1. Purpose
1.1 These procedures detail the application of the University’s approach to policy documents and the processes for the management of policy documents throughout the policy lifecycle.
1.2 These procedures must be read in conjunction with the linked University Policy Documents – Governing Policy.
2. Scope and application
2.1 These procedures apply to all members of the University.
3. Definitions
3.1 Refer to the University’s Glossary of Terms for definitions as they specifically relate to policy documents.
4. Policy lifecycle
4.1 This section must be read in conjunction with the University Policy Documents – Governing Policy which details the University’s cycle for the management of policy documents as detailed in Figure 1 – Policy lifecycle.
Figure 1 – Policy lifecycle
4.1 Stage 1: Identify and scope
4.1.1 This stage applies to the proposed development of a new policy document or the redevelopment of a policy suite.
4.1.2. The University is committed to maintaining the minimum number of policy documents necessary to govern its activities. A new policy document must only be developed when necessary and there is no alternative approach available.
4.1.3 Prior to commencing any new policy development, an assessment of suitability must be completed and approved by the Director, Governance and Risk Management.
4.1.4 The assessment of suitability must:
(a) detail the reason that a new policy document is required:
(i) changes to legislative requirements;
(ii) new or revised higher education standard or government legislation;
(iii) an identified University policy gap; or
(iv) changes to University strategy.
(b) identify any relevant existing policy documents already within the University’s policy library;
(c) provide a complete initial benchmarking exercise against similar external organisations and a gap analysis of any related existing policy documents (where possible);
(d) consider whether a policy document is required to achieve the intended outcome; and
(e) provide a recommendation of the type of policy documents required.
4.2 Stage 2: Scheduling and development
4.2.1 When a new policy document is assessed to be suitable for development, a policy amendment plan is established for the proposed work in conjunction with the Policy Team.
4.2.2 The policy amendment plan details the required pathway for the completion of the proposed policy work. This includes:
(a) required key stakeholder engagement;
(b) endorsement and approval requirements;
(c) consultation periods; and
(d) proposed completion dates for each stage of the policy amendment process.
4.3 Stage 3: Drafting and consultation
4.3.1 All policy documents must be drafted using the current policy document templates, available from the Policy Team, and using tracked changes when proposing amendments to current policy documents.
4.3.2 All policy document drafts or amendments must be reviewed by the Policy Team to ensure consistency with the policy suite. It is recommended that this action takes place as early as possible in the drafting process.
4.3.3 All policy document drafts or amendments must:
(a) be written in plain, inclusive language;
(b) use consistent terminology and definitions that are contained within the policy documents glossary, discussing any possible discrepancy with the Policy Team;
(c) ensure consistency with all linked and related policy documents, discussing any possible areas of discrepancy with the Policy Team;
(d) assign responsibilities and decision authorities to positions or committees consistent with delegations and in accordance with the University Delegations - Governing Policy and relevant delegation schedules, discussing any possible discrepancy with the Policy Team; and
(e) ensure the principles are consistent with the goals and objectives outlined d in the current University Strategic Plan.
4.3.4 Consultation
4.3.4.1 Consultation ensures all stakeholders can provide input on the proposed policy document. All impacted key stakeholders must be consulted, prior to seeking approval for the policy amendment or establishment approvals.
4.3.4.2 Informal consultation can be useful and completed at any time that drafting is taking place. Whenever informal consultation takes place, this must be documented and included as part of the policy amendment record.
4.3.4.3 Formal consultation on policy documents is managed by the Policy Team and dependent upon the type of policy document and amendment can be either:
(a) University wide consultation; or
(b) key stakeholder targeted consultation.
4.3.5 A formal consultation process is required for policy documents when:
(a) a new policy is established;
(b) a redevelopment of a policy area is completed (policy and procedures);
(c) a significant amendment to a policy is proposed; or
(d) at the discretion of the Designated Officer.
4.3.6 Any formal consultation must be open for feedback for a minimum period of 10 working days and allow for a reasonable amount of time for effective review.
4.3.7 The Policy Team communicates via email the posting of policy documents for consultation directly to the Key Individual and as a published general news item. The policy document’s Key Individual is responsible for informing key stakeholders of the consultation process.
4.3.8 At the conclusion of the consultation period, the Policy Team provides all collated feedback to the Key Individual to address the feedback received. A response must be provided for all feedback and this document must be included in the Policy Amendment Approval Pack.
4.4 Stage 4: Endorsement and approval
4.4.1 Prior to proceeding to the endorsement and approval process, the Policy Team must complete a final check of the proposed amendment and ensure that:
(a) the terminology and formatting in the document align to the University’s standard policy template requirements;
(b) there is consistency with the related and linked policy documents;
(c) the proposed amended or new policy document meet quality and compliance standards; and
(d) the suggested endorsement and approval pathway identified at Stage 2: Scheduling and development still aligns with the drafted amendment.
4.4.2 Endorsement and approval requirements are determined by the policy document type and are detailed within Appendix 005 – Policy Documents Amendment Approval table.
