Policy Governance

Policy Governance Procedure

Policy Code: CG1978

Purpose

This procedure will ensure that all Federation University Australia Policies and Procedures will be developed, amended, reviewed and rescinded in a timely, clear and consistent manner in accordance with the operational framework outlined in the Policy Governance Policy

Scope

All policy and procedure development, amendment, revision and rescission is governed by the Policy Governance Policy.

This procedure is applicable to all activities that create, change or delete Policies and Procedures, by all University members and on all campuses.

No University employee is exempt from this procedure.

Legislative Context

  • Federation University Act 2010
  • University Statutes and Regulations

Definitions

A complete list of definitions relevant to this procedure is contained within the Policy Governance Policy.

Actions

1. Identifying the need for policy or procedure development, amendment, revision or rescission

  ACTIVITY RESPONSIBILITY STEPS
A. Identifying the need for a new policy document Member of the University community
  1. Consider if one or more of the following determines the need for development of a new policy document:
    • change in legislation or government policy;
    • a new strategic direction for the University has been established; and/or
    • a gap in the existing University policy or procedure is identified
  2. Identify/discuss the need with appropriate University staff member
B. Identify the need to amend, revise or rescind an existing policy document Member of the University community
  1. Consider if one or more of the following determines the need for revision, amending or rescinding an existing policy document:
    • scheduled review;
    • managing risk;
    • outcomes of internal and external audits/reviews;
    • significant changes to practice; and/or
    • no longer relevant or required
  2. Identify/discuss the need with appropriate University staff member
C. Initiating process to develop, amend, revise or rescind a policy document Policy Sponsor
  1. Identify correct appropriate Policy Sponsor and Approval Authority.
  2. Raise the need and the subject with Policy and Quality Services, meet with Policy and quality Services – proceed as per Action 2 if required

2. Completing and submitting a Policy Development and Review Form - Development of new or amendment of existing policy or procedure

  ACTIVITY RESPONSIBILITY STEPS
A. Checking for suitable existing policy or procedure Policy Sponsor
  1. Check the Policy Library for a suitable existing policy or procedure that could be enhanced to include identified need, seeking consultation from Policy and Quality Services and other stakeholders if required
  2. Benchmark against other universities and external organisations as required
B. Completing the Policy Development and Review Form Policy Sponsor
  1. Complete all sections of the form and provide enough context with supporting documentation to allow the Approval Authority to support the proposal
C. Signing and submitting the Policy Development and Review Form Policy Sponsor
  1. Sign the form as Policy Sponsor
  2. Obtain the signature of the Approval Authority
  3. Submit the completed form to Manager, Policy and Quality Services for approval

3. Making a minor editorial amendment

  ACTIVITY RESPONSIBILITY STEPS
A. Identifying the need for a minor or editorial amendment Policy Sponsor
  1. Notify the Policy Systems Administrator or delegate via email of the required editorial amendment eg correction of grammar, hyperlink or change to nomenclature
B. Making amendments and advising Policy Sponsor Policy Systems Administrator or delegate
  1. Make the amendment and republish the document
  2. Advise Policy Sponsor by email

4. Completing and submitting the Policy Development and Review Form - Rescinding of existing policy or procedure

  ACTIVITY RESPONSIBILITY STEPS
A. Completing the PDR Form Policy Sponsor
  1. Complete sections 1,2,5 &6  of the form considering the answers to questions and providing enough context to allow the Approval Authority to support the proposal
B. Signing and submitting the PDR Form Policy Sponsor
  1. Sign the form as Policy Sponsor
  2. Obtain the signature of the Approval Authority
  3. Submit the completed form to Manager, Policy and Quality Services for approval

5. Documenting the development, amendment or rescission of a policy or procedure

  ACTIVITY RESPONSIBILITY STEPS
A.

Setting up document for development/

review or rescinding

Policy Systems Administrator or delegate
  1. For Development – establish new document in the University’s approved policy management system with status ‘Draft – with Sponsor’ and provide the blank Word template document to the Policy Sponsor through the University’s approved records management system
  2. For Revision – update document status in the University’s approved policy management system as ‘Under Review – with Sponsor’ and advise the Policy Sponsor
  3. For Rescinding – mark document in the University’s approved policy management system as status ‘To Be Rescinded’ and log a job with the system support team to rescind from the Policy Library – this is the end of the process for a Rescinded document and advise the Policy Sponsor

6. Developing or Amending/Reviewing (in Consultation)

  ACTIVITY RESPONSIBILITY STEPS
A. Drafting a New or Revising an existing policy or procedure Policy Sponsor or delegate
  1. In consultation with the relevant stakeholders identified in Section 3 of the PDA Form as endorsed by Policy and Quality Services, utilise the Word template to draft the policy or procedure – refer Action 5 Activity B Step 1 and for all existing documents as the basis for major revision
  2. For major amendment or revision endorsement of Policy and Quality Services is required prior to updating the document within the University’s approved records management system.
  3. Formal University-wide input is required before the policy can be endorsed for publication by the Approval Authority. This may take a number of iterations depending on complexity of the document and the amount of stakeholder input required
B. Forwarding the prepared document for loading into the University’s approved policy management system Policy Sponsor or delegate
  1. Forward the document, ready for University-wide comment to the Policy Systems Administrator or delegate for loading into the University’s approved policy management system with details of who should be the contact point for feedback

