university governance policy toolkit · 2018-05-17 · policy toolkit strategic and ... policy...

Edith Cowan University University Governance

Policy Toolkit

Strategic and Governance Services Centre Web: www.ecu.edu.au Phone: 134 ECU (134 328)

http://www.ecu.edu.au/

Content Page

Introduction ........................................................................................................................... 3

Developing a new Policy ........................................................................................................ 6

Reviewing a Policy ................................................................................................................ 10

Amending a Policy ................................................................................................................ 11

Rescinding a Policy ............................................................................................................... 13

Legislation and Policy Contacts ............................................................................................ 14

Attachments

• Attachment A – Policy Framework .......................................................................... 16 • Attachment B – Policy Framework Guidelines ........................................................ 20 • Attachment C – Policy Template.............................................................................. 32 • Attachment D – Guidelines Template ...................................................................... 35 • Attachment E – Approval memo for new or amended policy ................................ 38 • Attachment F – Approval memo to rescind a policy (Vice-Chancellor) ................... 39 • Attachment G – Policy Review Process Template ................................................... 40

Policy Toolkit University Governance May 2018

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Introduction ECU policies provide a concise, formal statement which describes how members of the University are to act in a particular area of its operation.

It is the role of a policy to:

• Help members of the University community to translate ECU’s values of Respect,Integrity, Rational Inquiry and Personal Excellence into action;

• Help ensure that ECU meets its obligations in relation to compliance - statutory andother;

• Reduce risk; and• Promote transparency in decision-making.

Policies set out high-level principles which are generally stable over a period of time. Whilst policies are subject to regular review as part of good governance, they do not contain the level of detail that means they rapidly become out of date as staff and procedures change.

University policies are approved by the University Council (for high-level University policies where Council scrutiny is appropriate, consistent with the “Matters to be Reserved to Council”), or by the Vice-Chancellor (for all other University policies).

Policies are developed through a process of consultation. This not only makes for better policy documents but it will also help the writer to ensure that the requirements for compliance and consistency are met. A consultative process ensures that relevant committees and stakeholders are consulted and risk management assessment and strategies are considered as early as possible in the development of the policy.

A policy may be supported by Guidelines which provide details on the operation of the policy. Guidelines are normally approved by the member of the Senior Leadership Team responsible for the area of policy. High-level Committees and Boards such as Council Committees and Academic Board may also approve Guidelines.

Procedures, typically developed at the operational level, provide statements outlining the actions or steps to be undertaken to implement a University policy or process. Procedures, which may be supported by forms or templates, will be approved by the individual responsible for the implementation of the process (normally at Executive Dean of School/Manager/Director level). Procedures may either be applicable to students and/or staff across the University, or be School/Centre specific.


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http://www.ecu.edu.au/centres/office-of-governance-services/our-services/university-council-its-committees-and-boards/university-council


ECU Framework for Instruments of Governance

Definitions

TERM DEFINITION

“Contact Person” means

The position within ECU which is responsible for the day-to-day operation of a policy. This is the position to which all queries about the policy should be directed. In exceptional circumstances, more than one position may be identified in this role.

“Guideline” means

A statement that provides guidance on how University policies will be implemented or applied.

“Policy” means A concise, formal statement which prescribes how members of the University are to act in a particular area of its operation. Policies have University-wide application. All

ECU Act

Statutes and By Laws

Rules

Policies (Council- or VC- approved)

Guidelines

Procedures/Forms/Processes


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members of the University community are required to comply with ECU policies, and compliance may be audited.

“Policy Approver” means

The approving authority for the Policy (Council or the Vice-Chancellor).

“Policy Owner” means

This is usually a member of the Senior Leadership Team, or other senior officer, who has responsibility and accountability for the area of operation covered by the Policy and responsibility for ensuring the currency of the Policy.

“Procedure” means

A statement that outlines the established method for implementing a particular University Policy or process. Procedures are developed at an operational level and generally contain considerable detail which may require regular updating.

“Senior Leadership Team” means

Vice-Chancellor, Senior Deputy Vice-Chancellor, Deputy Vice-Chancellors, Vice-President (Corporate Services), Pro-Vice-Chancellors.

“University Community” means

All students, staff, Council members, and external Council Committee members.


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Developing a new Policy

Step 1: Identify the need for policy development

The Policy Owner identifies and confirms the need for the development of the new policy/ guidelines/procedure. Before committing time to developing a new policy, it is worth asking the question – does the University need a new policy? The ECU policy collection is intended to be a set of high-level resources which support decision-making and operations at all levels of the University. It may therefore be possible to incorporate the change to an existing policy, or to issue a new guideline under an existing policy.

The main reasons for the development of a new policy are:

• Legislation or government policy has changed; • A new strategic direction for the University has been established; and/or • A gap in the existing University policy set has been identified.

Policies are an important part of the University’s risk management strategy. In considering whether or not a policy is required, writers should undertake a brief risk assessment. Where the risk is considered to be low, it may be that there is no need for a policy. For matters that are considered to be a high or significant risk, policies should be developed as a matter of urgency.

Step 2: Request a HPRM Folder

Request that Records create a HPRM folder. Records will issue a sub-folder number with child folders, as follows:


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mailto:[email protected]

In this folder the Policy Owner should store:

• Every version of the policy from creation to published version; and • Related documentation including email correspondence, approval memo,

resolutions from committee meetings etc.

Records can also help with the management of policy versioning.

Step 3: Refer to ‘useful’ tools

The University Governance Unit (UG) within the Strategic and Governance Services Centre has developed some useful documents to assist staff at ECU when creating a new policy. The documents listed below are attached at the back of this booklet or the electronic versions may be accessed at: http://intranet.ecu.edu.au/staff/centres/strategic-and-governance-services/our-services/university-governance/policy-and-legislation/policy-development.

The Policy Framework and Guidelines sets out the underlying principles of policy development in the University. (Attachments A & B)

• The Policy Template is the template for writing a policy. (Attachment C) • Guidelines Template provides a template for writing guidelines that are associated

with a policy. (Attachment D) • The Approval Memo is a template for seeking approval from the Vice-Chancellor to a

new or updated policy. (Attachment E). The UG will manage the submission of policies to Council for approval.

