University Policy Framework

1. Policy framework overview

2. Policy framework structure

3. Framework Principles

4. Responsibilities

5. Authorities

6. Policy Development, Revision and Review

7. Transition Provision

8. Definitions

1. Policy framework overview

The University of Adelaide's Policy Framework governs the development, implementation and review of University policies and related documents. The Policy Framework's purpose is to ensure that University policies are established, applied, monitored and reviewed consistently and appropriately across the University. All University policies are subject to a formal approval process and are stored in a centrally maintained Policy Directory.

For further information on the policy development and review process, contact the Council Secretary. For information about the content of policies, contact the relevant Policy Responsible Officer.

2. Policy framework structure

A University policy consists of Principles, Procedures or both. It has the following characteristics:

* It is of long-term application to the University as a whole or a broad cross-section of the University community.

* It helps ensure that the University complies with relevant legislation, national standards and community expectations; assists the University to attain its mission and strategic goals; promotes operational efficiency; and reduces risks.

There are three types of policies which align broadly with the University's organisational structures: academic, management and Council-related policies.

Academic policies	Learning and Teaching Research and Research Training
Management policies	Primarily administrative and operational functions which support academic activities, such as: Student Services and Administration Human Resources Health, Safety and Wellbeing Financial Resources Facilities and Infrastructure Information Technology Information Management Library Audit and Risk Management
Council- related	Supporting the operation of University Council

Principles are the standards or essential features which underpin decision-making and/or the way members of the University community conduct the activities of the University.

Procedures mandate operational activities and assign responsibilities. Procedures step through the practical actions required to support the implementation of Policy Principles, or to assist the University's operations and compliance with external requirements. Procedures may apply to a specific activity of the University or be of more general application.

Guidance documents, including Checklists, provide additional detail and context on aspects of a University policy. They may recommend particular practices or processes, or provide illustrative examples of the exercise of judgement in accord with a University policy, or list matters which might be taken into account in carrying out a University activity. Unlike Policy Principles or Procedures, they are not mandatory. Guidance documents are subordinate to policies and are not substitutes for policies.

Business Processes are the various systems (manual and electronic tasks) employed by the University to make it run efficiently, and these are outside the scope of the Policy Framework.

Templates and Forms are used to present documents in a consistent format and style, and to ensure all necessary information is collected. They also keep details and particulars, which can be lengthy and changeable, out of the policy content.

3. Framework Principles

3.1 Development and publication

All University Policies must:

1. Support and embody the University's mission, values and strategic objectives;

2. Be relevant, transparent in their intention and meaning and developed in consultation with relevant members of the University community;

3. Comply with relevant legislation and regulatory requirements;

4. Assign authority for decisions required under the policy;

5. Assign responsibility for actions required under the policy;

6. Assign a Policy Custodian who is accountable for reviewing the operation of the Policy, and for monitoring its continuing relevance and impact on the University's activities;

7. Be in accord with the Policy Framework;

8. Be developed using the Policy Template;

9. Be posted to the Policy Directory as the authoritative source to which other websites can link;

10. Use the Glossary of Terms for definitions, where appropriate; and

11. Be reviewed at least every 3 years.

3.2 Application

The following principles apply in respect of all approved University policies:

1. All members of the University community must comply with University policies when carrying out their University activities.

2. Policies must be applied fairly and consistently, in accord with general principles of common sense.

4. Responsibilities

The Policy Custodian has overarching responsibility for developing a University policy, obtaining the required approvals, and ensuring that the policy is implemented, monitored and reviewed. The Policy Custodian must be either the Vice-Chancellor and President, one of the three Deputy Vice-Chancellors/Vice-Presidents or the Council Secretary. The policies for which they are responsible reflect their portfolio responsibilities, as summarised in the following table:

