Policies and Related Procedures - Governing and Institutional Operating Policy
Responsible officer: Vice-Chancellor
Designated officer: Vice-Chancellor
Approving authority: Council
Approval: C07/81, 28 August 2007
Last amended: C08/41, 17 June 2008
Effective starting date: 29 August 2007
Policies replaced by this policy:
- Policy on the Approval of University Policies and Procedures
Policy number: G1
Related policies:
Due date for next review: 28 August 2012
Part A: Preliminary
1. Purpose of policy
The following policy is intended to set a broad framework for development of policy and its related procedures by and within the University and to enunciate principles for consistency in, and minimal requirements for, the development, approval, implementation, monitoring and review of policies and related procedures. The policy should be read in conjunction with the Quality - Governing and Institutional Operating Policy.
2. Application of policy
This policy applies to all staff, students and members of University decision-making or advisory bodies.
3. Definitions
In this policy the following definitions apply:
Consultation process means the provision of opportunity to contribute ideas and suggestions
Council means the governing body of the University of the Sunshine Coast
Designated officer means the incumbent of a position having operational responsibility (under a responsible officer, see definition below) for the implementation, monitoring, and initiation of review of a policy
Effective starting date means the date from which a policy is to be implemented
Governance means the processes by which the University is directed, controlled and held to account
Monitoring means systematic overview of implementation and effectiveness (of a policy or procedure)
Organisational unit means a faculty or a management or support service or administrative area the operational management of which is exercised by a Dean or Director or Pro Vice-Chancellor or Deputy Vice-Chancellor or the Vice-Chancellor
Policy means a statement of principles or position that is intended to guide or direct decision-making and operations in a sphere of University activity and it may also specify requirements that need to be met
Procedures means detailed methods and actions for putting a policy into practice
Responsible officer means the incumbent of a position accountable for implementation of a policy and for compliance with that policy
Review means an investigation into the extent of implementation, effectiveness, and currency of a policy and, where appropriate, its associated procedures
Senior Officer means the incumbent of a position with responsibility for the operational management of an organisational unit
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Part B: Policy
4. Policy framework and principles
4.1 There will be a hierarchy of policy and each policy will be clearly identified by its level:
(a) governing policy – highest level policy that enunciates the University’s position on, and principles for, key strategic areas of the University’s operations
(b) institutional operating policy – usually derived from governing policy and that enunciates operational principles and broad requirements that guide University-wide activity in a specific area of University operation, and
(c) area policy – usually derived from higher order policy and that enunciates to the members of a particular organisational unit within the University the operational principles and broad requirements that guide a particular area of activity specific and confined to that unit.
4.2 A particular policy may be both a governing and an institutional operating policy where an area of activity addressed by the policy:
(a) is regarded as being of strategic operational as well as directional importance, or
(b) is regarded as being more likely than most activities to impact on the University’s public reputation or be the subject of government or public concern or to attract government or public attention/scrutiny
and where, in such cases, combining the content of a proposed governing policy and a proposed related institutional operating policy within the one document would reduce the total number of policy documents within the University.
4.3 Council will retain the power to approve governing policy and any policy that is both a governing and institutional operating policy.
4.4 Council will delegate authority to:
(a) the Academic Board to approve institutional operating policy for academic matters, and
(b) the Vice-Chancellor to approve other institutional operating policy and area policy.
4.5 The following principles will underpin the development of policy:
(a) there will be policy for all key spheres and aspects of University operation
(b) policy will be designed to guide planning, decision-making and activity within and by the University –
(i) governing policy will make clear to both the University and external communities the University’s position on, and the principles that inform, each key strategic area of its operations
(ii) institutional operating policy will make clear to the University community, and external communities where appropriate, the operational principles and broad requirements that guide University-wide activity in a specific area of University operation, and
(iii) area policy will make clear to the members of a particular organisational unit the operational principles and broad requirements that guide a particular area of activity specific and confined to that unit
(c) the University’s policy set across and within all three levels of policy will be internally consistent
(d) policy will be designed so as to minimise the University’s exposure to risk
(e) policy will be consistent with, and meet, any legislative or other external compliance requirements, and
(f) policy will be developed with due regard to the feasibility and practicalities of policy implementation provided that the principles in (a) to (e) above are not compromised.
