Policy Framework

1. Purpose

1.1 Policies form part of the university’s governance framework. Policies support the UTS Act, By-law, Rules and Delegations and ensure consistency, transparency and integrity in UTS’s operations and decision-making.

1.2 The Policy Framework (the framework):

1. outlines how UTS develops, manages and implements its policies, and
2. defines the key roles, responsibilities and authorities.

1.3 The framework is supported by the Policy Management Procedure (the procedure).

2. Scope

2.1 This framework applies to:

1. all staff, students and affiliates, and 
2. the development, review and management of all UTS policies, their procedures and other supporting documents (collectively, policy documents).

3. Principles

3.1 Policies, their procedures and other supporting documents are university-wide documents that:

1. articulate UTS values, authorities and obligations, and 
2. govern behaviour, practice and deision-making.

3.2 A strong policy framework reduces risk to the university by:

1. supporting compliance with relevant sector, regulatory and legal obligations
2. providing the environment for consistency, transparency and fairness, and
3. aligning practice with the university’s values and expectations.

3.3 Policies should only be developed where there is a clear and demonstrable need. Policies should align with the UTS 2027 strategy and meet the needs and expectations of the UTS community and the wider society.

3.4 Policies are informed by UTS subject matter experts and developed through a process of stakeholder engagement. They must be accessible, fit for purpose and user-focused.

3.5 Where a rule, delegation, policy, procedure or other document is inconsistent with a superior instrument, the superior instrument prevails to the extent of the inconsistency.

3.6 This framework has the status of a policy. Staff, students and affiliates must comply with UTS policy documents.

4. Policy statements

Development and review

4.1 Each policy must have a policy owner and policy contact (collectively policy owners) who are responsible for working with the Governance Support Unit (GSU) to ensure policies are fit for purpose.

4.2 Policy owners are accountable for ensuring policies are current and accurate. GSU supports policy owners in the development and review of policies in line with this framework (refer also the procedure). Policy owners must notify GSU of any operational, legislative or other impact that may require a policy response.

4.3 Each year, GSU, in consultation with policy owners and the Office of General Counsel (OGC), develops the annual policy review and development schedule to:

1. guide policy priorities for the year (acknowledging that priorities may be subject to change as internal and external conditions change), and
2. address any identified governance and compliance risks.

4.4 GSU works with policy owners to determine how to best address identified policy gaps and risks.

4.5 Policies are normally reviewed to an agreed scheduled to ensure they remain relevant, accurate and compliant (refer the procedure). Reviews may be brought forward as necessary.

4.6 Policy owners must work with GSU to:

1. draft or review policy content
2. determine decision-making powers (either within the policy or via a delegation)
3. recommend relevant stakeholders and consultation (refer the procedure), and
4. ensure the policy is relevant, strategically aligned, implementable and compliant.

Approval and rescission

4.7 Policies are approved and rescinded by either Council, Academic Board or the Vice-Chancellor (hereafter approval authority). Typically: 

1. Council approves and rescinds governance policies that relate to and articulate strategic priorities, legislative compliance, areas of high risk and the university’s core values 
2. Academic Board, under Council’s delegation, approves and rescinds policies that relate to UTS’s learning, teaching and research activities (academic policies), and 
3. the Vice-Chancellor approves and rescinds operational policies that outline mandatory practice and decision-making principles for university business and management activities.

4.8 Policies must be approved and rescinded by the same approval authority.

Publication requirements

4.9 GSU will publish all approved policies on the official public website, UTS Policies. Policies are effective from date of publication unless indicated otherwise. Only policies approved in line with this framework and published at UTS Policies are authorised policies of the university.

4.10 Under 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).

4.11 Where a policy owner believes there is an overriding public interest against making the policy publicly available, the Policy Manager and the Right to Information Coordinator must be contacted for advice. The Right to Information Coordinator is responsible for determining whether a policy may be withheld from open publication and will provide a response to the policy owner.

4.12 When the Right to Information Coordinator makes a decision not to make a policy publicly available, a public record of the general nature of the policy and the decision not to make it publicly available will be published on the Register of undisclosed open access information.

Implementation

4.13 Each policy must have an implementation plan. Implementation plans:

1. allow the approval authority to see how the policy will be administered and promulgated
2. provide assurance to the approval authority of the policy’s effectiveness on review
3. enable the policy owner to monitor compliance, and
4. assist continuous improvement in the policy management process.

4.14 Policy owners must develop an implementation plan (Word) to include with the approval documentation submitted to the relevant approval authority.

Records management

4.15 The Policy Manager will create, maintain and manage final policy records in line with the Records Management Policy.

4.16 Policy owners must maintain and manage all records related to the implementation and operation of their policies in line with the Records Management Policy.