Step 4: Consultation

The Policy Owner should consult with all relevant stakeholders in relation to the policy to assist with content and intent and to identify gaps that may have been overlooked.

Internal stakeholders may include:

• Students • The Student Guild • Academic staff • Professional staff • Research staff • Schools • Service Centres • University committees as appropriate (e.g. University Executive, Professional Services

Leadership Group) and any other area of the University community that may be directly affected by the policy.

In some cases external stakeholders may also need to be consulted.


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http://intranet.ecu.edu.au/staff/centres/strategic-and-governance-services/our-services/university-governance/policy-and-legislation/policy-development

http://intranet.ecu.edu.au/staff/centres/strategic-and-governance-services/our-services/university-governance/policy-and-legislation/policy-development

The consultation may be through an email seeking feedback, convening a meeting to discuss the impact of the policy on various areas or through formal committees. Consider what committees would normally consider the issues covered by the policy. The Terms of Reference of the committees provide guidance on this.

The Collective Agreements may require some policies to be subject to a consultation process. For guidance, refer to the provisions in the relevant Agreement or contact the Director, Human Resources Service Centre.

Step 5: Approval

Policies require approval by either University Council or the Vice-Chancellor, depending on their scope and nature. Council is required to approve high-level University policies where Council scrutiny is appropriate, consistent with the Matters to be Reserved to Council. If policies require Council approval, be aware of the time-frame for the submission of agenda papers – refer to the Meeting Schedule for more information and contact the relevant committee Executive Officer for further assistance.

Minor amendments to policy (i.e. those changes which are largely updates and do not change overall intent) may be approved by the Policy Owner.

The Policy Guidelines (where required) for an individual policy outline the policy approval process and will provide guidance on the level of approval required.

Guidance on the appropriate level for the approval of policy is given in the ECU Framework for Instruments of Governance (Schedule 1, Attachment B – Policy Framework Guidelines).

The UG can also provide assistance in determining the appropriate approval level.


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Step 6: Publication on the Legislation and Policy Search Directory

The final step of developing a policy is to have it published on the ECU Legislation and Policy Search Directory:

The following documentation should be submitted to the University Governance Unit:

• Copy of the Policy (MS Word version); • Signed approval memo from the Vice-Chancellor or evidence of approval by Council

(e.g. resolution number); and • The HPRM folder number.


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http://policysearch.ecu.edu.au/WebDrawer.PolicySearch/Search


Policy Review Process

Initiation

Commence review of policy.

Is this policy still relevant and/or required? If no, proceed to the rescinding process.

Meeting arranged to discuss the review.

Step 1

Meeting

Scope and extent of policy review are determined. Roles and responsibilities agreed upon.

Key stakeholders identified so that consultation may occur.

Timelines for the completion of review to be discussed.

Consideration of any feedback already received.

Step 2

Review

May include benchmarking activities.

Consultation with key stakeholders. Feedback to be provided by key stakeholders.

Step 3

Approval

Key stakeholders agree on the proposed changes.

Submit to the relevant University committee/group for endorsement.

If endorsed, submit to the relevant delegated approval authority.

Submit paperwork to UG for the publication of updated policy on the Legislation & Policy Directory.

Step 4

Implementation

Upon publication of the policy on the Legislation & Policy Search Directory, those impacted are to be notified accordingly.

Processes and procedures may need to be modified to align with the policy.

Step 5

Reviewing a PolicyIt is a requirement for Policy Owners to review their policies on a regular basis. At ECU the review of policies occurs every 3 years. Please refer to the Policy Review Process Template (Attachment G) which you may wish to adopt. Below is a flowchart of this policy review process.


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Amending a Policy

Step 1: Identify the type of change

The type of change to the policy needs to be considered carefully as what may appear to be a minor change (e.g. the title of a person) may have significant consequences.

No changes – If there are no changes to be made to the policy, the Policy Owner is required to email the University Governance Unit and state that the policy was reviewed and no changes were required. The University Governance Unit will then amend the date of review on the policy.

Minor changes - Minor amendments to a policy (i.e. those changes that are largely updates and which do not alter the overall intent) may be approved by the Policy Owner. These include updating telephone numbers, change in the name of a person (but effectively the same position), typographical and format changes (e.g. changes in numbering, changing to the new format).

Major Changes - More significant changes will require the policy to be formally amended and resubmitted through the original approval process (via Council or the Vice-Chancellor). Major changes include amendments of substance to the policy for example, the deletion of parts of the policy, addition of new sections or other substantive changes in the policy. The determination of whether something is substantive will rely on the expert judgment of the Policy Owner. Substantial changes will be required to go through the normal policy development process as outlined in the Policy Framework Policy. It is appropriate to consult with the Risk and Assurance Service Centre in relation to such changes.

Step 2: Notify the University Governance Unit

Once changes have been made and approved, the Policy Owner will need to notify the UG of the amendments. The following documentation should be submitted to the UG:

• Copy of the amended Policy (MS Word version); • One of the following: Signed memo from the Vice-Chancellor or Council resolution number approving

major changes; or Proof of approval of minor changes by a committee; Email from the Policy Owner confirming that no changes are required, or

approving minor changes; and • The HPRM folder number. Please note that in this folder the Policy Owner should

store: Every version of the policy from creation to published version; and


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http://www.ecu.edu.au/GPPS/policies_db/policies_view.php?rec_id=0000000328

Related documentation including email correspondence, approval memo, resolutions from committee meetings etc.

Upon receipt of these documents, the UG will upload the amended version of the policy on the Legislation and Policy Search Directory.


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Rescinding a Policy

Step 1: Identify the need to rescind

During the consultation process with key stakeholders, it may become apparent that a policy has become superseded or obsolete but has never been formally rescinded (or cancelled). If the policy has clearly been superseded by a subsequent policy, or legislation, that deals with substantially the same matters, the Policy Owner should forward a memorandum (Attachment F) requesting the Policy Approver to approve the rescission of the policy. This should be done at the same time as seeking approval for the replacement policy (if there is a replacing policy).

Where there is no clear superseding policy or legislation the Policy Owner needs to determine whether a request to the Policy Approver for rescission is sufficient or, given the nature of the policy, the recommendation to rescind the policy should go through the usual consultation process for policy development.

