Content
Procedures and Guidelines for Development, Approval, Implementation, Monitoring and Review of Policy
Parent policy: Policies and Related Procedures Governing Policy
Procedures number:
Approval authority: Vice-Chancellor and President
Responsible officer: Vice Chancellor and President
Designated officer: Policy and Planning Manager
Date of approval: 31 August 2007
Date last amended: 16 June 2010
Effective starting date: 31 August 2007
Any procedures replaced by these procedures: Procedures and Guidelines for Development, Approval, Implementation, Monitoring and Review of Policy
General Guidelines
1. Read the parent policy, Policies and Related Procedures Governing Policy.
2. Make sure that you are aware of the different classifications of policy (governing policy, academic policy and managerial policy) and the particular requirements relating to development, approval, implementation, monitoring and review.
3. Prior to proceeding with any development of policy, seek advice from the Policy and Planning Manager on:
(a) the purpose of the policy – what it is intended to achieve
(b) the appropriate classification for the policy
(c) any implications that the proposed policy development might have in relation to any current policy and associated procedures and whether any of those would need to be changed if the proposed policy development were to be approved
(d) any implications there might be in putting the policy development into practice, for example –
- whether specific or additional resources, or education and training, procedures, guidelines and so on will be needed for translating the policy into practice
- who/what organisational units will have responsibility for educating the University community about the policy, or changes to policy, and providing any training and materials for actualising the policy
- what would be the best methods for informing and educating the University community about the policy development and its implications
- what lead time, timeframe and timetable would be needed for effective introduction and implementation of the policy or changed policy.
4. Wherever possible, develop any procedures associated with a policy in tandem with the proposed policy development so that the operational implications of a policy can be identified at the earliest opportunity and considered during consultation stages; and the policy can be given effect expeditiously after approval.
5. Be aware that the corporate website is the only authorised location for approved policies, plans and procedures.
a) approved governing policy will be loaded onto the corporate website by the Senior Committees Officer (refer to Section 7.1(c) below)
b) approved academic policy will be loaded onto the corporate website by the Secretary, Academic Board; and (refer to Section 7.1(d) below)
c) approved managerial policy will be loaded onto the corporate website by the Designated Officer (or nominee) of the policy (Refer to Section 7.1(e) below).
Procedures
The procedures that follow are organised in two parts:
Part A applies to governing, academic and managerial policies
Part B applies to protocols
Part A: Procedures for governing, academic and managerial policies
There are three categories of policy 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, and policies related to admissions, assessment, program and course approvals, discontinuation of programs and student academic misconduct.
(c) managerial - policy other than academic or governance policy.
1. Development of new policy
1.1 Steps to progress development of a new policy
1.1.1 Development of a new policy may be initiated only by the Vice-Chancellor and President, Council, or one of its committees, or Academic Board.
1.1.2 Three templates are provided as part of these procedures and must be completed after the policy has been drafted, and should accompany the policy when it is sent for formal consultation, discussion and approval.
Template A: Statement in Support of a policy development, requires policy initiators to provide a brief statement of context, rationale and implications of the policy development as well as the intended impact, benefit or outcome from the policy.
Template B: Information and Education Plan for a new or amended policy requires the provision of an information and education plan which outlines how it is proposed to bring the contents, purpose and intended outcomes of the policy, if approved, and any associated procedures, to the attention of the University community and the arrangements to be made for providing related education and training.
A schedule for implementing the policy information and education plan has been provided as an attachment to Template B. This should be completed after the consultation stage.
Template C: Format for policies provides clear directions on the format which should be used in drafting new policy. It is important to note that the title of the Designated Officer must be included in this template.
1.1.3 Where procedures for implementation of the policy are required to be developed, they should, wherever possible, accompany the policy through the approval process.
1.2 Consultation processes
1.2.1 Consultation with the Policy and Planning Manager regarding the development of new policy, or review of existing policy, is strongly recommended.
1.2.2 Consultations relating to draft policies need to include a range of stakeholders and committees. Governing and managerial policies need to be provided to Executive for discussion and advice to the Vice-Chancellor and President. Academic policies may be referred to Executive where the policy is likely to impact on other organisational areas.
