Policy without (much) pain - University of Ballarat

Policywithout(much)painA guide to better practice inpolicy development and policymanagement in Australasiantertiary education institutions.A publication of the ATEM Institutional Policy Network

Policy without (much) painA guide to better practice in policy development and policymanagement in Australasian tertiary education institutions

Policy without (much) pain: A guide to better practice in policydevelopment and policy management in Australasian tertiary educationinstitutionsPublished by the Association for Tertiary Education Management Bass Region, on behalf of theATEM Institutional Policy Network© Association of Tertiary Education Management 2010ContributorsThe following members of the ATEM Institutional Policy Network have contributed to theproduction and/or editing of this book:Donna Aitken, Monash UniversityMark Hatwell, Monash UniversityKai Jensen, RMIT UniversityBronwyn Kosman, Macquarie UniversityJacqueline Perdriau, Monash UniversityDesign, layout and illustrations by Donna Aitken

Contents1. Why this book? ......................................................................................................................... 42. Disclaimer ................................................................................................................................. 53. What do we mean by policy? .................................................................................................... 64. Institutional policy frameworks .................................................................................................. 85. Legal and governance issues ..................................................................................................106. Senior management and policy ...............................................................................................127. What drives policy? ..................................................................................................................148. Is a policy needed? ..................................................................................................................159. Policies spanning multiple regulatory regimes .........................................................................1610. The policy development process ...........................................................................................1811. Planning a policy project ........................................................................................................1912. Research ...............................................................................................................................2113. Consultation ...........................................................................................................................2514. Impact assessment ................................................................................................................2715. Drafting ..................................................................................................................................2816. Approval ................................................................................................................................3017. Implementation, communication and training.........................................................................3218. Policy review ..........................................................................................................................3519. Institutional policy management .............................................................................................3720. Compliance ............................................................................................................................4021. Policy and the website ...........................................................................................................4222. What makes a good policy developer? ..................................................................................4423. The ‘policy industry’ ...............................................................................................................4624. Policy culture .........................................................................................................................4825. Resources .............................................................................................................................4926. The ATEM Institutional Policy Network ..................................................................................5027. Feedback ...............................................................................................................................50

Policy without (much) pain1. Why this book?This book is a resource for staff of Australian and New Zealand tertiary education institutions whoare responsible for developing or managing policies for their institution – particularly those whoare new to such a role. It is also intended for staff who are users of policy although they may notdevelop it.It is our impression from workshops and forums of the ATEM Institutional Policy Network 1 thatpeople who work in tertiary institutions are sometimes asked to develop policies, or improve theway the institution manages policies, without much previous experience. Since 2000 or so, manyinstitutions have put in place resources, support, tools and training for staff responsible for policydevelopment, but this is still not universally the case. Even where the support is available, staffmay not be aware of it. In such cases, they may seek support and guidance from other staffwithin the institution, or from people in similar roles at other institutions.This book attempts to provide that support more conveniently and comprehensively in textualform. It collates ideas and suggestions on effective practice in policy development andmanagement gathered from workshops and forums of the ATEM Institutional Policy Network overthe past five years. These ideas are offered to readers in a spirit of collegial support and sharingof better practice which is the spirit of ATEM – the Association of Tertiary EducationManagement.This is a work in progress. Readers are invited to provide feedback and suggestions to improvethe book: see section 27.There are as yet very few resources of this type: to our knowledge this is the first booklet-lengthwork in this area, at least published in Australasia. For other resources for institutional policydevelopment, see section 25.1 For a brief history of the ATEM Institutional Policy Network and its contact details, see section 26.~ 4 ~

Policy without (much) pain2. DisclaimerWe hope readers will find the ideas in this book helpful in their work. It is intended to promoteeffective policy development and management, and thus to: assist institutions to satisfy the expectations of staff and studentsminimise the risk of disruption to services, complaint, litigation or loss arising from poorlydeveloped policy energise institutions by fostering the use of policy to increase staff engagement and improveinternal communication.Tertiary education policy is, however a challenging area, and unexpected reverses do occur.Each institution and each policy project present unique challenges, and no amount of advice caninsure against failure. Accordingly ATEM takes no responsibility for any disruption to services,complaint, legal action or loss in relation to any type of policy text developed, or policy frameworkmanaged, based on the advice in this manual.In particular, readers are advised that they should:identify and use whatever guidelines, resources and support their own institution provides forpolicy development and policy managementnot use this book as a substitute for seeking legal advice to ensure that policy texts theydevelop are consistent with the principles of administrative law and the legislation governingtheir institution. When developing and reviewing tertiary institution policy, it is essential toconsult the institution’s legal advisers.~ 5 ~

Policy without (much) pain3. What do we mean by policy?"Do we have a policy on that?" The term ‘policy’ is commonly used in Australasian tertiaryinstitutions, to mean:any kind of text, committee decision or management directive that shapes any aspect of theinstitution’s activities any text in the institution’s policy repository (which may include everything from statutes downto business rules and non-mandatory guidelines).At the same time, in almost all institutions a policy is also a specific type of text, approved at ahigh level of the institution (by the council or academic board, by the Vice-Chancellor, or by amember of the senior management team).The term policy isslippery: its meaning canvary depending on context.This slipperiness perhapsreflects the contestednature of policy inattempting to shapehuman activity.A policy typically states the principles on which theinstitution bases its approach to an area of activity,and broad rules which staff are required to follow incarrying out the activity. In many institutions,however, there may also be ‘policies’ setting outdetailed steps for specific processes, which may nothave been approved at such a high level.Different areas of the same institution may havedifferent understandings of what a policy is. Forexample, academic policies tend to be statements ofprinciple and high-level rules, supplemented by moredetailed procedures documents, while finance andhuman resources policies may be highly specific and detailed – in effect, procedural documentsthat happen to be called ‘policies’ in that area. There may be a policy on staff taking taxis or onthe correct process for administering institutional credit cards.Units within the institution, such as faculties, may have their own policies if the institution permitsthis. In some institutions these faculty policies may fill a gap where there is no institutional policyas yet; or else they may supplement an existing central policy by specifying how staff in thefaculty are to perform the activity in question, where the policy has left something to the faculty’sdiscretion.~ 6 ~

Policy without (much) painIn the past decade many institutions have introduced a ‘policy on policies’, or a ‘policy frameworkpolicy’, setting: a standard definition of policy across the institution a standard process and format for developing and reviewing policies and procedures.Such institutions may require that the term ‘policy’ be used only for institution-wide policies. Yet itis a very large task to bring all policies for a big institution into a standard format andnomenclature. Many institutions have succeeded partly in doing this, but not fully.If the above is not sufficiently confusing, we should also note that the term ‘tertiary educationpolicy’ is used for government policy on tertiary education – the major changes in approach tofunding and regulation of the whole sector that are introduced by national and (in Australia) stategovernments from time to time. ‘Tertiary education policy’ has a significant impact on ‘tertiaryinstitution policy’, but they are different animals.From the above, it will be seen that the term policy is slippery: its meaning can vary depending oncontext. This slipperiness perhaps reflects the contested nature of policy in attempting to shapehuman activity.In the title of this book we use ‘policy’ in the general or umbrella sense, to mean all textsproduced by the institution to define and control its activities. The advice in this book should beapplicable to any institutional policy project, whether it is to develop a new piece of institutionallegislation, 2 a high-level institutional policy, a low-level procedural document, or a document thatapplies only within a faculty or business unit.Key points/tips:‣ At least three meanings of ‘policy’ are current in tertiary education.‣ We use ‘policy’ in the general or umbrella sense, to mean all texts producedby the institution to define and control its activities2 Delegated legislation, however – institutional statutes, regulations or rules – is drafted by legal staff. Policy developers can assist with researchand consultation to establish what changes to legislation are needed – and for this work the ideas in this booklet may be helpful.~ 7 ~

Policy without (much) pain4. Institutional policy frameworksThe policy framework of an Australasian tertiary institution is the hierarchy of texts that define andgovern the institution’s activities. At the top of the hierarchy is the Act of Parliament (for mostAustralian institutions, the State Parliament) which founded the institution and empowered it toregulate its activities. On the next tier of the framework is the legislation that the institution isempowered by its founding Act to make for itself. This comprises the legislative documents(statutes, regulations, rules, by-laws) that broadly define what the institution does, authorising itsmanagers and staff to form committees, assess and graduate students, make decisions, spendand invest money, and so on. This level of document is generally approved by the institution’scouncil. In Australia, new or amended statutes of a university also need to be approved by thestate government. This can make the time-frame for approval of these legislative documents alengthy one.Optimally, there should be acommittee or executive groupwhich considers proposals todevelop new policies.The next lower tier of documents arecommonly called policies. Policies set outprinciples for an area of activity, and high levelrules. A credit policy, for example, may setmaximum limits on the amount of credit forprevious study that can be granted towards anaward. Policies tend to fall into one of twobroad categories: academic/educational, orservices/resources. Academic or educationalpolicies are commonly approved by the highest academic committee of the institution (academicboard or senate) or by the institution’s highest governing body (the council). Policies on theservices/resources side may be approved by the Vice-Chancellor, by the senior managementteam or executive, or by the relevant member of the senior management team or executive. So anew leave policy may need to be approved by the Director of Human Resources, or by the wholeexecutive, or by the Vice-Chancellor.~ 8 ~