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5. Development of governing and institutional operating policy and related procedures
5.1 The definitions of policy and procedures and the principles stated in this policy will guide development of governing and institutional policy and any related procedures.
5.2 The Vice-Chancellor, Council, Academic Board and any Committee of Council may initiate development of governing and institutional operating policy.
5.3 Other University bodies and staff who identify a perceived need for particular governing or institutional operating policy will consult the Vice-Chancellor to ascertain whether the policy development is warranted and should proceed.
5.4 The development of proposed governing or institutional operating policy or proposed changes to such policy, and any related procedures, will be undertaken according to the procedures and guidelines associated with this policy, and will incorporate:
(a) preparation of a brief statement of context, rationale and implications of the policy development and of the intended impact, benefit or outcome from the policy development
(b) opportunity for consultation with persons and bodies likely to be affected by or to be responsible for implementation of the development, including relevant external stakeholders and any University bodies the terms of reference for which encompass matters within the scope or substance of the development
(c) discussion of the proposed development by the Senior Staff Advisory Committee for provision of advice to the Vice-Chancellor on the matter, and
(d) preparation of proposed processes and timetables for informing and educating the University community about the development and, if approved, its implementation.
5.5 Where appropriate, development of governing or institutional operating policy will be accompanied by development of associated procedures for implementation of the proposed policy.
5.6 The development of procedures will incorporate the processes in 5.4 (b), (c) and (d) above.
6. Development of area policy and related procedures
6.1 The definitions of policy and procedures and the principles stated in this policy will guide development of area policy and any related procedures.
6.2 The relevant senior officer will be responsible for determining broad requirements for development of area policy and any related procedures within a specific organisational unit provided that such requirements include:
(a) discussion of the proposed development by the Senior Staff Advisory Committee for provision of advice to the Vice-Chancellor on the matter, and
(b) opportunity for consultation with persons and bodies likely to be affected by or to be responsible for implementation of the policy development, including relevant external stakeholders.
6.3 The Vice-Chancellor will determine whether a proposed area policy is consistent with the principles in item 4.5 of this policy and will have authority to determine that a proposed area policy development will not proceed.
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7. Approval of policy and related procedures
7.1 Policy approval considerations
7.1.1 The approving authority will only approve a policy or amendment to such policy if:
(a) it is of the view that such a policy, or amendment to policy, is warranted
(b) it is satisfied that the policy, or amendment to policy, has been developed in accordance with this policy
(c) the policy, or amendment to policy, is lawful and consistent with any external compliance requirements
(d) the policy, or amendment to policy, would be consistent with all other policy at the same and any higher level, or the approving authority is satisfied that all necessary consequential amendments to other policies have been identified, proposed and are acceptable, and
(e) the approving authority is satisfied that suitable arrangements have been made for giving effect to the policy, including the means for informing and educating the University community (or, in the case of area policy, members of the relevant organisational unit) about the policy and processes for implementing the policy.
7.1.2 In approving a policy, the approving authority will:
(a) determine an effective starting date for the policy in light of any communication and implementation considerations, and
(b) approve a responsible officer for the policy.
7.2 Approval of governing policy
7.2.1 Governing policy, and amendments to such policy, may be approved only by the Council, except that the Vice-Chancellor may approve an amendment to governing policy the effect of which is to bring a governing policy into conformity with any resolution of the Council or update a governing policy to bring it into conformity with a legal requirement or make minor editorial amendments that do not change the substance of the governing policy.
7.2.2 The Vice-Chancellor will report to Council at its next scheduled meeting on any amendments to governing policy that have been made between meetings of the Council and make a copy of the amended policy available to Council.
7.3 Approval of institutional and area operating policy
7.3.1 Council may reserve the right to approve institutional operating policy for specific matters.
7.3.2 Subject to item 7.3.1 above, authority to approve institutional operating policy will be restricted to the Academic Board and the Vice-Chancellor unless any instrument of delegation provides otherwise.
7.3.3 The Academic Board may approve institutional operating policies for academic matters only, and any amendments to such policy, and the Vice-Chancellor may approve institutional operating policy for all other matters, and any amendments to such policy.
7.3.4 Authority to approve area policy and any amendments to such policy will be restricted to the Vice-Chancellor unless any instrument of delegation provides otherwise.
7.3.5 The Vice-Chancellor may make and approve an amendment to any institutional operating policy or area policy the effect of which is to bring a policy into conformity with any resolution of the Council or update a policy to bring it into conformity with a legal requirement or make minor editorial changes.
