be minuted and placed on an official file.

Stage 2: Develop the policy /procedures and consultation

Step 5: Drafting the policy

A policy template is provided at Form 6 to ensure all Directorate policy is consistent in format , layout and is accessible. To ensure that the policy document remains accessible only format the document using the ‘styles’ in the home ribbon of Microsoft Word.

All information in the policy must be accessible including any additional features such as diagrams, flowcharts, checklists and forms.

Information regarding web accessibility is available on

Index

from the web accessibility page. Information The Ministerial and Strategic Relations

Writing and Style Guide

must be adhered to in

developing policies and procedures. The Guide is available on the Ministerial Services page on

Index

. Directorate policies should be no more than three pages and must include:

• an overview of the issue (policy statement) • the aim and purpose of the policy (rationale) • definitions applicable to the policy

• an explanation of how key legislation impacts on the policy

• an explanation of how complaints in relation to the policy issue are dealt with • an overview and link to any procedures associated with the policy

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Policies should not include lengthy procedures, templates or other supporting documents. These tools should be developed as a separate document for use by Directorate staff to implement policy. If the policy requires a series of forms or templates, they should be developed as one document, to ensure that supporting documents are not separated and can be accessed by stakeholders. Prior to requesting formal circulation, the draft policy should be provided to Planning and Performance Branch who will check the document for structure, formatting and compliance. Before seeking permission to circulate the draft policy, Policy Contacts may wish to consider

forwarding the draft to key areas of the Directorate for internal feedback. This ensures that aspects of the policy are checked by the area of the Directorate with specific subject matter expertise.

Ensure each document is marked ‘DRAFT’ (either in the header/footer or by using a watermark) so that it is not confused with an endorsed policy. Version control is important.

The time taken to draft the policy and procedures depends on a number of variables such as

workload, knowledge of the subject matter and the currency of existing materials. Drafting may take as little as two weeks for a simple review or a number of months for a complex policy requiring research and consultation with stakeholders. If extensive procedures need to be developed, more time will be required.

Step 6: Developing procedures

A procedure template is provided at Form 7 to ensure all procedures are consistent in format, layout and are accessible.

To ensure that the policy document remains accessible only format the document using the ‘styles’ in the home ribbon of Microsoft Word.

All information in the policy must be accessible including any additional features such as diagrams, flowcharts, checklists and forms.

Information regarding web accessibility is available on

Index

from the web accessibility page. All procedures must be developed in accordance with the Directorate’s Style Guide. As procedures are internal documents designed to support policy implementation, approval from the relevant Policy Owner (Director) is required. Procedures may need to be updated on a regular basis to meet the changing needs of policy implementation and in response to stakeholder feedback. Procedures are published as internal documents on the Policy Support Materials and Procedures page on

Index

.

Step 7: Permission to consult

A brief to the relevant Senior Executive requesting permission to circulate the draft policy must be prepared. Planning and Performance Branch will provide feedback on the draft brief if requested.

The

senior executive approval to circulate draft policy

brief template is available on the

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outlined in the brief. The brief must be signed by the relevant Director prior to consideration by Senior Executive.

If the Senior Executive approves the request, consultation can commence immediately. However, if the Senior Executive does not approve the request, consultation must not commence until approval is obtained.

The decision to approve the request to circulate the draft policy must be communicated to Planning and Performance Branch by the Policy Contact to ensure that the policy register is updated.

There are many reasons why consultation is essential:

• it is a fundamental democratic process and the community should be given the opportunity to contribute to policy affecting it

• it is a means of minimising risk

• stakeholder input improves compliance at the implementation stage

• external agencies and organisations may provide insight otherwise not available to the Directorate

• it helps verify direction of government policy; and • it prepares stakeholders for change.

The consultation phase is critical and must be conducted for all new and revised policies. Consultation with internal stakeholders is particularly important if there are cross-branch implications or the policy has a significant budgetary impact.

Once approval to consult has been granted, the draft policy must be made available for stakeholder comment. Methods of consultation and feedback should be consistent with those identified in the initial brief to Senior Executive. Planning and Performance Branch will provide advice to ensure that the draft policy is circulated to appropriate stakeholders if requested. More information about how to consult is provided at Appendix 3.

Stage 3: Consultation and endorsement

Step 8: Consultation

Policies identified for internal and external publication must be consulted with stakeholders. Internal policies are circulated internally to Senior Executive, Directors and other internal staff. External policies need to be circulated internally as well as more broadly to external stakeholders. Guidance about consultation requirements can be provided by Planning and Performance Branch.

The consultation process may include but is not limited to:

• providing the draft policy to stakeholders in electronic or hard copy and requesting written and/or oral feedback

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To ensure all stakeholders are given the opportunity to provide feedback, a minimum of six weeks must be allowed for consultation.