Policy without (much) painThe policy framework also comprises lower tiers of documents such as procedures, which set outdetailed mandatory rules for an activity. For example, a recruitment procedure may give thedetailed steps that are to be followed in the staff recruitment process, such as a requirement thatqualifications claimed by a staff member are to be verified, and how that is to be done (forexample, sighting originals or certified copies, photocopying these, including them in the staffmember’s file).At the bottom of the policy framework are non-mandatory guidelines, business rules and localdocuments such as faculty or work unit ‘policies’ or process documents.The term ‘policy framework’ is also sometimes used with a second or overlapping meaning: theway the institution manages its policy framework. In this sense policy framework refers to astandard process for developing and approving policies and procedures using specific forms andtemplates. It may also mean a requirement to consult the central governance unit or secretariatfor guidance on how and when to develop a policy. Optimally, there should be a committee orexecutive group which considers proposals to develop new policies, to: ensure that there is a sufficiently strong need for them place them within the institution’s suite of policies assess whether the resulting policy is consistent with the institution’s definition of such texts.Key points/tips:‣ A typical policy framework ranges from legislation at the top, throughpolicies and procedures, to guidelines and local documents at the bottom.‣ The term ‘policy framework’ is also used to mean a standard process fordeveloping and approving policies and procedures using specific forms andtemplates.~ 9 ~

Policy without (much) pain5. Legal and governance issuesAs stated in section 2 Disclaimer, staff developing and managing institutional policy are advisedto consult the institution’s legal advisers in relation to each policy project, to ensure that the policyis consistent with the institution’s governing legislation. This section is essentially a warning to dothat. It also, however, sets out some key points in this area derived from a reading ofAdministrative Power and the Law, aAn administrative decision isa decision made using publicpower…. staff and committeesmake administrative decisionswhich affect members of thepublic, and with which theymay be dissatisfied.handbook by Fiona McKenzie, a Victorianbarrister specialising in administrative law (seesection 25 Resources). This is a thoughtprovokingwork for institutional policymanagers.Administrative law is the area of law thatconcerns administrative decisions and legalchallenges to them. An administrative decisionis a decision made using public power – powerconferred by Parliament through legislation.Universities, polytechnics and TAFEs are public institutions, partially funded by the taxpayer.Their staff and committees make administrative decisions which affect members of the public,and with which they may be dissatisfied.For example, a student may be unhappy with a decision to: decline to grant them credit for previous study award them a failing grade refuse to award them a degree if they are considered not to have completed courserequirements exclude them from the institution for unsatisfactory progress or a breach of discipline.~ 10 ~

Policy without (much) painA student may seek a review of such a decision by an external authority such as theOmbudsman. They may even go to law to seek to have the decision reversed.To minimise the risk of adverse external review findings or successful litigation, the institution’spolicy framework must be sound in administrative law. This means that:the authority to make the decision must be provided for in the institution’s founding legislationand by the institutional legislation which the institution has the delegated authority to make(statute, regulations or rules)the authority must be demonstrably delegated to the committee or individual making thedecision any rules constraining the decision must be stated, or at least demonstrably intended, by thelegislative documents.For areas that are most prone to dispute – such as student conduct or discipline, fees,assessment, academic progress and higher degree candidature – it may be desirable to state therules fairly completely in statute and regulations. One ground in law for disputing a decision is thatthe decision-maker’s professional discretion was restricted by requirements stated only in policy –rules absent from the legislation that furnished the decision-maker with their authority. The legalargument would be that the legislation intended the decision-maker’s discretion to be unfettered,or else it would have stated the restrictive requirements.Institutional policy must also be consistent with any other legislation that should guide theinstitution’s activities. There is a long list of national and (in Australia) state acts and regulationswith which institutional policy must comply, starting with legislation on tertiary education such asthe Education Act (in New Zealand) or the Higher Education Support Act (in Australia). There arehuman rights, equal opportunity, privacy and freedom of information provisions; health and safetylegislation; fair trade and industrial legislation; and many others. Staff responsible for developingpolicy must be familiar with the relevant legislation, or seek advice from those who are. Forexample, in Australia many institutions have a staff member who specialises in compliance withthe Educational Services for Overseas Students (ESOS) National Code. This staff membershould be consulted in the development of all policies and procedures that govern the institution’sdealings with international students.Key points/tips:‣ Seek legal advice to ensure your policy is consistent with the institution’sgoverning legislation.‣ Familiarise yourself with the requirements of relevant national/statelegislation.~ 11 ~

Policy without (much) pain6. Senior management and policyPolicy is a major medium of communication for a tertiary institution. Done well, it provides a clear,consistent basis for all aspects of the institution’s activities. Where staff have confidence in policy,it contributes significantly to a healthy organisational culture and a positive staff experience, aswell as ensuring consistent delivery of service to students.Senior managers have considerable influence on whether policy provides these outcomes. Theycan support policy in the institution by: taking an interest in policy and its effectiveness – modelling respect for policy to other staff providing adequate resources for policy development and policy managementrequiring that policy be developed with appropriate consultation, to ensure that it meets theneeds of operational staff and is not unnecessarily resource-intensivesupporting a consistent institution-wide approach to the management and publication ofpolicyfollowing up to ensure that policies under their portfolio are reviewed in accordance with theinstitutional time-frame for review.Depending on the approval paths for policy in an institution, senior managers may be responsiblefor approving some types of policy (individually or as part of the executive); they may also givethe go-ahead for policies to be developed. InOne of the peculiarities oftertiary institution policy isthat staff do not necessarilycomply with it if they don’tagree with it.this case, it is even more important that theytake an interest in the institution’s policyframework as a whole.Senior managers can model respect for policyis by ensuring that policies for which theresponsibility lies under their portfolio arereviewed in the required time-frame. As thereview-by dates for these policies approach, the senior manager should ensure that thesereviews are included in the work plans of the relevant managers.~ 12 ~

Policy without (much) painSenior managers have got where they are by being assertive, determined and confident in theexercise of power. These qualities mean there is a temptation for them to intervene in policydevelopment – to veto points in a draft resulting from a consultation process, or to add points, onthe basis of their own experience.In extreme cases senior managers may require policies to be written without much consultation –where they perceive an urgent need, or where they are unwilling to spare the resources forconsultation. This runs the risk of damaging staff confidence in policy, if it is seen to be imposedfrom above without understanding of operational practicalities.One of the peculiarities of tertiary institution policy is that staff do not necessarily comply with it ifthey don’t agree with it. Policy in a government department, or the business rules of a privatecompany, tend to achieve a high degree of compliance. But an unpopular policy in a tertiaryinstitution – or even a policy that is not widely known because it has been developed withoutconsultation with the staff who will use it – is likely to be disregarded. This tends to weakenrespect for policy in the institution. It also places the institution at risk of adverse external reviewfindings or litigation, with their costs in resources and reputational damage.Accordingly it is important that senior managers recognise the need for consultation in policydevelopment. They are key stakeholders in policy, and can provide valuable guidance andfeedback as drafts are developed, since they tend to have considerable experience and access tomore streams of information within and outside the institution. They should not dictate policy,however, since this can reduce its benefit as a medium of communication across the institution.Key points/tips:‣ Model respect for policy to other staff.‣ Resist the temptation to dictate policy; promote consultation.~ 13 ~

Policy without (much) pain7. What drives policy?"We need a policy on this." A very wide range of factors can result in a request for a policy to bedeveloped, amended or reviewed. Some of these are outlined in the table below.Policy driverNew/changed governmentrequirements or legislationNew strategic objectives of theinstitutionIdentification of a gap in the policysuite – for instance by comparisonwith other institutions’ policiesEmerging operational issuesIdentification of risks orinconsistencies by staff of theinstitution, in preparation forexternal audit or by the externalaudit panelReview/consolidation of olderpoliciesMedia pressuresEvents generallyRestructuringExamplesAny change to funding/reporting requirements may requirereview of policies.New sources of contestable funding to encourage newactivities by institutions, may in turn require policiesgoverning those activities.An increased emphasis on creating a positive studentexperience will require additional student-related policies.The institution signs the Talloires Declaration and thisrequires a new policy on Environmental Sustainability andmore detailed procedures on sustainable building andpurchasing.Managers notice that comparable institutions have a creditpolicy.Concern that a process is being carried out inconsistently,or is taking too much resourcing, may lead to a policy tobring about improved consistency/efficiency.An audit panel requests better control and record-keepingof contracts entered into by the institution: the institutiondevelops a policy to try to achieve this.Placing all policy-type documents in the new institutionalpolicy web repository shows that there are a number ofoverlapping documents on correct use and reconciliation ofstaff credit cards. It is decided to consolidate these into asingle staff credit cards policy.Media stories about poor English language skills ofgraduates lead institutions to develop English languageentry requirements policies.The Virginia Tech shootings led many institutions todevelop policies and procedures to try to identify studentsand staff who may be a risk to others, support those withmental health issues, but also to provide for exclusion onhealth grounds.The development of a centralised student services unitrather than individual units in faculties might requirechanges to existing procedures.~ 14 ~

