• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Procedure
• Part A - Stage 1: Notification, Distribution, Issues Identification, Directional Advice and Response
• Notifying the Division of Corporate Services (Policy Section)
• Distribution
• Issues Identification
• Directional Advice
• Response from Division of Corporate Services (Policy Section)
• Part B - Stage 2: Proposal, Consultation and Development
• Proposal
• Consultation
• Development
• Part C - Stage 3: Approval Process
• Pre-requisites
• Presentation Documentation
• Initial Presentation
• Approval of New or Amended Policies
• Part D - Stage 4: Dissemination of Approved Policies
• Notification by the Division of Corporate Services (Policy Section)
• Section 4 - Guidelines
• Section 5 - References

Section 1 - Purpose and Context

(1) The aim of this procedure is to ensure:

1. the development of policy is accurately tracked, published and recorded,
2. that staff who write policy are provided with appropriate support,
3. that appropriate exposure and consultation is incorporated into the development process,
4. that all relevant aspects are considered in the development process.

(2) It is intended that this procedure be used in conjunction with the Policy Generation/Amendment Notification Form and the Policy Approval Form .

(3) Further assistance is available from the Division of Corporate Services (Policy and Compliance Unit).

Section 2 - Definitions

(4) Nil.

Section 3 - Procedure

Part A - Stage 1: Notification, Distribution, Issues Identification, Directional Advice and Response

Notifying the Division of Corporate Services (Policy Section)

(5) This stage must be completed before areas/individuals commence Stage 2 of the Policy Generation and Amendment Procedure.

Notification

(6) Any area/individual that is intending to generate new policy or amend existing policy is required to notify the Division of Corporate Services (Policy Section) by completing and submitting the Policy Generation/Amendment Notification Form . This form can be submitted in hard copy or via email as an attachment.

Distribution

(7) The Division of Corporate Services (Policy Section) will notify the University Executive, Legal Counsel, and the Director of the Equity and Diversity Unit of developments regarding policy generation and amendment on a weekly basis.

Issues Identification

(8) Where applicable and within a period of 5 working days of receipt of the weekly report, the University Executive, Legal Counsel, and Director of the Equity and Diversity Unit will notify the DCS, Policy Section of any:

1. specific issues or legal matters that need to be considered or addressed in a policy
2. need to be involved in the development process for specific policies.

Directional Advice

(9) Where applicable and within a period of 5 working days of receipt of the weekly report, the University Executive will notify the Division of Corporate Services (Policy Section) of:

1. any specific direction the University wishes to take in regard to the development of policy, or
2. any specific action or development process the University would like to follow in regard to the development of policy. (e.g. they may advise that they want a specific policy to be reviewed by University Management Advisory Committee (UMAC) for comment prior to wider dissemination and consultation).

(10) The University Executive may, in instances where a policy covers a wide range of areas and in consultation and agreement with the relevant Divisional Heads, deem it necessary for policy development to occur within the Division of Corporate Services.

Response from Division of Corporate Services (Policy Section)

(11) The Division of Corporate Services (Policy Section) will provide a response to the initiator or nominee within 10 working days of receipt of each Policy Generation/Amendment Notification form.

Standard Response

(12) The standard response will include a list of:

1. the issues raised for consideration/inclusion in regard to development of the policy, and
2. any specific stance or direction the University has indicated it wishes to take in regard to the policy, and
3. areas that will be directly affected by the policy,
4. areas that should sign off on the draft before it is presented for approval, and
5. areas that will be indirectly affected by the policy that should be included in the consultation process, and
6. relevant information and reference points for obtaining said information or copies of said information, and
7. sources of expert advice, and
8. publication information relevant to the policy.

Non-standard Response

(13) A non-standard response will be sent in the event that unusual circumstances arise. Unusual circumstances include situations where:

1. the initiator does not hold a position authorized to develop policy, or
2. another division/individual is responsible for developing the policy in question, or
3. the policy is already under development, or
4. a special directive has been given to the Division of Corporate Services (Policy Section) in regard to the development of the policy.
5. other circumstances were it is not deemed that a standard response is appropriate.