Step 2: Notify the University Governance Unit

When approval to rescind a policy is received, a copy of the signed memo (Vice-Chancellor or Policy Approver/Owner) should be forwarded to the UG. The UG will then delete the rescinded policy from the Policies Database.

It is also the responsibility of the Policy Owner to ensure that the HPRM folder is kept up-to-date. In this folder the Policy Owner should store:

Every version of the policy from creation to published version; and Related documentation including email correspondence, approval memo,

resolutions from committee meetings etc.


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Legislation & Policy Contacts For information on a specific policy Please contact the Policy Owner or the contact person referred to at the end of the policy document under 'References'. If you do not know who this is, consider broadly what area the policy may fall into (e.g.: Human Resources, Financial, Legal etc.) and contact a policy officer in that area.

For information on Statutes, Rules or By-Laws Please contact University Governance:

Manager, University Governance Ms Kathryn Clarke Telephone: (61 8) 6304 2109 Email: [email protected]

Adviser, University Governance Ms Aisling Vennitti Telephone: (61 8) 6304 2443 Email: [email protected]

Adviser, University Governance Mrs Rajes Shenton Telephone: (61 8) 6304 2453 Email: [email protected]

For general enquiries General enquiries, and specific queries about policies that require consideration by Council and its committees:

Manager, University Governance Ms Kathryn Clarke Telephone: (61 8) 6304 2109 Email: [email protected]

Academic policies and policies to be considered by the Academic Board and its committees:

Manager, Academic Governance and Standards Ms Jane McCaffrey Telephone: (61 8) 6304 2179 Email: [email protected]


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Compliance issues:

Senior Complaints, Compliance and Integrity Adviser, Legal and Integrity Mr Deon Van Der Westhuizen Telephone: (61 8) 6304 2056 Email: [email protected]

Legal issues:

Manager, Legal and Integrity and Associate General Counsel Mr Clarke Drury Telephone: (61 8) 6304 2158 Email: [email protected]

General enquiries regarding the use of the Legislation and Policy Search Directory and inclusions of policies in the Directory:

Adviser, University Governance Ms Aisling Vennitti Telephone: (61 8) 6304 2443 Email: [email protected]

Adviser, University Governance Mrs Rajes Shenton Telephone: (61 8) 6304 2453 Email: [email protected]


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POLICY

[PL086/ad063 Policy Framework] Page 1 of 4 All printed copies are uncontrolled. For the latest version of this policy always check the Policies and Legislation Directory Issue 3

November 2015

Edith Cowan University

Policy Title: Policy Framework

Policy Owner: Council Secretary

Keywords: 1) Policies 2) Policy Owner 3) Policy Approval

Policy Code: PL086 (ad063)

Intent Organisational Scope Definitions Policy Content Accountabilities and Responsibilities Related Documents Contact Information Approval History

1. INTENT

This Policy provides a framework for the development and maintenance of University policies andis intended to increase consistency and transparency in decision-making across the University.

Edith Cowan University students and staff should be able to access a cohesive, relevant and easilymanaged group of policies which have broad University application. ECU policies will normally beaccessible externally.

2. ORGANISATIONAL SCOPE

All staff responsible for the development and writing of ECU policies, and Policy Approvers.

3. DEFINITIONS

TERM DEFINITION

“Guideline” means a statement that provides guidance on how University policies will be implemented or applied.

“Policy” means a concise, formal statement which prescribes how members of the University are to act in a particular area of its operation. Policies have University-wide application. All members of the University community are required to comply with ECU policies, and compliance may be audited.


The approving authority for the Policy (Council or the Vice-Chancellor).

“Policy Owner” means

usually a member of the Senior Leadership Team, or other senior officer, who has responsibility and accountability for the area of operation covered by the Policy and responsibility for ensuring the currency of the Policy.

“Procedure” means a statement that outlines the established method for implementing a particular University Policy or process. Procedures are developed at an operational level and generally contain considerable detail which may

ATTACHMENT A


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POLICY


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require regular updating.

“Senior Leadership Team” means

Vice-Chancellor, Deputy Vice-Chancellors, Vice-President (Corporate Services), Pro-Vice-Chancellors.

“University Community” means

All students, staff, Council members, and external Council Committee members.

4. POLICY CONTENT

4.1 A Policy will normally only be approved where there is broad University application and where insufficient direction is provided by applicable legislation (including the Edith Cowan University Act 1984 (the ECU Act), University Statutes, By-laws and Rules. A Policy will set out the expectations of how members of the University community are to act in particular areas of operation.

4.2 Policies will comply with all relevant legislation (including the ECU Act), University Statutes, Rules and By-laws and will be consistent with other University Policies.

4.3 All policies will follow the approved Policy template.

Approvals

4.4 Policies will be approved by either University Council or the Vice-Chancellor, depending on their scope and nature. University Council will approve high level University policies where Council scrutiny is appropriate, consistent with the Matters to be Reserved to Council and with the ECU Framework for Instruments of Governance which is attached to the Policy Guide. All other policies will be approved by the Vice-Chancellor.

4.5 A Policy may be supported by Guidelines which provide details on the operation of the Policy. Guidelines will normally be approved by the member of the Senior Leadership Team responsible for the area of Policy. A Council Committee or the Academic Board is also authorised to approve Guidelines.

4.6. Procedures, typically developed at the operational level, provide statements outlining the actions or steps to be undertaken to implement a University Policy or process. Procedures (which may be supported by forms and templates) will be approved by the individual responsible for the implementation of the process (normally at Head of School/Manager/Director level). Procedures may either be applicable to students and/or staff across the University, or be School/Centre specific.

4.7 Minor amendments to a Policy (i.e. those changes which are largely updates and which do not change overall intent) may be approved by the Policy Owner.

Policy Directory

4.8 The University will maintain a policies database in a form which is easily accessible to all members of the University community, as well as to the general public where appropriate.

Policy Review

4.9 As a minimum, the Policy Owner will undertake a review of the Policy:

4.9.1 three years after the date of approval or the latest date of amendment to the Policy; or

4.9.2 whenever there is a significant relevant change of circumstances.

4.10 After review, the policy must be re-submitted through the Policy Approval process for approval if changes other than minor amendments (see 4.7) are required.


