ACADEMIC POLICY FRAMEWORK

Transcription

1 ACADEMIC POLICY FRAMEWORK Principles, Procedures and Guidance for the Development & Review of Academic Policies [V.1]

2 Page 2 of 11 TABLE OF CONTENTS 1. FRAMEWORK OVERVIEW PRINCIPLES PROCESS INITIATION DEVELOPMENT APPROVAL IMPLEMENTATION MONITORING & REVIEW GUIDELINES FOR POLICY DEVELOPERS AND REVIEWERS ROLES & RESPONSIBILITIES POLICY RESEARCH COMMUNICATION DOCUMENT MANAGEMENT STYLE APPENDIX 1: POLICY GLOSSARY APPENDIX 2: POLICY DEVELOPMENT AND REVIEW CYCLE... 11

3 Page 3 of FRAMEWORK OVERVIEW 1.1 Introduction Based on good practice, self evaluation and stakeholder feedback the Policy Framework comprises overarching principles, procedures and guidelines used for the development and continuous monitoring and formal review of academic policy at UCD. 1.2 Purpose The Policy Framework seeks to: articulate the principles that guide policy development and review. establish standardised procedures to ensure that policies are developed, approved, monitored and reviewed consistently. provide a comprehensive, single point of reference for information relating to policy development and review. 1.3 Scope of the Framework The principles and procedures outlined in the Policy Framework pertain specifically to the development and review of university-wide academic policies. Colleges and schools wishing to develop local policies and procedures may find some of the procedures and guidelines herein useful. The development of local policy instruments should always ensure alignment to University regulations and policies. 1.4 Structure of the Framework The Policy Framework document comprises the principles that underpin the development and review of academic policies; the key procedural stages of policy Initiation; Development; Approval; Implementation and Monitoring & Review and provides guidelines for those involved with the development and review of policies. 1.5 Academic Policies and other instruments Academic policies are formal statements that set out the University s official position in relation to academic and student related matters. Academic Regulations are the formal rules that govern the academic progression of students through their programmes and the UCD Student Code articulates standards of conduct and behavior expected of the student body. Procedures stipulate the steps necessary to implement a particular policy and practical information for policy users to steer them through the process. Guidelines are advisory and explanatory documents that guide policy users on policy application or implementation and can be tailored to a specific audience, such as staff or students. 1.6 Governance and Authority Academic Council is the body with statutory responsibility to the Governing Authority for academic affairs and educational matters across the University. Academic Council s functions relating to policy are to discuss, comment on and approve draft policies and proposed changes to existing policies. In addition to this, members of Academic Council participate in policy development, either acting as chairs or as members of policy working groups.

4 Page 4 of PRINCIPLES Policies developed under the framework will embody and support the University s mission, values and strategic aims, and be consistent with national legislation and institutional statutes, regulations and other policies. be guided by international good practice. be clear, transparent and easily accessible. be enhanced by effective consultation and communication with relevant stakeholders. be monitored and periodically reviewed to ensure ongoing relevance and fitness for purpose. 3. PROCESS 3.1 INITIATION Policy Development and Review Schedule The identification of policy gaps determines the requirement for development of new academic policies which is guided by the University's strategic objectives and educational priorities. A schedule for policy development and review is established annually in consultation with the Registrar, Academic Council and where appropriate other stakeholders. The schedule for policy review is predominantly determined by the provisions of the University s policy review model (see section 3.5) which requires formal reviews to take place following specified periods of operation. From time to time existing policies require revision to reflect regulatory and policy changes. Policy Position Papers To inform the policy development schedule, policy position papers are drafted to provide a rationale for the development of the policy, outline the key policy issues and highlight any potential risk associated with identified policy gaps. Policy position papers help to evaluate whether the policy is required and whether its development is a priority for the University. Notification to Academic Council In advance of the development or review of a policy Academic Council are formally notified. Members of Council may be invited to submit expressions of interest should they wish to become members of a particular policy development or review working group. 3.2 DEVELOPMENT Policy Working Groups Draft policies are developed by Policy Working Groups whose membership is primarily drawn from the academic community, including members of Academic Council and staff holding academic management and leadership roles. In addition, representatives of the Students Union, administrative staff and other appropriate stakeholder groups are sought as appropriate to the policy topic. Policy working groups are established by the Registrar and are administratively supported by a Policy Officer (Academic Secretariat). The group's functions are to consider the policy issue; conduct any relevant research (benchmarking/review of international good practice); formulate a draft policy document; conduct consultation with appropriate stakeholders and submit a final draft policy document for consideration and approval by Academic Council and its relevant sub-committees.