Policy without (much) pain8. Is a policy needed?When a request arises to develop a new policy, it should be carefully scrutinised. Policies tend toproliferate without coordination. The first questions to ask are, what existing policies does theinstitution have that are relevant to the matter? Is a new policy or procedures the best solution? Isthe matter perhaps already covered by an existing policy, or could it be covered by adding asection to an existing policy? Is it a matter of such detail that it would be more appropriatelyhandled in a text at the level of business practice or work instructions?For example, concerns may have arisen about inconsistent practice across the institution in theaward of conceded pass or terminating pass grades. Some faculties will award only two of thesein any program, others have no such limit. Students in thesame class have different chances of getting a concededpass if they are enrolled in programs managed by twofaculties with different rules. It has been suggested that aconceded pass policy is needed. Someone points out,however, that there is already a section authorising the useof conceded passes in the assessment policy, and it would be more appropriate to includeinstitution-wide rules for this in a new section of the assessment procedures.Cornell University in New York State is considered to be a leader in policy better practice in theUnited States. An important feature of Cornell’s approach to policy is a central committee thatoversees the development and review of policy. Any proposal to develop a new policy must beapproved by this committee. Some Australasian institutions similarly require a case to be madefor a new policy to a central committee or executive group. This is not quite the same, however,as a specialist central policy committee for both educational and management policies. There isstill a tendency in Australasian universities for these two broad types of policy to be coordinateddifferently; and it is less common for management/resources policies to be co-ordinated at all.Key points/tips:Policies tend toproliferate withoutcoordination.‣ Be sceptical of the need for a new policy.‣ Best practice is a single institutional committee that considers the case forall new policies.~ 15 ~

Policy without (much) pain9. Policies spanning multiple regulatory regimesLegislation shapes institutional policy. It provides the source of authority for institutional activitiesand decisions, and it sets limits and rules for these matters. So what happens when institutionalpolicy has to cater for two different sets of legislation? Or even three? This can arise when aninstitution: has campuses in more than one Australian state has campuses in more than one country in Australia, is a ‘dual sector’ institution, offering both higher education and VocationalEducation and Training (VET) courses.In these circumstances, different legislation sets different rules for key aspects of the institution’sactivities. For example:Australian federal and state legislation set different conditions of employment for highereducation and VET teaching staff. Where an institution has a campus or partner program inSouth-East Asia, the local employment legislation may permit less generous conditions forremuneration, leave and so on; local partners in the other country will expect to operateunder these conditions, and indeed this may be essential for profitability of the local campusor program.New Zealand and Australian privacy legislation set stringent requirements for the protectionof students’ personal information, but these requirements may be absent in countries outsideAustralasia. In those countries, parents and other sponsors of student’s study costs mayexpect to have direct access to information on the student’s academic progress, and theremay be no legislative bar to such access.Tertiary education legislation in other countries may use different terms or may use the sameterms differently.If we are based at the ‘home’ campus it is all too easy to forget the needs of remote campuses oroffshore partner programs when developing policy. Similarly, in a dual sector institution, if wemainly work with higher education processes, it is all too easy to forget that VET has differentrequirements and concerns.~ 16 ~

Policy without (much) painIf the needs of some campuses/sectors aren’t met by policy, they will disregard it, and theinstitution will miss the chance to achieve greater unity through better internal communication. Itfollows that policy developers must make a point ofengaging VET and remote/offshore staff inconsultation.Since institutional policies usually set out broadprinciples aligned with institutional strategy, it isgenerally possible to develop a single policy whichcan apply across the whole institution. Dual sectorand trans-national institutions may developseparate procedures for parts of the institutionunder different regulatory frameworks.For example:A dual sector institution may have a single assessment policy but separate assessmentprocedures for higher education and VET.A trans-national institution may have a single credit policy but separate credit transferprocedures and recognition of prior learning procedures for Australasian campuses andcampuses in other countries.Key points/tips:If the needs of somecampuses/sectors aren’tmet by policy, they willdisregard it, and theinstitution will miss thechance to achieve greaterunity.‣ Strive to consider the needs of all campuses, offshore programs and (in dualsector institutions) both VET and higher education.‣ To accommodate several regulatory frameworks, it may be necessary todevelop several sets of procedures.~ 17 ~

Policy without (much) pain10. The policy development processSections 11 to 18 below set out the eight main stages of policy development. For each stage, weoffer advice and tips on better practice. These stages should not, however, be seen as a linearsequence. They may overlap or occur in different sequences. For example, consultation andresearch may overlap with one another, with drafting and even with approval – particularly if apolicy is sent back by a committee for further consultation and/or research.~ 18 ~

Policy without (much) pain11. Planning a policy projectA policy project is a project like any other, and should be planned in the same way. This meansensuring sufficient resources are available and setting a realistic timeline for the work.The very first step in planning is to inform yourself about the institution’s policy developmentprocess (if you aren’t already well aware of this). Who is responsible for centralmanagement/coordination of institutional policy? You should contact them to let them know aboutyour project and seek their advice. What process is required in the policy on policies or policydevelopment procedures? Do you need to obtain formal approval for the project from someone,or from a committee? What tools and templates are you required to use? Is there an institutionalglossary of terms and definitions you should use?When planning your project, start with the proposed dates of implementation and committee orexecutive approval, and work backwards. Consider whether staff need to be freed from otherduties for this project – do other targets in the policy developers’ work plans need to be relaxed?If a large number of policies need development/review, are new staff positions required? Here iswhere senior management engagement with policy may be useful.Will the policy require new information technology systems if it is to be implemented? Will itinvolve changes to existing IT systems? For example, if an academic progress policy is beingsubstantially amended, and you have an IT system for managing academic progress applicationsand the resulting communications, the changes may require months of work for the IT arearesponsible. The work will need to be included in the schedule of IT project work well in advance.Your thinking about IT systems should include planning to monitor compliance with the policy,after it is approved, via corporate data systems. For example, if you are going to introduce a newadmissions policy, will you be able to assure the quality of admission decisions by what isrecorded on the student management system? How is the basis of admission decisions currentlyrecorded, and do more details need to be captured? Do reports of the data in the admissionsfields of the database need to be developed?If the resources/time-frame are too tight, consider moving the implementation/approval dateslater. Include in the time-frame a realistic period for legal advice on the drafts, and inform thelegal office in advance of when you will be bringing the drafts to them, so they can plan this intotheir own work schedule.It may be appropriate to have separate policy approval and implementation dates to provideadequate time for communication and preparation, and/or where a transition period is necessary.For example, introduction of an English language entry requirement may not be able to takeeffect for several years, if students are currently enrolled in programs at other institutions in the~ 19 ~

Policy without (much) painexpectation that they can articulate to your institution by meeting only the previously publishedacademic achievement score for admission.If you have been asked to develop/review one policy, is it worth doing the same for closely relatedpolicies/procedures? That is, can you achieve efficiencies by carrying out the research andconsultation for several sets of related texts at the same time? For example, if you are reviewingadmission policy, can you include preliminary consultation on credit policy in the project, sincemany of the stakeholders will be involved in both activities? This may make the consultationsomewhat more laborious, but will save you and the stakeholders time in future. It also generatesa sense of a policy sub-community: staff with this kind of responsibility know that they will beconsulted about each relevant policy.For major policy projects, it is desirable to set up the full apparatus of a project, with: a scope or terms of reference a steering committee a reference group of knowledgeable operational staff implementation, communication and training plans.This is taking policy seriously as a tool for institutional change. As far as possible, however, it isbest to use existing committees and working groups to govern the project, since these meetingswill already be scheduled. For such bodies to be effective in framing policy, however, theiragendas must allow time for the detailed discussion that will be needed.Academic policy in particular can be controversial. Academic staff care deeply about educationaland research policies and procedures: these are integral to their sense of identity as teachers andresearchers. For many of them, however, their identity will have been developed at otherinstitutions before they came to yours, as studentsthemselves or in previous academic positions. EachAcademic policies inparticular can becontroversial.institution will have handled the policy in question differently,with different rules and terminology.It is the nature of academic staff to question and debate.They are likely to object to an education or research policythat is developed by professional staff without the oversight ofacademics. It is unwise to embark on a major policy project insuch areas without a steering group that can be seen to represent all parts of the institution, andwhich includes leading academic staff. This may avoid situations in which academic staff applytheir critical skills to a new policy only after it has been developed.The steering group should include members of the academic committees that will approve thedrafts. This will help reassure the committees that the policy has been developed with input fromtheir members; and steering group members will be present to answer any questions about theconsultation process and choices between options made.Key points/tips:‣ Set a realistic timeframe, planning backward from approval dates.‣ For major policy projects, set up the full apparatus of a project.‣ For academic policy projects, include academic managers in the steeringgroup.~ 20 ~

Policy without (much) pain12. ResearchThe research phase of a policy project may comprise exploration of: senior management views on the relationship between the project and strategic objectives issues/concerns previously raised on the policy topic by staff of the institution related policy texts within the institution terminology and definitions similar policies and similar policy projects at other institutions relevant state and national legislation guidelines, policy statements, better practice documents and model policies at state, nationalor international level.Seek senior managers’ adviceIt is desirable to meet the senior manager or managers responsible for the policy area, to gaintheir advice on the objectives of the project and any factors which should be taken into account.For example, if you are preparing a project on a major aspect of education policy, it may be agood idea to find out what the pro vice-chancellor and/or deputy vice-chancellor responsible foreducation are thinking. Senior managers have access to more sources of information and a bettersense of any institutional strategies or internal/external politics that may restrict what is possiblein the project. They may be aware of an emerging strategic priority that has not yet beenannounced. They may tell you that they wish the project to be broader in scope than you realised,or narrower. Their advice at the beginning can save you from surprises and changes of directionlater in the project.Gather previous feedbackThe operational managers in the policy area, and the central policy managers, may be able toprovide a list of issues/concerns that have been raised by staff, about the way the institution iscurrently managing the activity addressed by the policy. Some institutional web policy repositoriesinclude a facility for online feedback on each policy, so issues/concerns are collected in arepository. You will want to address these concerns in consultation and drafting, and to makeclear that you have done so. Even if these views aren’t incorporated into the drafts, it is importantto demonstrate that they have been considered, and give the reasons they were not included.This in turn will encourage staff to provide feedback on policy in future, so you will have betterinformation for future projects.~ 21 ~

