STANDARD OPERATING PROCEDURE SOP 063 - MANAGEMENT OF POLICIES AND ...

STANDARD OPERATING PROCEDURE SOP 063 - MANAGEMENT OF POLICIES AND PROCEDURES

DOCUMENT DETAILS Category: Corporate Administration

Version: 05 Directorate/Unit: SPPP Application: All of DCS

Approval Date: 02/09/2019

Review Date: 02/09/2022

Document Sponsor:

Executive Director, Offender Development

Classification: Public Document

Authority:

Correctional Services Act 1982, Public Sector Act, 2009, Public Finance and Audit Act, 1987, State Records Act 1987.

PROCEDURE SUMMARY ONLY (NOTE: for detailed procedure refer to ? Section 5. Stages of Policy and Procedure Process)

This Standard Operating Procedure (SOP) establishes a hierarchy and consistent process for the development, implementation, monitoring and review of all policy and procedural documentation that supports the Department for Correctional Services (DCS) to operate within a safe, ethical and legal framework.

This SOP details the stages and processes for developing policies and procedures, responsibilities and delegations, and the systems required for maintaining consistency and measuring compliance.

This SOP applies to DCS employees involved in developing and/or amending departmental documentation and directs staff to access approved policy and procedural templates from the DCS Intranet site. This procedure acknowledges the CE's approval of the unique financial management delegation arrangement for DCS corporate finance policies and procedures.

INDEX

1. Procedure Statement ..................................................................................................................3 2. Rationale ....................................................................................................................................3 3. Document Hierarchy ...................................................................................................................3

3.1. Document definitions .........................................................................................................4 3.2. Application of terminology..................................................................................................4 4. Roles and Responsibilities ..........................................................................................................5 4.1. Document Sponsor ............................................................................................................5 4.2. Document Author...............................................................................................................5 4.3. Director, Strategic Policy, Projects and Partnerships (SPPP) ............................................6 4.4. Policy Officer, Strategic Policy, Projects and Partnerships.................................................6 4.5. Operational Support and Performance Branch (OSPB), SWO ...........................................7 5. Stages of Policy and Procedure Process ....................................................................................7 5.1. Research, Analysis and Planning ......................................................................................7 5.2. Development of Documentation.........................................................................................8 5.3. Consultation and Communication ......................................................................................8 5.4. Approvals ..........................................................................................................................8 5.5. Distribution and Implementation.........................................................................................9 5.6. Review of Policies and Procedures....................................................................................9 5.7. Rescinding Policies and Procedures..................................................................................9 6. Performance Indicators.............................................................................................................10 7. Forms/Templates......................................................................................................................10 8. Approved ..................................................................................................................................10 References ........................................................................................................................................11 Legislation.......................................................................................................................................... 11 DCS Related Policies and Procedures...............................................................................................11

WARNING ? UNCONTROLLED WHEN PRINTED - THE CURRENT VERSION OF THIS DOCUMENT IS KEPT ON THE DCS INTRANET

File: CEN/15/0547

Name: SOP 063 ? Management of Policies and Procedures Version: 05

Created: 20/06/2006

Modified: 30/07/2019

Approved: 02/09/2019

Page 2 of 11

1. Procedure Statement

SOP 063 constitutes a systematic framework for governing the Department for Correctional Services' (DCS) business activities and providing staff with the necessary information to perform their duties in a consistent, compliant manner. This document supports the effective planning, operation, control and continuous improvement of all departmental policy and procedural processes. This SOP details: The types of documentation governing business activities within DCS; The roles, responsibilities and delegations for stakeholders involved in the policy and procedural

development process; and The stages and procedures to be adopted for document development, implementation and review.

2. Rationale

The purpose of this procedure is to provide a consistent process for the development, implementation and review of all departmental policies and procedures. Compliance with this procedure and use of DCS approved templates is mandatory.

Policies and procedures comprise Policies, Executive Instructions, Standard Operating Procedures (SOPs), Practice Manuals, Guidelines, Local Interpretation Statements (LIS) and Local Operating Procedures (LOPs). These documents provide direction, accountability and consistency across business activities; are responsive to compliance and strategic change; are open to scrutiny and internal and external auditing processes; and provide a baseline for continuous improvement.

This procedure supports the values, directions and key strategies identified in DCS' Strategic Plan.

3. Document Hierarchy

DCS has a hierarchy of policy and procedural documentation, which forms the authority and precedence of rules, procedures, actions and tasks to be taken to ensure employees operate within a safe, ethical and legal framework. The following designates the order of priority of application:

Legislation

Government Policy

DCS Policy

Executive Instruction

Standard Operating Procedure/Practice Manual

Guideline

Local Interpretation Statement/Local Operating Procedure

WARNING ? UNCONTROLLED WHEN PRINTED - THE CURRENT VERSION OF THIS DOCUMENT IS KEPT ON THE DCS INTRANET

File: CEN/15/0547

Name: SOP 063 ? Management of Policies and Procedures Version: 05

Created: 20/06/2006

Modified: 30/07/2019

Approved: 02/09/2019

Page 3 of 11

3.1. Document definitions

3.1.1. Policy

A set of principles that reflects the organisation's values, aims and direction. Policies are statements of intent that guide actions and decision-making, and are informed by legislation, regulations, other government policies and DCS' Strategic Plan. Policies govern the implementation of departmental-wide initiatives and apply to all business units and employees (e.g. Conflict of Interest Policy, Domestic Violence Workplace Policy).

3.1.2.