Provide stakeholders with sufficient information to ensure they understand why the policy is being developed, reviewed or consolidated. If the policy is being reviewed it may be useful to provide an overview of the changes to the policy or to provide a copy of the existing policy so the changes can be cross-referenced. The quality of feedback received will correspond to the information provided to stakeholders about the consultation process.

The details of the Policy Contact should be provided to stakeholders to facilitate input to the draft policy.

Each Policy Owner and Policy Contact should identify the internal and external stakeholders relevant to the branch and policy scope.

There is no definitive list of individuals or groups who should be consulted, however, consultation usually includes, but is not limited to:

• Senior Executive • Directors

• Principals

• Information, Communications and Governance Branch (to cover off any risk and/or legal implications)

• ACT Principals’ Association • central office managers and staff

• ACT Council of Parents and Citizens Associations; and • Australian Education Union (AEU).

It may also include:

• school board chairs

• ACT Government Directorates or agencies • Community and Public Sector Union (CPSU)

• relevant ACT Commissioner, such as Human Rights, Children, Disability • community groups

• training organisations

• Directorate standing committees

• non-government education stakeholders; and • school business managers.

Policy that is likely to significantly affect schools should be added to the agenda of Principals’ sector meetings or at a meeting of the School Network Reference Group.

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provided. This process demonstrates all stakeholder views were taken into consideration and can be referred to when examining how a policy was developed or reviewed.

The decision to accept or not accept stakeholder feedback should be made with consideration of the purpose of the policy and the needs of all stakeholders. It may be necessary to seek further advice from other areas of the Directorate in order to make a decision.

Feedback from internal and external stakeholders must be recorded separately. Template tables for recording stakeholder feedback are at Form 9. The tables are required as attachments to the policy endorsement brief to Corporate Executive.

Nil responses must be recorded to indicate stakeholder engagement in the consultation process. Observations or comments not requiring a decision should be accepted as ‘noted’.

Following analysis of all feedback and the completion of decisions regarding the incorporation of stakeholder suggestions, the draft policy should be updated and prepared for endorsement. Step 9: Endorsement

Following consultation, the updated draft policy can be prepared for decision-making regarding endorsement.

Prepare a brief seeking Corporate Executive consideration and Senior Executive endorsement of the final policy. Planning and Performance Branch will provide feedback on draft briefs if requested. The endorsement of policy brief template is available on the Directorate’s Microsoft Word templates and at Form 10.

The brief must be signed by the relevant Director prior to consideration by Senior Executive and presentation at the next scheduled Corporate Executive meeting. The final decision regarding endorsement is the responsibility of the relevant Senior Executive.

Discussions at Corporate Executive meetings are communicated to all members of Corporate

Executive via the minutes. Corporate Executive discussions related to policy are provided to Planning and Performance Branch so the policy register can be updated. Planning and Performance Branch will inform the Policy Owner and Policy Contact of the Corporate Executive discussion and any necessary actions.

Stage 4: Communication and implementation

Step 10: Implementation

Following policy endorsement, a new or revised policy must be implemented as soon as possible. The policy must be published on the policies a-z page on Directorate’s website or if the policy issue has been identified as sensitive or is an internal issue, it will be published on the internal policies page on

Index

. Planning and Performance Branch must apply a unique identifier to the policy and can assist

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affected by the policy (project managers, schools, non-government bodies, training providers, community organisations) and determine the best and most cost-effective way of informing them. Some policies will need comprehensive communication strategies, such as a media release/launch and advice to stakeholders in the form of brochures, advertising, training sessions and community announcements.

Directorate communication tools such as

Schools Bulletins and All Staff Alerts

can be used to communicate policy changes.

All Staff Alerts

require manager approval and

Schools Bulletins

require director approval. All alerts should include details about information or training sessions and the name of the policy contact so that stakeholders can seek advice. Information about alerts is available on the All Staff Alert page and School Bulletin page on

Index

.

The Policy Contact may wish to arrange briefing sessions for key groups at forums such as the Principals’ and Deputy Principals’ meetings, Business Managers’ meetings, Executive Assistants’ or Central Office Managers’ meetings.

Any policies requiring changes to established procedures should be accompanied by an information session, training or workshop. Policy Owners are responsible for the provision of the training and this should be factored into the branch’s work/business plan and budget. Planning and Performance Branch can provide advice in relation to the development of training activities.

Implementation and ongoing support for a new or revised policy is the most critical aspect of policy management. It is unreasonable to expect school-based and central office staff to incorporate policy or procedures without assistance. Policy Contacts should consider how internal stakeholders will need to modify existing practices to adopt new requirements. More information about

implementation of policies is at Appendix 4.

