Guide for document owners

Understanding and fulfilling the designated roles and responsibilities is crucial for the effective management and oversight of the University Policy Gateway. This table provides a clear breakdown of the primary duties associated with each role:

A policy is a set of ideas or a plan of what to do in particular situations which has been officially approved by the University.  A policy will help to guide consistent decisions, actions and behaviours about a particular function in the University. They are typically adopted to support a particular objective or priority, to set out principles or ways of working, or to protect against a risk (or risks), including supporting compliance objectives, where the content of the policy may be partly dictated by law. Policies will typically be under the auspices of formal University committee which has  assurance responsibility for the function or operational area to which the policy relates.

The University has many policies which govern its staff, students and activities. Some policies are required to be in place by law (e.g. Health and Safety), some are good practice wherever you work (e.g. Sustainability Policy), some are specific to Higher Education Institutions (e.g. Ethical Policy Framework) and some policies are put in place to support particular priorities or compliance obligations (e.g. Global Mobility) policies.

The University’s governance includes our Royal Charter, Ordinances and Regulations, which are separate to policies and procedures. You can find out more about the University’s governance below.

A good policy should:

• Include a high-level statement of the purpose of the policy and the University’s position in respect of a rule or principle
• Be clear and concise, saying only what it needs to
• Identify the document owner who is responsible for the policy (e.g. Human Resources) and the formal committee that needs to approve the policy (e.g. Human Resources Committee)
• Be consistent with other related policies and obligations. Unless a law or regulatory requirement says a particular policy should contain anything more, everything else should be in guidance or a procedure or toolkit.

A policy should answer the following questions:

• Why do we have the policy – what is the priority it supports, what does it enable, what risk does it manage?
• Which body will adopt the policy and is accountable compliance and assurance against the policy?
• Who is responsible for implementation of the policy?
• Who does the policy apply to?
• What is the University’s policy position on the relevant issue?
• Are there any significant exceptions to that position?
• What are the consequences of non-compliance for the University and/or individuals?
• When will the policy be reviewed?
• What are the responsibilities of the University, leaders, managers and individuals under the policy?

You should consider whether an Equalities Impact Assessment (EIA) is required, using the resources available below. If you do conduct an EIA you should share it, or a summary, with the committee or group approving the policy so they can make decisions with that information in mind.

Some policies related to staff matters, particularly human resource policies, require formal negotiation with the Unions as part of the partnership agreements before they can be approved or when they are reviewed. Please ensure you consult with Human Resources if you have any questions about this, and ensure there is sufficient time to include negotiations before the approval of any policies.

Sometimes specific compliance obligations stipulate the content of a policy, so the policy should include and be consistent with the source of the underlying obligations (e.g. a piece of legislation).

The policy template includes a box to articulate how compliance with the policy advances and supports the delivery of the University Strategy.

Guidance, procedures or toolkits are practical documents, which help colleagues to operate within the boundaries of the relevant policy (or compliance regime) to achieve their tasks or discharge their duties.

Guidance, procedures or toolkits should:

• Tie to a specific policy, policies or compliance obligation;
• Be drafted with the user in mind, supporting the practical steps to secure compliance;
• Guide colleagues on how to use systems or follow University processes in support of the policy or compliance obligation;
• Deal with exceptions and frequently asked questions; and
• Help colleagues to make decisions, including decisions on risk, consistent with the principles set out in the policy.

It is also important to ensure procedures and practices are designed with our equalities obligations in mind and you should consider your existing Equality Impact Assessment or conducting a new EIA as part of your design process (see the information in the dropdown titled 'A policy should answer the following questions').

Consultation with stakeholders is a good way of ensuring procedures and guidance are effective and appropriate to those it is designed to apply to. Consultation may be with staff, students, or selected groups depending on the policy. Changes to staff related policies that have an impact on employment contracts must be consulted upon with officially recognised staff groups, such as the trade unions.

Guidance, procedures and toolkits should be kept up to date by the relevant lead – these do not need the approval of a committee to change them in most cases.

• Why do we have the policy – what is the priority it supports, what does it enable, what risk does it manage?
• Which body will adopt the policy and is accountable compliance and assurance against the

There are several reasons why the policy and the guidance should be separate documents:

• Flexibility – a policy may only be subject to minor tweaks without needing to be formally adopted by the relevant committee or group. Guidance or toolkits can be updated quickly and dynamically.
• Clarity – by keeping them separate we avoid policies being too detailed and unwieldy and guidance being too light touch and unusable.
• Language – a policy is a formal document and as such the language used may be formal (although it should still be accessible to all those who need to read it) and not create the opportunity for explanations of technical aspects. Guidance, procedures and toolkits can be less formal and provide the opportunity to be more accessible to different audiences (including by using media like videos and audio clips), which ultimately helps support compliance.
• Engagement – while you may need to consult a limited group of stakeholders in the adoption of a policy, you can engage a broader group of colleagues in developing the guidance, procedures and toolkits to ensure all the nuances of the process have been thought through.