Policy Framework
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Purpose | Scope | Principles | Policy statements | Policy owner and contact | Definitions | Approval information | Version history | References
1. Purpose
1.1 Policies at UTS form part of the university’s governance framework. Policies support the UTS Act, By-law and Rules and ensure consistency, transparency and integrity in UTS’s operations and decision-making.
1.2 The Policy Framework (the framework):
- outlines how UTS develops, manages and implements its policies, and
- defines the key roles, responsibilities and authorities.
1.3 The framework is supported by the Policy Management Procedure (the procedure).
2. Scope
2.1 This framework applies to the development and management of all UTS policies, their procedures and supporting documents (collectively policy documents).
2.2 Documents not approved in line with this framework (for example, directives and guidelines produced at a local level) are not recognised as UTS policy documents.
3. Principles
3.1 Policies, their procedures and supporting documents are university-wide documents that govern conduct, practice and decision-making.
3.2 A strong policy framework reduces risk to the university and assures university management of UTS’s compliance with relevant sector, regulatory and legal obligations.
3.3 Policies should only be developed where there is a clear and demonstrable need. Policies should align with the UTS 2027 strategy and meet the needs and expectations of the UTS community and the wider society.
3.4 Policies must be accessible, accurate, current and user-focused.
3.5 Only policies approved in line with this framework and published at UTS Policies are authorised policies of the university.
3.6 Where a rule, delegation, policy, procedure or other document is inconsistent with a superior instrument, the superior instrument prevails to the extent of the inconsistency.
3.7 This framework has the status of a policy. Staff and students must comply with UTS policy documents.
4. Policy statements
Policy development and review
4.1 Each policy must have a policy owner and policy contact (collectively policy owners) who are responsible for working with the Governance Support Unit (GSU) to ensure policies are fit for purpose. Policy owners are accountable for each step of the policy management process in consultation with GSU (refer the procedure).
4.2 Each year, GSU, in consultation with policy owners and the Office of General Counsel, will identify policy and compliance risks for the university and develop a schedule of policy review and development to mitigate these risks. This schedule will guide policy priorities for the year (acknowledging they may be subject to change as conditions and other priorities arise).
4.3 When reviewing or developing a policy, policy owners must use the policy risk assessment checklist (Word) to ensure the policy:
- is relevant and fit for purpose
- supports the UTS 2027 strategy and corporate plan
- complies with legislation (if applicable)
- meets internal and external obligations, and
- addresses existing and emerging sector requirements.
4.4 GSU will assist policy owners in determining a policy’s level of risk and the appropriate review and development process to address identified policy gaps and risks. Policy owners must notify GSU of any operational, legislative and other impacts that may require a policy response.
4.5 Policies are normally reviewed every 3 to 5 years to ensure they remain relevant, accurate and comply with legislation (where required). The timing of a review is agreed as part of the policy’s approval process. Reviews may be brought forward as part of the annual policy review and development schedule (refer statement 4.2).
4.6 Policy owners will work with GSU to develop or review policy content, recommend relevant stakeholders and consultation (refer the procedure) and provide input related to the policy’s relevance, strategic alignment, implementation and compliance.
Implementation
4.7 Each policy must have an implementation plan. Implementation plans:
- allow the approval authority to see how the policy will be administered and promulgated
- provide assurance to the approval authority of the policy’s effectiveness on review
- enable the policy owner to monitor compliance, and
- assist continuous improvement in the policy management process.
4.8 Policy owners must develop an implementation plan (Word) to include with the approval documentation submitted to the relevant approval authority.
Approval and rescission
4.9 Policies are approved and rescinded by Council, Academic Board or the Vice-Chancellor. Policies must be approved and rescinded by the same approval authority.
4.10 GSU will publish all approved policies on the official website UTS Policies. Policies are effective from date of publication unless indicated otherwise.
Records management
4.11 The Policy Manager will create, maintain and manage final policy records in line with the Records Management Policy. Policy owners must maintain and manage all records related to the implementation and operation of their policies in line with the Records Management Policy.
5. Policy owner and contact
5.1 Framework owner: The University Secretary is responsible for enforcement and compliance of the framework, ensuring that its principles and statements are observed in the development, review, approval and implementation of UTS policies. The University Secretary is also responsible for the approval of any procedures, templates and training associated with this framework.