7. Distributing for University-wide comment

  ACTIVITY RESPONSIBILITY STEPS
A. Loading document into the University’s approved policy management system Policy Systems Administrator or delegate
  1. Copy the document from the latest draft Word document stored in the University’s approved records management system into the University’s approved policy management system and update status to ‘Sent For Approval’
  2. Email PDF of the document to Policy Sponsor for final sign-off to release for University-wide comment
B. Releasing document for University-wide comment Policy Systems Administrator or delegate
  1. Following email advice from Policy Sponsor for release to University-wide comment, update status in PAMS to ‘For Uni-Wide Comment’
  2. Include details of the contact person for feedback and the period the document is available for comment, as these print onto the document
  3. The document must be available for comment for ten (10) working days, unless approval is obtained from the Director, Corporate Governance in writing, for a shorter period
B. Announcing University-wide comment details Policy Systems Administrator or delegate
  1. Prepare and submit a FedNews item for approval by the appropriate authority

8. Incorporating valid feedback

  ACTIVITY RESPONSIBILITY STEPS
A. Considering feedback Policy Sponsor
  1. Policy Systems Administrator compiles a brief summary of the feedback received via email during the University-wide comment period
  2. It is the responsibility of the Policy Sponsor to review  feedback and determine actions or amendments
  3. Policy Sponsor ensures Approval Authority is appropriately briefed on comments received and action taken
B. Approving the final document for publication Approval Authority
  1. Policy Systems Administrator forwards latest PDF copy to Policy Sponsor and Approval Authority.
  2. Policy Sponsor and Approval Authority review final document for consistency and grammatical accuracy
  3. Policy Sponsor and Approval Authority sign-off on final version
  4. Policy Systems Administrator uploads final approval document together with:
    • evidence of stakeholder consultation
    • completed policy feedback form and evidence of approval from Policy Sponsor; and
    • relevant Approval Authority

to the University’s approved records management system.

9. Publishing and implementing

  ACTIVITY RESPONSIBILITY STEPS
A. Publishing the document Policy Systems Administrator or delegate
  1. The document is published in the Policy Library and will automatically appear in the ‘Recently approved document’ section of the Policy Central website
B. Announcing that the new or revised policy or procedure has been published Policy Systems Administrator or delegate
  1. A FedNews item is prepared to announce the publication of the new or revised document and sent to the appropriate authority for approval
C. Targeting communication directly to the relevant University staff Policy Sponsor
  1. Target communication directly to the relevant University staff who are required to implement new processes as a result of the new/revised policy/procedure - refer Section 5 of the approved PDR Form
D. Implementing the policy or procedure Policy Sponsor
  1. Implement the policy or procedure according to Section 5 of the approved PDR Form
  2. Monitor the implementation process and ensure staff are provided with appropriate information and training

10. Conducting period review

  ACTIVITY RESPONSIBILITY STEPS
A. Assigning a review schedule to the policy or procedure Policy Systems Administrator or delegate
  1. Allocate a review schedule depending on the type of document:
    • Policy – 5 years
    • Procedure – 3 years
    • Other – on advice
B. Periodically reviewing the policy or procedure Policy Sponsor
  1. Review the policy or procedure, every 3 – 5 years or earlier if required, to ensure currency and relevancy
  2. Complete PDR Form and begin process from Action 1 above

Supporting Documents

  • Federation University Australia Policy Governance Policy
  • Policy and Procedure Process Flowchart
  • Policy Development and Review (PDR) Form
  • Policy Template
  • Procedure Template
  • Feedback Template
  • Policy and Procedure Checklist
Forms

Responsibility

  • Council is responsible for monitoring the implementation, outcomes and scheduled review of this policy and its accompanying procedure
  • Vice-Chancellor is responsible for maintaining the content of this policy as delegated by the Council

Promulgation

The Policy Governance Procedure will be communicated throughout the University community in the form of:

  • An Announcement Notice via FedNews website and on the ‘Recently Approved Documents’ page on Policy Central to alert the University-wide community of the approved Procedure
  • Notification to Council
  • Notification to Academic Board

Implementation

The Policy Governance Procedure will be implemented throughout the University via:

  • An Announcement Notice via FedNews website and on the ‘Recently Approved Documents’ page on Policy Central to alert the University-wide community of the approved Procedure
  • Policy/Procedure Training Sessions
  • Staff Induction Sessions

Records Management

Title Location Responsible Officer Minimum Retention Period
Policy Development and Review Form The University’s approved records management system Policy Systems Administrator or delegate

Originals should be retained by the Policy Sponsor

Electronic record will be retained in the University’s records management system

University Policy or Procedure The University’s approved records management system Policy Systems Administrator or delegate Permanent