5 Page 5 of 11 Report of the Policy Working Group The Policy Working group is required to submit a covering report with the draft policy. The purpose of the report is to introduce the policy document by outlining key information about the process used for policy development (including membership of the working group); relevant background information and context for the policy being presented; additional issues identified during the working group s deliberations that fall outside of the scope of the policy, and to make recommendations regarding implementation of the policy. Completion of a Policy Development Plan will ensure that the development process and issues raised by the working group can be formally recorded. 3.3 APPROVAL Approval of policies shall follow an agreed approval pathway which should be defined at the outset by the Policy Officer and the Policy Working Group and recorded in the Policy Development Plan. The Working Group should consider which of the University Committees, in particular the sub-committees of Academic Council, are the most appropriate to advise on the draft policy. This stage in the process provides an important quality function as feedback sought from consultation with these committees may provide some useful reflections on the draft policy and possibly highlight issues that had not been previously considered by the Policy Working Group. In instances where Academic Council proposes amendments to draft policy documents it may, from time to time, delegate authority for final approval to a relevant sub-committee. 3.4 IMPLEMENTATION Once approved by Academic Council the implementation stage of the policy development process is initiated. The Policy Officer together with the Chair of the Working Group will establish an implementation plan. The purpose of the plan is to ensure there is oversight of policy implementation, which is particularly important as responsibility for implementation is often spread across different areas of the University. The plan incorporates a list of all required implementation activities and assigns responsibilities for each task. The plan should also include a broad timeline for implementation as well as deadlines for the completion of individual tasks. The draft plan should be discussed and agreed with relevant stakeholders and meetings of those with implementation responsibilities may be required to discuss any issues arising during the implementation phase of a policy. Implementation activity is monitored by the Policy Officer. 3.5 MONITORING & REVIEW It is essential that, once approved, policies remain relevant, fit for purpose and consistent with the University's mission, strategy and objectives. There are two types of activity to ensure this: monitoring and periodic review. Monitoring Academic Secretariat monitors approved policies by recording issues raised during the implementation phase of a new policy; using feedback provided by policy users and by regular monitoring of policy decisions made under the delegated authority of Academic Council. Information collected through monitoring activities is used during the formal review of a policy.

6 Page 6 of 11 Formal Review Formal Review of policy takes place in two distinct stages: Stage 1 Policy Review Stage 1 review is used to address minor issues that may arise during the implementation of the policy or during its first year of operation. Inputs may be sought from those using and applying the policy. This process may result in some amendments or clarifications in the policy document or related procedures. Relevant Academic Council Committees may be asked to review proposed revisions before being submitted to Academic Council for approval. Consistent with good practice, Stage 1 Policy Reviews are led by a Policy Officer other than the Policy Officer who supported the development of the original policy. Stage 2 Policy Review: All approved policies are subject to periodic review. Reviews normally take place after 3-5 years of operation. Policies are formally reviewed by working groups, appointed by the Registrar/Academic Council. The purpose of Stage 2 Policy Review is to examine, in detail, whether the policy has achieved its objectives and is still relevant and fit for purpose and to identify opportunities for enhancement. Review Process Stage 2 Policy Reviews are conducted by Policy Review Working Groups, which are convened in the same way as those established to develop policy. Their membership will be also drawn largely from the academic staff but is also likely to include key members of administrative staff who are required to apply the policy operationally. Their functions are to assess the existing policy and where appropriate make recommendations for the revision of the policy. In addition to policy research and benchmarking activities, the working group may decide to conduct internal surveys or focus groups to establish levels of satisfaction and compliance with the policy under review. Proposed revisions will be submitted together with a Working Group Report to the relevant university committees for consideration and to Academic Council for approval. Review Criteria The Review group shall consider whether the policy: remains consistent with best practice and the strategic direction of the University continues to meet stakeholder needs complies with any existing related policies and supports the University regulations works well on an operational level could be enhanced