Stage 5: Monitoring and evaluation

Step 11: Regular scan of policy

Policy review activities aim to ensure that published policy is current and the Directorate is fulfilling legislative obligations.

A scan of each policy should be conducted on an annual basis to meet this requirement. The scan will alert the Policy Contact to changes that may require a policy review. A template to guide the annual review is at Form 11 and should be placed on the policy file to demonstrate that the annual review is being conducted on a regular basis. Planning and Performance Branch is able to provide support for the annual scan process.

Review impetus may come from two sources:

• If a policy has not been reviewed within a three-year timeframe, it must be reviewed and updated to ensure its currency. Policies should be reviewed on a regular basis for accuracy, relevance, compliance with legislative requirements, ‘best practice’ and reflect the

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• The need may arise for a policy to be reviewed because a need has arisen

e.g. an incident has occurred; legislation or strategic direction has changed. This is known as a

needs review

.

To assist the review process, keep a record of feedback received on the effectiveness of the policy being reviewed. This may include:

• measures of success derived from the original policy objective(s) – were they achieved? • stakeholder feedback or complaints. A policy feedback template is at Form 12 and should be

kept on the policy file

• regular requests for information or clarification in relation to the policy • usefulness and applicability of the policy; or

• any data available on the policy issue - can you measure any change?

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Part 3 – Policy management checklist

The policy management checklist identifies each step involved in the policy

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Policy Management Checklist

State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

1 1 Identify the need to develop, review, consolidate or remove a policy Conducts policy workshops, presentations on request and ongoing help-desk support Yes/No

1 2

Inform Planning and Performance Branch of the commencement of policy work Undertake research and analysis

Attend scoping meeting with Planning and Performance Branch

Schedules a scoping meeting to discuss: • preparation

• relevant considerations (Directorate, whole of government, legislation, complaints etc)

• process; and • assistance required

Yes/No

1 3

Prepare brief to Senior Executive seeking approval for policy development, review, consolidation or removal, signed by the relevant Director and countersigned by Director, Planning and Performance Branch Inform Planning and Performance of Senior Executive decision

Assists with the preparation of the brief, providing feedback on drafts as requested Updates policy register to reflect submission of brief requesting policy work commence Submits brief to Senior Executive (when it has been countersigned)

Updates policy register to reflect new status of policy

Yes/No

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State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

2 5

Develop draft policy Assists with preparation of draft policy, providing feedback as requested on:

• structure • formatting; and • compliance

Yes/No

2 6

Develop procedures (if required) Assists with preparation of procedures, providing feedback as requested on:

Yes/No

2 7

Prepare brief to Senior Executive seeking approval to circulate the draft policy, signed by the relevant Director

Inform Planning and Performance Branch of Senior Executive decision

Assists with the preparation of the brief by: • clarifying the consultation process, and • discussing stakeholders to be consulted Updates policy register to reflect

commencement of consultation

Yes/No

3 8

Consult. Ensure you allow sufficient time for feedback and provide contact details Enter feedback into the feedback templates

Finalise draft policy

Assists with finalising the draft policy, providing feedback as requested on:

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State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

3 9

Prepare brief to Senior Executive seeking Corporate Executive consideration and Senior Executive endorsement of the policy for publication, signed by the relevant Director

Assists with the preparation of the brief, providing feedback on drafts as requested Notifies the Policy Contact when the Corporate Executive minutes are released advising endorsement decision

Updates policy register to reflect date of endorsement and new status of policy

Yes/No

4 10

Implement. Email endorsed policy to Planning and Performance Branch for publication on either the Directorate’s website or

Index

Email approved procedures to Media and Communications unit for checking prior to publication

Ensure the old policy and associated documents are removed from the website

and

Index

Assists with the development of a

communication and implementation strategy as requested

Applies unique identifier to policy

Updates policy register to reflect publication date

Submits endorsed policy for publication on Directorate website (or Index for internal policies)

Submits approved procedures for publication

on

Index

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State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

4 10

Provide policy and procedures to

stakeholder with a cover letter and details of implementation support

(e.g. training)

Post a Schools Bulletin and/or All Staff Alert on Index advising staff the policy has been published

Conduct training and/or information sessions for stakeholders

Inform ACT Council of Parents and Citizen’s Associations the new policy has been published

Inform Records Management unit of the removal of old policy documents

Yes/No

5 11

Arrange for printing of policy and procedures (if required)

Respond to enquiries about the policy and procedures

Establish register of enquiries and complaints associated with the policy Evaluate. Conduct annual scan of policy and check for inconsistencies with legislation, strategic direction and government priorities