Policy Custodian	Types of Policies and Procedures
Vice Chancellor & President	Alumni, Foundations, Gifts and Bequests
Deputy Vice-Chancellor & Vice-President (Academic)	Academic (i.e. Learning and Teaching) Student Administration (including Student Services)
Deputy Vice-Chancellor & Vice-President (Research)	Research (including Research Training and Commercialisation) Community Engagement
Vice-President (Services & Resources)	Media and Marketing Human Resources (including Health, Safety and Wellbeing) Financial Resources Legal Compliance and Insurance Property Management Information Management (including IT, Library and Records Management)
Council Secretary	Governance (ie Operations of Council and its Committees)

A policy may specify a Policy Responsible Officer as the primary point of contact for assistance with policy implementation, interpretation and review.

The Council Secretary is operationally responsible for maintaining the Policy Framework, Policy Archives and the Policy Directory, and monitoring compliance with the policy development and review process. The Council Secretary is also responsible for maintaining the University's Glossary of Terms and Feedback/Issues log, and for providing regular status reports to Academic Board on the development and review of policies for which Academic Board is the endorsing authority.

5. Authorities

Type	Endorsing Authority	Approval authority
Academic Policy	Academic Board	Vice-Chancellor and President (except where Council has specified it reserves the approval authority to itself)
Management Policy	Vice-Chancellor's Committee	Vice-Chancellor and President
Note: Where policies cover both the above areas, advice is obtained from both the Academic Board and Vice-Chancellor's Committee before approval
Council-related Policy	-	Council
Academic or Management policies that Council has reserved to itself for approval (as described in the Power and Authorities of Council and the Vice-Chancellor: Delegations document of 1/08/05)	Academic: Academic Board Management: Vice-Chancellor and President	Council
Policy amendments to titles, names or references that do not otherwise affect Policy content ( see 6.12)	-	Policy Custodian
Guidelines, Checklists, Templates and Forms to support an Academic, Management or Council-related policy	-	Policy Custodian
Stage One Proposal establishing a case for new or revised Academic or Management policies	-	Vice-Chancellor and President

6. Policy Development, Revision and Review

The development or revision of a University Policy may result from the

* Recognition of a need (eg legislation, new University activity)

* Change in strategy or circumstance

* Policy review timetable

* Problems in implementing and interpreting policies or gaps in policy coverage identified in the Feedback/Issues log.

Revision may include deletion of a policy where it is no longer needed.

Note: for more guidance, see FAQs

6.1 Prepare a Stage One Proposal

Once a requirement for a new or revised University Policy is identified, the Policy Custodian must prepare a Stage One Proposal establishing the case for the policy using the Proposal Template, and submit it to the Council Secretary at policies@adelaide.edu.au who will seek the endorsement of all Executive Managers. If amendments are made during the Stage One Proposal consultation process, the proposal must be re-submitted to all Executive Managers, including the Policy Custodian, for endorsement. Following endorsement, the Council Secretary will submit the Stage One Proposal to the Vice-Chancellor and President for approval.

6.2 Policy Development working group

The Stage One Proposal must provide for a policy development working group, reporting to the Policy Custodian (or delegate), to develop the policy. The working group must contain a specialist policy writer, member(s) with content expertise and, for academic policies, at least one academic staff member.

6.3 Approval of Stage One Proposal

When approving the Stage One proposal, the Vice-Chancellor and President will determine the appropriate endorsing authority for the proposed policy.

6.4 Draft Policy

Policies must be drafted in line with the Policy Framework Principles using the Policy Template, though the final policy format and structure may be determined by the policy content. Advice on language, common terms and drafting formats is contained in How to write a policy.

6.5 Use of Glossary

Unless a word or phrase is highly specialised and unlikely to be used in any other policy or context, any word or phrase that needs defining must be included in and linked to the Glossary of terms. For terms already in the Glossary, a link only is required. For terms, not in the Glossary, use the relevant section of the Policy Template to propose a phrase for inclusion. Policy writers must check the Glossary to see if terms used in the Policy need to be linked to the Glossary.

