Core Document Development and Management Policy and Procedure

Introduction

Purpose

1. Core Documents exist to communicate expectations, ensure compliance with both internal and external regulations, and promote consistency across University operations. This Policy and Procedure aim to define the University’s expectations and standardise procedures regarding the management and development of core documents of Northeastern University London (the University).

Scope

2. This Policy and Procedure applies to Core Documents produced by the University that inform internal and external stakeholders of University operations and regulations.
3. This Policy and Procedure applies to all Members and Representatives of the University, and to individuals representing the University as volunteers or partners.
4. The Procedure aims to encompass the creation, review, update, approval, storage, publication, and distribution of Core Documents.

Definitions

5. Members and Representatives of the University: Any person who is engaged with the University as a person enrolled on a programme of study, employee, consultant, professoriate, guest/visiting academics, honorary posts, volunteer staff (including work experience), and mobility employees from Northeastern University.
6. Policy: A policy is an institutional rule or regulation that governs operations.
7. Procedure: A procedure is a standardised process for the implementation of a policy.
8. Core Documents: For the purposes of this document, Core Documents are defined as documents produced by the University that inform internal and external stakeholders of University operations and regulations including, but not limited to, strategies, plans, policies, procedures, guidances, forms, templates, applications, reports, terms of reference, codes of practice, statements, risk assessments, and notices.
9. Implementation Plan: An Implementation Plan is a strategic plan that details actions, resources and timelines required for successful implementation of newly created or developed Core Documents.

Roles and Responsibilities

10. Members and Representatives of the University are responsible for adhering to all applicable Core Documents. Student and staff handbooks are assembled and distributed to ensure all members of the community have access to relevant policies and documents that facilitate policy adherence. Each document includes a section for references and resources, where additional information or further explanation can be sought.
11. Quality Team: The Quality Team is responsible for coordinating the review, update, approval, and publication of Core Documents. The Quality Team maintains historical records, version control, and ensures consistency and cohesion in Core Documents across University departments. The Quality Team provides support and guidance to those tasked with document creation, management, and development.
12. Owner: A document Owner is responsible for document creation, development, and implementation. Owners are accountable for regularly reviewing and updating their respective documents according to the predetermined update schedule. Owners are responsible for identifying parties affected by the development or implementation of new Core Documents, and for recommending any training needed to support the implementation of new or updated documents. Document Owners are also responsible for identifying outdated materials and initiating their review and update, if needed, outside of the predetermined review cycle.
13. Preliminary Reviewer: A Preliminary Reviewer assumes the review and update responsibilities of the document Owner until the Final Review stage, at which point responsibilities return to the document Owner.
14. Contributor: A Contributor is responsible for conducting the timely review of updates for which they are not the Owner. Contributors are responsible for representing their functional area(s) through the review process, and channelling feedback as appropriate.
15. Approver: An Approver is the employee or approving body accountable for the ultimate revision and approval of documents prior to publication.

Resources

16. Quality Team: The Quality Team is accessible via qualityassurance@nchlondon.ac.uk
17. Templates for Microsoft and Mac are available from the Quality Team.
18. Published policies, procedures and supporting documents are available for reference in the following collections:
    1. Academic Handbook
    2. Staff Handbook
19. Relevant External Regulations and Regulators
    1. Department for Education (DfE)
    2. Office for Students (OfS) Regulatory Framework
    3. Office of the Independent Adjudicator (OIA) Good Practice Framework
    4. Quality Assurance Agency (QAA) membership site
    5. Quality Assurance Agency (QAA) Quality Code
    6. Ofsted
    7. Designated Quality Body (DQB)
    8. Competition and Markets Authority (CMA)
    9. New England Commission of Higher Education (NECHE)
    10. Free Application for Federal Student Aid (FAFSA)
    11. Education and Skills Funding Agency (ESFA)
    12. Designated Data Body (DDB)
    13. United Kingdom Visas and Immigration (UKVI)
    14. Prevent Duty Guidance
    15. External Counsel
20. Related Documents
    1. Core Document Development and Management Guidance
    2. Policy Template
    3. Procedure Template
    4. Formal Document Style Guide

General Principles

Accuracy

21. Core Documents must be up-to-date and reflect the current operations and regulations of the University and laws. Outdated documentation or references must be brought to the attention of the document Owner, who will initiate the review, update, or retirement of documents accordingly.