Policy workshops and helpdesk support Provides advice on review process Provides advice on compliance

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State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

5 11

Monitor need for or currency of

procedures on the website and on Index Monitor links and procedures on the website and Index

Yes/No

5 11

Arrange for printing of policy and procedures (if required)

Respond to enquiries about the policy and procedures

Establish register of enquiries and complaints associated with the policy Evaluate. Conduct annual scan of policy and check for inconsistencies with

legislation, strategic direction, government priorities

Monitor need for or currency of

procedures on the website and on Index Monitor links and procedures on the website and Index

Policy workshops and helpdesk support Provides advice on review process Provides advice on compliance

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Part 4 – Appendices

The following appendices contain policy guidelines to assist in the policy management process. Appendix 1 – Policy management background

Appendix 2 – Roles and responsibilities in policy management Appendix 3 – Consultation strategy

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Appendix 1: Policy management background

There are two types or levels of policy:

Strategic policy

is a broad statement of direction or a position taken. It outlines how an issue is

understood and how the proposed direction will contribute to achieving outcomes. It does not mandate specific actions; rather it sets broad direction and accountabilities for example, the Directorate’s

Strategic Plan 2010-2013

.

Operational policy

is more specific and interprets a particular issue. Operational policy articulates the implementation of broader policy and legislation. For example, the Directorate’s

Gifted and Talented

policy located on policies page on the Education and Training Directorate’s website.

What is a policy?

A

policy

is a public document unless it has been identified by the Policy Owner as an internal policy due to subject-matter sensitivity. Examples of internal policies are those related to the management of employees or internal functions that do not need to be provided to the public. A policy provides a clear statement of

what

the issue is,

why

it must be addressed,

who

has responsibility for addressing the issue and a brief explanation of

how

the issue will be addressed. A policy is a succinct statement. A policy succinctly articulates a legislative requirement, government commitment or agency position, provides a framework for action and aims to ensure that a consistent approach is taken. Policies may be linked to procedures or manuals. The Directorate’s policies are usually public documents and are available on the Directorate’s website. Procedures are internal documents for the use of Directorate staff in implementing policies.

A good policy aims to clearly articulate the purpose, obligations and procedural requirements associated with an issue, program or organisational focus.

Good policy aims to:

• provide consistency with legislation, contracts and agreements • ensure the Directorate meets all obligations

• provide the means to implement agency and government commitments • provide a firm basis for decision-making

• provide a clear and transparent rationale for government and Directorate actions • clarify for stakeholders the extent and limits of the Directorate's capacity and power • allow for some flexibility to allow for individual circumstances

• guide staff administering programs • guide staff dealing with complaints

• help to mitigate the risks for the organisation and for its staff, and • support teaching and learning, safety and well-being.

What are procedures and how are they different from policy?

Procedures

, manuals and tools such as templates, proformas and checklists all support the

implementation of the policy. They are internal documents that provide detailed information about

how

the policy is to be implemented. Procedures are approved by the Policy Owner (relevant Director). Procedures should be clearly cross-referenced with their overarching policy. The policy template provided in this manual requires the Policy Owner to identify procedures so users of the policy are aware they exist. Procedures are often updated more frequently than their overarching policy.

School-based procedures

Directorate policies must be applied by school-based and central office staff. Managers and principals should ensure their staff are familiar with the location of Directorate policies and procedures on the Directorate’s website and on

Index

.

Schools may choose to create procedures based on Directorate policies to suit the needs of the local community or environment ensuring that the school-based procedures do not contradict the Directorate policy. For example, the Directorate’s

First Aid

policy must be used by all school-based staff to guide actions associated with first aid. Individual schools may choose to develop their own procedures to address the needs of students with specific conditions or to articulate actions to be taken in the school’s unique environment. School-based procedures might detail specific student needs and treatment plans as well as processes that must be followed in the event of a medical emergency.

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What is policy management and why is it important?

Policy management refers to the ongoing process of aiming to ensure that policies are current and meeting the needs of Directorate staff and the community. By following the policy management processes, responsible officers can make informed decisions about the need to

develop, review,

consolidate

or

delete

a policy. Policy management is the responsibility of all staff. Planning and Performance Branch facilitates policy management for central office staff.

Effective policy management is vital to ensure the Directorate meets its obligations and that Directorate priorities are addressed and communicated to the community.

Policy development, review and ongoing management provides central office staff with the opportunity to develop valuable project management skills; a thorough understanding of the application of

legislation and broader government policy; and the expertise to consult with stakeholders and implement policy through comprehensive communication and education strategies.

Planning and Performance Branch provides regular workshops to support staff in effective policy management and is available to assist branches, sections or working groups as needed.

