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 (collectively, policy documents) by:

1. facilitating benchmarking and research activities
2. providing guidance on risk assessments and compliance priorities (refer Risk 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 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 its intended audiences
4. addresses any risks (refer Risk 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 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 2027 strategy and corporate 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 Policy owners may use the policy risk assessment checklist (Word) to undertake these risk assessments.

Consultation

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

1. members of the senior executive and University Leadership Team
2. other subject matter experts
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

4.10 GSU will help policy owners to develop a timeline of approval pathways and relevant deadlines.

4.11 New or fully reviewed policies must be approved by the approval authority (refer the framework).

4.12 Managerial, operational and administrative changes to a policy (and/or its procedure) may be approved in line with the UTS Delegations (refer delegation 3.14.1 and 3.14.2) and will be made by GSU.

Implementation 

4.13 An implementation plan (Word) must be included as part of the policy’s approval documentation for new or fully reviewed policies.

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

Publication

4.15 Once policies are approved, GSU will publish the new or amended policy at UTS 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 is the owner of this procedure, in line with the framework. The University Secretary and Director, Governance Support Unit is also responsible for the approval of any associated procedures, templates and training.

The implementation plan template is approved by the Director, Governance Support Unit.

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 and Director, Governance Support Unit
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 and Director, Governance Support Unit	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 and Director, Governance Support Unit	26/04/2023	03/05/2023	Substantial changes following a scheduled review.
3.1	University Secretary and Director, Governance Support Unit	17/06/2024	20/06/2024	To align with Policy Framework review.

References

Corporate governance (SharePoint)

Implementation plan (Word)

Policy Framework

Policy risk assessment checklist (Word)

UTS Delegations

UTS Policies