Protocol for MOPP Policies

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1. Foreword
2. Definition of a University policy
3. Structure of MOPP policies
4. Format for MOPP policies
5. Policy approval and review process
6. Role of policy contact officer
7. References to MOPP policies in other publications
8. Administrative/Procedures Manuals
9. Role of Policy and Compliance Officer
10. Annual Report
11. Template for MOPP policies
    

1. Foreword

The Manual of Policies and Procedures (MOPP) is the definitive policy resource guiding the operations of QUT. It is a comprehensive manual of policies on administrative, human resource, academic, research, financial and facilities matters affecting the university community generally.

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2. Definition of a University policy

Policies applying generally to staff and/or students and having long-term relevance are published in the Manual of Policies and Procedures.  A policy statement qualifying for inclusion in the MOPP has the following characteristics:

• It has broad and ongoing application throughout the University;
• It helps ensure compliance with applicable laws, regulations, statutes or government requirements, promotes operational efficiency, enhances the University's mission or reduces institutional risks;
• It mandates actions or places constraints on activity, and contains instructions to ensure compliance with appropriate standards governing the subject matter;
• University Council approval is required for policy governing the subject matter (note however that Council has delegated approval of policies in a number of areas to the University Academic Board, other committees or designated officers). 

General information relating to the annual cycle of activities and revised regularly (for example, enrolment and course guides; grant and scholarship information) and descriptive information about the University will not normally be included in the MOPP. 

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3 Structure of MOPP policies

A policy statement can be divided into the following three sections:

The policy principles will consist of statements that mandate decision-making.  In this part, the policy is declared, its objectives, its scope and application to staff and/or students are explained, and definitions and relevant laws, regulations or other government or University requirements and policies are referenced.  Policy statements imposing behavioural requirements upon staff should cross-reference the Code of Conduct for staff (MOPP B/8.1).

Often, the policy may be declared in a single paragraph; in other cases where policy deals with complex matters, more detailed explanation will be required in this section. 

The directives outline the correct method of putting the policy into practice, explaining the organisational context in which the policy operates and an explanation on how the policy is to be implemented.  Relevant delegations which define responsibilities for action in relation to the subject matter should be included in this section.  Policy directives should identify responsibility for approval, monitoring and review of the policy, together with the appropriate organisational unit or action officer administering the policy.  The directives should give sufficient detail to enable readers to understand the University's overall approach to dealing with the subject matter of the policy. This will generally be the most detailed section of the policy statement. 

Administrative procedures may also be included. These will provide instructions or guide actions that must be undertaken in order to deal with a particular situation consistent with the policy. However, detailed processes, annual due dates, forms, and lodgement procedures, all of which may vary from year to year, should be included in procedures manuals or on local web pages and cross-referenced in the MOPP policy statement. 

Ensuring that policies are written and presented in a consistent manner maximises the effectiveness of the MOPP and aids readability. To the extent possible, a policy statement should be presented consistently with the structure outlined above.  For a template based on this structure, see section 11 below. Where the subject matter dictates that division into these three formal sections is not appropriate, a policy statement should nonetheless be drafted clearly and in a way designed to achieve the objectives of these three sections. 

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4. Format for MOPP policies

4.1 Policy header

In line with a commitment to increase useability, MOPP policies should include a header containing the following information:

Approval date
Approval authority
Date of next review
Contact officer (see section 6 below)

Unless a shorter period is specified by the approval authority, date of next review will be three years after the approval date. 

4.2 Related policies/documents

To ensure that the MOPP is integrated with other information resources on QUT's web site, a list of related policies and documents may be included after the policy statement.  Related documents may include policies not in the same chapter of the MOPP, local procedural or operational manuals, administrative forms and other web sites. 

4.3 Modification history

A modification history, outlining the scope of any amendments to sections of the existing policy and the date upon which they came into effect, is inserted at the conclusion of the policy statement.  Where appropriate, the modification history may also include any details of policies rescinded and replaced by the current policy statement. 