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Appendix 2: Roles and responsibilities in policy management

All staff with responsibility and accountability for the delivery of programs or services and advice to internal and external stakeholders are responsible for policy management. Just as each section within the Directorate is responsible for the programs and services it provides, it is also responsible for the policy that underpins those programs and services. Maintaining current policy and providing ongoing support and advice are important aspects of policy management.

Directors own Directorate policy relevant to their branch. Senior Executive may own a limited number of policies but their main role is to oversee the management of policy by Directors.

Corporate Executive

Corporate Executive may initiate the development, review, consolidation or deletion of policy.

Corporate Executive may also initiate a change of Policy Ownership. Corporate Executive monitors the policy register to ensure the needs of the Directorate and the community continue to be met.

Corporate Executive considers policy endorsement and provides comment to the decision-maker.

Senior Executive

Senior Executives monitor policy management in consultation with their Directors to ensure policies are current and well-maintained. Senior Executives and Directors table policies for endorsement at

Corporate Executive meetings.

Senior Executives approve policy development, review, consolidation or deletion. No policy work can commence without approval from the relevant Senior Executive.

Senior Executives approve the circulation of draft policies to stakeholders. No draft policy can be circulated for consultation without approval from the relevant Senior Executive.

Senior Executives endorse policies following consideration by Corporate Executive. No policy can be published without endorsement by Senior Executive. Senior Executives are

not

responsible for approving procedures.

Policy Owners

Policy Owners are responsible for providing direction and guidance to staff with respect to the

management of policies. Each Policy Owner is listed on the policy register and on individual policies. An important aspect of Policy Ownership is the consideration of resources to ensure that policy

management is a priority for the area and there is capacity for ongoing policy advice, research and review activities.

The Policy Owner signs any brief to the Senior Executive seeking approval to commence policy work, circulate the policy to stakeholders or for policy endorsement.

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• approving procedures

• identifying the need for policy development, review, consolidation or deletion • researching and consulting another Director to change Policy Ownership • ensuring each policy has a Policy Contact

• ensuring an annual scan of all their policies is conducted

• ensuring the best practice timeframe for the review of policy (three years) is observed

• ensuring current policies and supporting documents are accurate, complete and available on the website and/or on

Index

• ensuring outdated or conflicting supporting documents are removed from the website and/or

Index

• advice provided to stakeholders on policy interpretation

• ensuring Directorate and community needs are met by policy as necessary

• monitoring changes to legislation, whole of government policy and strategic direction impacting on policy with the assistance of Planning and Performance Branch, and

• implementation of the policy.

Policy Contacts

Policy Owners should delegate the management of specific policy to a Policy Contact. Each policy should have at least one Policy Contact listed on the policy register. That person should have subject matter expertise in relation to the policy. All enquiries from internal or external stakeholders regarding the policy are directed to the relevant Policy Contact.

The annual scan to ensure policy currency, three year review and implementation of policy are the responsibility of the Policy Contact under the direction of the Policy Owner.

The Policy Contact may initiate policy review but approval must be obtained from the relevant Manager, Director and Senior Executive before work can commence.

Policy Contacts are also responsible for:

• informing Planning and Performance Branch that policy work is commencing • attending scoping meetings with Planning and Performance Branch

• preparing policy briefs to Senior Executive and Corporate Executive • forming a working party as necessary

• conducting the policy work and developing procedures

• consulting with the Media and Communications unit in relation to publications associated with the policy

• informing the ACT Council of Parents and Citizens Associations of any newly endorsed or recently removed policies

• informing the Records Management unit of any newly endorsed or recently removed policies • policy implementation; and

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Director, Planning and Performance Branch

The Director, Planning and Performance Branch is responsible for the effective management of Directorate policy and maintaining the policy register. Briefs seeking permission to commence policy work must be counter-signed by the Director, Planning and Performance Branch prior to consideration by Senior Executive. This is to ensure the progress of all policy work is reflected in the policy register and is monitored and coordinated.

Planning and Performance Branch

Planning and Performance Branch is responsible for facilitating policy management and: • conducting scoping meetings

• providing quality assurance and ensuring consistency of policies • ensuring policy observes the Directorate’s style guide

• researching best practice in policy management • overseeing the publication and currency of policies • maintaining the Directorate’s policy register

• providing policy register updates to Corporate Executive

• advising Policy Owners and Policy Contacts of relevant Senior Executive decisions • providing support to central office and school staff to assist in policy management; and • maintaining information on the Directorate’s website and on

Index

about policies and policy

management.

Changing Policy Ownership

From time-to-time, Policy Ownership may need to change due to changes in structure or responsibility. Policy Ownership should be updated on the policy and policy register as quickly as possible to ensure policy is managed appropriately.