4.4.3 Only when amendments to policy documents are part of a Policy Amendment Approval Pack can they move through the endorsement and approval process. A Policy Amendment Approval Pack must contain:
(a) completed amendment approval pack coversheet with required sign offs;
(b) tracked changed version of the policy amendment (for existing policy document);
(c) clean version of policy amendment (version uploaded into the policy library);
(d) consultation feedback table with responses (when official consultation is completed);
(e) any proposed changes to the University policy document glossary; and
(f) any proposed changes to the University delegations schedules (in accordance with University Delegations - Governing Policy).
4.5 Stage 5: Implementation and communication
4.5.1 Once a policy document has been approved, the Policy Team loads the policy document into the policy library and advises the Key Individual, Designated Officer and Responsible Executive Member when complete.
4.5.2 The Key Individual is responsible for carrying out the implementation and communication plan established as part of Stage 1 or 2.
4.6 Stage 6: Monitoring and review
4.6.1 Policy documents must by regularly monitored and reviewed to ensure that they remain current, up-to-date and reflect the current practices of the University.
4.6.2 Standard policy document review
4.6.2.1 The standard review cycle for policy documents is determined by the policy document type and detailed in Table 1: Standard policy document review periods. The review period commences from the approval date of a significant amendment on a policy document.
Table 1: Standard policy document review periods
Policy document | Standard policy review timeframe |
Policy | 5 years |
Procedures | 3 years |
Guidelines | 3 years |
4.6.2.2 Review periods can be shortened when required and should reflect legislated requirements, or a reasonable period of time when there is redevelopment work going on in a policy area.
4.6.2.3 On an annual basis, the Policy Team contacts relevant Designated Officers for policy documents that are due for review in the following 12-month period. The Designated Officer is required to identify the Key Individual to complete the policy review. This should be someone who interacts with the policy documents on a regular basis and has relevant subject matter expertise in relation to the policy document.
4.6.2.4 The Key Individual identified for a policy document completes the Policy Review and Recommendation form provided by the Policy Team and recommends an applicable review outcome. The Key Individual can seek advice from Key Stakeholders to assist in providing this recommendation.
4.6.2.5 When the recommendation is for a policy amendment to take place, the policy amendment is scheduled commences at Stage 2: Scheduling and development of the policy amendment process.
4.6.2 Post implementation review
4.6.2.1 When a new policy document, a redevelopment of a policy suite or significant amendment are approved, the Key Individual must complete a post implementation review 6 months after the approval date.
4.6.2.2 The Policy Team communicate with the Designated Officer and issue Policy Amendment Implementation Review form for completion.
4.6.2.3 A record of any issues raised since implementation should be maintained by the Designated Officer and included as part of the post implementation review form.
5. Amendments to policy documents
5.1 A policy document can be amended whenever required. Changes are not reliant upon the completion of a policy review.
5.2 Policy document amendment types
5.2.1 The policy document amendment type determines the amendment approval requirements in accordance with Appendix 005 – Policy Documents Amendment Approval table.
5.2.2 There are four amendment types for changes of policy documents:
(a) significant amendment;
(b) limited amendment;
(c) consequential amendment; and
(d) editorial amendment.
5.2.3 Significant amendment
5.2.3.1 Significant amendments are changes to policy documents that are contentious or complex in nature, alter the overall focus, purpose or scope, or large-scale changes to the substantive content of the policy document. These amendments include:
(a) the redevelopment of policy documents;
(b) the establishment of new policy documents; and
(c) the rescission of policy documents.
5.2.3.2 For a significant amendment the policy lifecycle from Stage 2: Scheduling and development must be followed except when a fast-track policy amendment process has been approved as outlined in 6.5 Fast tracked policy amendment.
5.2.3.3 Refer to Appendix 005 – Policy Documents Amendment Approval table for approval authorities.
5.2.4 Limited amendment
5.2.4.1 Limited amendments are changes to policy document that are limited in nature and are focused on providing more detail or clarity to a policy document that does not change the current intent of the document.
5.2.4.2 Refer to Appendix 005 – Policy Documents Amendment Approval table for approval authorities.
5.2.5 Consequential amendment
5.2.5.1 Consequential amendments are changes to policy documents that result from changes to external legislation or regulation or on the direction of regulatory bodies. These changes are limited in nature and directly reflect the changes made to external requirements.
5.2.5.2 Refer to Appendix 005 – Policy Documents Amendment Approval table for approval authorities.
5.2.6 Editorial amendment
5.2.6.1 Editorial amendments are changes to policy documents that address errors contained within policy documents. These amendments include:
(a) administrative updates to policy document (position titles, departments, document hyperlinks);
(b) very minor additions to provide clarity;
(c) spelling and grammatical error corrections;
(d) structural and standardisation updates to policy documents; and
(e) updating of policy review dates when there are not changes identified.
5.2.6.2 Refer to Appendix 005 – Policy Documents Amendment Approval table for approval authorities.
6. Exception to policy
6.1 When the provisions of a policy document would result in an absurd or unreasonable outcome, a request for an exception to the policy document can be submitted.