4.4 Numbering

Each section of a policy statement should be numbered in a consistent format to enable easy reference and identification, as in the following example:

Major chapter section:

D/6 Research Ethics

Policy statement: 

D/6.1 University research ethics

Discrete sections in this policy statement:

6.1.1 Background
6.1.2 Principles
6.1.3 Definitions
6.1.4 Roles and responsibilities
6.1.5 Procedures
6.1.6 Ethical clearance

The Policy and Compliance Officer is responsible for allocating policy numbers.

4.5 Use of appendices

The inclusion of material in an appendix to the MOPP is permitted in limited circumstances only.  Information in an appendix is directly relevant to a policy statement, but is supplementary or explanatory in nature.  Appropriate information for insertion in a MOPP appendix may include legislative provisions (eg Queensland University of Technology Act 1998, statutes and rules), organisational charts, lists of authorised delegations.

Forms and purely descriptive information on programs and university activities will be included in local web pages or procedures manuals, and cross-referenced in the relevant policy statement as appropriate (see section 4.2 above). 

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5. Policy approval and review process

5.1 New policy/Major revisions

Consultation with the Policy and Compliance Officer regarding the development of new policy, or during a policy review process, is strongly recommended. 

New policy statements or major revisions must be submitted for approval in the format described in sections 3 and 4 above.  Where changes to policy necessitate amendments to the directives or procedures in the policy statement, these must be updated and approved at the same time.  When submitting revised policy statements, the documentation should include a copy of the original policy with proposed amendments highlighted or tracked. 

QUT Council is the main policy approval body, but has delegated responsibility to various committees and senior officers to approve some policies on its behalf. The approved delegations are listed in an appendix to the MOPP.

When submitting a new or significantly revised policy statement to the relevant approval authority, it must be accompanied by a statement outlining:

• the rationale for the preparation or review of the policy;
• impact of implementation (including obvious resource implications, effects on staffing and other issues, changes to delegations for decision-making);
• policies to be rescinded;
• the date upon which the policy will come into effect;  and
• the outcomes of consultation with stakeholders (note that, in the case of policies directly affecting conditions of employment, the unions may need to be consulted - contact the Human Resources Department for further details). 

A summary of significant policy initiatives approved by other committees or officers is to be referred to QUT Council for information by the relevant committee secretary or designated officer. 

5.2 Minor amendments

Minor amendments (eg to reflect changes in position titles or the names of organisational units) which do not otherwise affect policy content will be made by the Policy and Compliance Officer following consultation with the relevant contact officer for the policy statement. 

5.3 Periodic review of policies

In order to enhance the University's management standards, including policies, procedures and ethical pronouncements, Governance and Legal Services has implemented a process for periodic review of policies currently published in the MOPP. In addition to requiring new policy statements or major revisions to include a specified date of next review, routine alerts to review policy are sent periodically and as appropriate via email to policy contact officers, officers responsible for policy development and secretaries of University committees. 

Notification that policy is due for periodic review is sent three months prior to the review date.  The expectation is that a timely review of the policy will be undertaken, generally within three to six months following notification.  Consultation with the Policy and Compliance Officer during the review process is recommended.

Deferral of periodic review beyond this timeframe or an extension of time to complete a review must be justified by the policy contact officer, endorsed by the relevant departmental or divisional head and notified to the Policy and Compliance Officer, who will consider whether an appropriate notice should be added to the policy statement regarding its currency. 

Where the organisational context or external environment do not necessitate any change to a policy, the policy contact officer must notify the Policy and Compliance Officer accordingly. 

5.4 Matters to be considered when undertaking policy review

The aim of periodic review is to ensure that MOPP policies are current and relevant to QUT and reflect changes to the broader environment in which QUT operates.  When undertaking policy review, the policy contact officer (or another officer having responsibility for the review process) must address the following issues:

• Strategic alignment with QUT Blueprint or top-level plans;
• Effectiveness in meeting stated policy objectives;
• Effectiveness in addressing risks associated with the subject matter and in maximising benefits to the University;
• Consultation with key stakeholders such as organisational areas responsible for administering the policy, key user groups (eg teaching staff, researchers);
• Operational impacts;
• Changes in the external environment (eg legislative change, business imperatives) which may affect the currency of the policy or QUT's approach to the subject matter;
• Outcomes of any audit of business operations or processes relevant to the subject matter.