Executive Instruction

Contains material that must be understood and complied with as part of ongoing business operations and are published pending an update to a policy or procedural document. An Executive Instruction (EI) identifies mandatory requirements and operational responsibilities.

An EI can be issued by the Chief Executive, Deputy Chief Executive or Executive Director. EIs can only be rescinded when a DCS document is updated to include the critical information covered by the EI and any required consultation has occurred.

3.1.3. Standard Operating Procedure/Practice Manual

Prescribes the minimum required standards of practice that must be adhered to in relation to a particular topic, business process, task or set of tasks. Unless otherwise stated, a SOP/Practice Manual applies universally across all DCS business units and facilities. Any whole-of-department material contained within a SOP/Practice Manual should not be duplicated at a local level within a facility operating procedure.

3.1.4. Guideline

Establishes best practice and is a functional manual that provides detailed advice or information in relation to how to complete a task or set of tasks. Strict compliance is not necessary with Guidelines as they are flexible and may be underpinned by a local procedure in response to local circumstances.

3.1.5. Local Interpretation Statement

Provides information specific to delegated roles and responsibilities of employees, which are specific to a singular facility or Business Unit, and are linked to a DCS SOP. A LIS does not replace a SOP or the minimum standards required ? they are additional.

3.1.6. Local Operating Procedure

Specific to a particular facility or Business Unit and prescribes the minimum required standards of practice in relation to tasks that employees are expected to follow at that specific site.

3.2. Application of terminology

The terminology below applies to using this procedure to develop DCS policy and procedural documentation. The terms must also be correctly included in DCS policies and procedures. The terms are to be interpreted as follows:

3.2.1 Must ? the task/approach is mandatory with no scope for deviation from the process.

3.2.2

Should ? an employee follows the best practice process for a task/approach. However, there may be a valid reason for deviating from the process; if so, the full implications need to be considered and advice sought from management before choosing an alternative course of action.

3.2.3 Recommended ? the specific task/approach details best practice for the specific purpose to which it is being applied, but is not mandatory.

3.2.4 Preferred ? the specified task/approach is encouraged, but is not mandatory.

WARNING ? UNCONTROLLED WHEN PRINTED - THE CURRENT VERSION OF THIS DOCUMENT IS KEPT ON THE DCS INTRANET

File: CEN/15/0547

Name: SOP 063 ? Management of Policies and Procedures Version: 05

Created: 20/06/2006

Modified: 30/07/2019

Approved: 02/09/2019

Page 4 of 11

3.2.5

Flexible ? the task/approach has been detailed to support mandatory elements, but it is an optional application that allows for appropriate judgement to be made in regards to local operating considerations.

4. Roles and Responsibilities

4.1. Document Sponsor

The Document Sponsor is the Executive Director (or Senior Manager) assigned the delegated responsibility for overseeing the development, implementation, review and update of policies and procedures assigned to their Business Unit. The role must:

4.1.1. Identify and approve the need for policy and procedure development, and support, facilitate and monitor the timely review and amendment of all policies and procedures assigned to their Business Unit.

4.1.2. Appoint a document Author and ensure the policy and procedural process is undertaken in accordance with SOP 063, including appropriate consultation and submission of draft documents to relevant approving committees.

4.1.3.

Ensure the Author informs the Policy Officer, Strategic Policy, Projects and Partnerships (SPPP) of any discretionary decisions made by the Document Sponsor in relation to consultation, review and publishing processes, which may deviate from those detailed in this procedure (e.g. publishing SOPs on the Intranet before the commencement date).

4.1.4. Ensure priority is given to the review of documents that pose the highest degree of risk to the Department (see section 5.7 Review of Policies and Procedures).

4.1.5. Ensure investigation of current legislation and standards occurs and that minimum requirements are accurately reflected in the policy or procedure.

4.1.6. Where appropriate an Aboriginal Impact Statement and/or a Women Offender Impact Statement is completed in the development or review of documentation.

4.1.7. Ensure SOPs and LOPs contain relevant and clear performance indicators that form the basis of an internal audit process and monitor the effectiveness of performance indicators.

4.2. Document Author

The Document Author is the employee assigned with the delegated responsibility for coordinating the development or review of policies and procedures. This section must be read in conjunction with 4.5 if the Author is located within Statewide Operations (SWO). The role must:

4.2.1. Read this procedure and refer to the Management of Policies and Procedures Checklist ? SOP 063-F001 and Management of Policies and Procedures Process Map ? SOP 063-C001, prior to commencing the policy and procedure process.

4.2.2. If reviewing an existing document, request the latest Word version from the Project Officer, SPPP via the DCS: Policy Publishing email inbox.

4.2.3.

Conduct planning, research and analysis, and investigate current legislation and standards, including referring to the State Records Act 1997, Information Sharing Guidelines and any other government policies or requirements. Guidance may be sought from the Records Management Unit regarding legislative requirements.

4.2.4.

Refer to the DCS list of published EIs to ensure relevant content is incorporated into policy or procedural documentation, before the revised document is provided to the Document Sponsor for approval. It is the Author's responsibility to notify the Business Unit of the need to remove an EI from the Intranet once key information is incorporated into a relevant policy or SOP.

WARNING ? UNCONTROLLED WHEN PRINTED - THE CURRENT VERSION OF THIS DOCUMENT IS KEPT ON THE DCS INTRANET

File: CEN/15/0547

Name: SOP 063 ? Management of Policies and Procedures Version: 05

Created: 20/06/2006

Modified: 30/07/2019

Approved: 02/09/2019

Page 5 of 11

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