Policy Framework Policy


Application


This policy and the related Policy Framework Procedures apply to all University members developing, amending or reviewing policy documents and associated guidelines.

Purpose


The Policy Framework Policy ensures that all University policy documents are developed, reviewed, amended and applied and in a consistent and transparent way, and outline key responsibilities.

The Policy Framework Procedures and templates show how policy documents are to be developed.

Background


Policy documents define the University’s position and requirements, consistent with its mission and values, in regard to core functions and processes as well as underpinning and informing the activities and decisions of University members.

To help people to understand specific requirements and to support compliance, the University needs to present policy documents that are:

  • clear
  • consistent
  • unambiguous
  • readily accessible

Policy


1.    All University approved policy documents and supporting guidelines must be displayed on the Policy Hub administered by the Policy and Compliance Officer

2.    All University policy documents must be developed, reviewed and approved in accordance with this policy and the associated procedures

3.    The default review period for policy documents and guidelines is three years from the date of the last review, or the date of commencement for new policies

Note - An earlier review date or a shorter review period, may be requested by the owner as appropriate

 

Compliance

4.    All members of the University must comply with the laws of New Zealand

5.    All members of the University must comply with all relevant policy documents and directives in related documents

6.    All members must ensure that their decisions and actions are  consistent with directions given in policy documents

7.    In the event of non-compliance with policy documents or directives in related documents, applicable disciplinary action may be taken

 

Documents

8.    All policy documents that appear on the Policy Hub will be classified as follows to ensure that the reader is clear about the mandatory status of the document. The policy framework in order of hierarchy is as follows:

Policy document type

Purpose

Statutes

Statutes are formal and binding University laws which apply to staff and/or students and are made by Council under the provisions of s194 of the Education Act 1989

Regulations

Regulations are those regulations made by Council or its delegate

Policy

Policies establish key principles and values that govern decision-making at the University and rules that are mandatory and apply across the University

Procedures

Procedures listed on the Policy Hub give detailed mandatory direction on how a policy is to be implemented

Standards

Standards listed on the Policy Hub are mandatory and specific to a particular technology or topic area

Guidelines

(which are not mandatory)

Guidelines offer approved and recommended approaches, but are not mandatory. They often give practical examples of how specific policies may apply in particular areas, and suggestions for effective implementation

9.    In the event of any inconsistency between the document types listed, the document higher in the hierarchy will prevail

10.    A policy will remain in force unless formally revoked by the relevant approval authority

 

Development

11.    Policy documents must be developed, formatted and submitted for review and approval in accordance with the Policy Framework Procedures and templates

 

Policy owners

12.    Owners of policy documents must be at level 2 (including 2A) on the University’s Organisational Structure

 

Approval

The approval authority is determined as follows:

13.    The Council will approve statutes and regulations, and those matters within its jurisdiction

14.    The Council, or its delegate, after any advice from the Senate or its delegate, will approve policies relating to academic matters, matters relating to courses of study or training, and awards

15.    The Vice-Chancellor, or delegate, will approve all general administrative and management policies (e.g. finance, HR, asset-related policies)

16.    A policy owner must not also be the approval authority for a policy that they own

17.     Policy owners may be the approval authority for standards, procedures and guidelines

 

Responsibilities

18. The policy owner is responsible for:

  • identifying the case for new policy documents and ensuring that they do not replicate other available means of achieving the desired results
  • ensuring that policy documents under review are submitted to the Policy Hub by the review date shown on each document
  • assigning a relevant content manager to each document and ensuring that they take responsibility for the appropriate drafting and maintenance of documents
  • ensuring that the content of policy documents are correct and aligned to University mission and purpose and to other policy documents
  • ensuring that policy documents conform to legislative and University requirements
  • ensuring that  policy documents are correctly formatted prior to consultation, endorsement  and approval
  • ensuring the consultation, endorsement and approval processes are carried out appropriately
  • communicating the policy
  • implementing approved policies

 

19. The content manager is responsible for:

  • managing policy documents to ensure that they are consistent, current and supported by relevant additional materials such as guidelines/ forms
  • liaising with the Policy and Compliance Officer and other content managers as appropriate
  • dealing with queries about the content, application and compliance with the policies

 

20. The Policy and Compliance Officer is responsible for:

  • ensuring that all policy documents to be uploaded to the Policy Hub comply with this policy and the related procedures
  • advising on the formatting and consistency of documents
  • developing awareness of the link between policy and compliance

Definitions


The following definitions apply to this document:

Approval authority is the name of the position or committee that is responsible for approving a policy document and subsequent compliance

Note - In the case of a committee being the approval authority, the chair will be responsible on behalf of the members

Content manager(s) is the local area subject specialist responsible for the development and any necessary updating of the content of the policy. The content manager is also responsible for the content and updating and linking of any associated documents such as guidelines and forms

Council is the Council of the University of Auckland constituted in accordance with Part 15 of the Education Act 1989 and is the governing body of the University

Policy documents is used generically in this document to include all mandatory policy documents i.e. policies, procedures and standards

Policy owner is the person whose role is responsible for the publishing, updating, approval and for communicating the policy and/or any changes that may impact others

Policy Hub is the University policy and administration website which is administered by the Policy and Compliance Officer

University means the University of Auckland and includes all subsidiaries

University members include members of Council, committee members, students, staff, committee appointees, the University’s companies’ staff and board members and contractors working for and on behalf of the University

University Organisational Structure (UOS) is a single organisational structure that has been established for the University and is maintained by the Planning and Quality Office. The UOS encompasses all staff members of the University and all revenues and costs.

Document management and control


Owner: Registrar

Content Manager: Registrar

Prepared by:  Vice-Chancellor’s Office

Approved by: The Vice-Chancellor

Date approved: 22 June 2015

Review date: 22 June 2018