Policy without (much) painIdentify relevant internal documentsIf you are developing a new institutional policy to fill a gap, units such as faculties may alreadyhave local policies in the gap. For example, if there has never been an institutional credit policy,there will probably be a number of faculty credit policies or statements about credit in courseregulations or on ‘future students’ web pages. These will inform you about the existing range ofpractice within the institution.Once you have identified anumber of possible policymodels at otherinstitutions, a contentmapping exercise may bevery useful.You also need to identify closely related institutionalpolicies and procedures. Do these also need to beamended to avoid conflicts between policies andprovide a clear demarcation line with the policyyou’re developing? Maybe there is even a case forabsorbing them into the new policy. For example,small policies on internal transfer, deferment, readmissionand English language entry requirementscould all be absorbed into an admissions policy.What about the governance documents at the top ofthe institution’s policy framework; do the legislativedocuments authorise the proposed policy? Or issome amendment to a statute, regulation or rule needed? Maybe a whole new statute is needed,in which case the scope of the project is greater, and the time-frame will be significantly longer.What is the history of the policy issue at your institution? In large organisations, with staffturnover, important facts may be buried in the archives. If you use keyword searches to go backthrough committee papers, you may find that previous solutions to the issue have beenattempted. You may even find that the solution you have in mind has been tried and has failed. Itis better to find this out in your research than to be told it in consultation or in the approvalprocess. Staff who have been with the institution a long time may be able to furnish the relevanthistory, if you seek their advice.Clarify terminologyDoes the project involve key terms that require careful definition? Examples might be ‘plagiarism’or ‘recognition of prior learning’. A seemingly obvious term like ‘admission’ may require closeattention. Is enrolment in a single unit/subject/paper, without admission to a program leading toan award, still an admission? Is there any aspect of such an enrolment that should be controlledby an admission policy? For example, is there an English language entry requirement for such anenrolment? If you don’t set an English requirement, do you run the risk of having students withpoor English skills in the same class as students who have met a rigorous English requirementfor admission to programs? Where does admission end and enrolment start, or do they in factoverlap, and to what extent?Remember that staff of your institution have converged from many other institutions where termsare used differently. We are aware of two institutions where ‘admission’ and ‘entry’ have oppositemeanings. In one institution ‘admission’ means meeting the minimum requirement to beconsidered for any program in the institution, while ‘entry’ means meeting the requirements for aspecific program. In the other institution, the meanings are reversed: ‘entry’ is to the wholeinstitution, ‘admission’ is to the specific program. And in both institutions these terms are oftenused interchangeably by staff.If your institution has a campus in another country, the same term may be understood differentlythere. Your higher education and vocational education and training staff may use a term like‘recognition of prior learning’ in somewhat different ways. Even in a homogenous higher~ 22 ~

Policy without (much) paineducation institution, different units and campuses may understand the same term differently.Historical uses of terms may persist from institutions that were merged into your institution longago. A particular discipline such as education, engineering, medicine, nursing, pharmacy or lawmay attach particular meanings to a term because the term is used that way by its professionalregistration body.It is essential to identify any problems with terminology, and make the definition of these terms anexplicit part of the consultation process. One institution ran a project to define the term‘plagiarism’, as a precursor to developing a plagiarism policy. This was offered as an example ofbetter practice in a professional journal (Devlin (2006) – see section 25 Resources). Examiningsimilar policies at other institutions will help you to consider alternative approaches toterminology.Find models at other institutionsOther institutions will have similar policies; they may even be running projects similar to yours, orhave recently done so. Allow time in the project to look at other institutions’ policy websites; thesemay include a list of policies currently under development or review. Look for similar policies atother institutions that seem well thought through and clearly written.Once you have identified a number of possible policy models at other institutions, a contentmapping exercise may be very useful. This involves placing the points from each institution’spolicy in relation to the similar points in the other institutions’ policies, in a spreadsheet. This willidentify the full range of possible points offered by the other institutions’ policies, including whichones are common to all, and which ones are particular to one or two of your models. If you arereviewing an existing policy at your own institution, it can be included in the spreadsheet, and theexercise will identify all the points in other institutions’ policies that aren’t currently included inyours. Does your institution wish to add any of these to the revised policy? This is a true‘benchmarking’ exercise.Read the legislationOf course your policy will have to comply with any relevant national and state legislation. It isn’tenough, however, simply to acknowledge the legislation in the policy text. Ideally you should reacquaintyourself with the relevant sections, and remind yourself of exactly what the legislationrequires and what it leaves to the institution’s discretion. You may need to seek advice from staffwith specialist knowledge of the legislation – and of course consult your institution’s legaladvisers.Read national and international guidelinesNational and international organisations publish a range of documents that may contribute to yourproject: guidelines, policy models, better practice advice, discussion papers. For example,anyone developing or reviewing an environmental policy should be aware of the TalloiresDeclaration, to which many Australasian universities are signatories. The Australian UniversitiesQuality Agency has a best practice database, where you can search for institutional practices thathave been commended by audit panels. The Australian Qualifications Framework has prepared aNational Policy and Guidelines on Articulation and Credit Arrangements – anyone working oncredit policy at present needs to read this, since it is likely to be used as standard in futureinstitutional audits.So much reading – how to find time?All of the above sounds like a great deal of work – and it is. This is why effective policydevelopment needs resources. You may be able to share the work of reading all these resourceswith others. For example, if the project has a working group or reference group, you may assign~ 23 ~

Policy without (much) paineach member a subset of the reading, and ask them to report back with conclusions. There is nosubstitute, however, for a small team reading all the documents and continually sharing theirinsights.To support these reading activities, it is desirable to collate the relevant documents as hyperlinksin a single document or spreadsheet, and provide this to all stakeholders. This way they canunderstand the research process and participate in it if they choose. Stakeholders will also bereminded that their specific, local concerns have to be considered in relation to practicethroughout the tertiary education sector.Key points/tips:‣ Seek senior managers’ advice early in the research phase.‣ Gather any feedback already received on the issue.‣ Identify relevant existing internal policy texts.‣ Identify terms that require agreed definitions.‣ Seek promising models at other institutions.‣ Collate all the resources as hyperlinks in a Word document or Excelworksheet.~ 24 ~

Policy without (much) pain13. ConsultationConsultation is the heart of policy development. Effective consultation has the following benefits: Policy is aligned as far as possible with operational practicalities. Staff who will be affected by the policy are aware of it in advance. Approval is likely to go more smoothly if the policy developer can demonstrate that there hasbeen thorough consultation. Implementation of policy is likely to go smoothly, since operational matters have been takeninto account, and considerable communication with relevant staff has already occurred. Generally, engagement with policy and respect for policy in the institution are increased. For these benefits to be realised, consultation needs to: include all stakeholders provide a sufficient mechanism to gather and consider options and concerns demonstrate that stakeholders’ views are being considered – that consultation is real provide feedback to stakeholders on what is being done with their views, so that theconsultation becomes a two-way communication process.Some institutions still rely mainly on web consultation and/or consultation through the committeeprocess. This is generally insufficient. Web consultation is unlikely to capture the views of busyoperational staff. Committee agenda papers are often not read by all members, or are not readfar enough in advance of the meeting to achieve useful consultation with other staff. Committeemembers often don’t gather the views of non-members who may have specialised knowledge ofthe policy draft. Committee meetings too often don’t allow time for in-depth discussion of issuesand concerns – rather, volunteers from the committee should be asked to meet separately as aworking group.There is no substitute for gathering a group of knowledgeable staff in a room, if possible involvingstaff at remote campuses by videoconference. For student-related policies, we strongly adviseinvolving student representatives – especially student members of the approving committees.Working groups should not be asked to develop a policy from scratch: this would take too long.Consultation should be informed by the research process. For a new policy, this might meanpresenting the working group with a discussion paper setting out:~ 25 ~