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5. ACCOUNTABILITIES AND RESPONSIBILITIES

In relation to this Policy, accountabilities and responsibilities are as follows:

Policy Framework

The Director Governance Services has overall responsibility for the Policy Framework and its operation within ECU.

The Director, Governance Services will be responsible for the Policy Website including the online Policy Directory.

Policy Owners

The Policy Owner is responsible for the implementation of policies for which he or she is the designated owner. This includes responsibility for:

implementing the Policy including communication to the appropriate members of the University community;

monitoring the day-to-day operation of the Policy including compliance, impact and consistency of operation;

monitoring overall compliance with the Policy. The owner is expected to take steps to monitor compliance and to manage any risks associated with non-compliance;

the development of all supporting documentation, including any Guidelines, Procedures, Forms and/or Handbooks which may be required to assist the University community to apply and comply with the Policy;

ensuring that all supporting documentation is consistent with the Policy statements;

keeping the Policy content up-to-date and relevant;

initiating Policy reviews;

appropriate advice on the operation of the Policy; and

staff training, as necessary, to support compliance with the Policy.

Individuals as defined by the Organisational Scope of policies

All those to whom the Policy applies are expected to:

Familiarise themselves with the Policy content as it applies to them;

Comply with the content of the Policy;

Seek guidance as necessary.

6. RELATED DOCUMENTS

6.1 This Policy is supported by the following Guidelines:

Guide to the Drafting of Policy Document

6.2 Other documents which are relevant to the operation of this Policy are as follows:

The Policy Template;

Matters to be Reserved to Council (http://www.ecu.edu.au/GPPS/council/matters_reserved_to_council.html)


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http://intranet.ecu.edu.au/staff/centres/office-of-governance-services/our-services/policy-and-legislation/policy-development


http://www.ecu.edu.au/GPPS/council/matters_reserved_to_council.html

POLICY


November 2015


7. CONTACT INFORMATION

For queries relating to this document please contact:

Policy Owner: COUNCIL SECRETARY

All Enquiries Contact: Council Secretary

Telephone: 08 6304 2453

Email address: [email protected]

8. APPROVAL HISTORY

Policy Approved by: University Council [UC128/20]

Date Policy First Approved: 26 June 2008

Date last modified: Revisions approved by University Council on 16 August 2012 [UC153/13]

November 2015

Revision History: Addition of “Accountabilities and Responsibilities” section.

Other minor amendments

Next Revision Due: August 2018

TRIM File Reference Sub/2824


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Guide to the Drafting of Policies Page 1 of 12 Issue 4 All printed copies are uncontrolled November 2015

GUIDE TO THE DRAFTING OF POLICY DOCUMENTS

To be used in conjunction with the Policy Framework and the Policy Template

Policy Title: [for ease of searching, policy title should not start with “University” “ECU”“Computer” “Management” or “Policy” unless absolutely necessary. Policy title should not end with “Policy”.]

Descriptors: [Keyword descriptors are used as a tool for searching. Please insert keywords that are relevant to this policy.]

Category: [to be added by Governance Services]

Intent Organisational Scope Definitions Guidelines Content Related Documents Contact Information Approval History

1. INTENT1.1 A policy exists because the subject matter is of importance to the operation of the

University and there will therefore be a positive outcome for stakeholders.

1.2 The intent section should therefore reflect the vital nature of the policy and provide an indication of the positive outcomes which compliance with the policy will create.

1.3 This should be a brief outline (no more than two short paragraphs) of why the policy is required by ECU, and/or what it sets out to do. It should also provide the reader with a good idea of what the policy covers.

1.4 Include a statement “This policy should be read in conjunction with the Guidelines and/or Procedures” and provide a link to these documents, if applicable.

2. ORGANISATIONAL SCOPE2.1 This outlines those individuals within the University that are covered by the policy.

It may be students or staff only, or might apply to the entire University community. Options include: All ECU Students and Staff* All ECU staff* ECU Students, staff and Council Members* ECU contractors* ECU Students, staff, Council Members and Contractors*

[*select as appropriate]

2.2 If specific groups are NOT included in the policy, this needs to be stated.

ATTACHMENT B


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3. DEFINITIONS 3.1 The purpose of the definitions section is to provide clarity so that readers can

readily understand what key terms mean, and can decide whether a particular action or item is covered by the policy.

3.2 For the purposes of these Guidelines the following definitions are used:

TERM

DEFINITION

“Contact Person” means The position within ECU which is responsible for the day to day operation of a policy. This is the position to which all queries about the policy should be directed. In exceptional circumstances, more than one position may be identified in this role.

“Guideline” means a statement that provides guidance on how University policies will be implemented or applied.

“Policy” means a concise, formal statement which prescribes how members of the University are to act in a particular area of its operation. Policies have University-wide application. All members of the University community are required to comply with ECU policies, and compliance may be audited.


The approving authority for the policy (Council or the Vice-Chancellor).

“Procedure” means a statement that outlines the established method for implementing a particular University policy or process. Procedures are developed at an operational level and generally contain considerable detail which may require regular updating.

4. POLICY CONTENT 4.1 This is the key part of the policy since it sets out exactly the policy detail. A

policy is a concise, formal statement of principles which prescribes how the University and how individuals covered by the policy should act in a particular area of operation. It is the overarching guide to good practice and decision-making.

4.2 It is the role of policy to:

• Help members of the ECU Community to translate ECU’s values of Respect, Integrity, Rational Inquiry and Personal Excellence into action;

• Help ensure that ECU meets its obligations in relation to compliance - statutory and other;

• Reduce risk; • Promote transparency in decision-making.

4.3 Policies set out high-level principles which are generally stable over a period of

time. Whilst policies are subject to regular review as part of good governance, they do not contain the level of detail that means they rapidly become out of date


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as staff and procedures change. The Policy Content should not therefore contain the names of individual staff members, or dates, and should not include the detail of procedures or processes which Faculties and Centres might put in place to deal with specific matters.

4.4 Legal Status of Policies

The provisions of policies are not legally enforceable on students in the same way as provisions contained in the Edith Cowan University Act and the Statutes, Rules and By-laws made under that Act are, unless a policy is incorporated by reference to its title in the relevant Statute, Rule or By-law. Policy drafters should obtain advice from either the Chair of the Student Appeals Committee, the Director, Governance Services or the Academic Secretary if an intent of a policy is to impose enforceable obligations (including penalties) on students.