A change of Policy Ownership may be initiated by Senior Executive, the Policy Owner or another Director. Discussion between the existing Policy Owner and the proposed Policy Owner must occur to establish whether a change in ownership is appropriate.

Planning and Performance Branch must be informed of any change to Policy Ownership to ensure the policy and policy register are updated to reflect the change.

What if a policy is no longer needed?

A Policy Owner may identify that a policy is no longer needed. This may occur if a service is no longer provided by the Directorate or if the matter is dealt with by another policy.

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The Policy Owner must ensure that Directorate employees, relevant stakeholders, the community and the ACT Parents and Citizens Association are informed of the deletion of the policy and provided with information about policies or documents that replace the deleted policy. All associated documents and procedures should be removed from the website and Index to avoid confusion for the public and staff. A group of policies that address a similar topic may be consolidated into an overarching policy with procedures that detail implementation requirements. This process should be initiated by the Policy Owner and follows the same procedures as detailed for policy review. Planning and Performance Branch is able to support policy consolidation.

How do we make minor editorial changes to policies?

A policy may remain current but may need minor editorial changes, such as a new Directorate logo or contact information such as details of the Policy Owner. It is possible to update these details without a full policy review. The requirement to make minor editorial changes should be identified by the Policy Owner during the annual review process (Form 10) and communicated to Planning and Performance Branch.

Planning and Performance Branch is able to support Policy Owners who need minor editorial changes to a policy. These changes do not replace the three year review process as no changes to the content may be made as part of the minor editorial change process.

How do we reflect whole of government policies?

Whole of government policies are overarching requirements for all ACT Government agencies. An example of a whole of government policy is the

ACT Public Service Integrity

policy (2008).

Whole of government policies are mandatory for all ACT Government employees and must be reflected in Directorate policies and procedures. If a whole of government policy exists, an agency-based policy addressing the policy issue should not be developed. It may be necessary to develop procedures if there are specific implementation requirements associated with the whole of government policy that are relevant to schools or central office.

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Appendix 3: Policy Consultation Strategy

The following information is designed to assist the Policy Owner and Policy Contact to conduct

consultation.

1. Action:

Review consultation strategy and stakeholder list outlined in brief to Senior Executive seeking approval to undertake policy work. Discuss any changes with supervisor (a brief to the relevant Senior Executive may be required if the consultation strategy has changed since initial approval). The consultation period must be a minimum of six weeks. Avoid consultation over school or Christmas holidays.

Responsibility

: Policy Contact

2. Action:

Refer to the ACT Government Community Engagement Manual:

Your Guide to Engaging with the

Community

, produced by the Community Engagement Unit, Directorate of Disability, Housing and

Community Services.

Responsibility

: Policy Contact

3. Action:

Draft letter to stakeholders detailing:

• why the consultation is being undertaken

• overview of policy (what changes to existing arrangements the policy makes) • timeframe for providing feedback

• instructions on how to provide feedback The draft letter should be cleared by the Policy Owner.

Responsibility

:

Policy Contact/Policy Owner

4. Action:

Forward letter, policy and published policy (if policy is being reviewed) to stakeholders. This can be emailed if convenient (inviting stakeholders to make changes in

track change

mode).

Responsibility

: Policy Contact

5. Action:

Enter comments on

Record of Stakeholder Comments

form. Consider whether comments will be

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consulted, comments must be represented on separate

Record of Stakeholder Comments

forms.

Record ‘nil’ returns.

Responsibility

: Policy Contact

6. Action:

If consultation strategy requires principal input, consider a

Schools Bulletin

. See Index or contact

Planning and Performance Branch for assistance. A

Schools Bulletin

requires Director approval.

: Policy Contact

9. Action:

Requests for public comment can also be made by placing a public notice in the local press or

Community Noticeboard

. Both require Director approval and come at a considerable cost (this needs

to be budgeted by the Director). Contact Media and Communications unit for more information.

Responsibility

:

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Appendix 4: Policy Implementation Guide

The following information is designed to assist the Policy Owner and Policy Contact to

effectively implement policy

.

1. Implementation:

Consider how the policy will impact on school activities/written procedures. Plan communication and training activities to support changes needed. Ongoing contact may be required.

Responsibility

: Policy Owner/Contact

2. Implementation:

Consider how the policy will impact on central office activities/written procedures. Plan

communication and training activities to support changes needed. Ongoing contact may be required.

Responsibility

:

Policy Owner/Contact

3. Implementation:

Provide approved supporting documentation to the Media and Communications for editing/formatting/publishing.

Responsibility

4. Implementation:

Provide advice on editing/formatting/publishing approved supporting documentation. Take responsibility for publication of document.