Policy without (much) pain the current status of policy in the area (which could range from the absence of a policy to theinadequacy of the existing policy) why a review is necessary and the issues on which consultation is sought for each issue, suggested solutions/approaches/options.Consultation is likely to turn up issues of which the policy developer was unaware. Staff may holdstrong views, and may express themselves forcefully. Where frustration has built up over lack ofconsultation in the past, the frustration may be expressed when consultation begins. Vigorousdebate should be welcome, but in rare cases the policy developer may have to discourageunprofessional behaviour.The best tool for moderating angry behaviour is positive listening: calmly demonstrate that youare interested in what the staff member is saying and taking note of their concerns. Maintaining –and projecting – a professional detachment also helps. Remind yourself that you are merelyfacilitating this process on behalf of the institution. If angry staff sense that they are not gettingunder your skin, they may calm down. We have frequently seen that the most passionateparticipants in initial consultation become the strongest allies of the resulting policy.There is no substitute forgathering a group ofknowledgeable staff in aroom.Consultation should not just be on drafts of thepolicy, but also on implementation. What needsto occur for successful implementation? Whatcommunication actions will be needed? Who arethe target audience? What training will beneeded? Who needs to be trained? Whatforms/templates will they need? Who will carryout these various activities, and on what dates?Your stakeholders can provide valuable feedback on the implementation plan – and thinking thisthrough will stimulate the group’s thinking about the practical implications of the policy draft.Keep an attendance sheet for all consultation activities, so you can provide a detailed record ofconsultation to the approving committees or managers. It is essential to be able to reassure amember of an approving committee that their area was indeed consulted.If a policy unit is responsible for developing large numbers of policies, it should compile aconsultation map of the institution – for each major area of policy, the units, positions andindividuals who should be involved in consultation. This will help to make consultation morecomplete, and possibly more efficient if stakeholders can be gathered to consult on several policyprojects at once.Key points/tips:‣ Identify all stakeholder areas and include representatives of these inconsultation.‣ Demonstrate active listening to your stakeholders.‣ Include implementation planning in the consultation.‣ Keep attendance records.‣ Develop a consultation map of your institution.~ 26 ~

Policy without (much) pain14. Impact assessmentInstitutions frequently argue that they are over-regulated by governments and that the cost ofcompliance is too high. Staff in teaching units may consider that the demands of the centre forquality assurance and documentation are unreasonable, hampering the real work of teaching,research and community and industry engagement. Staff in the centre may feel caught betweenthe reporting and compliance requirements of government, and the resistance of staff in teachingunits to these requirements.Given this tension, it behoves policy developers to consider the resource implications of policyoptions. At the least, the resources needed for the different implementation and complianceoptions should be made clear in consultation and approval. For example, there may be the optionof requiring documentation and central reporting of the outcome of a process, or of leaving it tothe local unit to carry out the process and keep local records. Either the local units acquire anadditional administrative task, or the institution foregoes the ability to assure the quality of theprocess.Another example would be the decision whether to require that students apply to graduate, or thatthe units managing students’ progress identify all students eligible to graduate and invite them todo so. The first option is less resource-intensive; the second gives better service and minimisesthe potential for disputes (for instance, where students show up to a graduation ceremonydemanding to graduate, although they have not applied and there is no diploma prepared forthem). Choosing the option of identifying students who are eligible to graduate will also probablyrequire process and system development.Attempt to quantify the impact of newprocesses arising from the proposed policy.What is a reasonable estimate of the number oftransactions? How long will it take on averageto carry out each step of the process? In theprevious example (application to graduate),how long will it take to check each final yearstudent’s transcript to confirm that they havemet course requirements? At what time of year will this occur, and how will it fit in with other workcarried out by student services teams at that time? What resources will be needed in thegraduations team to notify students of their eligibility to graduate?Discussing these matters in the consultation process will reassure participants that the practicalimplications are being thought through. It will help them plan for the change and thus reduce thechallenge of change management and communication when it comes to implementing the policy.One straightforward way to assess the impact of a change is to find another institution that hasalready made a similar change, and ask them about the experience. What were the drawbacks,and are they enjoying the expected benefits? Each member of a working group could contacttheir equivalent at the other institution and report back on that conversation.Key points/tips:The resources needed forthe different options shouldbe made clear inconsultation and approval.‣ Attempt to assess the resource impact of policy options by estimatingvolume and time of transactions.‣ Contact equivalent staff at another institution that has introduced a similarpolicy.~ 27 ~

Policy without (much) pain15. DraftingSome institutions have a policy-writing unit. In this case, writing and policy specialists draft policydocuments. In other institutions, it is up to the business owner of the policy area to do the draftingor have it done. This can be challenging for some staff and may result in varied styles of policypresentation. Central policy managers should provide resources such as templates, examplepolicies and writing tips to make clear how the institution expects its policies to read. Tips mayinclude points such as: use plain English, use the active voice, make definite statements.It is useful, but not essential, for a policy developer to have excellent writing skills. Policy textshould be clear, precise and unambiguous. It is better if the person primarily responsible forproducing the text can achieve this. Yet policy is a communal endeavour – others can refine thetext that the policy developer produces. The first priority for the policy developer is to understandwhat is needed and include this content in the policy, in a rational order. With regard to the writingitself, just do your best – but use each project as an opportunity to improve your writing skills.If you lack confidence in your writing, ask someone whose skills are known to be good to critiqueyour drafts. Pay close attention to the kinds of corrections they suggest. Are they correcting thesame thing repeatedly? Ask them to explain exactly why they are making these corrections –then, next time, anticipate their advice by making such corrections. Consult style guides toimprove your style. Enrol in a professional development course on effective writing. Enhancingyour writing skills can only benefit your career.What sort of policy style does your institution prefer? Is there an institutional style? Is there aglossary of terms and definitions you should draw on for the ‘definitions’ section of your policy?Having these resources on hand can save time and alleviate the anxiety of having to start awriting task from scratch.Write early and often: this advice commonly given to thesis students is good for policy developersas well. Developing a rough draft of points for possible inclusion in the policy during the researchphase will focus your reading. It will also mean that you are well prepared to provide points andoptions to consultation workshops for discussion. Policy writers too can suffer writer’s block if theywait until research and consultation are finished, before starting to draft.Policy text is a genre of its own. The style is meant to be almost invisible, transmitting the content– the principles and requirements – as directly as possible. Yet very different styles of writing areto be found on institutional policy websites. Some endeavour to achieve a highly accessible,simple style, particularly in student-facing policies. Other, more traditional institutions prefer a~ 28 ~

Policy without (much) painquasi-legal style that makes few concessions to the reader. Policy texts tend to grow morecomplicated during development as points and provisos are inserted.Policy managers should remember that policy is an important medium of institutionalcommunication. Increasingly we live in the age of web reading habits. Tangled, over-detailedpolicy is unlikely to be read and understood by staff, let alone students. A balance needs to bestruck between detail/precision on the one hand and readability on the other.Policy is one type of text where it is generally permissible to follow another institution’s textclosely. If you are going to imitate it very closely, however, it may be wise to ask permission of theresponsible senior manager at the other institution, and include a reference in the documentcontrol section of the policy.In recent years, some institutions have sought toemphasise positive principles in student-related policiesrather than sanctions. Plagiarism policies have been reframedas academic integrity policies, beginning withexpectations that staff will induct students into correctscholarship and referencing – and only then moving to thequestion of penalties for academic misconduct. Similarly,academic progress and exclusion policies are reframed as policies on intervention with studentsat risk of failure. The source of these shifts is the increasing strategic emphasis on creating apositive student experience to maximise recruitment, energise learning and, later, encouragedonations to the institution by grateful alumni. Professions of student-friendliness may fail toconvince, if the tone of the student-facing policies is harsh and punitive.Key points/tips:Increasingly we livein the age of webwriting,and webreading habits.‣ If you lack confidence in your writing, seek assistance from someone withbetter skills.‣ Familiarise yourself with any institutional style guides.‣ Write early and often.‣ Strive for clarity, simplicity and brevity.‣ Consider framing student-related policies in positive, educative terms.~ 29 ~

Policy without (much) pain16. ApprovalSound planning of the project (section 11), and effective consultation (section 13), will assist youin the approval phase. If you have included members of the approving committee in the steeringgroup and/or workshops, these members will be able to vouch for the quality of the work andanswer the committee’s questions about it. If you can demonstrate that consultation wasthorough, this will reassure the approving committee or senior managers.The committee executive officer is a useful contact. Depending on the type of committee, youmay have opportunities to familiarise them with the project so they can also explain it to thecommittee if you yourself are not permitted to attend. If there is urgency, they may be able torelax agenda submission deadlines.Increasingly, university policy development processes require a cover-sheet or briefing paper thataccompanies the policy draft to the committee. This will generally have sections to explain thecontext, the need for the policy, key points or (for an amended policy) key changes, and details ofthe consultation process followed. If such a documentisn’t required, provide one anyway.The motto of the policydeveloper might be‘passionate detachment’.Respect the committee and it will respect you. Thecommittee is part of the institution’s governancestructure; its collective experience of tertiary educationmanagement is far greater than yours alone.Remember that although the policy draft is your work, it doesn’t belong to you: it belongs to thecommittee, and the committee has the right to change it. If you attend the committee to speak tothe policy, bearing these facts in mind may help you to present the draft in a manner that willappeal to the committee. If you approach the committee over-assertively, they may requireamendments to the draft as a way of reminding you of the proper order of things.The motto of the policy developer might be ‘passionate detachment’ (a phrase coined at the firstATEM Institutional Policy Network Forum held in Melbourne in 2006). That is, policy developersshould care passionately about the project, while accepting that they do not have full control overthe process or outcome: it is a collective endeavour which they are merely facilitating.~ 30 ~

Policy without (much) painKey points/tips:‣ Include members of approving committees in the project steering groupand/.or working groups.‣ Connect with the committee executive officer.‣ Provide a briefing paper with the policy.‣ Respect the committee and it will respect you.~ 31 ~