4.5 Policy writers are responsible for reviewing the existing policy set and ensuring that any new policy complies with all relevant legislation, University Statutes, Rules, By-Laws and that it is consistent with all University policies. When developing a new policy, if it appears that the policy will create duplication or will conflict with existing policy document(s), the policy writer will contact the owner(s) of existing policies and discuss the possible duplication/conflict.

4.6 Where a related set of processes, forms and templates or procedures exist,

these will be noted in a policy, and access details provided (ideally a hyperlink should take the reader to all related documentation). Readers might also be advised that a policy should be read in conjunction with a procedure or manual. Whilst procedures are separate from the policy document, all relevant documentation should be cross-referenced. Amendment and review of procedural matters is managed at School or Centre level. Changes to these should not require a policy to be amended – nor need to be re-submitted through the policy approval process.

4.7 A policy may be supported by Guidelines which provide details on the operation

of the policy. Guidelines will normally be approved by the member of the Senior Leadership Team responsible for the area of policy. High level Committees and Boards such as Council Committees and Academic Board may also approve Guidelines.

4.8 Procedures, typically developed at the operational level, provide statements

outlining the actions or steps to be undertaken to implement a University policy or process. Procedures which may be supported by forms or templates, will be approved by the individual responsible for the implementation of the process (normally at Head of School/Manager/Director level). Procedures may either be applicable to students and/or staff across the University, or be School/Centre specific.

4.9 All University policies will comply with the principles of accessibility and

user-friendliness. Policies will be written in plain English and will use inclusive and permissive style language.

4.10 All policies will be presented in the standard ECU policy format using the policy template (unless it is a plan, charter or code, in which case the form appropriate to these documents will be used);

4.11 Policy development will give due consideration to the following:


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• Clarity: In addition to the use of plain English writers must develop policies that are readily understood by readers who do not necessarily have expertise in the subject matter. The user of a policy should be able to understand what is required of them or of others, and who to go to for further assistance. Ideally the policy will also articulate why it is important to undertake activities in the required manner and what the consequences are (for individuals and for the University) of non-compliance.

• Accountability: Individuals are accountable for their actions and are expected to follow University policy. The University’s Code of Conduct requires that staff comply with University policies.

A sound policy framework assists individuals in their day-to-day decision-making as it outlines levels of accountability with in the University.

• Proximity: Responsibility will be closely located to the activity. The policy owner is the person with responsibility for the activities carried out pursuant to the policy

• Feedback: Provision is made for regular review and updating of policies, thus providing a continuous, active and responsive process.

• Externality: Policy development will, where appropriate, utilise external points of reference (for example, benchmarking with other universities).

• Transparency: There will be clarity and transparency about the policy making process.

• Accessibility: All members of the University community will have ready access to policies through the normal use of the ECU website without having to request permission for an access code to the policy sections.

• Consistency: The policy content will be consistent with the University’s legislative framework (including the ECU Act, University Statutes, Rules, By-Laws, the policy framework and current policies).

4.12 Policies will be developed through a process of consultation – this not only makes for better policy documents but it will also help the writer to ensure that the requirements for compliance and consistency are met. A consultative process will ensure relevant committees and stakeholders are consulted and risk management assessment and strategies are considered as early as possible in the development of the policy. Policies are an important part of the University’s risk management strategy. In considering whether or not a policy is required, writers should undertake a brief risk assessment strategy. Where the risk is considered to be low, is possible that there is no need for a policy. For matters that are considered to be a high or significant risk, policies should be developed as a matter of urgency.

4.13 Wherever possible the reader should be able to easily access all the material relevant to the subject matter of the policy. For example, Guidelines may be attached to the policy, hyperlinks may be included to link directly to forms etc – BUT when using hyperlinks care should be taken to link to permanent web pages, and not to specific documents to prevent broken links.

Approval Processes

4.14 Policies will be approved by either the University Council or the Vice-Chancellor. Policies fit within a policy approval hierarchy. Authority to approve a particular policy may be stated in the:


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Edith Cowan University Act 1984 University Statutes University By-laws University Rules Matters to be Reserved to Council Resolutions of the University Council and Current ECU policies

4.15 In determining whether or not a policy requires Council approval, consideration will be given to issues such as:

• whether or not the issue is listed in the Matters to be Reserved to Council; • strategic implications and risks that will impact on the direction of the

University • symbolic implications for the University • the impact on the reputation of the University • the effect on the student population • the effect on staff

4.16 University Council will approve high level University policies where Council scrutiny is appropriate, consistent with the Matters to be Reserved to Council, and with the ECU Framework for Instruments of Governance (approved by Council in August 2006), attached as Schedule 1.

4.17 The Council focus therefore is on higher order strategy formation, policy making, accountability and monitoring/supervision. Council sets broad policy and planning guidelines through which more specific policy and process are developed. Council would generally approve ECU policies that deal with broad strategic or governance issues or set broad policy and planning guidelines. This would include those policies which have high-level strategic implications (including those which deal with strategic risks); those which apply only to the Vice-Chancellor; or those which deal directly with the operation of the University Council.

4.18 As a general guide the greater the implication and risk, effect or breadth of

application of the policy matter the higher the level of policy approval required. 4.19 The hierarchy is illustrated in Schedule 2:

Policy Implementation 4.20 The Policy Owner is responsible for all aspects of policy implementation. This

includes, but is not limited to:

• Communication of the policy to the appropriate members of the University community;

• Provision of advice on all aspects of the policy; • Development of supporting documents such as Guidelines, Procedures,

Handbooks, Forms, Templates etc; • Development of any staff training that is required; • Maintaining the policy so that it remains current; • Undertaking regular reviews of the policy (as a minimum, in accordance with

the review process outlined below); • Monitoring of the day-to-day operation of the policy including compliance,

impact and consistency in application; • Overall compliance with the policy. The Policy Owner may not be able to

directly control the day to day activities of others, but the owner will take steps


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to check on compliance and to manage any risks associated with non-compliance.