5. Roles and responsibilities

5.1 Framework owner: The University Secretary and Director, Governance Support Unit is responsible for enforcement of and compliance with this framework, ensuring that its principles and statements are observed in the development, review, approval and implementation of UTS policies. The University Secretary and Director, Governance Support Unit is also responsible for the approval of any procedures, templates and training associated with this framework.

5.2 Framework contact: The Policy Manager, Governance Support Unit (GSU) is responsible for the implementation of this framework and acts as the primary point of contact for advice on implementing its provisions.

5.3 Implementation and governance roles: GSU is responsible for the coordination and management of all policies published at UTS Policies. In implementing this framework, GSU:

1. determines on an annual basis the university’s top policy risks
2. provides governance advice and support to policy owners, and
3. works with policy owners on the development and review of UTS policies.

6. Definitions

The following definitions apply for this framework and all associated procedures. They are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular also include the plural meaning of the word.

Approval authority means the Vice-Chancellor, Council or Academic Board as outlined in this framework (refer Approval and rescission).

Approval documentation is the documentation that is provided to the approval authority in order to approve a policy. It can be in the form of a report or paper and include:

1. a copy of the new or reviewed policy
2. the policy’s risk assessment checklist (refer the procedure)
3. benchmarking and consultation undertaken
4. the timeline (from review or development through to publication at UTS Policies), and
5. the policy’s implementation plan.

Policy means an official UTS statement, approved in line with this framework and published at UTS Policies, that establishes a position on an issue, outlines actions and operations, governs decision-making, identifies responsible owners, and/or sets expectations for conduct and practice. Policies are mandatory and may be supported by one or more procedures.

Policy contact means a UTS staff member (normally director or senior manager who is a direct report to a band 3 or 4 position listed in the Delegations) who:

1. acts as a subject matter expert for the policy review and development process
2. provides guidance and advice as part of the policy review and development process, and
3. acts as a primary point of advice on administering or implementing the policy.

Policy owner means a UTS staff member (usually a member of the senior executive, a director or a division head/chief listed in bands 1 to 4 of the Delegations) with overall accountability for a policy. Policy owners are determined by the approval authority taking into consideration the:

1. appropriate alignment of policy area with the owner’s organisational responsibilities
2. relevant knowledge and expertise required to implement the policy
3. relative risk of policy area, and
4. potential stakeholders (for example, regulatory bodies, academic and professional staff, students).

Procedure is an operational statement that outlines the practical steps required to implement its policy. A procedure is normally approved by a member of the senior executive or relevant delegate.

Rescission means revocation or withdrawal of a policy or procedure that is no longer relevant or required.

Subject matter expert means an individual with specific skills and experience in a particular field or area who acts in an advisory capacity as part of a policy review or development process.

Supporting document, for the purposes of this framework, includes, but is not limited to, forms, guides, templates, checklists or online content specifically developed and approved by a relevant policy owner to implement and support the promulgation of a policy.

Approval information

framework contact	Policy Manager, Governance Support Unit
Approval authority	Council
Review year	2028
File number	UR17/2432
Superseded instruments	Governance Instruments Policy (2014, UR14/266)

Version history

Version	Approved by	Approval date	Effective date	Sections modified
1.0	Council (COU17-3/62)	14/06/2017	24/07/2017	New framework.
1.1	Acting Director, Governance Support Unit (Delegation 3.14.1)	23/11/2018	13/03/2019	Amendments to body of policy to apply Publications Style Guide conventions, corrections to titles of other governance instruments and minor editorial changes. Clarification of policy change process also included.
1.2	Director, Governance Support Unit (Delegation 3.14.1)	26/09/2019	01/11/2019	New principle 3.5 to confirm UTS’s commitment to inclusivity principles under Athena SWAN.
2.0	Council (COU20-6/133)	25/11/2020	31/03/2021	Minor changes and corrections as part of the three-year review process.
2.1	Council (COU/21-4/91)	18/08/2021	18/08/2021	Updated to expand potential list of policy owners to bands 1 to 4 of the Delegations with guidance and principles.
2.2	Deputy Director, Corporate Governance (Delegation 3.14.2)	31/05/2022	31/05/2022	Update to titles and alignment with delegation wording.
3.0	Council (COU/23-2/38)	19/04/2023	03/05/2023	Substantial changes following a scheduled review.
3.1	Director, Governance Support Unit (Delegation 3.14.1)	17/06/2024	20/06/2024	Changes to align terminology with the updated policy template, re-ordering of information, new information on GIPA obligations (moved from the Policy Management Procedure).

References

Delegations

Implementation plan (Word)

Policy Management Procedure

Records Management Policy

UTS Policies