7.4 Approval of related procedures
7.4.1 Authority to approve procedures associated with a policy, and any amendment of those procedures, will rest with the responsible officer.
8. Implementation of policy and related procedures
8.1 Responsible officers will be accountable, through the Vice-Chancellor, to Council for the overall implementation of governing and institutional operating policy and any related procedures, and a responsible officer may nominate a designated officer who will, in turn, be accountable to the responsible officer for implementation.
8.2 Senior officers will be accountable to the responsible officer, through any designated officer, for implementation of governing and institutional operating policy within their organisational units.
8.3 Responsible officers for area policy will be accountable to the Vice-Chancellor, through the relevant senior officer, for implementation of area policy within the organisational unit.
9. Monitoring the implementation of policy and related procedures
9.1 There will be periodic monitoring of, and reporting on, implementation of policies and any associated procedures by the responsible officer or designated officer.
9.2 Responsible officers will report to Council, through the Vice-Chancellor, at the end of the first 12 months of implementation of new governing and institutional operating policy, and thereafter as requested by the Vice-Chancellor or Council, and the Vice-Chancellor will advise Council of any issues or concerns with the implementation or effectiveness or currency of any governing or institutional operating policy.
9.3 Responsible officers for area policy will report to the relevant senior officer at the end of the first 12 months of implementation of new area policy, and thereafter as requested by the senior officer, and the senior officer will advise the Vice-Chancellor of any issues or concerns with the implementation or effectiveness or currency of any area policy.
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10. Reviews of policy and related procedures
10.1 At least every five years, and more frequently if determined by the approving authority or the responsible officer, a policy (and any associated procedures if the approving authority so decides), will be subject to review in order to ascertain:
(a) the extent to which there is knowledge and awareness of the policy and its purposes within the University community or, in the case of an area policy, the members of the relevant organisational unit
(b) the extent to which the policy is informing University-wide or organisational unit practices and, where applicable, being implemented
(c) the effectiveness of the policy and, where appropriate, any associated procedures in achieving their purpose
(d) whether the policy is consistent with other policy, and
(e) the currency and suitability of the policy given any changes to the internal or external environments.
10.2 Related governing and institutional operating policies or policies that, when taken together, constitute a thematically interrelated set of policies should be simultaneously reviewed as one policy set.
10.3 Depending on the nature and substance of the policy to be reviewed, the Council or the Vice-Chancellor in the case of governing and institutional operating policies and the Vice-Chancellor or a senior officer in the case of area policies may require that elements additional to those given in 10.1 above be included within the policy review.
10.4 Council, on the recommendation of the Vice-Chancellor, will determine the composition of policy review panels where any governing policy is to be subject to review.
10.5 Where policies, excluding governing policy, are to be subject to review, the Vice-Chancellor on the recommendation of responsible officers (and senior officers where the review includes area policy), will determine the composition of policy review panels.
10.6 A brief review report with recommendations from each policy review that includes governing or institutional operating policy will be presented to Council, through the Vice-Chancellor, for formal consideration and may be presented to other University bodies or senior officers for comment in advance of its presentation to Council.
10.7 Council may consider any responses to the review report made by other University bodies or senior officers in association with its consideration of the review report.
10.8 Council or the Vice-Chancellor may propose or require any action to be taken in consequence of a review report that relates to governing or institutional operating policy.
10.9 A brief review report with recommendations from each policy review that deals exclusively with area policy will be presented to the Vice-Chancellor, through the senior officer, for formal consideration, and the Vice-Chancellor may seek comment on the review report from any source.
10.10 The Vice-Chancellor may propose or require any action to be taken in consequence of an area policy review report.
10.11 Summary details of policy review findings, and any decisions arising from a policy review, will be recorded within the University’s quality data system, as will any subsequent policy improvement plans and outcomes.
11. Records management
11.1 The University’s approved records management system will have effective processes for record-keeping and records management in relation to policies and any associated procedures, policy implementation and monitoring, policy reviews, and any revision or amendment or replacement or rescission of policy.
11.2 A register of policies and associated procedures will be maintained that records, at a minimum, the name of each policy and its associated procedures, approving authority, latest date of approval for each policy and any associated procedures, the names of the relevant responsible and designated officers, most recent review date, and the due date for the next five-yearly review.
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