Policy without (much) pain17. Implementation, communication andtrainingImplementation is something that should be considered and planned from the start of your policyproject (see section 11 Planning and section 13 Consultation). It isn’t enough to post theapproved policy on the website and expect that staff will comply with it. Where a policy requireschanges in the way things are done, change management is needed. This means identifying andcommunicating with affected staff and students, as well as support and possibly training for staffmaking the changes. The implementation process should also be carefully monitored forunforeseen difficulties with the changes that may require early adjustment of the policy.Make sure you know when it will be posted as in effect on the institutional policy website. Someinstitutions have a requirement that policies be promulgated (publicly posted) for a period beforethey take effect.If your consultation process has been thorough, so that all your stakeholders have engaged withit, change management will be easier. Key staff will already be aware of the change, will haveplanned for it and will have prepared their teams for it. Having the team leader as an ally becausehe or she helped develop the policy is more effective than trying to make the whole team changefrom the outside.Where the change affects many organisational units, however, it would be rare for allstakeholders to be fully aware that it is impending. To reach uninformed stakeholders, use asmany media as you can: specialist newsletters, email announcements, institutional newsletters.Many staff, however, won’t change the way they do something because of an email or anewsletter. For a major change such as a new assessment policy or credit policy, the policyowner probably needs to ‘go on the road’. This means making presentations to the relevantcommittees and/or holding workshops in organisational units. For some who attend, this may be~ 32 ~

Policy without (much) painthe first time they’re forced to engage with the change. ‘Implementation is the best form ofconsultation’ is another slogan coined at an ATEM Institutional Policy Network Forum. You’ll needstrong facilitation skills to manage some of theresistance.Be aware, also, that staff exasperation with thechange may reflect a practical problem thatwasn’t picked up during consultation. You shouldbegin compiling an issues register. If someaspect of the policy turns out to be impractical,there’s no shame in changing it quickly andputting an amended draft through the approvalprocess. This shows responsiveness to theneeds of staff, and may win over those who wereinitially resistant. Again, general respect for thepolicy process will be enhanced.If some aspect of the policyturns out to be impractical,there’s no shame inchanging it quickly andputting an amended draftthrough the approvalprocess.Some institutions have been known to implement major policies with a review date of only sixmonths, so that the implementation becomes a further round of consultation.If the policy is introducing a single consistent process where previously staff had a variety ofprocesses, you should provide tools – step-by-step instructions, decision-tree diagrams, standardforms, templates for communications with students. If the tools you provide are better than thetools they used previously, it will help bring them across to the new process. If they have todevelop the whole toolkit themselves, they will be tempted to linger in the old process.Your change has succeeded; everyone is compliant with the new policy – your work is over – oris it? How will new staff joining the institution be made aware of the policy? Or staff moving from arole in the institution that is unrelated to the policy, to a role where they need to know about it? Ifyou are the business owner of the policy, you need to think about mechanisms for: contributing to the induction of staff involved in the activity providing refresher training for existing staff involved with the activity.In some institutions, the central student administration areas provide specialist induction trainingfor new staff with student administration responsibilities. This might involve a full-day programintroducing the concepts, terminology and systems used by the institution. Sessions onadmissions, enrolment and assessment would inform newcomers of the relevant policies. If this isnot the case in your institution, you should consider setting up specialist induction/refreshertraining workshops for your policy area.It may be advisable to set up a specialist email list for staff responsible for the activity. Forexample, a central admissions manager might administer a subscribable email list for admissionsand recruitment staff, and anyone else with an interest in admissions. This list would be used toannounce changes to admissions policy and procedures – and would thus remind list members tofamiliarise themselves with the policy and procedures if they are not already well versed in them.If you are the person identified in the policy as the one who provides advice on it, queries alsooffer a training opportunity. Rather than simply giving the answer, direct the enquirer to the policyon the website, and show them where the answer is to be found. Conduct the interaction in sucha way that they become aware this text is an important work tool for them.An intuitively structured web policy repository is a strong ally in your efforts to induct staff into,and refresh their knowledge of, the policies for which you are responsible (see sections 19 and 21below).~ 33 ~

Policy without (much) painKey points/tips:‣ Plan for implementation from the start of the project.‣ Use a change management approach.‣ Good consultation makes implementation smoother.‣ Communicate by as many media as you can.‣ Establish email lists for policy changes in relation to specialist areas.‣ Take major new/amended policies ‘on the road’.‣ Provide tools for new processes.‣ In future, provide induction/refresher training workshops for new staff or staffwho change roles.‣ Use policy queries as a one-on-one training opportunity.~ 34 ~

Policy without (much) pain18. Policy reviewInstitutions with central management of policies generally require that policies and procedures bereviewed within a certain time-frame: typically, three to five years. Sampling of institutions’ webpolicy repositories reveals that this time-frame is often over-optimistic. Some institutions havesystems to ensure that policies are reviewed on time. The web repository may be set up so itautomatically sends email reminders to the listed policy owner if a policy is approaching or pastits review date. Some institutions take a firm line, setting a final deadline after which, if the policyis not reviewed, it ceases to be in effect. At the time of writing, the University of Wollongongpublishes on its policy website a spreadsheet of all policies and procedures and their review date.This public display would be an incentive to policy owners to review their policies by the deadline.Review of a policy may be a quick health-check that the policy is still meeting everyone’s needs,with perhaps some minor amendments to keep it current. Or it may be as challenging a project asdeveloping a whole policy from scratch. It is sometimes said that student assessment-relatedpolicies are in a continual state of review – that reviewing them is ‘like painting the SydneyHarbour Bridge’: you have no sooner finishedthan you have to start all over again.Reviews of major policies, involving extensiveamendment, are a substantial policy project,and require the approach outlined in sections11 Planning to 17 Implementation. Forexample, review is a chance to benchmarkagainst other institutions’ policies in the area, tosee whether better approaches have beenfound out there.Review is a chance tobenchmark against otherinstitutions’ policies in thearea, to see whether thereare better approaches outthere.The task of review is made easier if recordshave been kept of issues with the policy since its implementation or last review. Staff responsiblefor handling queries on the policy should have been keeping a log of these, which will at leastidentify sections of the policy where more detail and/or clearer expression are needed. Optimally,the web policy repository should include a facility for online feedback that will also find its way to~ 35 ~

Policy without (much) painthe issues register. In this way the reviewer begins the review with a list of possible issues thatcan be considered during consultation.When reviewing student-related policies, it is desirable to hold focus groups of students to explorethe student experience of the policy. Where the institution has campuses in other countries and/oroffshore partner programs, focus groups with students there should be held by videoconference.There is no reason why a policy cannot be changed sooner than the review-by date if it becomesapparent that adjustments are needed. This leads to the delicate question of whether a quick fixto one aspect of a policy can be considered to be a review, so that the review time-frame can bereset to the maximum number of years. If stakeholders are consulted on the proposed specificchange, they should also be asked whether they can identify other problems with the policy thatwould require a more thorough review before long. For a policy governing a major area of activity,it would be unwise to consider it fully reviewed without surveying similar policies at otherinstitutions and considering the state of government policy and relevant national guidelines. Wetend to the view that a quick fix to one aspect of a major policy should not reset the review-bydate.Key points/tips:‣ Consider mechanisms to encourage review of policies by review dates.‣ Reviews of major policies may be a full-scale project.‣ Review is easier if records have been kept of issues with the policy.‣ When reviewing student-related policies, convene focus groups of students.‣ If actioning a ‘quick fix’ to one aspect of a policy, it may not be wise to resetthe review-by date.~ 36 ~

Policy without (much) pain19. Institutional policy managementMost large institutions now have a central unit responsible for managing and coordinating thedevelopment of policy. This unit may be attached to the secretariat of central committees thatapprove policy, or it may simply be part of the portfolio of one of the senior managers. The policymanagement unit is likely to maintain the web policy repository. It will be the business owner ofthe ‘policy on policies’ or whateverdocument defines the policy framework ofthe institution.Policy managers will onlysucceed in managing policyeffectively if their work iswell supported by the wholesenior management team.Institutional policy managers haveconsiderable influence on whether policyworks well for the institution: whether itmeets the needs of staff and students andis well understood and respected. At thesame time, policy managers will onlysucceed in managing policy effectively iftheir work is well supported by the whole senior management team (see section 6 above).Effective institutional policy management includes: keeping senior managers informed about the state of the institution’s policy frameworkincluding gaps and policies past their review dates arguing for adequate resourcing of policy projects and policy management working closely with the institution’s legal advisers to ensure that policy is aligned with theinstitution’s delegated legislation and relevant national and (in Australia) state legislation~ 37 ~

