Content
Policies and Related Procedures - Governing Policy
Responsible officer: Vice-Chancellor and President
Designated officer: Policy and Planning Manager
Approving authority: Council
Approval: C07/81, 28 August 2007
Last amended: C10/40(i), 15 June 2010
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: 16 June 2015
Part A: Preliminary
1. Purpose of policy
The following policy is intended to set a broad framework for development of policy and related procedures within the University and to enunciate principles for consistency in the development, approval, implementation, monitoring and review of policies and related procedures. The policy should be read in conjunction with the Quality - Governing Policy.
2. Application of policy
This policy applies to all staff and members of University decision-making and advisory bodies.
3. Definitions
In this policy the following definitions apply:
Academic policy means policy directly related to teaching, learning and research, including admissions, assessment, course and program approvals, discontinuation of courses and programs and student academic misconduct.
Council means the governing body of the University of the Sunshine Coast.
Designated Officer means the incumbent of a position having 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.
Governing policy means policy that gives effect to statutory or regulatory requirements, and relates to the processes of decision making and the controls and behaviours that support effective accountability and performance outcomes.
Managerial policy means policy other than academic or governance policy.
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 Executive Dean or Director or Pro Vice-Chancellor or Deputy Vice-Chancellor or the Vice-Chancellor and President.
Procedures means the operational steps required to implement policies.
Protocols means directions to be followed by a specific organisational unit to enable it to implement a policy.
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.
Part B: Policy
4. Policy Framework and Principles
4.1 There are three categories of policies as follows:
(a) governing - policy that gives effect to statutory or regulatory requirements, and relates to the processes of decision making and the controls and behaviours that support effective accountability and performance outcomes.
(b) academic - policy directly related to teaching, learning and research, including admissions, assessment, course and program approvals, discontinuation of courses and programs and student academic misconduct.
(c) managerial - policy other than academic or governance policy.
4.2 Organisational units may develop associated protocols to support the implementation of a policy within their area.
4.3 The following principles will underpin the development of policy:
(a) there will be policy for all key areas of University operation;
(b) policy will be designed to guide planning and decision-making and to minimise the University’s exposure to risk;
(c) policy will be consistent with any legislative or other external compliance requirements,
5. Development of policy and related procedures
5.1 The Vice-Chancellor and President, Council, Academic Board and any Committee of Council may initiate development of policy.
5.2 The development of policy and any related procedures, 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;
(c) discussion of the proposed development by the Executive for provision of advice to the Vice-Chancellor and President on the matter; and
(d) processes and timetables for informing and educating the University community about the implementation of the policy.
5.3 Wherever possible, where procedures for implementation of the policy are required to be developed, they will accompany the policy through the approval process.
6. Development of protocols
6.1 The head of the organisational unit will be responsible for determining whether protocols are required within their organisational unit.
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) the policy, or amendment to policy, is lawful and consistent with any internal or external compliance requirements;
(b) the policy, or amendment to policy, is consistent with existing policy; otherwise recommendations regarding changes to other policies required by the new or amended policy will accompany the proposal; and
(c) the approving authority is satisfied that suitable arrangements have been made for implementing the policy, including the means for informing and educating the University community about the policy.
7.1.2 In approving a policy, the approving authority will determine an effective starting date for the policy and approve a responsible officer and a designated officer for the policy, on the advice of the Policy and Planning Manager.
7.2 Approval of governing policy
7.2.1 Council will approve governing policy, and amendments to such policy, except that the Vice-Chancellor and President may:
(a) approve an amendment to governing policy to bring it into conformity with any resolution of the Council, or
(b) update a governing policy to bring it into conformity with a legal requirement, or
(c) make minor editorial amendments that do not change the substance of the policy.
7.2.2 The Vice-Chancellor and President will report to Council at its next scheduled meeting on amendments to governing policy that have been made between meetings of the Council and make a copy of the amended policy available to Council. However, minor editorial amendments do not need to be reported to Council.
7.3 Approval of academic policy
7.3.1 Council delegates authority to the Academic Board to approve academic policy and any amendments to such policy.
7.3.2 The Chairperson of the Academic Board will report to Council through the Vice-Chancellor and President at its next scheduled meeting on any policies which have been approved by Academic Board.
7.4 Approval of managerial policy
7.4.1 Council delegates authority to the Vice-Chancellor and President to approve managerial policy and any amendments to such policy.
7.4.2 The Vice-Chancellor and President will report to Council at its next scheduled meeting on any managerial policy that has been approved by the Vice-Chancellor and President.
7.5 Approval of related procedures
7.5.1 Authority to approve procedures associated with a policy, and any amendment of those procedures, will rest with the responsible officer.
7.6 Approval of protocols
7.6.1 The head of an organisational unit will approve protocols to enable that organisational unit to implement a policy.
8. Implementation of policy and related procedures
8.1 Responsible officers will be accountable, through the Vice-Chancellor and President, to Council for the overall implementation of governing, academic and managerial 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.
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 the Vice-Chancellor and President (or the Chairperson of the Academic Board in the case of academic policy) twelve months after implementation of any policy, on any issues or concerns with the effectiveness of the policy.
10. Reviews of policy and related procedures
10.1 At least every five years a policy and any associated procedures will be subject to review in order to ascertain:
(a) the extent to which there is knowledge of the policy and its purposes within the University community;
(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 any associated procedures;
(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 The Policy and Planning Manager will maintain a policy review schedule and will advise the responsible officer when a policy requires reviewing.
10.3 Where the outcome of the review is development of a revised policy, a submission in the form of a review report will accompany the revised policy to the approving body, which includes:
(a) the rationale for any changes to the policy;
(b) the impact of implementation (including obvious resource implications or changes to delegations for decision-making); and
(c) the outcomes of consultation with stakeholders.
10.4 A copy of the submission accompanying any revised policy will be recorded within the University’s quality data system, as will any subsequent policy improvement plans and outcomes.
11. Records management
11.1 Policies and any associated procedures, records of policy implementation and monitoring, policy reviews, and any revision or amendment or replacement or rescission of policy will be filed in the University’s records management system.
11.2 A register of policies and associated procedures will be maintained by the Policy and Planning Manager 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.
END
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