Frequently Asked Questions

Why do we have Policy?
What is the difference between a Policy, Procedure and Unit Rule/Work Instruction?
When do we need a Policy?
How often should policies and procedures be reviewed?
What is a Policy Owner?
What is a Policy Sponsor?
Who approves policy?
How do people find out about a new or amended policy or procedure?
How do I change a policy?
What if a policy or procedure is no longer required?
Who should I consult with when developing or reviewing a policy or procedure?

Why do we have Policy?

The University is governed by the Swinburne University of Technology Act. The Act stipulates that the University enact legislation (Statutes and Regulations) relating to the organisation and management of the University. Areas not covered by legislation are governed by policy.

Policies:

• Guide University practice;
• Help ensure compliance with laws, statutes, regulations and government requirements;
• Support the achievement of the University's mission and values;
• Reduce institutional risk;
• Have long-term application and are subject to regular review and updates.

What is the difference between a Policy, Procedure and Unit Rule/Work Instruction?

A Policy regulates, directs and controls actions and conduct. Policies can range from broad philosophies to specific rules.

A Procedure tells users how to, and who will, implement the policy. Procedures are specific, factual, succinct and to the point, and do not include detailed descriptions of routine processes, timelines, forms and templates which may be subject to frequent modification in procedures.

A Unit Rule (also known as a work instruction at Swinburne) defines the detailed steps for carrying out tasks within a procedure, or define a rule that is specific to a local organisational area.

Refer to Policy Framework for further details.

When do we need a Policy?

Anyone can identify the need for a policy. If you think there is the need for a policy, you should contact the appropriate Policy Owner to discuss the gap with them. If you are unsure who the appropriate Policy Owner is then discuss the matter with the University Secretariat.

The need for a new policy, or a review of a policy, can be driven by a variety of factors:

• Frequently occurring matters which require decision making. However, it is important to bear in mind that it is not practicable to develop a policy for every situation, especially when the situation only occurs occasionally.
• The need to address risk management or service issues.
• Legislative changes.

Refer to Policy & Procedure Development Tools for details of the process to follow when a new policy is required.

How often should policies and procedures be reviewed?

All Swinburne policies or procedures have a default review date of two years from last approval of the policy, however the policy can have a shorter review date if the Policy Owner or Approving Body believes a more regular review is required. Policies that are not reviewed within three years from the date of last review will be removed from the Policy & Procedure Directory. It is the responsibility of each Policy Owner to ensure policies and procedures are regularly reviewed.

Internal or external factors may drive the need for a policy review prior to the scheduled time.

Refer to the Policy and Procedure Development & Management policy and procedure for further details.

What is a Policy Owner?

A Policy Owner is the person with overarching responsibility for a policy and procedure. They are responsible for ensuring that:

• appropriate consultation occurs during development or review of a policy;
• new or reviewed policy and procedure is implemented, compliance is monitored and issues are recorded or resolved;
• the policy and procedure are regularly reviewed.

Policy Owners are normally heads of management units, such as Director of University Secretariat or Director of Student Operations.

What is a Policy Sponsor?

A Policy Sponsor is the person who will present the new or reviewed policy to the appropriate approving body. Project Sponsors will be a member of the University's Executive Group or the Director, University Secretariat and will normally be the person to whom the Policy Owner is responsible.

The Policy Sponsor must be consulted before the development of any new policy.

Who approves policy?

Minor amendments to a policy or procedure can be approved by the Policy Owner and University Secretariat. The definition of a minor amendment is available in the Policy and Procedure Development & Management policy and procedure.

New policies and procedures, or major amendments to policies and procedures, must be approved by Council, Academic Board, Board of TAFE Studies or Executive Group – as outlined in the Policy Framework.

The University Secretariat can provide you with assistance in determining the appropriate approving body.

How do people find out about a new or amended policy or procedure?

When a new or amended policy or procedure is formally approved, it must be published on Swinburne's Policies & Procedures Directory and will be listed under the What's New section of the University Secretariat's Policy & Procedure website for three months from the date of approval. In addition, the University Secretariat sends out official emails once a month to the University community advising of new or amended policies.

However, it is vital that the Policy Owner (or nominee) undertake specific implementation and communication activities to ensure that those affected by the policy (whether internal or external to the University) are made aware of the changes. A guide to considering appropriate implementation and communication considerations is provided in the Request for Approval Form which must be submitted with any policy and procedure requiring approval.

How do I change a policy?

If you are not the Policy Owner you need to contact the appropriate Policy Owner to explain the need and nature of the change. It is the Policy Owner's responsibility to determine whether and when the policy is required to be changed.

Refer to the Policy and Procedure Development & Management policy and procedure for definitions of major and minor amendments, and the process to follow to make changes.

What if a policy or procedure is no longer required?

Policies and procedures that are obsolete must be removed from the Policies & Procedures Directory. Approval to deletion of policies and procedures is required by the original Approving Body. Refer to the Policy and Procedure Development & Management policy and procedure for details of the process to follow.

Who should I consult with when developing or reviewing a policy or procedure?

It is important that consultation during policy development and review occurs. Details of consultation that has occurred needs to be provided to the Approving Body on the Request for Approval form.

You need to determine who may be affected by the policy or procedure and what areas of the university (including committees) would consider or be affected by the issues covered by the policy.

In most cases, the most effective consultation method is by convening a meeting to discuss the impact of the policy on various areas and to agree, in principle, on the policy or procedure content. Alternatively, or as a precursor to convening a meeting, an email seeking feedback on the policy or procedure could be sent to areas of the university affected by the policy.

The University Secretariat can provide you with advice on appropriate areas to consult.