7 Page 7 of GUIDELINES FOR POLICY DEVELOPERS AND REVIEWERS 4.1 ROLES & RESPONSIBILITIES Policy development and review is undertaken by Policy Working Groups lead by a Chair appointed by the Registrar. The work of the group is supported by Policy Officers. Both parties play an important role in ensuring the quality of the development or review process. Their key responsibilities are outlined below: POLICY OFFICERS drafting policy position papers; undertake research as appropriate to inform policy development and review; provision of administrative support to the policy working group; organising meetings; recording deliberations and action points; acting as the point of contact for working group members, stakeholders and the wider-university community; maintaining the Policy Development Plan / Policy Review Plan and other working files throughout the process; drafting discussion documents, policies and related reports in accordance with the deliberations of the group and under the guidance of the Chair; ensure that approved policies are published in the Policy A-Z; maintain the published policy, revising as necessary; maintain a policy issues log; act as the primary contact for that policy dealing with queries that may arise. CHAIRS OF POLICY WORKING GROUPS in consultation with the Policy Officer and Working Group, devise a programme of work and appropriate timeline for the development / review of the policy; ensure the appropriate and timely consultation with identified stakeholders; where appropriate, invite submissions from representatives of key stakeholder groups; endeavour to ensure purposeful and participative meetings; ensure that the Working Group Reports capture working group deliberations, decisions and recommendations; ensure that implementation of the policy has been considered by the Policy Working Group including the development of any relevant recommendations to be included in the Working Group report; present the final version of the draft policy and the Working Group Report to Academic Council. MEMBERS OF WORKING GROUPS attend and participate in discussions; contribute to Working Group Reports and drafting of policy / policy amendments; represent the interests of their school, programme or unit and where agreed by the Working Group lead consultation processes with their colleagues reporting responses and provide feedback to the Working Group; consider implementation matters, liaising with colleagues as required.

8 Page 8 of POLICY RESEARCH A key principle of the policy framework is that UCD policies will be developed with reference to international good practice. The following are a few suggested approaches for conducting initial policy research and the identification of good practice examples: Many universities and HEIs publish policy repositories these can be good places to start a piece of policy research. Make the search international. Looking at policies developed in different HE environments can be useful for providing an alternative perspective. Many of the European universities have an English version of their website. UCD is a member of the higher education network Universitas 21- reviewing policies of other U21 members is often useful. Also these institutions may also be happy to share practice and procedures that are not available online. Identify established policy models already in existence at other HEIs and assess which of these or which elements of these models would fit the needs of the University. 4.3 COMMUNICATION The effective communication of new policy is essential for its successful implementation and application. Communication plans are a key element of policy implementation. The Policy Working Group may have made recommendations regarding the timing of policy implementation and communication and the relevant Policy Officer should ensure that communications are aligned to these recommendations. Communications about new or revised policies will be tailored to individual policies and communications are likely to be issued to target audiences so that the message is delivered directly to those most affected. However, all policies are published on the Policy Directory and notification of new and revised policies is included in annual communications to staff. For further guidance on policy communications see the Communication Checklist located in the Policy Toolkit. 4.4 DOCUMENT MANAGEMENT Policy documents and appendices are structured and presented consistently using the policy document template. DOCUMENT CONTROL During the development stage there may be a number of people contributing to the development of a draft policy and so document version control is very important. It is the responsibility of the Policy Officer to keep track of the developing drafts of the document via a continuously updated master document. Version numbers should be used to signify each revised version of the draft and a record of summarised revisions should be kept by the Policy Officer. DOCUMENT VERSION HISTORY All policy documents should include a comprehensive revision list at the end of the document. This should chart the formal approval route and note any changes proposed by university committees. This version history should remain on the published policy document and be updated following any subsequent changes to the policy.

