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Policy Cycle

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The University Policy Development Cycle generally incorporates a number of discrete stages – which may not necessarily be sequential, but iterative - depending on the particular policy development and review context.

The cycle includes the following stages:

  1. Identification of Policy Requirements
  2. Nomination of Responsible Officer and Policy Delegate
  3. Drafting (Writing)
  4. Benchmarking
  5. Consultation
  6. Revision
  7. Endorsement
  8. Quality Control
  9. Approval
  10. Promulgation
  11. Implementation
  12. Implementation and Compliance Monitoring
  13. Implementation and Compliance Evaluation
  14. Review and
  15. Records Management.

These stages are outlined clearly in the Policy Development and Review Procedure, and some additional explanatory detail is provided below.

Stage 1 – Identification of Policy Requirements

The first stage of the University Policy Development Cycle involves the identification of policy development requirements, through the identification of:

  • Current (and superseded) policy (which may be referred to as ‘old policy’) which needs to be reviewed, updated and transferred to the University Policy Framework; and
  • Policy which, having received initial approval under the Policy Development and Review Policy, requires review; and
  • Policy ‘gaps’, where no current (and/or superseded), or approved policy exist where ‘statements of intent’ are required.

Stage 2 – Nomination of Responsible Officer and Policy Delegate

Nomination of the Responsible Officer and Policy Delegate may be made in a number of ways, however ensuring the correct position (with sufficient seniority) is nominated is important to guide the policy development process to success.  

The Director, Governance and Legal can provide advice where clarification regarding the nomination of the correct Responsible Officer is required.

The Policy Delegate should have sufficient resources (i.e. experience and time) to conduct or co-ordinate much of the policy development process.

Stage 3 – Drafting (Writing)

The next stage of the University Policy Development Cycle involves drafting the policy statements, including, as required, the Policy, Procedure and Guideline.

This may include:

  • Developing current (and/or superseded) policy statements by transferring content to the new templates then reconsidering and updating content; or
  • Reviewing approved policy statements scheduled for review; or
  • Drafting policy statements to address identified policy ‘gaps’.

The templates available from the University Policy Website provide a basis for drafting policy documents.  

Consistency

Components of the University Policy Framework (i.e. Policy, Procedures, Guidelines) must be consistent with:

  • Commonwealth and State legislation and regulatory requirements;
  • the University of Tasmania Act 1992 and University By-Laws 1993;
  • Ordinances, Rules and Governance Level Principles;
  • Council Approved Plans and subordinate plans;
  • the Delegations Register;
  • provisions of other approved Policy;
  • Policy, Procedure and Guideline Templates (unless an exception has been granted);
  • Industrial agreements; and
  • University of Tasmania Glossaries or Dictionaries.

Responsible Officers

Responsible Officers for Policy include Senior Management Team members and in a limited number of instances in accordance with the respective Ordinance, Directors or Principals of University Entities.

Responsible Officers for Procedures and Guidelines include: Senior Management Team members; Directors or Principals of University Entities; and heads of University organisational units.

Stage 4 - Benchmarking

Benchmarking may be defined as ‘an objective, ongoing search for best practices and processes … for organisations committed to achieving world class standards of performance’ (Prescott, 1993).  Benchmarking provides an opportunity to examine a range of policy alternatives, and draw on lessons learned by other institutions. 

Policy Delegates are required to undertake benchmarking (or access benchmarking reports) to consider Australian and international university’s and related organisation’s responses (e.g. policies) and strategic approaches (e.g. strategic plans).  

Stage 5 – Consultation

Genuine and comprehensive consultation with Policy Stakeholders is fundamental to the University Policy Development Cycle, and underpins successful policy implementation. The Responsible Officer is responsible for identifying Policy Stakeholders, and the Policy Delegate is responsible for co-ordinating consultation processes to provide opportunities for Policy Stakeholders to participate in the policy development and review process.  The UTAS Policy Network may be accessed to consult with a cross-section of University members.  Contact the Manager, Policy and Delegations to access this network for policy consultation purposes.