Responsibility

:

Media and Communications section 5.

Implementation

:

Provide electronic version of endorsed policy and published supporting documentation to Planning and Performance Branch. Inform Planning and Performance Branch whether the policy is to be an internal or public document.

Responsibility

6. Implementation:

Planning and Performance Branch to apply unique identifier and request that INTACT publish the endorsed policy on the website or Index and approved supporting documents to be published on

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Responsibility

:

Planning and Performance Branch

7. Implementation:

Provide endorsed policy and any approved supporting documentation to stakeholders with a cover letter explaining reasons for policy and an overview of the policy/changes to the policy.

Responsibility

8. Implementation:

All Staff Alert (optional)

Responsibility

Responsibility

16. Implementation:

Records Management section to be informed of the endorsed policy and whether it is new or replacing another policy (this is to ensure that disposal schedules are observed). Email to

[email protected]

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Appendix 5: Glossary of key terms

Glossary of key terms

Corporate Executive

Includes all Directors and Senior Executive. Corporate Executive provides input to policy decision-making

Directorate

Education and Training Directorate

Planning Performance Branch

The branch within the Directorate responsible for the policy management framework

Policy

A succinct statement to articulates a legislative requirement, government commitment or agency position

Policy Contact

Staff member responsible for the development and implementation of individual policies

Policy Owner

The Director who is responsible for the policy

Policy register

Register of the Directorate’s policies, a version of which is available on the policies (on index) page on

Index.

Scoping meeting

Meeting conducted by Planning and Performance Branch with the Policy Contact when policy work commences

Senior Executive

Director-General, Deputy Director-General, Executive Director School Improvement, Executive Director Corporate Services and Executive Director Tertiary and International Education. Senior Executives are responsible for policy decision-making

Procedures

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Appendix 6: Frequently asked questions

What is a policy?

Policies succinctly articulate the Directorate’s position, provide a framework for action and

ensure a consistent approach to our day-to-activities and decision-making. Policies may be

supported by procedures, manuals or guidelines.

Who are policy owners?

Policy Owners are Directors, responsible for ensuring that policies allocated to them are current

and that advice to Directorate staff and stakeholders is provided. Driving policy review,

development and removal is the responsibility of the policy owner. Detail about policy

ownership is provided on each policy.

Who are policy contacts?

Policy Contacts are Directorate staff who provide detailed information about specific policies.

Policy contacts are often the subject matter experts. They are responsible for conducting policy

development and review activities. Policy Contacts for each policy are listed in the Policy

Register on the Internal Policies page on Index.

How should Directorate staff use policies?

Policies should be used to guide Directorate procedures and provide consistent information to

stakeholders. Policies should be checked before making decisions or providing advice to

Directorate staff or stakeholders.

Schools should use policies as a basis to develop school-based procedures that reflect the

individual needs of schools. Policy Owners and Policy Contacts are able to assist schools with

this process.

How can I develop or review a policy?

The Directorate’s policy management procedures are demonstrated by the Policy Management

Cycle. The stages of the cycle and the roles and responsibilities for policy management are

detailed in this manual.

Support for policy management is provided by Planning and Performance Branch. Planning and

Performance Branch host regular workshops to provide information about specific stages of

policy management and best practice in policy writing as well as providing support to Policy

Contacts. One-on-one and or specific support on issues is available on request from Planning

and Performance Branch.

Where can I find a particular policy?

Endorsed Directorate policies are available to staff and the public on the Directorate’s website.

A number of policies are not publicly available due to their sensitive nature. These policies are

available in Internal Policies. Details about a policy’s owner, contact officer, status and

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Many Directorate policies have related procedures or guidelines for the use by Directorate officers in the implementation of policies. These procedures are available for Directorate staff on the Policy Support Materials and Procedures page on

Index

.

How do I find out more?

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Part 5 – Forms

The following part contains forms to assist in the policy management process. Form 1 – Scoping meeting template

Form 2 – Policy project plan template Form 3 – Policy risk assessment template

Form 4 – Identification of policy stakeholders template Form 5 – Request for approval to undertake policy work Form 6 – Policy template

Form 7 – Procedure template

Form 8 – Approval to circulate draft policy brief

Form 9 – Stakeholder comments on draft policy templates Form 10 – Corporate executive endorsement brief

Form 11 – Annual review template Form 12 – Policy feedback template

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Form 1: Policy Scoping Meeting Template

This template is used to guide the policy scoping meeting.