Review Process

4.21 As a minimum, the Policy Owner will undertake a review of the policy:

4.21.1 three years after the date of approval or the latest date of amendment to the policy; or

4.21.2 whenever there is a significant relevant change of circumstances.

4.22 The Office of Governance Services will contact policy owners at the start of each year and provide a listing of policies which are due for review during that year. It is the responsibility of the Policy Owner to undertake steps to review the policy and to complete the processes needed to ensure that the policy is updated by the review date.

4.23 After review, the policy must be re-submitted through the Policy Approval process for approval if changes other than minor amendments are required.

5. RELATED DOCUMENTS 5.1 Policy Owners must confirm that the content of a policy is consistent with the

University’s policy and legislative framework including the University Rules, ECU Act and Statutes.

5.2 The related Policies, Rules, Statutes and/or ECU Act provisions must be highlighted and linked to the policy through the Related Documents section.

5.3 Titles of relevant documents or policies should be referenced and hyperlinked to appropriate web pages where possible.

5.4 This Guide should be read in conjunction with the Policy Framework.

6. CONTACT INFORMATION

Contact Person: Position title of job-holder able to answer queries on the policy

Telephone: Phone Number Email address: Email address Policy Owner: Normally either an Executive Dean or Centre Director, or

in the case of Academic Board, the Academic Secretary. 7. APPROVAL HISTORY

Policy Approved by: Policies will be approved by either the Vice-Chancellor or Council.

Date Policy First Approved: Date the policy was first approved by either the Vice-Chancellor or Council.


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Date last modified: Date that the policy was last amended.

Revision History: A list of all approved amendments and revisions made to the policy since it was first approved.

Next Revision Due: Date that the policy is next due for review.

TRIM File Reference The number of the University Records File that relates to the policy.


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For this Guide to the Drafting of Policies CONTACT INFORMATION

Contact Person: Council Secretary Telephone: 08 6304 2453 Email address: [email protected] Guidelines Owner Council Secretary

APPROVAL HISTORY

Policy Owner: COUNCIL SECRETARY

Policy Approved by: University Council [UC128/20]

Date Policy First Approved: 26 June 2008

Date last modified: 10 December 2012 – addition of 4.4 provisions regarding the need to ensure that policies are enforceable under the University Rules and Statutes

5 November 2015

Revision History: 16 August 2012 - Minor amendments only.

5 November – Minor amendments only.

Next Revision Due: August 2018

TRIM File Reference Sub/2824

FURTHER INFORMATION For further information on the Policy Framework or any aspect of policy development,

please contact the Manager, University Governance:

Tony Lazzara University Governance

Strategic and Governance Services Centre Edith Cowan University

Email: [email protected]

Telephone: 08 6304 2706


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Schedule 1

ECU Framework for Instruments of Governance The instrument is appropriate in the following circumstances:

ECU Act University Statutes University Land &

Traffic By-Laws (Section 29 ECU

Act)

Rules Council Policies Management Policies

Scope: binds the public, students, staff & Council

binds students, staff & Council

binds the public, students, staff & Council

binds students, staff & Council

may apply to staff, students & Council

may apply to staff & students

Susceptibility to Change: for provisions expected to change infrequently

for provisions expected to change infrequently

for provisions expected to change infrequently

for provisions which may be subject to change every few years



Authority/Scrutiny: where Parliamentary scrutiny is in the public interest

where Council & Parliamentary scrutiny is in the public interest

where Council & Parliamentary scrutiny is in the public interest

where Council scrutiny is appropriate

where Council scrutiny is appropriate

where Council scrutiny is not required

Purpose: establishing and defining the University and its purpose establishing the most important elements of the University’s governance environment including the fundamental

prescribing conduct which is of the penultimate level of importance to the governance of the University where it is intended to bind equally the conduct of staff,

prescribing the conduct of all persons including members of the public when on University lands (or accessing University services ?)

providing a detailed prescription of conduct (such as admin procedures) within parameters stipulated in a University Statute where it is intended to bind equally the conduct of staff,

guiding or prescribing conduct or articulating the University’s public position Addressing matters which are of the penultimate level of importance to the governance and

Guiding or prescribing conduct which is important to the governance and management of the University in areas which are within the authority of the CEO


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sources of authority & formal advice (ie. Council, CEO, Academic Board etc)

students & Council to create an environment of mutual accountability (ie. Appeals procedures) to provide guiding parameters for both Council & management policies to create authority for a Rule that regulates conduct in detail to guide or limit management authority

students & Council to create an environment of mutual accountability (ie. Appeals procedures) to guide or limit management authority

management of the University as per the Policy Approval Hierarchy, including – a. prescriptions

regarding the strategic position and direction of the University;

b. symbolic matters of the highest importance to the public standing of the University; and

c. the self governance of Council.

d. to provide guiding parameters for Management Approved Policies

e. to guide or limit management authority

* the Council Code of Conduct may reference relevant prescriptions of conduct in management approved staffing policies

Approved by Council 17 August 2006


29


ECU Act

Statutes and By Laws

Rules

Policies (Council- or VC- approved)

Guidelines

Procedures/Forms/Processes


30


Schedule 2 Approval Level Legislative Context Document

within the Policy

Framework

Parliament • ECU Act and other relevant legislation;

• Statutes & By Laws

HIG

HER

OR

DER

Council • Rules • Matters to be

Reserved to Council, including strategic level policies

Strategic

• Strategic Implications

• Impact on direction of the University

• Promotes Mission

MID

DLE

OR

DER

Vice-Chancellor

Policies Organisational

• University-wide • Compliance with

law • Reduces risk • Reputational

impacts • Long-term

application

LOW

ER O

RD

ER

PRO

CED

UR

ES School

Boards/ Executive Deans/ Directors

Procedures Operational procedures / guidelines

• Procedural detail on day to day operational issues

adapted from Yellowlees (2005) Examples:

Approval Level Examples* Comment

HIG

HER

OR

DER

PO

LIC

IES

Council • ECU Qualifications Framework;

• Policy dealing with Fraud & Misconduct at ECU;

• Policy on Nominations to Council and Bodies Approved by Council

Aim: to have a small body of Council-related or very high level strategic policies approved by Council

MID

DLE

O

RD

ER

POLI

CIE

S

Vice-Chancellor

• Staff Code of Conduct; • Critical Incident

Management; • Joint ventures

Aim: to greatly reduce the current policy set to include only high level, over-arching policies (ensuring that we include those required by legislation) which set the principles, direction and strategic intent to guide decision-making within ECU.

