Policy Management Procedure

1. Purpose

1.1 The Policy Management Procedure (the procedure) supports the implementation of the Policy Framework (the framework).

2. Scope

2.1 The scope of the framework applies to this procedure.

3. Principles

3.1 The principles outlined in the framework apply to this procedure.

4. Procedure statements

Development and review process

4.1 In line with the framework, the Governance Support Unit (GSU) will work with policy owners to develop and review policies, procedures and, where relevant, other supporting documents by:

1. facilitating benchmarking and research activities
2. providing guidance on risk and impact assessments and compliance priorities (refer Risk and impact assessments)
3. drafting, writing and editing policy documents
4. advising on consultation, approval pathways and publication
5. agreeing on an appropriate timeline for review (normally every 3 to 5 years)
6. helping with the approval documentation
7. providing guidance on the development of implementation plans
8. assessing and recommending associated governance or content changes (for example, to UTS Rules, Delegations or other policies), and
9. helping to determine whether a policy requires a supporting procedure.

4.2 When an existing policy is scheduled or recommended for review, GSU will work with policy owners to assess the current policy and operational landscape and determine the scale and nature of the review (for example, minor amendments, a substantial review, rescission or no changes).

4.3 When a policy gap is identified, GSU will work with policy owners to conduct a gap analysis and determine the best response. This may be a new policy, a change to an existing policy or another operational tool to meet the identified risk or requirement. 

Managing policy content

4.4 Policy owners, as subject matter experts, must ensure that the content of the policy:

1. meets legislative and compliance requirements
2. addresses university values and community expectations
3. speaks to and reflects its intended audiences
4. addresses any risks (refer Risk and impact assessments), and
5. aligns with relevant existing activities, current practice, and operating principles, systems and business processes.

4.5 Policy owners must identify relevant stakeholders and, where required, coordinate working groups to gain input into the policy's development or review.

4.6 All drafting must take place on the official policy template (available at Corporate governance: Policies (SharePoint)). Reviews must be completed in tracked changes with guidance from GSU.

Risk and impact assessments

4.7 When reviewing or developing a policy, policy owners must undertake a risk assessment to ensure the policy:

1. is relevant and fit for purpose
2. supports the UTS 2030 strategy and annual plan
3. complies with legislation or other regulatory requirements (if applicable)
4. meets internal and external obligations, and
5. addresses existing and emerging sector requirements.

4.8 As part of the risk assessment, policy owners should also undertake an impact assessment (refer Definitions) to determine how the policy may impact its audiences and the UTS community based on their gender, religion, culture or other lived experience.

4.9 Policy owners may use the policy risk and impact assessment checklist (Word) to undertake these assessments. 

Consultation

4.10 Consultation as part of the development or review process should include, as appropriate:

1. members of the senior executive and University Leadership Team
2. relevant subject matter experts and/or people with lived experience
3. business system or process experts
4. staff who will use and/or implement the policy
5. student representatives, and
6. representatives from committees that have a role in approving policies.

Approval pathway and timeline

4.11 Based on the nature, extent and requirement for the development, review or change to the policy, GSU will help policy owners to: 

1. determine approval pathways
2. agree relevant deadlines and timelines, and
3. confirm appropriate approval authority (in line with the framework). 

Implementation 

4.12 An implementation plan (Word) must be included as part of the policy’s approval documentation for new or fully reviewed policies. Any mandatory training included as part of the implementation must be approved by the Chief Operating Officer or the Provost as appropriate (refer Request staff training be designated as mandatory (SharePoint)). This may be completed before or after the policy is approved.  

4.13 The final approval documentation is provided to the approval authority either by the policy owner or by GSU.

Publication

4.14 Once policies are approved, GSU will publish the new or amended policy at Policies to ensure access requirements are met (refer the framework).

5. Roles and responsibilities

5.1 Procedure owner: The University Secretary and Director, Governance Support Unit (GSU) is the owner of this procedure, in line with the framework. The University Secretary and Director, GSU is also responsible for the approval of any associated procedures, templates and training.

5.2 Procedure contact: The Policy Manager, GSU is responsible for the implementation of this procedure and acts as the primary point of contact for advice on fulfilling its provisions.

6. Definitions

The following definitions apply for this procedure. They are in addition to the definitions outlined in the Policy Framework. Definitions in the singular also include the plural meaning of the word. 

Gap analysis means an assessment of a policy's current state against the required operating, governance or compliance obligations to identify any gaps between the current and future state of the policy. Gap analysis supports improvements to the policy and to its implementation.

Impact assessment means the consideration of how a policy may have different impacts on people based on their gender, religion, culture or other lived experience. This assessment is undertaken as part of the policy development and review process to support decision-making, challenge inherent bias, consider implementation challenges or assumptions and improve processes to address potential risks of structural inequalities. UTS applies the NSW Government’s Gender Impact Assessment Policy for its policies.

Risk assessment is defined in the Risk Management Policy.