Where review will result in a major overhaul of the policy, development of a brief review and approval plan may be advisable.  The plan should outline relevant steps associated with the review, including consultation, review by relevant committees, and target dates for final approval by the designated "approval authority". 

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6. Role of policy contact officer

The designated contact officer is the staff member (by position title) responsible for the implementation of the policy at the operational level.  The contact officer has general responsibility to ensure that the policy and guidelines remain appropriate and relevant in the University administrative and organisational environment in which the policy applies.  The contact officer is expected to ensure that references to procedures manuals or web pages are current and relevant, and to be aware of the impact of policy amendments and review on other related policies.

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7. References to MOPP policies in other publications

Any MOPP policies issued in supplementary form (eg in booklets or other publications such as student guides) should always contain specific reference to their status as MOPP policy and their MOPP location.  Wherever it is proposed to reference MOPP policies in other University web sites, this must always be done by creating a link to the on-line MOPP, so that a single, definitive version is accessed. 

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8. Administrative/Procedures Manuals

As noted in section 3 above, the MOPP is complemented by operational policies, procedures manuals and local web pages designed to assist staff in day-to-day administrative functions.  In particular, the University has published corporate financial procedures, ethics, human resources, health and safety, student services and facilities management manuals and/or websites, to assist staff with the detailed procedural aspects of these functions and activities.  To increase efficient use of these resources, the University has moved towards publication of all such information resources on-line. 

It is desirable that the administrative and procedural information provided in these resources reflects its relationship to University policy contained in the MOPP.  Uniform, simple numbering patterns, standard header and footer information including date of last update and sources of information give context and currency to administrative and procedural information. 

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9. Role of Policy and Compliance Officer

The Policy and Compliance Officer has an editorial role, designed to ensure that the currency and quality of the material that is published in the MOPP is maintained, and that policies across the broad range of topics in the MOPP are consistent. 

The Policy and Compliance Officer takes responsibility for ensuring that all relevant changes to policy are recorded in the MOPP and that new and amended policies are presented in the appropriate structure and format.  The Policy and Compliance Officer also advises on cross-referencing and links to other policies and the impact of policy amendments and review on other policies, maintains long-term records of changes to the content of the MOPP and coordinates on-line publication.  The Policy and Compliance Officer identifies policies due for periodic review by relevant contact officers and committees, and instigates and monitors the review process described in sections 5.3 and 5.4 above. 

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10. Annual Report

An annual report on the MOPP is prepared for the Registrar, which includes information on action taken on policies scheduled for review.

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11. Template for MOPP policies

The following template is provided as an example to assist in developing a comprehensive policy statement. 

x.x       Policy title

x.x.1    Policy statement
(declare the policy, its objectives and scope; outline the policy source, eg relevant laws, regulations, University requirements)

x.x.2    Application
(outline the application of the policy to staff / students)

x.x.3    Definitions
(define the key terms used in the policy)

x.x.4    Roles and responsibilities
(define the roles and responsibilities of relevant officers, committees, organisational areas etc)

x.x.5    Implementation
(explain how the policy is implemented, the organisational context of the policy and any other relevant directives - if necessary, several sub-sections can be included here using appropriate headings to reflect the content)

x.x.x    Procedures
(provide brief instructions on how to deal with situations covered by the policy - where the subject matter warrants detailed procedures, these should be provided on the local area website with a reference and link to the relevant site from the policy)

Related Documents
(list related information resources, eg other relevant policies; resources on local web pages or in procedures manuals; relevant legislation)

Modification History
(include date of approval / sections modified / source of approval / details of amendment - this section is completed by the Policy and Compliance Officer when the policy is published)

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