LOW

ER O

RD

ER

PRO

CED

UR

ES School Boards

/Executive Deans /Directors

• Freedom of Information – ECU’s Information Statement

• Cabcharge procedures; • IT Backup and restoration

procedures

Aim: to place procedural documents outside the policy set.

*NB the examples are illustrative only


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POLICY TEMPLATE

[Policy Code and Title] Page 1 of 3 All printed copies are uncontrolled. For the latest version of this policy always check the Legislation & Policy Search Directory.

Issue Date


Policy Title:

Policy Owner: [Position Title]

Keywords:

Policy Code: [to be completed by the University Governance Unit]

Intent Organisational Scope Definitions Policy Content Accountabilities and Responsibilities Related Documents Contact Information Approval History

1. INTENT

2. ORGANISATIONAL SCOPEAll ECU Students and Staff*All ECU staff*ECU Students, staff and Council Members*ECU contractors*ECU Students, staff, Council Members and Contractors*Other*…………………………………………………………


3. DEFINITIONS

TERM DEFINITION

4. POLICY CONTENT

4.1

4.2

4.2.1


ATTACHMENT C


32


POLICY TEMPLATE


Issue Date


In relation to this policy, the following positions are responsible for the following

Policy Owner

The Policy Owner…………………………… has overall responsibility for the content of this policy and its operation in ECU.

[add other responsibilities or other staff with specific responsibilities as required]

Staff/students/contractors* (* delete as appropriate)

Staff/students/contractors are required to … .[for example: comply with the content of this policy and to seek guidance in the event of uncertainty as to its application.] All members of the University community are expected to comply with University Policy.

6. RELATED DOCUMENTS:

6.1 The policy is supported by the following Guidelines:

• [add as appropriate, indicating where the document is located if it is not attached to the policy]

6.2 Other documents which are relevant to the operation of this policy are as follows:

• [add as appropriate, indicating where the document may be located. Links may be

added, but only where the link is to a permanent webpage]

7. CONTACT INFORMATION For queries relating to this document please contact:

Policy Owner [Position title] All Enquiries Contact: [Position title] Telephone: 08 xxxx xxxx Email address: @ecu.edu.au [add hyperlink]

8. APPROVAL HISTORY

Policy Approved by:

Date Policy First Approved:

Date last modified:

Revision History:


33


POLICY TEMPLATE


Issue Date


Next Revision Due:

TRIM File Reference


34


Guidelines Template

Page 1 of 3 All printed copies are uncontrolled. For the latest version of this policy always check the Legislation and Policy Search Directory [Date]


GUIDE TO ….Guidelines to be used in conjunction with Policy…

Guideline Owner: [Position Title]

Keywords:

Intent Organisational Scope Definitions Guidelines Content Accountabilities and Responsibilities Related Documents Contact Information Approval History

1. INTENT

2. ORGANISATIONAL SCOPEAll ECU Students and Staff*All ECU staff*ECU Students, staff and Council Members*ECU contractors*ECU Students, staff, Council Members and Contractors*Other*…………………………………………………………


3. DEFINITIONS

TERM DEFINITION

4. GUIDELINES CONTENT

4.1

4.2

ATTACHMENT D


35


Guidelines Template



4.2.1 4.2.2


In relation to these guidelines, the following positions are responsible for the following Guidelines Owner The Guidelines Owner…………………………… has overall responsibility for the content of these guidelines and its operation in ECU. [add other responsibilities or other staff with specific responsibilities as required] Staff/students/contractors* (* delete as appropriate) Staff/students/contractors are required to … .[for example: comply with the content of these guidelines and to seek guidance in the event of uncertainty as to its application.]

6. RELATED DOCUMENTS:

6.1 The policy and guidelines are supported by the following:

• {add as appropriate, indicating where the document is located if it is not attached to the policy or guidelines}

6.2 Other documents which are relevant to the operation of the policy and guidelines are

as follows:

• {add as appropriate, indicating where the document may be located. Links may be added, but only where the link is to a permanent webpage}

7. CONTACT INFORMATION For queries relating to this document please contact:

Guidelines Owner [Position title] All Enquiries Contact: [Position title] Telephone: 08 xxxx xxxx Email address: @ecu.edu.au [add hyperlink]


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Guidelines Template



8. APPROVAL HISTORY

Guidelines Approved by:

Date Guidelines First Approved:

Date last modified:

Revision History:

Next Revision Due:

TRIM File Reference


37


ECU Joondalup Campus, 270 Joondalup Drive, Joondalup WA 6027

Purpose To inform you of the *development/updating/amending (*select) of the [XX] Policy and seek your approval of the policy.

Background 1. [Summarise the reasons for the amendment/s and detail the changes. This need not be lengthy but should

draw the attention of the VC to the main changes. If necessary, these can be highlighted in the policy (whichmust be attached). A tracked changes version of the policy is usually the most helpful.

2. Include any key points of interest such as:a. Other institutions benchmarked against; best practice; innovative etc.b. What the consultation process was and chronological history of which committees considered the

policy, on what dates and the progress of the policy.c. Any implementation issues.d. Include resolution number and text of the committee or person recommending the policy to be

approved, eg. University Executive, Academic Board or Resources Committee etc.e. Any urgency and/or timeliness required for approval and reason why.

I attach a tracked changes version of the policy for your review.

Recommendation I recommend that you approve the *new/amendments to (*select) [XX] Policy.

[Policy Owner / Contact Person] Name Title

Name Date Signature

ENDORSED [Insert name] Policy Owner (if the Policy Owner is not the author of this memo) [Insert title]

Delete this row if not applicable

ENDORSED [Insert name] Relevant Senior Executive – eg. Senior Deputy Vice-Chancellor / Vice-President (Corporate Services) (if Senior Executive is not the Policy Owner) [Insert title]


………………………………………………………… PROFESSOR STEVE CHAPMAN VICE-CHANCELLOR Dated:

[ ] Approved

[ ] Not approved

MEMO To: Professor Steve Chapman, Vice-Chancellor

From: [Policy Owner / Contact Person]

Cc: Ms Jo Quinn, Director & General Counsel, Strategic and Governance Services Centre

Subject: XX Policy

Date: File Ref: SUB/xxxxx

[Insert School/Service Centre]

ATTACHMENT E


38

ECU Joondalup Campus, 270 Joondalup Drive, Joondalup WA 6027 Telephone: Facsimile:

Purpose To seek your approval for the rescission of [XX] Policy.

