Policy Framework Policy

Contents

Summary

This Policy describes the principles and requirements for the development, review and management of Policies at Swinburne University of Technology (Swinburne) and explains the relationship between various levels of regulatory documents.

Objectives

This policy:

• Establishes the principles that ensure Swinburne policies are necessary, current, relevant and support the universities legislative obligations and strategy.
• Sets out the hierarchy of regulatory documents at Swinburne.
• Establishes the process and approval requirements for proposing, developing, approving, publishing, reviewing and revoking Swinburne Policies.

Scope

This Policy applies to all staff and to all Policies developed for Swinburne and its controlled entities.

Authority 

This Policy is made by the Vice-Chancellor under section 25(1)(c) Governance and Administration Statute.

Under section 24 of the Governance and Administration Statute, the University must maintain a register of policies.

This Policy includes, where indicated in the tables of roles and responsibilities, delegation of power by the Vice-Chancellor under section 26(7) of the Swinburne University of Technology Act 2010.

1. General principles

The Governance Framework^[1] specifies the purpose and effect of Policies.  Policies are to be principle-based documents that support decision making and administration.

Policy must be consistent with external legislation.  A Policy must be relevant and consistent with university legislation and strategy, transparent in its intention and meaning and developed in consultation with the Swinburne community and key stakeholders.  It must comply with the requirements set out in this Policy.

Legal, Risk and Compliance must be consulted on the development, review, management and revocation of Policies and other regulatory documents.  Legal Risk and Compliance will ensure consistency, quality, and appropriateness of all policies to ensure they are clear on intent, well informed, practical to implement and influential. ^[2]

All regulatory documents are to be publicly available on the Swinburne’s Policy Library, except those that are deemed confidential.  Access to policies applicable to staff only may be restricted.

In the event of any inconsistency between regulatory documents, the document positioned higher in the regulatory hierarchy will prevail.

All Policies must be consistent with Swinburne’s academic freedom and freedom of speech policy set out in the Governance Framework.

2.1. Policy domains/sub domains

Each Policy will be assigned to a policy domain and sub domain.  This will support the navigability of the Policy Library. The policy domains and subdomains are set out in the Policy Framework Procedure. 

3.1. Proposal

A proposal for a new Policy must specify a clear intent, reason and justification.  

It must be informed by:

• Feedback from relevant stakeholders including students and staff where relevant.
• Existing government and university legislation and other relevant regulatory documents.
• Relevant data, trends or evidence that support the need for and potential impact of the proposed Policy. 
   

Legal, Risk and Compliance must be consulted on any Policy proposal.  The proposal for Policies being made by the Vice-Chancellor, must be endorsed by a member of the University’s senior management.  The proposal for Policies being made by Council or Academic Senate must be approved by the Vice-Chancellor³.  

3.2. Drafting

A Policy must be drafted using the Policy template and follow the requirements set out in the Policy Framework Procedure.

3.3. Consultation

Consultation with the Swinburne community must occur to inform the development of any Policy or changes to existing Policy.  Who will be consulted will be dependent on the subject matter of the Policy.  Consultation should be guided by details set out in the Policy Framework Procedure.

3.4. Implementation

The implementation of a proposed Policy or amendments to an existing policy must be considered.  Elements that must be addressed are:

• The impact on members of the Swinburne community, for example, their work practices.
• The appropriate way to ensure those impacted are made aware and receive training if required.
• Any transitional arrangements required.
   

Implementation must be guided by details set out in the Policy Framework Procedure.

3.5. Approval 

All Policy documents must follow the endorsement and approval pathway as set out in the Policy Framework Procedure.  The pathway is determined by the category assigned to it.  Any diversion from this pathway must be made in consultation with Legal, Risk and Compliance.

Submissions for endorsement and approval of a policy must include details set out in the Policy Framework Procedure.

3.6. Publication

All Policies must be published on the Policy Library accessible from Swinburne’s website, as soon as practicable after approval. Legal Risk and Compliance will coordinate publishing of Policy on the Policy Library.

The Policy becomes effective on the day it is published on the Policy Library, unless otherwise stated.  Any transitional arrangements within the Policy must be considered. 

3.7. Review

The Policy Owner must review their Policies a minimum of every five years to ensure information is current, to remove those Policies that are no longer relevant, to clarify difficult to read or understand policies and evaluate the effectiveness of the Policy.

In some circumstances, Policies will need to be reviewed prior to the review date. 

These circumstances could include but are not limited to are:

• Changes in government policy or legislation
• Changes in the external environment
• Identification of risks or inconsistencies
• Organisation restructure
• New strategic direction of the University.
   

Legal, Risk and Compliance, will maintain a Policy review schedule, the date of the next review for each policy will be noted in the policy document.

The outcome of a review may be:

• No change to policy
• A minor or major amendment to existing policy
• Development of a new policy
• Revocation of the Policy.
   

A review must be conducted and reported on following the steps set out in the Policy Framework Procedure

A report is to be prepared by the Policy Owner, for the Policy approver. The Policy Review template can be used.  

3.8. Amendments

Amendments can be made to a Policy in response to a review, changes to the regulatory environment or if identified issues become apparent.

The approval pathway for amendments will be dependent on whether it is a minor or major amendment.

Legal, Risk and Compliance will make the decision as to whether an amendment is minor or major.

Minor amendments:

A minor amendment to a Policy is a change that is of an insubstantial nature, not affecting or altering the effect, responsibility, meaning or intent of any part of the Policy.  Examples of minor amendments are changes to position titles and/or editorial amendments.  Minor amendments to Policy can occur outside the policy review cycle.

Major amendments:

A major amendment to a Policy is a change that is likely to affect or alter the effect, responsibility, meaning or intent of any part of the Policy or related documents or systems.

3.9. Revocation 

A Policy may be revoked when:

• A new Policy has been approved which covers the field and supersedes the old Policy.
• The Policy is no longer relevant or required.
   

Approval to revoke a Policy follows the same pathway as an approval for a new Policy.

Submissions to revoke a policy must include details set out in the Policy Framework Procedure.

*(Staff holding, acting in or performing the responsible position or office).

Policy governance

Transitional arrangements

The following arrangements will apply until the documents have been reviewed and transitioned into Policy where appropriate.

• Documents referred to as Charters, Codes, Frameworks, Statements of Practice and Statements of Commitment will be defined as Policy.

Policy details