Policy without (much) painmonitoring policy compliance within the institution, if possible by analysis of data fromenterprise systems rather than merely anecdotal evidenceproviding effective tools, guidance and advice to policy developers and policy ownerstaking an interest in all aspects of the institution’s operations to identify policy gaps andmaintain a reasonable understanding of policy content forming and maintaining a network with staff who can assist with policy projects and providefeedback on effectiveness of policies and gaps in the policy suite marketing policy to staff and students actively through all available media ensuring that the web policy repository is comprehensive and highly usable (see section 21below) monitoring external developments that may require changes to the institution’s policies forming and maintaining a network with policy managers at other institutions to share betterpractice in policy development and policy management, and to facilitate benchmarkingagainst other institutions’ policy frameworks.Tools provided by the central policy unit for policy development should include: procedures setting out the process to be followed in developing or reviewing policies orprocedures a process flow-chart summarising the process for developing/reviewing and approvingpolicies or procedures templates for:o proposing a new policy or amendments to an existing policyo drafting a new policyo drafting a new procedures documento the implementation plan for a new/amended policy or procedures a cover sheet for a policy or procedures document being submitted for approval an institutional glossary providing the institution’s agreed definitions of terms used in policiesand procedures (to avoid the problem of terms being defined differently in different texts).The procedures for policy development, and the templates provided for this purpose, shouldrequire: research and benchmarking against other institutions’ equivalent policies thorough consultation with all stakeholders assessment of the impact of the proposed policy a detailed implementation, communication and training plan.Policy managers are in a position to advocate central approval in principle of policy projectsbefore they commence (though again, their ability to achieve such an arrangement will depend onthe support of senior management). Such approval should be the role of a single centralcommittee or executive group that takes ownership of the policy framework. Such anarrangement conduces to a well structured suite of policies without unnecessary duplication or~ 38 ~

Policy without (much) painfragmentation. It should have the result that over time the structure of the policy suite becomessimpler and more coherent. Small, over-detailed policies will be merged into larger ‘umbrella’policies or re-classified as procedures. The policy framework will become fully effective as amedium of institutional communication.Key points/tips:‣ Work closely with senior managers and legal adviser.‣ Provide a toolkit for policy developers.‣ Network internally and externally to identify policy issues.‣ Strive for a best practice web policy repository.‣ Argue for a specialist committee to scrutinise policy proposals.~ 39 ~

Policy without (much) pain20. ComplianceThe term compliance has, inevitably, an authoritarian ring. Yet if some of the main purposes ofpolicy are to manage risk and achieve institutional strategy, it is highly desirable that staff complywith policy. In many areas, such as equal opportunity, financial accounting, higher educationfunding, occupational health and safety, privacy and taxation, the institution is itself required bylaw to comply with legislation. It is therefore very important to know whether policies are beingcomplied with, and if not, why not.The question of how compliance will be managed should be addressed early in the project todevelop a new policy. What evidence can be used to assess compliance should be discussed.Use of information technology systems and other processes to record compliance should beconsidered in the planning, research and consultation phases of the project. The frequency ofcompliance checking will vary depending on the policy area and the potential risk involved in noncompliance.At a minimum, complianceMonitoring compliance withpolicy … should beapproached in a spirit ofcollegial support rather thanone of policing.checking should be part of the policy reviewprocess.Who is responsible for compliance will varydepending on the policy area and whethercompliance is an external regulatoryrequirement, or an internal quality assuranceprocess. In all cases monitoring compliancewith policy is a challenging part of the policymanager’s work. It should be approached in a spirit of collegial support rather than one ofpolicing. If units are not complying with policies, the reasons are likely to be inadequate changemanagement at the time the policy was implemented, operational difficulties with complianceand/or lack of resources. If approached in a helpful spirit, managers of non-compliant units aregenerally willing to acknowledge their non-compliance, explain the reasons for it and discussoptions for their unit to achieve compliance.This is valuable feedback on how the policy is playing out in practice. It may lead to additionalchange management activities to support the unit in changing processes, and/or adjustments tothe policy and supporting systems and processes, to match operational practicalities better. Ifneither of these can resolve the non-compliance, it can be made visible to senior managers~ 40 ~

Policy without (much) painresponsible for the policy and for the operational unit, so they can balance the risk of acceptingnon-compliance against the resources needed to achieve change.Corporate data systems are a key resource for monitoring and encouraging compliance withpolicies. For example, if the institution’s credit policy sets limits on the maximum creditpermissible towards programs, it may be possible to generate a report of the individual totals ofcredit granted to all students in a given period, in relation to the credit point totals required fortheir programs. If some students are receiving more than the maximum credit permitted by thepolicy, the reasons for this can be explored. As another example, if new staff are required tocomplete an online course introducing them to the institution’s occupational health and safetyprocedures, it should be possible to track those who don’t complete the course in the requiredtime-frame, send reminders to them and their managers, and report to senior managers on levelsof compliance with the requirements.Student complaints and appeals are a valuable source of information on non-compliance withacademic policies. There should be a process to inform staff responsible for managing academicpolicy of all complaints and appeals about non-compliance with these policies. For example,complaints that supervisors of research theses are failing to comply with policies and guidelineson how this should be done may indicate the need for workshops for supervisors andcommunication with the committees that manage candidature in academic units.Key points/tips:‣ Cases of non-compliance can provide valuable feedback on how the policyis playing out in practice.‣ Endeavour to use corporate data to monitor compliance.~ 41 ~

Policy without (much) pain21. Policy and the websiteHow easy is it to find the web page on which the institution’s policies are published? If you searchon ‘policy’ or ‘policies’ in the home page search field, is the institutional policy webpage firstamong the results? Does that repository contain all the institution’s policies, or can you find otherrepositories of policies on the institution’s website – a page of financial policies, of facilitiespolicies, of health and safey policies, or ofhuman resources policies? Do the same policiesappear in several places on the website? Orworse, does a slightly different list of policies fora particular area of activity appear in differentplaces? Behind these questions is theunderlying one: has the institution achieved aunified approach to policy? Has it recognisedthe web policy repository as a central tool forinstitutional communication and self-regulation?Achieving a best practice web policy repository is a big challenge, but very worthwhile. This is anarea where ideas of better practice are developing as institutions have good ideas and thetechnology advances.We suggest that the attributes of a best practice web policy repository are currently as follows:Has the institution….recognised the web policyrepository as a central toolfor institutionalcommunication and selfregulation?Easy to find – linked from key pages for staff, students, prospective students and visitors, andeasily turned up by the search function on the institution’s home page.Contains all institutional policies – there are no other repositories of specialised policies,rather, specialist area web pages provide links to the relevant policies in the institutionalrepository.Fully searchable – by keyword within metadata and by word or phrase within title or policytext. A repository of .pdf images of policies is not best practice unless the .pdf files aredeployed in such a way that the text is searchable.~ 42 ~

Policy without (much) painProvides ability to find policies – by (a) alphabetical list of titles and (b) listed under broadheadings of the policy suite such as ‘governance’, ‘human resources’, ‘informationtechnology’, ‘occupational health and safety’, ‘student-related’, etc. These broad topic lists ofpolicies should include the relevant university legislation.Provides links to university legislation – also, when users search the policy repository, therelevant legislation will appear among the search results: this way, users are always madeaware of the legislation.Provides access to previous versions of policies – for staff handling of complaints/disputesarising from a time when a previous version of the policy was in effect.Provides a facility for staff to give feedback on each policy – which is automatically notified tothe policy owner as well as retained in a feedback/issues register for policy review. Includes links to (a) policies under development currently open for web feedback on drafts,(b) policy projects currently under way, and (c) a list of new (recently approved) policies.The University of Western Australia policy repository enables users to elect, for any policy, toreceive email notification if it is amended. As mentioned in section 18, the University ofWollongong policy web page includes a link to a table of all policies and their review dates, whichis a strong encouragement to policy owners to review in good time. Such features suggest thepotential for further improvement of our ideas of better practice in web policy publication.Key points/tips:‣ Provide a full searchable policy repository with versioning and onlinefeedback.‣ Users need to be able to search for policies by alphabetical list and broadsubject area.‣ Include ‘what’s new’ sections.~ 43 ~

Policy without (much) pain22. What makes a good policy developer?Effective policy development requires an extensive set of skills: project planning and management skills, including organisational, time management andchange management skills research, environmental scanning, analysis, synthesis knowledge of the full range of institutional activities and processes political nous and savoir-faire ability to build networks within and outside the institution facilitation, presentation, training negotiation, persuasion marketing (of the need for the policy, the need for consultation, and eventually of theapproved policy) writing form design.Related to the above skills, a policy developer needs the following personal qualities: patience, determination, resilience flexibility, pragmatism in response to changing circumstances caution, alertness to possible risk diplomacy attention to detail lateral thinking, curiosity initiative and assertiveness.~ 44 ~

Policy without (much) painAlthough this list of skills and attributes may seem intimidating, policy projects offer an opportunityto develop them. If you do your best, and reflect on your experience, the skills will grow and youare likely to develop the qualities. You can seekhelp and mentoring from staff who already haveparticular skills. Increasingly, professionaldevelopment courses are available, which canassist you to improve in these areas.Policy development is not everyone’s favouritetask; it tends to be seen as outside the normalscope of positions – something which it is hard toget around to, even for the policy owner. If you tackle it, however, you will get credit for doingsomething that is perceived as challenging. Policy development increases your network within theinstitution, and may lead to your being seen as a candidate for more demanding roles. Putting upyour hand for a policy project is not the worst career move to make.Key points/tips:Putting up your hand for apolicy project is not theworst career move tomake.‣ Don’t be intimidated by the range of skills needed for effective policydevelopment.‣ Policy projects are a chance to develop skills and build your networks.~ 45 ~