(14) Non-standard responses will include appropriate advice in regard to the specific circumstances of the policy in question.

Part B - Stage 2: Proposal, Consultation and Development

(15) Proposal, Consultation and Development should proceed in line with the response from the Division of Corporate Services.

Proposal

(16) A policy proposal should be developed for circulation. The proposal should:

1. clarify the intended aim of the policy, and
2. highlight any issues and concerns that have been raised for discussion/incorporation.

Consultation

(17) The proposal should then be circulated in line with the advice of the Division of Corporate Services. Sufficient time should be allowed for review of the detail, discussion, and feedback to be submitted.

(18) Consultation must include Divisions that will be directly affected by the implementation of the policy.

(19) Circulation and consultation may include referrals to University Legal Counsel, Equity and Diversity Unit, Divisional/Executive subcommittees, and others as appropriate for consideration and provision of expert advice.

Development

(20) On receipt of feedback an initial draft will be developed. This draft should then be circulated for comment by the consultation group and amended as necessary in light of feedback until such time as it is ready to be presented for approval.

Part C - Stage 3: Approval Process

Pre-requisites

1. The final draft should have been signed off by the Head of any Division that will be directly affected by the policy prior to presentation for approval.
2. The final draft should have been signed off by the relevant Divisional Head responsible for development/implementation of the policy prior to presentation for approval.
3. Where applicable, the final draft should be signed off by the University Legal Counsel and/or the Director, Equity and Diversity Unit prior to presentation for approval.

Presentation Documentation

(21) All policies being presented for approval are to be sent to the University Executive via the Division of Corporate Services (Policy Section). Policy documentation may be submitted in hard copy or as email attachments.

(22) Documentation must include:

1. a complete copy of the draft policy document that is being presented for approval. Amendments alone will not be accepted.
2. a policy approval form with Section A completed.
3. a covering submission. This submission must incorporate:
   1. a summary of the issues
   2. a list of persons consulted (including divisions represented)
   3. a report on consultations undertaken and the outcomes.

(23) Where insufficient documentation is provided the Division of Corporate Services will respond, requesting the missing information before proceeding to present the policy for approval.

Initial Presentation

(24) On receipt of the necessary documentation all policies will be presented to the University Executive for consideration.

(25) The University Executive will review the policies and may:

1. agree that it is appropriate to proceed to approval, in which case they will determine the appropriate approval authority, or
2. determine that further advice/consideration is required prior to approval (including referral to UMAC), in which case they will determine who to refer the report to for further comment, or
3. determine that the draft is not suitable for approval in its current form in which case they will provide advice and comments on the draft to the either the original author, another policy officer, or a professional writer in order to have the draft re-written in an appropriate form.
4. determine that it is inappropriate to proceed with approval if any of the pre-requisites have not been met.

Approval of New or Amended Policies

(26) A policy will be considered approved when:

1. the approving body has deemed it so, and
2. the approval is confirmed in writing by the signature of the designated approval authority on the Policy Approval Form.

Part D - Stage 4: Dissemination of Approved Policies

Notification by the Division of Corporate Services (Policy Section)

(27) On receipt of official approval confirmation (that is the signed original of the Policy Approval form and Policy Document) the Division of Corporate Services (Policy Section) will:

1. Notify the UWS Community via email that the new policy is in place, and
2. Publish the new policy on the UWS Policy and Procedures Directory, and
3. Notify the UWS Community via email when the web is updated, and
4. Add the official approved version of the policy, the Policy Approval form and the covering submission to the Hard Copy policy file.
5. Advise the Professional Development Unit should there be any need for development programs to explain/inform staff of new/revised policies.

Section 4 - Guidelines

(28) Nil.

Section 5 - References

(29) Policy Generation/Amendment Notification Form