6.6 Consultation

Informal consultation with interested parties is recommended throughout the development of the policy. Once a policy has been drafted, it needs to be made available for comment by:

1. Legal and Risk (unless a Legal and Risk officer is a member of the policy development working group);

2. Staff and students directly affected by the policy; and

3. Formal committees and unions, if appropriate.

Draft policies must be published on the Draft New/Revised Policies for Comment website for feedback for an appropriate period nominated by the policy development working group, and notified to staff via Inside Adelaide. Submit drafts for comment to the Council Secretary via policies@adelaide.edu.au.

Feedback received via the Draft New/Revised Policies for Comment website will be collated and forwarded to the policy development working group by the Council Secretary. A summary of feedback must be given to the Policy Custodian before the policy is finalised.

6.7 Authorisation

The Policy Custodian submits the final draft of the new or revised policy and any supporting documentation, in accord with the Checklist requirements, to the Council Secretary at policies@adelaide.edu.au, who in turn is responsible for obtaining the relevant endorsing and approval authorities.

6.8 Communication and Implementation

The Council Secretary will load the approved policy into the Policy Directory. The Policy Custodian is responsible for putting into operation the Communication and Implementation Plan.

6.9 Records Management

The Council Secretary is responsible for registering and filing approved policy documents with the Records Management Office and maintaining the Policy Directory and Archive.

6.10 Monitoring Effectiveness

Policy users can post comments on the effectiveness of policies and any difficulties in implementation and interpretation to the Feedback/Issues log. The Council Secretary is responsible for maintaining the log and advising the relevant Policy Custodian of feedback received.

6.11 Review/Deletion

The Council Secretary must advise the relevant Policy Custodian when a policy is due for review according to the review date recorded on the policy. Policies may be reviewed outside the stipulated review cycle if a need is identified. A policy under review will not lapse until the revised policy has been approved.

Where a policy review demonstrates the need for a policy to be developed, revised or deleted, a Stage One Proposal must be prepared by the Policy Custodian and the policy development process specified in this framework followed.

6.12 Amendments Which Do Not Otherwise Affect The Policy Content

Once a University policy has been approved under this framework, amendments that reflect changes in titles, names or references, and which do not otherwise affect the policy content, may be approved by the Policy Custodian, in consultation with the Council Secretary. Such changes do not affect the formal review date. On receipt of the approved change at policies@adelaide.edu.au, the Council Secretary will upload it on the Policy Directory. This also applies to supporting documentation such as templates, guidelines and checklists, following approval by the Policy Custodian.

6.13 Policies re-approved without revision

If, after review, a Policy Custodian considers that no changes are required to an existing policy, the Policy Custodian may request the Council Secretary, in writing, to display the policy on the Draft New/Revised Policies for Comment website, with suitable background explanation, for a minimum of 4 weeks, and to notify staff via Inside Adelaide. If, in the opinion of the Policy Custodian, the feedback suggests that the policy needs revision, the Policy Custodian will prepare and submit a Stage One Proposal for a new or revised policy in accord with this Framework. If, in the opinion of the Policy Custodian, the feedback indicates that the policy does not need revision, the Policy Custodian will prepare a Stage One Proposal for continuation of an existing policy and submit it to the Council Secretary, who will seek endorsement of the policy from Executive Managers and re-approval from the Vice-Chancellor and President.

7. Transition Provision

No policy made and approved before the end of 2007 may be re-approved or re-loaded in the Policy Directory unless it has been reviewed and revised in accord with this Framework.

8. Definition

Executive Manager: any of the Vice-Chancellor and President, Deputy Vice-Chancellor & Vice-President (Academic), Deputy Vice-Chancellor & Vice-President (Research) or Vice-President (Services & Resources) (replaces definition of "Senior Executive")

Please use the following URL instead of linking to individual documents:
https://www.adelaide.edu.au/policies/604