6.2 All requests for an exception to the policy document must be made and approved prior to any deviation from the policy documents.
6.3 In the first instance all requests for an exception to policy documents must be made to the Director, Governance and Risk Management for consideration and endorsement. The approval of an exception to policy must be made by the Approval Authority of the policy document.
6.4 Any exception to policy documents must be reported by the Director, Governance and Risk Management to Council.
6.5 Fast tracked policy amendment
6.5.1 Significant amendments can follow a fast-track policy development process when:
(a) Academic Board has passed a resolution on an aspect of academic governance and quality that must be immediately addressed in the policy document;
(b) the University is subject to new obligations that require an immediate response;
(c) an authorised person has made a decision that is a binding commitment on behalf of the University that must be reflected in the policy document; or
(d) the Vice-Chancellor and President must respond to an emergency or urgent circumstance by amending a policy document.
6.5.2 Fast tracked policy amendments do not change the review date of a policy document and any requests for proposed fast tracked policy amendment must be made to the Director, Governance and Risk Management for consideration and endorsement.
7. Policy assurance and reporting
7.1 The Director, Governance and Risk Management provides Council, ARMC and Executive Committee with an annual report of all policy documents for review. Regular updates on the progress of reviews are also provided throughout the year.
7.2 The Director, Governance and Risk Management regularly reports to Council and Academic Board on completed policy amendments and any approved exceptions to policy.
8. Authorities and responsibilities
8.1 As the Approval Authority, the Vice-Chancellor and President approves these procedures to operationalise the University Policy Documents – Governing Policy.
8.2 As the Responsible Executive Member the Vice-Chancellor and President can approve guidelines to further support operationalisation of these procedures. All procedures and guidelines must be compatible with the provisions of the policy they operationalise.
8.3 As the Designated Officer the Director, Governance and Risk Management can approve associated documents to support the application of these procedures.
8.4 These procedures operate from the last amended date, with all previous iterations of procedures relating to University policy documents replaced and no longer operating from this date.
8.5 All records relating to University policy documents must be stored and managed in accordance with the Records Management - Procedures.
8.6 This policy must be maintained in accordance with the University Policy Documents – Procedures and reviewed on a standard 3-year policy review cycle.
8.7 Any exception to these procedures to enable a more appropriate result must be approved in accordance with the University Policy Documents – Procedures prior to deviation from these procedures.
8.8 Refer to Schedule C of the Delegations Manual in relation to the approved delegations detailed these procedures.
8.9 Roles and responsibilities
8.9.1 The following roles and responsibilities are specific to these procedures and cascade from the high-level roles and responsibilities in the University Policy Documents – Governing Policy.
Key Policy Positions | Responsibilities |
Key Individual | Main contact for the policy work being undertaken. |
Designated Officer | Has responsibility for operationalising the policy document. Develops and implements the policy documents on behalf of the Responsible Executive Member within the requirements of the University’s Policy Framework. Undertakes appropriate consultation before submitting the policy documents to the Responsible Executive Member for formal endorsement/approval. Conducts reviews of policy documents in their area, as required by the Policy Framework, to ensure that policies and procedures are accurate, widely understood and achieving their intended purpose. Ensures that when the policy documents are developed or reviewed, that the University gives proper consideration to its compatibility with human rights by:
On behalf of the Responsible Executive Member, ensures that all approved policy documents are submitted to Governance and Risk Management Undertakes an attestation in regard to policy document compliance annually as part of the broader Annual Policy Attestation Process. |
Responsible Executive Member | Has overarching responsibilities for the policy documents within their portfolio. Ensures that all policy documents for which they are responsible are developed, approved and implemented within the requirements of the University’s Policy Framework. Ensures that appropriate consultation has taken place before seeking formal approval. Ensures that reviews of policy documents in their area are conducted as required by the Policy Framework to ensure that policy documents are accurate, widely understood and achieving their intended purpose. This includes ensuring that policy document reviews are completed within the agreed policy document review cycle timeframes. Determines the effective date of the policy taking into account formal approval and the activities outlined in the Communication/Implementation Plan. Determines the need for an implementation review and any interim reviews as required. Attests that when the policy documents were developed or reviewed, that the University has given proper consideration to its decisions in terms of compatibility with human rights. Approves all procedures and guidelines associated to the policy. |
Approval Authority | Has authority to approve policy documents in accordance with the requirements of the University Policy Documents – Governing Policy. Approves policy documents on condition that the policy document:
Approves an effective starting date for the policy as recommended by the Responsible Executive Member. |
Policy Team | Monitors the consistency between high level policies and their associated procedures and guidelines. Provides advice and support in policy document development. Provides a quality and compliance checks on policy documents. Manages policy documents through the Policy Repository and Policy Library. Maintains the currency and availability of policy document templates and tools. Makes minor editorial amendments, as set out in these procedures. Ensures policy document amendments are reported to Council and Academic Board for noting as relevant. |
9. Appendices
Appendix 005 – Policy Documents Amendment Approval table
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