Consistency

22. Core Documents must use a consistent set of terminology, tone, format, and structure so that users can readily access relevant information and make informed decisions. Consistency across documentation promotes understanding for internal and external users. Guidance and template documents are developed and distributed by the Quality Team.

Compliance

23. The University’s Core Documents must comply with legal requirements in addition to external regulations, such as those imposed  through the external regulations and regulators listed in the Resources section.

Accessibility

24. To promote accuracy, consistency, and compliance, University Core Documents must be accessible to members and representatives of the University. The Quality Team is responsible for the storage of current and historical versions of Core Documents. Published documents are available on the University’s website, People HR and Virtual Learning Environments. Additional documents are available upon request at the discretion of the Quality Team.

Cohesion

25. Core Documents often span multiple functional areas. These documents serve the community in establishing expectations and responsibilities that guide our work, ensure compliance, and increase efficiency. Interdepartmental collaboration and consultation are essential to cohesive operations.

Communication

26. Effective and timely communication is integral through the review, collaboration, and development of documents. Owners and Contributors are provided a schedule to guide developmental activity. Adherence to this schedule is required to ensure that documents are accurate and published according to predetermined schedules of distribution.

Storage

27. The storage of Core Documents is managed by the Quality Team. Document Owners, Preliminary Reviewers, Contributors, and Approvers must obtain documents for development and approval directly from the Quality Team.

Procedure

28. This Procedure details the stages from conception through implementation of Core Document development. Refer to the Resources section for supporting documents and contacts. 
29. Initiation
    1. Research: Research the need for document development. Research industry standard and best practice across other institutions in the field. Document and analyse relevant legal and regulatory requirements.
    2. Consultation: Identify and consult internal and external stakeholders. Consult the Quality Team for existing, related, and historical documents. Consult Owners of related documents to understand the potential impact of proposed changes.
    3. Proposal: Propose the creation of a new document or revision of an existing document to the Quality Team and provide research, justification for the change, a summary of proposed changes and Implementation Plan.
30. Development
    1. Draft: Once the proposal is approved, draft the developed document with edits, comments, and suggestions tracked. Use only draft documents and templates provided by the Quality Team.
    2. Review
       1. Interdepartmental Review: Quality Team assists in circulating the document among internal stakeholders, document Owners, and Contributors.
       2. Legal and Compliance Review: Quality Team assists in passing the document through legal and compliance review teams.
       3. Final Review: Document Owner and Quality Team conduct a final review of the document and reroute through the Initiation and Development stages, as needed.
31. Approval
    1. Submission: Quality Team routes the draft through Approver(s), as needed.
    2. Decision
       1. Approved: the document is routed through the implementation stage.
       2. Rejected: the document is routed to the initiation stage with feedback from the Approver.
       3. Revise and Resubmit: the document is routed to the development stage with feedback from the Approver.
32. Implementation
    1. Publication: Quality Team publishes the approved document.
    2. Distribution: Document Owner distributes the approved document according to the Implementation Plan.
    3. Training: Any necessary training is provided to implement the approved document, according to the Implementation Plan.
    4. Ongoing Management: Document Owners review, revise, and update documents according to the predetermined schedule, which is initiated by the Quality Team.

Reporting, Monitoring and Reviewing

33. The Quality Team, document Owners and Contributors review statistical information relating to the Core Document Development and Management Policy and Procedure on an ongoing basis.
34. The Quality Team tracks the creation, development and management of Core Documents and makes recommendations to the Policy and Compliance Committee and Executive Committee as appropriate.
35. The Executive Committee reviews this document and associated materials for effectiveness.

Version History