1.2.3 Following consideration of the draft policy by the Executive, amendments will be made and the redrafted policy may be distributed for further consultation, as appropriate.
1.2.4 Subsequent consultations may take the form of discussion sessions, calls for written comment or opinion surveys, provided that all persons likely to be affected by the policy are advised of the proposed policy development.
2. Amendments to policy
2.1 If an amendment to policy is proposed to bring a policy into conformity with any resolution of the Council, the Academic Board or with any legal requirement Template D: Amendment of Policy must be completed and submitted to the Office of the Vice-Chancellor and President or the Chairperson of the Academic Board, as appropriate.
3. Approval of a governing policy and substantive amendments
3.1 For new policy the proposed policy, accompanied by completed Templates A, B and C, must be provided to the Office of the Vice-Chancellor and President, for submission to Council for consideration
3.2 For substantive amendments to governing policy, copies of each policy requiring amendment, accompanied by completed Template D, must be provided to the Office of the Vice-Chancellor and President, for submission to Council for consideration
3.3 In the absence of a nominated date on which a policy is intended to become effective, the Council will determine a starting date for the policy (or any amendments to related policies).
3.4 Where Council approves governing policy or substantive amendments, the Office of the Vice-Chancellor and President will advise the Policy and Planning Manager, the Responsible Officer and the Designated Officer of the approval and effective starting date.
4. Approval of academic policy and substantive amendments
4.1 For new academic policy the proposed policy, accompanied by completed Templates A, B and C, must be provided to the Secretary, Academic Board for inclusion on the agenda of the next meeting of Academic Board for consideration
4.2 The draft policy and procedures should be considered by the relevant standing committee of Academic Board prior to being considered by the Academic Board, unless the Chairperson of the standing committee and/or the Chairperson of the Academic Board determines otherwise.
4.3 For substantive amendments to academic policy, copies of each policy requiring amendment, accompanied by completed Template D, must be provided to the Secretary, Academic Board, for inclusion on the agenda of the next meeting of Academic Board
4.4 In the absence of a nominated date on which a policy is intended to become effective, Academic Board will determine a starting date for the policy (or any amendments to related policies.
4.5 Where Academic Board approves policy or substantive amendments, the Secretary of Academic Board will advise the Policy and Planning Manager, the Responsible Officer and the Designated Officer of the approval and effective starting date.
4.6 The Chairperson of the Academic Board will report to Council through the Vice-Chancellor and President at its next scheduled meeting on any policies or substantive amendments to policies which have been approved by Academic Board
5. Approval of managerial policy and substantive amendments
5.1 For new managerial policy the proposed policy, accompanied by completed Templates A, B and C must be provided to the Vice-Chancellor and President for consideration.
5.2 For substantive amendments to managerial policy, copies of each policy requiring amendment, accompanied by completed Template D, must be provided to the Vice-Chancellor and President for consideration.
5.3 In the absence of a nominated date on which a policy is intended to become effective, the Vice-Chancellor and President will determine a starting date for the policy (or any amendments to related policies).
5.4 Where the Vice-Chancellor and President approves managerial policy or substantive amendments, his Office will advise the Policy and Planning Manager, the Responsible Officer and the Designated Officer of the approval and effective starting date.
6. Approval of consequential or editorial amendments to governing policies
6.1 In accordance with Section 7.2.1 of the Policies and related Procedures policy, the Vice-Chancellor and President may approve an amendment to governing policy to bring it into conformity with any resolution of Council or into conformity with a legal requirement; and may also make minor editorial amendments that do not change the substance of a policy.
(a) Where the Vice-Chancellor and President approves amendment/s to governing policy they must be reported to Council at its next scheduled meeting. Minor editorial amendments do not need to be reported to Council.
(b) The amendments must also be provided to the Policy and Planning Manager, the Responsible Officer and the Designated Officer.
6.2 If the Vice-Chancellor and President declines to approve the amendment/s, the Policy and Planning Manager will:
(a) advise the proposers of the Vice-Chancellor and President’s decision; and
(b) ensure that a record of the proposed amendments and their non-approval is recorded and captured in the University’s records management system.