Policy name: _______________________________________________________________________ Request form attached? Yes/No: _______________________________________________________ Reason (development/review/consolidate/delete): ________________________________________ Date: _____________________________________________________________________________ Meeting participants: ________________________________________________________________ Policy Owner: ______________________________________________________________________ Policy Contact: _____________________________________________________________________ Last published: _____________________________________________________________________ Publication location (Directorate website/Index (internal policies)):

Associated procedures: _______________________________________________________________ Legislation (and legislative obligations): __________________________________________________ Managing complaints: ________________________________________________________________ Related policy (including whole of government policy): _____________________________________ _________________________________________________________________________________ Purpose/aim of policy: _______________________________________________________________ _________________________________________________________________________________ _________________________________________________________________________________ Drivers for change: __________________________________________________________________ Issues associated with policy or policy development/review/consolidation/removal: ______________ _________________________________________________________________________________ _________________________________________________________________________________

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• Final draft • Implementation • (project plan needed)

_________________________________________________________________________________

Stakeholders (internal and external): ____________________________________________________

Consideration of impact: • Human rights • Social

• Environment • Economic

• Intergovernmental (other agencies)

• Regulatory (legislation or government direction)

_________________________________________________________________________________

Consideration of equity and diversity target groups: • Women

• People from a culturally or linguistically diverse background • People with a disability

• Aboriginal and Torres Strait Islander people • Children and young people

_________________________________________________________________________________

Risk assessment:

• if policy work is undertaken • if policy work is not undertaken • other

Refer to Risk Management Framework on the Risk Management page on Index.

_________________________________________________________________________________

Working party members (if necessary): __________________________________________________ _________________________________________________________________________________ _________________________________________________________________________________ _________________________________________________________________________________

Consultation plan

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Form 2: Policy Project Plan Template

This template represents the project plan schedule for policy review or development over a 28 week timeframe. Key steps are listed on the left of the template and the progress is indicated from Week 1 through to Week 28 across the template. An

X

indicates when the relevant key step occurs in the schedule. Adash (

–)

indicates no action required.

Key Steps – Policy Development/Review

Wk

1 Wk 2 Wk 3 Wk 4 Wk 5 Wk 6 Wk 7 Wk 8 Wk 9 Wk 10 Wk 11 Wk 12 Wk 13 Wk 14 Wk 15 Wk 16 Wk 17 Wk 18 Wk 19 Wk 20 Wk 21 Wk 22 Wk 23 Wk 24 Wk 25 Wk 26 Wk 27 Wk 28 Analyse policy issues, scope

project

X X X X X

- - - -

ED/DDG brief for approval to

develop/review - - -

X X X

- - - -

Development of issues, strategy

etc - -

X X X X X X X

- - - - Establish working group (if

required) - -

X X X X X X X

- - - -

Construction of draft

policy/changes to current policy and procedures

- - -

_{X X X}

- - - - ED/DDG brief – approval to

circulate - - -

X X

- - - -

Circulate to internal

stakeholders for feedback - - -

X

- - - - Circulate to all stakeholders - - -

_{X X X X X}

- - - - Development of training

material - - -

X X X X X X X X

- - - -

Create final draft policy - - -

_{X X}

- - - - Brief to Senior Executive for

Corporate Executive input and Senior Executive endorsement

- - -

_{X X}

- - - - Communicate and implement

policy - - -

X X X X

- -

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Form 3: Policy Risk Assessment Template

This template is used to record the risk assessment associated with policy review or development.

Risk Assessment

The following example should be deleted after use

Type of Risk:

Commercial and Legal: breach of statute. Reputation - scrutiny required by external

agencies or ACT Auditor General’s Office, etc. There are also possibilities of financial cost and

litigation.

Measure of Consequence:

Moderate

Measure of Likelihood:

Possible – might occur at some time in the future.

Risk level:

Policy Management Manual

Policy

Accessibility

CONTENTS

Part 1 - Introduction

Part 2 – The policy management process

stage 1

stage 2

stage 3

stage 4

stage 5

Stage 1: Identify issues, policy analysis and seek permission to commence

policy work

need

whole of government

environment scan

project plan

Risk management

Stakeholder identification

working

party

consult

communication plan

senior executive approval for policy management

Index

Stage 2: Develop the policy /procedures and consultation

Index

Writing and Style Guide

Index

Index

Index

senior executive approval to circulate draft policy

Stage 3: Consultation and endorsement

Stage 4: Communication and implementation

Index

Schools Bulletins and All Staff Alerts

All Staff Alerts

Schools Bulletins

Index

Stage 5: Monitoring and evaluation

needs review

Part 3 – Policy management checklist

Policy Management Checklist

State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

Index

Index

Index

State

Step

POLICY OWNER AND POLICY CONTACT

PLANNING AND PERFORMANCE BRANCH

COMPLETED –

INDICATE BY

DELETING THE

RELEVANT

State

Step

_strategic