Policy Framework

Purpose

To provide a consistent approach to the development, approval, implementation and review of University policy documents, so as to ensure that these:

• meet the University's administrative and compliance requirements
• are aligned with the University’s objectives and strategic goals
• are practical and easy to understand and implement
• are consistent with one another, and
• are appropriately approved and reviewed.

Additional information for staff involved in initiating, drafting, reviewing and overseeing University policy is available in the Policy Drafting, Review and Approval Guidelines.

Organisational scope

This policy applies to all University Statutes, University Regulations, Strategic Frameworks, Policies, Procedures, Guidelines and Codes of Practice.

Definitions

Approval Body

The relevant position or body that has authority to approve Policy Documents in accordance with the requirements of this Policy Framework.

Code of Practice

A Code of Practice sets out minimum expectations and best practice in relation to a particular matter. It may be used on external codes of practice. Compliance is mandatory.

Divisional/Departmental Documents

Divisional/Departmental Documents are advisory or operational documents relating to a specific area of the University. They can include guidelines or codes of practice specifically relating to a University Division or Department. They are supplementary to Policy Documents.

Governance Policies

Policies of significance to the overall direction and control of the University, which shall include but not be limited to key policies with significant content relating to and/or implications for:

• overall University strategy, including in relation to organisational culture and our people
• emergency management
• financial delegations
• sensitive expenditure
• treasury management
• business continuity
• asset management, including in relation to both physical and intangible assets
• information security management, including privacy and disposal of information
• protected disclosures
• procurement
• conflicts of interest
• sustainability
• University-wide risk management and control, including audit functions, cybersecurity and fraud prevention
• University-wide health and safety (but not necessarily policies dealing with specific aspects of health and safety)
• partnership with Mana Whenua, and
• representation of the University, including branding and naming.

Guidelines

Guidelines set out the University’s current view of appropriate or best practice. They provide practical examples of how specific Policies and Procedures may apply in particular areas, and recommendations for effective implementation. Compliance is expected in normal circumstances and any departure from a Guideline needs to be justifiable.

Implementation and Communication Plan

The plan for communicating new or significantly amended Policy Documents to the wider University and interested parties, and other actions or tasks to allow implementation of those Policy Documents.

Legislation

Statutes enacted by the New Zealand Parliament and Statutory Regulations made pursuant to those Statutes, and enforced by law.

Other Documents

Plans, delegation schedules and other strategic documents.

Policy

A Policy outlines the University’s position on a specific matter and the key rules and principles in relation to that matter. Compliance is mandatory.

Policy Documents

For the purposes of this Policy Framework, refers to University Statutes, University Regulations, Strategic Frameworks, Policies, Procedures, Guidelines or Codes of Practice. This does not include Divisional/Departmental Documents.

Policy Library

The University’s searchable, online policy repository, containing the current versions of approved Policy Documents.

Policy Management Group

A group convened by the Registrar and Secretary to the Council that considers policy strategy and oversees policy development and review across the University.

Procedure

A Procedure sets out, the processes, practices or actions required to implement and comply with a University Statute, University Regulation, or University Policy. Compliance is mandatory.

Responsible Officer

The staff member with responsibility for developing, seeking approval for, coordinating implementation of, and maintaining and reviewing a policy document. The Responsible Officer should not normally be the Sponsor.

Sponsor(s)

The senior staff member who advocates for a Policy Document and supports its development, approval and continuing existence. A Sponsor must be a member of the Senior Leadership Team or a Director in a Service Division.

Strategic Framework

A Strategic Framework provides a set of overarching principles and long-term goals in relation to a specific area of key importance to the University. It sets out the University’s overall direction to planning and development in that area.

University Regulations

University Regulations are high-level rules that cover the formal expectations and processes of the University concerning academic and other matters. University Regulations are established under the delegated authority of University Statutes.

University Statutes

University Statutes are formal and legally binding University rules made by the University Council under authority of section 284 of the Education and Training Act 2020.