5.2 Framework contact: The Policy Manager, Governance Support Unit (GSU) is responsible for the implementation of this framework and acts as the primary point of contact for advice on implementing its provisions.
5.3 Others: GSU is responsible for the coordination and management of all policies published at UTS Policies. In implementing this framework, GSU:
- determines on an annual basis the university’s top policy risks
- provides governance advice and support to policy owners, and
- works with policy owners on the development and review of UTS policies.
6. Definitions
The following definitions apply for this framework and all associated procedures. They are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular also include the plural meaning of the word.
Approval authority means the Vice-Chancellor, Council or Academic Board. Typically:
- Council approves (and rescinds) governance policies that relate to the strategic and operational management of UTS and its strategy and values
- Academic Board, under Council’s delegation, approves and rescinds academic policies that relate to UTS’s learning, teaching and research activities, and
- the Vice-Chancellor approves and rescinds management policies that outline mandatory practice and decision-making principles for areas of university business and operational activities.
Approval documentation is the documentation that is provided to the approval authority in order to approve a policy. It can be in the form of a report or paper and include:
- a copy of the new or reviewed policy
- the policy’s risk assessment
- benchmarking and consultation undertaken
- the project timeline (from review or development through to publication at UTS Policies), and
- the policy’s implementation plan.
Policy means an official UTS statement, approved in line with this framework and published at UTS Policies, that establishes a position on an issue, outlines actions and operations, governs decision-making, and/or sets expectations for conduct and practice. Policies are mandatory and may be supported by a procedure.
Policy contact means a UTS staff member (normally director or senior manager who is a direct report to a band 3 or 4 position listed in the Delegations) responsible for:
- acting as a subject matter expert for the policy review and development process
- providing guidance and advice as part of the policy review and development process, and
- acting as a primary point of contact for advice on administering the policy.
Policy owner means a UTS staff member (usually a member of the senior executive, a director or a division head/chief listed in bands 1 to 4 of the Delegations) with overall accountability for a policy. Policy owners are determined by the approval authority taking into consideration the:
- appropriate alignment of policy area with organisational responsibilities
- relevant knowledge and expertise required to implement the policy
- relative risk of policy area, and
- potential stakeholders (for example, regulatory bodies, academic and professional staff, and students).
Procedure is an operational statement that outlines the practical steps required to implement its policy. A procedure is normally approved by a member of the senior executive or relevant delegate.
Rescission means revocation or withdrawal of a policy or procedure that is no longer relevant or required.
Subject matter expert means an individual with specific skills and experience in a particular field or area who acts in an advisory capacity as part of a policy review or development process.
Supporting document, for the purposes of this framework, includes, but is not limited to, forms, guides, templates, checklists or online content specifically developed and approved by a relevant policy owner to implement and support the promulgation of a policy.
Approval information
framework contact | Policy Manager, Governance Support Unit |
---|---|
Approval authority | Council |
Review year | 2028 |
File number | UR17/2432 |
Superseded instruments | Governance Instruments Policy (2014, UR14/266) |
Version history
Version | Approved by | Approval date | Effective date | Sections modified |
---|---|---|---|---|
1.0 | Council (COU17-3/62) | 14/06/2017 | 24/07/2017 | New framework. |
1.1 | Acting Director, Governance Support Unit (Delegation 3.14.1) | 23/11/2018 | 13/03/2019 | Amendments to body of policy to apply Publications Style Guide conventions, corrections to titles of other governance instruments and minor editorial changes. Clarification of policy change process also included. |
1.2 | Director, Governance Support Unit (Delegation 3.14.1) | 26/09/2019 | 01/11/2019 | New principle 3.5 to confirm UTS’s commitment to inclusivity principles under Athena SWAN. |
2.0 | Council (COU20-6/133) | 25/11/2020 | 31/03/2021 | Minor changes and corrections as part of the three-year review process. |
2.1 | Council (COU/21-4/91) | 18/08/2021 | 18/08/2021 | Updated to expand potential list of policy owners to bands 1 to 4 of the Delegations with guidance and principles. |
2.2 | Deputy Director, Corporate Governance (Delegation 3.14.2) | 31/05/2022 | 31/05/2022 | Update to titles and alignment with delegation wording. |
3.0 | Council (COU/23-2/38) | 19/04/2023 | 03/05/2023 | Substantial changes following a scheduled review. |