Policy without (much) pain23. The ‘policy industry’It is our experience from discussion in many professional development workshops on policydevelopment that staff of tertiary institutions have mixed feelings about policy. Academic staffmay associate it with burgeoning managerialism and excessive regulation. Many professionalstaff, particularly in academic units, are likely to question whether quite so many policies andprocedures are needed. Is there a policy industry? Are policy managers (and quality assurancemanagers) making a comfortable niche for themselves, like spiders spinning endless webs of redtape?Effective policy development is the best way to counteract distrust of policy. The first essential isgood consultation to ensure policy meets the needs of the institution. Policy managers and policydevelopers should be the first to ask questions such as ‘Is such a policy needed?’ and ‘Will thispolicy option be too resource-intensive?’ Alongside staff distrust of policy is a craving forconsistent, sensible policy to provide clear answers and a basis on which to defend decisions. Ifwe can satisfy this need, policy will be perceived as helpful rather than hindering.There is a policy industry in the sense that, over the past 15 years, most Australasian tertiaryinstitutions have set up policy frameworks. In Victoria, for example, Deakin University andSwinburne University of Technology were the first to do this, from the late 1990s. In the newmillennium, the other Victorian universities have run similar projects. A survey of Australasianinstitutions’ websites in 2010 shows that a large number have such projects under way or recentlycompleted. Some are undertaking second phase projects to improve and consolidate their policyframework. Why all this activity?In Australia, the merging of institutions during the Dawkins reforms of the late 1980s led to a needfor institution-wide policies to bring about consistency. Where two or three institutions hadmerged, each bringing different practices, policy was seen as a way to achieve homogeneity.From the 1990s, the introduction of external audits of tertiary institutions has produced rafts ofrecommendations for improvement. These typically include recommendations that institutionsdevelop or improve specific policies. The Australian Universities Quality Agency website featuresa best practice repository, and many of the examples in the repository are institutional policies~ 46 ~

Policy without (much) painthat have been commended by auditors. As a result, senior management has become attuned tothe use of policy as a mechanism for achieving good practice. Most institutions now monitor andcritique their policy suite almost independently of the audit cycle.Tertiary education became more highly regulated in the two decades 1990-2010. Increasinglygovernment has required institutions to set strategic objectives and/or institutional profiles andmeasure their progress towards achieving them. The funding of institutions has been reduced,and at the same time governments have expected institutions to manage themselves better andimprove their quality assurance systems. Governments have set increasingly detailedrequirements for a wide range of activities carried out by tertiary institutions: ensuring the privacyof student and staff information, equal employment opportunity, recruitment of indigenousstudents and staff, workplace relations, occupational health and safety, enrolment of students andfunding of their study, services to international students, monitoring of research productiveness,etc. In Australia, recruitment and support of students to increase the social inclusiveness of thestudent body is a major current topic offederal and state government highereducation policy. Reporting requirements inall these areas have grown more rigorous.Policy and procedures have been seen asperhaps the most important tool by whichinstitutions achieve compliance.Web policy repositories themselves havestimulated the policy industry. Before policyweb pages, whatever policies a university had would reside in hard copy. Many institutionsprovided a ‘policy manual’ to managers. This would reside in a ring binder folder, and from time totime internal mail envelopes would arrive, containing new/replacement sheets to be inserted. Aweb policy repository, in contrast, is universally available: to all staff, students and to the public.Gaps, overlaps and inconsistencies are on public display. Staff can look over the fence at acompetitor institution’s policies and notice that the other institution has policies they don’t. Sopublishing policy on the web has driven improvement.We would like to think that the ‘policy industry’ is emerging from a phase of rapid growth, andentering a phase of consolidation and refinement. Institutions are more likely now to value clarityand resource-efficiency in their policy suite – to seek a balance between effective regulation andreporting on the one hand, and resource constraints and operational practicalities on the other.To achieve this balance, we recommend a specialist committee or executive group withownership of the policy framework.Key points/tips:We would like to think that the‘policy industry’ is emergingfrom a phase of rapid growth,and entering a phase ofconsolidation and refinement.‣ Merging of Australian institutions in the 1980s and early 1990s created aneed for institution-wide policies.‣ External audits strengthened the drive for a full suite of policies.‣ Web policy repositories, by displaying policies to all and sundry, addedanother driver for policy development.~ 47 ~

Policy without (much) pain24. Policy culture‘Policy culture’ is a term that we in the ATEM Institutional Policy Network have found helpful. Itprovides an explanation for why, in some institutions, the challenges for policy developers andpolicy managers are greater than in others. There are four roles in a policy culture – and allinstitutional staff belong to at least one role (see diagram).If all members of the institutional community are performing their role effectively, the policy culturewill be healthy. Policy will tend to meet the needs of the institution and be generally respected.This is likely to enhance the staff and student experience.Any staff member can make auseful contribution by takingan interest in policy andparticipating in consultation.In other institutions, this ideal situation maynot yet be the case – but each member of theinstitution can contribute to improving thesituation. For example, any staff member canmake a useful contribution by taking aninterest in policy and participating inconsultation. Policy developers contribute byrunning their policy projects well, consulting thoroughly and being responsive to stakeholders.Policy managers and senior managers can have a highly beneficial effect on policy culture byproviding leadership and modelling. Conversely, if the institution has not yet achieved a healthypolicy culture, policy developers need to recognise this and limit their expectations to avoiddisappointment. They need to bide their time and seek allies to foster a better policy culture.Key points/tips:‣ Everyone can contribute to a healthy policy culture.‣ If the institution has not yet achieved a healthy policy culture, policydevelopers need to bide their time and seek allies.~ 48 ~

Policy without (much) pain25. ResourcesThere are relatively few publications on tertiary institution policy development and management inAustralasia. We have been able to identify the following resources.Althaus, Catherine; Bridgman, Peter; and Davis, Glyn (2007) The Australian PolicyHandbook. Crows Nest: Allen & Unwin.Association of University Leaders for a Sustainable Future (1990) The TalloiresDeclaration: www.ulsf.org/programs_talloires.html.Australian Qualifications Framework Council (2009) National Policy and Guidelines onCredit Arrangements:www.aqf.edu.au/PoliciesPublications/tabid/196/Default.aspx#credit.Australian Universities Quality Agency, Best Practice Database: www.auqa.edu.au/gp.Davis, Glyn (2006) Making the World Safe for Diversity: Forty years of higher education.Annual Australian Book Review/Flinders University Lecture:www.unimelb.edu.au/speeches/transcripts/davis20061130.doc.Devlin, Marcia (2006) ‘Policy, preparation, and prevention: Proactive minimization ofstudent plagiarism’, Journal of Higher Education Policy and Management, 28, (1), pp.45-58. Oxfordshire: Routledge Journals, Taylor and Francis.East, J. (2009) Aligning policy and practice: An approach to integrating academic integrity.Journal of Academic Language and Learning, 3, (1), A38-A51.Freeman, Brigid (2010) The Policy Oscars: In Search of Best Practice on AustralasianUniversity Policy Websites. Liquid Learning: The National University AdministrationPolicy Development Intensive 2010: www.utas.edu.au/governancelegal/policy/policy-toolkit.Hatwell, Mark and Jensen, Kai (2008) Policy and People: A Recent ProfessionalDevelopment Initiative in Victoria. Tertiary Education Management Conference,Christchurch: http://pandora.nla.gov.au/pan/10533/20090114-0719/www.temc.org.au/2008/downloads/HATWELL.pdf.James, Neil (2007) Writing at Work. Allen and Unwin.McKenzie, Fiona (2006) Administrative Power and the Law: A succinct guide toadministrative law. Australian Law In Practice.Marginson, Simon and Considine, Mark (2000) The Enterprise University – Power,Governance and Reinvention in Australia. Cambridge University Press.Mintrom, Michael (2003) People Skills for Policy Analysts. Georgetown University Press.Sachs, Judyth (2010) Policy Central: A vehicle for change. Keynote presented at theNational University Administration Policy Development Intensive, Melbourne 2010:provost@vc.mq.edu.au.Simpson, Rowan (2010) Effective Policy Implementation – RMIT’s Journey. LiquidLearning: The National University Administration Policy Development Intensive 2010:rowan.simpson@rmit.edu.auVictorian Auditor-General’s Office (2004) Report on Public Sector Agencies: Results ofspecial reviews and other studies.~ 49 ~

Policy without (much) pain26. The ATEM Institutional Policy NetworkReaders are welcome to join the ATEM Institutional Policy Network, to receive emails about: events and resources of interest to policy developers policy position advertisements.Members also receive a regularly updated table of all members of the network, their positions,institutions and contact details. Some members have agreed to be identified in the table asmentors for staff developing particular types of policies, or for policy development andmanagement in general. The intention is to facilitate consultation with other policy specialists.To join the network email policy@atem.org.au.The ATEM Institutional Policy Network was founded in 2006, and has been supported as aspecial interest group by the ATEM Bass Region over the past five years. It arose from thesuccess of an ATEM professional development workshop, ‘Policy Development in Universities’,introduced by Kai Jensen and Mark Hatwell. The workshop’s popularity confirmed that there wasa strongly felt need for professional development and support in the area of university policydevelopment and policy management. In 2007-2009 the network held biannual policy forums formore free-ranging discussion of policy challenges such as best practice in impact assessment,communication and training, web policy management, and alignment of policy with institutionallegislation.27. FeedbackThis book is digitally printed in small numbers on demand, so it can be improved in response tofeedback from readers and members of the ATEM Institutional Policy Network. Your commentsand suggestions are welcome. Please email these to policy@atem.org.au.~ 50 ~

Published by the Association of Tertiary EducationManagement Bass Region, on behalf of theATEM Institutional Policy Network© Association of Tertiary Education Management 2010