9 Page 9 of STYLE When drafting policy documents it is useful to bear in mind that different audiences are likely to access the policy and that policy users are not necessarily subject-matter experts and may be accessing information on a topic for the first time. It is important that policy documents are written in a clear and concise manner, using plain English and avoiding jargon. To ensure consistency of style and presentation those drafting policy documents are asked to consider the following: Use the policy document template Use plain English and simple, short sentences Main headings and paragraphs should be numbered sequentially to facilitate referencing Policy should be directive in style and therefore words such as will and must are appropriate To create a recognisable identity for policy documents a uniform format should be used: font, Arial 11, headings in bold and paragraphs separated by one line space. Policies should be as succinct as possible and should not usually extend beyond 5 pages (including appendices).

10 Page 10 of APPENDIX 1: POLICY GLOSSARY Academic Council Approval Pathway Delegation of Authority Guidelines Academic Policy Academic Council is the body with statutory responsibility to the Governing Authority for academic affairs and educational matters across the University The formal route via which a policy must follow to be approved. Approval pathways may differ between policies however all policies must be finally approved by Academic Council, unless Academic Council specifically delegates this function to one of its sub-committees. Delegation is the assignment of responsibility for specified matter, from the body holding statutory authority to another university body. Guidelines are advisory and explanatory documents that provide guide policy users on policy application or implementation and can be tailored to a specific audience, such as staff or students. Academic policies are formal statements that set out the University s official position in relation to academic and student related matters. Policy Development / Review Plan Policy Document Template Policy Working Group Position Papers Procedures Academic Regulations The Policy Development/Review Plan is a tool to be used by Policy Officers and working groups to plan, guide and track progress. Policy officers will keep the plan up-to-date and completion of sections should be agreed in consultation with the working group. This is intended to be a live document for ongoing use by the working group and Academic Secretariat. The policy officer should ensure that at the end of the process the plan is an accurate record of consultation and communication actions as plans may be revisited during policy review. The policy document template is to be used for the development and presentation of all university-wide academic policies. Policy Working Groups are small groups convened by the Registrar for the purpose of developing a new policy or reviewing an existing policy Position papers should concisely define and describe the policy issue, highlighting areas of potential risk to the university. It may provide background information and discussion points to provide greater clarity of the issues involved and support the case for policy development. Procedures stipulate the steps necessary to implement a particular policy and practical information for policy users to steer them through the process. Academic Regulations are the formal rules that govern the academic progression of students through their programmes. Stakeholders Stakeholders are those affected by a policy, including those responsible for implementation, Stakeholders can be staff, students or external groups such as Government and higher education agencies as well as accrediting bodies.

11 Page 11 of APPENDIX 2: POLICY DEVELOPMENT AND REVIEW CYCLE Initiation Policy gap identified / review required. Position paper reviewed and initial research conducted Review Approved policy is monitored during a stated period of operation for effectiveness, leading to Stage 1 (after 1 yr) and stage 2 Policy Review (after 5 yrs) Development Policy drafted by working group based on policy research; group members lead local consultation; benchmarking Monitoring Approved policies are monitored for compliance/implementation issues logged to be utilised in policy review Consultation Formal consultation of final draft with appropriate academic committees; stake holder groups Implementation Approved policy/revisions are published and communicated. Implementation in accordance with Working Group recommendations Approval Policy / Policy Revisions are submitted to Academic Council for approval Academic Council may propose revision of draft policy. Policy Working Group will re-submit a revised draft for approval