7. Implementation of governing, academic and managerial policies and any related procedures
7.1 Following approval of a policy, including any amendments to policy:
(a) the Policy and Planning Manager will:
(i) enter the policy development(s) into a register of policy and associated procedures, including the allocation of any policy number and the date for the next policy review;
(ii) ensure that a copy of the approved policy/policies and related documentation, including any proposed procedures and plans, is recorded and captured in the University’s records management system;
(iii) advise the Responsible Officer and the Designated Officer for the particular policy development of the approval and effective starting date; and
(iv) where appropriate, advise the Designated Officers for any related policy of any consequential amendments and the date from which those amendments are to take effect
(b) the Responsible Officer for the particular policy development, or any policy that has been consequentially amended will be responsible for initiating action in relation to the policy, including:
(i) approving any procedures associated with the policy;
(ii) ensuring that any final approved procedures are recorded and captured in the University‘s records management system;
(iii) informing and educating the University about the policy and any related procedures, including provision of training or other processes necessary for implementation of the policy
(iv) ensuring that the policy and any related procedures are available to the University community through the University’s staff and student portals;
(v) ensuring that cost centre managers are fully aware of their responsibilities for implementation of the policy and any associated procedures within their organisational units;
(c) For governing policy which has been approved by Council, or substantive amendments, the Senior Committees Officer will be responsible for loading the policy onto the University’s website and advising the Policy and Planning Manager, the Responsible Officer and the Designated Officer of the approval and effective starting date
(d) For academic policy which has been approved by Academic Board, or substantive amendments, the Secretary Academic Board will be responsible for loading the policy onto the University website and advising the Responsible Officer and the Designated Officer of the approval and effective starting date
(e) For managerial policy which has been approved by the Vice-Chancellor and President, the Responsible Officer will be responsible for ensuring the policy is loaded onto the University website.
8. Monitoring and implementation of governing, academic and managerial policies, and any related procedures
8.1 Responsible Officers or their Designated Officers will be responsible for monitoring the implementation of University policy and related procedures; for example, through brief oral or written implementation reports from cost centre managers or through use of brief survey or audit techniques.
8.2 Within 12 months of the initial approval of policy Responsible Officers should provide a brief report to the Vice-Chancellor and President on the overall implementation of policy for which they are responsible, including advice on any issues or concerns with the effectiveness of a policy. The Vice-Chancellor and President will provide Council with a copy of any report that pertains to a governing policy. A template that may be used for these reports is provided as Policy Implementation Report, Template E.
9. Review of governing, academic and managerial policies, and any related procedures
9.1 Schedule for reviews of policy
9.1.1 The Policy and Planning Manager will notify the relevant Responsible Officer of any policy which is due for review three months before the review date. The expectation is that a timely review of the policy will be undertaken, generally within three to six months following notification.
9.1.2 Where the outcome of the review is development of a revised policy, a submission 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)
(c) the outcomes of consultation with stakeholders
9.1.3 The Policy and Planning Manager will ensure that a copy of the submission accompanying any revised policy is recorded within the University’s quality data system, as well as any subsequent policy improvement plans and outcome.
10. Policy records management
10.1 The Policy and Planning Manager will be responsible for ensuring copies of policies and any associated procedures, records of policy implementation and review are filed in the University’s records management system
10.2 The Policy and Planning Manager will maintain a register of policies and associated procedures that records 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.
Part B: Development of protocols
1. Development and approval of protocols and any related procedures
1.1 The head of an organisational unit will be responsible for determining whether protocols are required within their organisational unit and for approving same.
1.2 Protocols should be drafted so that the title of the protocol includes the name of the organisational unit, e.g. “Placement of Students with Homestay Families – USC International Protocol”, “Guest Lecturers: Faculty of Business Protocol”.
3. Monitoring the implementation of protocols
3.1 Responsible Officers for protocols will report to the head of the organisational unit on their implementation, at the end of the first 12 months of operation and thereafter as may be required.
4. Review of protocols
4.1 The head of the organisational unit will make all necessary arrangements to ensure the review of protocols.
Templates
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