Content

1. Principles

1. Policy Documents govern University practice and support the achievement of the University's goals, mission and objectives. Policy Documents also support the achievement of quality outcomes and reduce institutional risk.
2. Policy Documents should address matters which are of University-wide significance. Matters which have a more limited application or scope may be addressed through Divisional/Departmental documents, approved by the head of the relevant area.
3. The latest approved versions of all Policy Documents will be stored in the Policy Library on the University website. Documents in the Policy Library shall be considered the authoritative source and will apply irrespective of whether the Policy Document is due for review.
4. Policy documents must:
   1. be classified as a University Statute, University Regulation, Strategic Framework, Policy, Procedure, Guideline or Code of Practice;
   2. have a Sponsor and a Responsible Officer;
   3. be consistent with Legislation, University Statutes and University Regulations, and other University Policy Documents;
   4. be aligned with University objective and strategic goals, and;
   5. be clearly written and non-ambiguous, and presented in accordance with the formatting requirements specified in the Policy Drafting, Review and Approval Guidelines.
5. To the extent there is an inconsistency between Policy Documents, the Policy Document which is higher in the hierarchy will take precedence. The relevant Sponsors and Responsible Officers must work together to resolve any inconsistency as soon as possible.
6. The hierarchy of Policy Documents is as follows, starting with the highest level:
   1. University Statutes
   2. University Regulations
   3. Strategic Frameworks
   4. Policies
   5. Codes of Practice
   6. Procedures
   7. Guidelines
7. Policy Documents will be regularly reviewed (see clause 5).
8. The Sponsor is responsible for ensuring that a Policy Document is developed and reviewed with an appropriate level of consultation and engagement with the University community.

2. Overview

The following summarises Policy Documents and related documents at the University, including the relevant Approval Body and compliance requirements.

3. Approval of policy documents

1. All new or significantly amended Policy Documents must be endorsed by the Policy Management Group and the Sponsor prior to being sent to the Approval Body for formal approval.
2. All new or significantly amended Policy Documents must include an Implementation and Communication Plan.
3. Policy documents should be approved by the appropriate Approval Body:

4. Where a Policy Document has implications for University Council members, consultation must be conducted with the Chancellor and Pro-Chancellor prior to approval, who may require the relevant Policy Document be referred to the Council for consideration.
5. A Responsible Officer may not approve any policy document for which they are responsible.
6. When a Policy Document is approved, the provisions contained therein may take effect immediately, or may come into effect at a later date at the discretion of the Approval Body.
7. Following approval the Responsible Officer shall action the Implementation and Communication Plan, and advise the Secretary of the Policy Management Group, who will coordinate the updating of the Policy Library (normally at the time when the Policy Document takes effect).

4. Amendment of policy documents

1. Editorial amendments, which do not alter the meaning or intent of a policy document, may be approved by the Registrar and Secretary to the Council or the Chair of the Policy Management Group or their delegate. Editorial amendments include formatting changes, updates to roles, titles, names or contact information, or correction of cross-references or errors.
2. Administrative amendments, which clearly follow from other authorised University changes or from changes to legislation or other binding external rules, may be approved by the Registrar and Secretary to the Council or their delegate.
3. Minor amendments, which do not significantly alter the effect, responsibility, meaning or intent of a Policy Document, may be approved by the Registrar and Secretary to the Council/General Counsel or the Policy Management Group.
4. Major amendments, which significantly alter the effect, responsibility, meaning or intent of a Policy Document, are subject to the full approval process as described in clause 3.
5. The Secretary of the Policy Management Group is responsible for ensuring that the last approved revision of a Policy Document is recorded in the Policy Library and also managing an archive of all previous Policy Document versions.

5. Review of policy documents

1. The Responsible Officer is responsible for initiating and coordinating reviews, consulting relevant parties as appropriate, and considering:
   1. whether the Policy Document is still required
   2. whether the Policy Document is achieving its intended purpose
   3. whether content is current, accurate and well understood
   4. whether the Policy Document could be improved.
2. Policy documents are to be reviewed two calendar years from the date they first take effect and every five years after that. However,
   1. an alternative review cycle may be approved as part of the overall approval of a Policy Document
   2. where major amendments (or other significant revisions) are required outside of the standard timeframe, the Sponsor or Responsible Officer may elect to conduct a full review at that time
   3. the Policy Management Group may approve deferral of a scheduled review at the request of the Responsible Officer, who must provide a case for the deferral and first gain the endorsement of the Policy Document's Sponsor.
3. The outcome of the review shall be communicated to the Policy Management Group, who may approve or endorse recommended amendments as per clause 4.
4. Where it is recommended that a Policy Document is no longer required, the Policy Management Group may:
   1. approve the deletion where it is clear that a University-level policy document on the relevant matter is no longer required and that appropriate consultation has taken place
   2. reject the deletion of the Policy Document, or
   3. refer the matter to the Approval Body for a final decision.

Related policies, procedures and forms

• Policy Drafting, Review and Approval Guidelines
• Policy Library (including Policy Resources)

Contact for further information

If you have any queries regarding the content of this policy or need further clarification, please contact:

Email policy@otago.ac.nz