Stage 6 – Revision

The next stage of the University Policy Development Cycle involves revision of the draft documents to reflect outcomes from the consultation process. Contributions from Policy Stakeholders and others may or may not be incorporated into the revised documents, as appropriate.

Stage 7 – Endorsement

The University Policy Development Cycle may involve ‘endorsement’ of a particular Policy, Procedure or Guideline prior to submission of the respective document for formal ‘approval’.

University practice will generally dictate endorsement requirements.  Alternatively, the Responsible Officer may determine, in conjunction with Governance and Legal, the requirement(s) for endorsement from an appropriate Endorsing Committee.

In most instances:

  • Teaching and Learning policy will be submitted to the University Teaching and Learning Committee then Academic Senate for endorsement;
  • Research policy will be submitted to the Research College Board then Academic Senate for endorsement;
  • Graduate Research policy will be submitted to the Board of Graduate Research then Academic Senate for endorsement;
  • Administrative policy will be submitted to a committee for endorsement as required.

Stage 8 – Quality Control

All final draft Policy documents and University-wide Procedure and Guideline documents must be submitted to the Policy and Delegations Office of Governance and Legal for quality control purposes as outlined in the Policy Development and Review Procedure.

The Policy and Delegations Office will complete quality control processes in relation to all draft policy documents, and University-wide procedure and guideline documents.  

Local organisational units are responsible for completing quality control processes in relation to local procedure and guideline documents.

Stage 9 – Approval

The approval process will involve revoking outdated or superseded policy versions and concurrent approval of new/updated policy in accordance with provisions of the Policy Development and Review Policy.  Policy approval must be in accordance with established Approval Authorities.

The Policy and Delegations Office of Governance and Legal provides advice regarding policy approval processes, and is responsible for submitting all Policy statements and University-wide Procedures and Guidelines to the Approval Authorities. In such instances, Policy Delegates should submit all policy documentation to the Policy and Delegations Office to progress the approvals process.

Policy Delegates are responsible for submitting local Procedures and Guidelines to the respective Responsible Officer. Liaison with the Policy and Delegations Office of Governance and Legal is not a requirement.

Stage 10 – Promulgation

Responsible Officers are responsible for the widespread promulgation of Policy, Procedures and Guidelines and associated information (including web-based information) to support implementation and compliance. 

Promulgation may involve:

  • Circulation to relevant organisational units (e.g. email alert; hard-copy distribution);
  • Presentations to committees, staff meetings or student groups;
  • Conduct of information sessions, training programs and/or discussion groups;
  • Inclusion in local web-based Policy Repositories (linked from the University Policy Repository as this is the authoritative source);
  • Inclusion in news bulletin and staff briefings;
  • Conduct of professional development initiatives focused on implementation of relevant statements.

Governance and Legal shall upload approved and reviewed Policy and University-wide Procedures and Guidelines to the University Policy Repository. Policy Delegates shall upload approved and reviewed local Procedures and Guidelines to their respective policy websites.

Stage 11 – Implement Policy

Policy implementation is conducted with respect to the specific policy provisions.

Stage 12 – Implementation and Compliance Monitoring

The Responsible Officer and Policy Delegate are responsible for ensuring that policy implementation and compliance is monitored.

Stage 13 – Implementation and Compliance Evaluation

The Responsible Officer and Policy Delegate are responsible for ensuring that policy implementation and compliance is evaluated. The Policy Development and Review Policy does not stipulate particular evaluation methodologies; however Governance and Legal encourage all Responsible Officers to ensure that policy implementation evaluation is undertaken to guide continuous improvement. Evaluation outcomes should be used to inform the formal review process.

Stage 14 – Review

Policy instruments are reviewed every three (3) years. Refer to the Policy Development and Review Policy for review requirements.

Stage 15 – Records Management

Records must be managed in accordance with the Records Management Policy. Electronic copies of all approved Policy and University-wide Procedures and Guidelines will be maintained by Governance and Legal. Local Procedures and Guidelines will be maintained by the Policy Delegate as authoritative source documents. These documents will be made available to support the policy review process.