Background 1. Summary of the reasons the policy is being rescinded. If necessary include information regarding where the

policy content may now reside i.e.: another policy, within guidelines. A copy of the policy to be rescindedmust be attached for information.

2. Include any key points of interest such as:a. Other institutions benchmarked against; best practice; innovative etc.b. What the consultation process was and chronological history of which committees considered the

policy, on what dates and the progress of the policy.c. Include resolution number and text of the committee or person recommending the policy to be

rescinded, eg. University Executive, Academic Board or Resources Committee etc.d. Any urgency and/or timeliness required for rescission approval and reason why.

Recommendation I recommend that you approve the rescission of [XX] Policy.

[Policy Owner / Contact Person] Name Title

Name Date Signature

ENDORSED [Insert name] Policy Owner (if the Policy Owner is not the author of this memo) [Insert title]


ENDORSED [Insert name] Relevant Senior Executive – eg. Senior Deputy Vice-Chancellor / Vice-President (Corporate Services) (if Senior Executive is not the Policy Owner) [Insert title]


………………………………………………………… PROFESSOR STEVE CHAPMAN VICE-CHANCELLOR Dated:

[ ] Approved

[ ] Not approved

MEMO To: Professor Steve Chapman, Vice-Chancellor

From: [Policy Owner / Contact Person]

Cc: Ms Jo Quinn, Director & General Counsel, Strategic and Governance Services Centre

Subject: Rescission of XX Policy

Date: File Ref: SUB/xxxxx

[Insert School/Service Centre]

ATTACHMENT F


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[Insert name of Centre] Policy Review Process Template

The [insert name of your internal committee/group] within the [insert name of Centre] is responsible for coordinating the review and revision of policies and guidelines.

These reviews are undertaken in accordance with a schedule maintained by the Office of Governance Services and in alignment with the University’s Policy Framework and the ECU Guide to the Drafting of Policy Documents which emphasises the need for the policy to align with the University Statutes, Rules and By-Laws, where relevant.

The purpose of this document is to outline the process and tasks associated with the review of policy documents and to summarise the roles and responsibilities of those engaged to assist with the review.

Review Process

ECU policies are normally reviewed three years after the date of approval or after the latest date of amendment to the policy. Where either the [insert title of personnel] or any other officer within [insert name of Centre] is identified as the Policy Owner of a policy that is due for review, [insert name of your committee/group] will facilitate the following process:

1. Initiation

At the appointed time, [insert name of internal committee/group] will commence the review of apolicy and undertake an initial assessment to determine its compliance with the most currentUniversity Policy Framework.

Key policy content experts will be identified, in liaison with the Policy Owner, and an initial meetingwill be arranged by [insert name of your internal committee/group] with these officers to discuss thereview. Ahead of the meeting, a copy of this process document will be provided as well as anelectronic Word version copy of the policy under review together with any feedback arising out ofthe initial [insert name of your internal committee/group] assessment.

2. “Kick Off” Meeting

At this meeting, the scope and extent of the policy review is determined, i.e. is a minor or majorreview required; is the policy no longer required; could it be combined with an existing policy etc?Roles and responsibilities are also agreed, as well as the identification of whether there are otherkey stakeholders who will need to be consulted.

Confirmation of the timelines for the completion of the review will also be discussed. Most [insertname of area/centre] policies will need to be endorsed by [insert body approving the policy] andthen forwarded to [insert name of committee] ahead of ultimate approval by the Vice-Chancellor[note: not all policies have to be approved by the VC]. Timelines will, therefore, need to bediscussed in light of the meeting dates and document deadlines of these relevant governing bodies(see Appendix 1 [for Appendix 1 list the dates of the internal committee/group meetings and also therelevant University committee meeting dates]).

The management of versioning control of the document in HPRM will be discussed. [Staff fromRecords can be of assistance with this matter.]

[You may wish to invite the relevant staff member from the Office of Governance Services (one whois assigned to your policy portfolio) to attend this “Kick Off” meeting.]


40

rshenton

Typewritten Text

ATTACHMENT G


3. Review

The review will be conducted in accordance with the agreed scope, roles and responsibilities andany proposed changes tracked in the Word version of the policy provided.

Review tasks may include undertaking benchmarking activities to compare ECU’s policy with that ofother institutions. Key stakeholders would normally also be aware of any issues associated with thecurrent policy and should be consulted to incorporate their feedback.

4. Approval

Once the proposed changes have been agreed to by key stakeholders, particularly the PolicyOwner, [insert name of your internal committee/group] will prepare the necessary paperwork tosubmit the policy to the first available [insert name of University committee/group] meeting. If thepolicy is endorsed by [insert name of your internal committee/group], [insert name of your internalcommittee/group] will then also complete the necessary paperwork and ensure it is submitted to thenext [insert name of your University committee/group] meeting.

If not endorsed by either [insert name of your internal committee/group] or [insert name of Universitycommittee/group], feedback will be discussed with the policy content experts and changes made tothe policy as needed. If endorsed, submit to the Vice-Chancellor for approval (if required) or to therelevant delegated approval authority and provide a copy of the final policy along with a copy of theapproval documentation to the Office of Governance Services to upload on the Policies Database.

5. Implementation

The final stage of the review is the implementation process, which is normally managed by thepolicy content experts. Once the policy has been published, it is important that those impacted arenotified accordingly. Communication mechanisms should be selected to ensure the most effectiveimpact. Additionally, processes and procedures may need to be modified to align with the policy.

Questions?

If you have any queries in relations to the policy review process, please contact:

[Insert name and contact details of staff member/s]

University Governance - Policy Development: http://intranet.ecu.edu.au/staff/centres/office-of-governance-services/our-services/policy-and-legislation/policy-development


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