Policy Management Procedure
On this page
Purpose | Scope | Principles | Procedure statements | Procedure owner and contact | Definitions | Approval information | Version history | References
- Policy Framework
- Risk assessment checklist (Word)
- Implementation plan (Word)
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 responsibilities and requirements
4.1 In line with the framework, the Governance Support Unit (GSU) will work with policy owners to develop and review policies, procedures and supporting documents (collectively policy documents) by:
- facilitating benchmarking and research activities
- providing guidance on risk assessments and compliance priorities (refer also policy risk assessment checklist (Word))
- drafting, writing and editing policy documents
- advising on consultation, approval pathways and publication
- preparing approval documentation
- providing guidance on the development of implementation plans
- assessing and recommending associated governance changes (for example, to UTS Rules, Delegations or other policies), and
- helping to determine whether a policy requires a supporting procedure.
4.2 When an existing policy is scheduled (or otherwise recommended) for review, GSU will work with policy owners to determine whether the policy requires only minor amendments, a substantial review, rescission or no changes (and an extension to the review period).
4.3 Policy owners, as subject matter experts, are responsible for ensuring the accuracy of the policy content, including but not limited to:
- details of any legislative impacts and compliance requirements
- details of existing activities, current practice, and operating principles, systems and business processes associated with the policy purpose and scope
- identifying relevant stakeholders and, where required, coordinating working groups
- developing an implementation plan that outlines implementation requirements and issues.
4.4 All drafting and reviews must take place on a single authoritative version of the policy using the official policy template (available at Corporate governance: Policies (SharePoint)).
4.5 Consultation is key to successful policy review and development. Consultation should include, as appropriate:
- members of the senior executive and University Leadership Team
- subject matter experts
- business system or process experts
- staff who will use and/or implement the policy, and
- representatives from committees that have a role in approving policies.
Approval and implementation responsibilities and requirements
4.6 New or significantly reviewed policies must be approved by the approval authority (refer the framework). Managerial, operational and administrative changes to a policy (and its procedure) may be approved in line with the UTS Delegations (refer delegation 3.14.1 and 3.14.2) and made by GSU.
4.7 An implementation plan (Word) must be included as part of the policy’s approval documentation. The implementation plan must include details on:
- communication and promulgation
- training requirements
- any new systems and processes
- updates to existing systems and processes
- risk considerations, and
- compliance, review and monitoring activities.
4.8 The final approval documentation is provided to the approval authority either by the policy owner or by GSU.
Publication
4.9 Once policies are approved, GSU will publish the new or amended policy at UTS Policies.
4.10 Under the requirements of the Government Information Public Access Act 2009 (NSW) open access information (which includes policy) must be made publicly available unless there is an overriding public interest against doing so (for example, privacy or security considerations). All policies published at UTS Policies are publicly available.
4.11 Where a policy owner believes there is an overriding public interest against making the policy publicly available, the Policy Manager and Right to Information Coordinator must be contacted for advice. The Right to Information Coordinator will make a determination and provide a response to the policy owner.
4.12 When a decision is made to not make a policy publicly available, the policy will be published at Corporate governance: Policies (SharePoint). A public record of the general nature of the policy, and the decision not to make it publicly available, must be published at Register of undisclosed open access information: Record of UTS information not disclosed.
5. Procedure owner and contact
5.1 Procedure owner: The University Secretary is the owner of this procedure, in line with the framework. The University Secretary is also responsible for the approval of any associated procedures, templates and training.
5.2 Procedure contact: The Policy Manager, Governance Support Unit 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 definitions outlined in the Policy Framework apply for this procedure.
Approval information
Procedure contact | Policy Manger, Governance Support Unit |
---|---|
Approval authority | University Secretary |
Review date | 2028 |
File number | UR17/3517 |
Superseded documents | UTS Governance Instruments Development and Review Procedures (UR15/362) |
Version history
Version | Approved by | Approval date | Effective date | Sections modified |
---|---|---|---|---|
1.0 | Governance Support Unit | 10/10/2017 | 24/11/2017 | New procedure. |
1.1 | Acting Director, Governance Support Unit | 23/11/2018 | 13/03/2019 | General review and update. |
2.0 | Director, Governance Support Unit | 09/12/2020 | 31/03/2021 | Minor amendments as part of the Policy Framework review. |
2.1 | University Secretary | 08/10/2021 | 08/10/2021 | Changes in response to the expansion of policy ownership within the framework. |
2.2 | Deputy Director, Corporate Governance (Delegation 3.14.2) | 31/05/2022 | 31/05/2022 | Updates to titles and fit for 2027 changes. |
2.3 | Deputy Director, Corporate Governance (Delegation 3.14.2) | 24/11/2022 | 05/12/2022 | Minor change to reflect new position title of General Counsel and Executive Director, Risk and Compliance. |
3.0 | University Secretary | 26/04/2023 | 03/05/2023 | Substantial changes following a scheduled review. |