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Policy Instrument Procedure

Procedure overview

1 Purpose

To assist with the development, implementation and review of University Policy and Procedure.

2 Scope

This procedure should be read in conjunction with the Policy and Procedure Framework (the Framework) and relates to the development and review of University Policy and Procedure.

3 Procedure Overview

This procedure serves as the Policy and Procedure Manual and establishes the context and overarching processes for defining, developing and maintaining University Policy, Procedure, Policy Instruments and the Compliance Register.

4 Procedures

4.1 Policy and Procedure Framework

The Framework is a Governance Policy of the University and aims to ensure its governance and management approach is consistent with Regulatory Compliance Obligations and strategy and enables efficient and effective decision making and establishment of clear accountabilities and delegations.

4.2 Policy and Procedure Library

Policy and Procedure is published in the Policy and Procedure Library (the Library) and is governed by the Framework. The Library is the definitive publicly accessible source of current policy and procedural documentation relating to the governance, academic quality standards and management of the University.

Content is organised alphabetically and in categories that are reflective of the University's key operations.

The Library structure is supported by key governance and management structures, including its governance and management committees and the University of Southern Queensland Act 1998.

4.3 Policy and Procedure Definitions Dictionary

The Definitions Dictionary is a comprehensive list of defined terms contained in University Policy and Procedure and is a requirement of the Framework (refer Section 5.3).

Use of terms provided in the Definitions Dictionary ensures consistency across all Policy and Procedure, enhances a user's experience and mitigates legal risk.

Definitions are identified and defined in accordance with the Instructions for Writing a Definition.

4.4 Policy Change Decision Tool

The Framework (refer Section 5.6.4) provides for the continuous improvement of policy and procedure. The Policy Change Decision Tool is significantly important as it guides the user through a decision process with reference to the Framework and its defined terms to determine:

  • the need for policy and procedure
  • the degree of change required
    • no change
    • Editorial Amendment
    • Minor Amendment
    • Major Amendment.

4.5 Policy and Procedure Development Information Sheet

The Policy and Procedure Development Information Sheet provides guidance through the 12-stage development or major review cycle, identifies responsibility and provides a comprehensive list of supporting resources.

4.6 Policy and Procedure Development Flowchart

The Policy and Procedure Development Flowchart details the 12-stage process to develop or undertake a major review of Policy or Procedure.

As provided in the Framework (refer Section 5.5), each step in the process must be carried out, however exemptions may be considered on a case-by-case basis and are approved by the Executive Director (Corporate Management Services). To seek exemptions email policy@usq.edu.au.

4.7 Policy and Procedure Templates and Resources

4.7.1 Templates

The Policy and Procedure Templates are directional, annotated and formatted blank documents that provide Accountable Officers and/or Drafters with the required direction, layout and style to develop, review and implement Policy and Procedure. They are established for Drafters following endorsement of a Policy Development Proposal and include:

The following additional templates are available (with restricted access) to facilitate endorsement and approval:

  • Stage 8 Endorsement Templates:
    • Vice-Chancellor's Executive (VCE) Briefing Template - Executive Policy and Pursuant University Procedure (13/1125PL)
    • Vice-Chancellor's Executive (VCE) Briefing Template - Governance Policy, Academic Quality Policy and Pursuant University Procedure (14/689PL).
  • Stage 9 Approval Templates:
    • Vice-Chancellor's Approval Memo Template - Executive Policy and University Procedure (13/1119PL)
    • Vice-Chancellor's Executive (VCE) Briefing Template - Major Review Approval - Executive Policy and University Procedure (17/836PL)
    • Executive Policy and University Procedure Memo Template - Major Review Completion (17/837PL).

4.7.2 Resources

4.7.2.1 External Resources

Additional resources are published within the Library and are used by Accountable Officers and/or Drafters when developing new or reviewing existing University Policy and Procedure and related documentation. They include, but are not limited to:

4.7.2.2 Internal Resources

Additional internal resources are developed, maintained and used by Policy Services to assist in the implementation of the Framework and maintenance, continuous improvement and management of the Policy and Procedure Library.

Access is unique and the resources include, but are not limited to:

  • Issues Register (Policy Services) (13/987PL)
  • Compliance Register (16/1200PL)
  • Continuous Improvement Log (Policy Services) (17/1225PL)
  • Policy Activity and Institutional Priorities (17/119PL)
  • Log of Policy and Procedure Changes (15/1879PL)
  • Log of Policy and Procedure Library Enquiries (18/255PL)
  • Risk Register (Policy Services) (18/202PL)
  • Policy Services Text of Standard Email Messages (14/805PL)
  • Policy Services Stage 01 Policy and Procedure Development Proposal Checklist (13/1106PL)
  • Policy Services Stage 06 Gazettal Instructions (13/453PL)
  • Policy Services Stage 10 Pre-publication Checklist (13/1058PL).

4.8 Policy and Procedure Style Guide

The University requires that Policy and Procedure are presented in a manner which is clear, concise and consistent. Policy, Procedure or related documents must be developed in accordance with the Policy and Procedure Style Guide (the Guide).

The Guide provides the requisite rules and best practices to produce quality styled documentation to internal and external audiences.

4.9 Policy and Procedure Writing Instructions

Policy and Procedure writing instructions (the Instructions) clearly describe what information is required in each section of Policy, Procedure or related documents and how to develop and write succinctly. They include:

The Instructions must be followed when developing new and revising existing policy and be read and used in conjunction with the Policy and Procedure Style Guide and the following annotated documents:

All defined terms used in a Policy or Procedure must be placed in a list in the section marked 'Definitions' at the end of the document.

5 References

Nil.

6 Schedules

This procedure must be read in conjunction with its subordinate schedules as provided in the table below.

7 Procedure Information

Subordinate Schedules

Accountable Officer

Executive Director (Corporate Management Services)

Policy Type

University Procedure

Approved Date

8/6/2018

Effective Date

8/6/2018

Review Date

8/6/2021

Relevant Legislation

University of Southern Queensland Act 1998

Related Policies

Policy and Procedure Framework

Related Procedures

Related forms, publications and websites

Definitions Dictionary

Policy and Procedure Library Resources

Definitions

Terms defined in the Definitions Dictionary

Accountable Officer

The person or entity accountable for the Policy or Procedure and who coordinates its deployment. The Accountable Officer is also responsible for leading the review of the Policy or Procedure and will ensure that any Policy or Procedure has accurate and current Regulatory Compliance Instruments referenced. The Accountable Officer may delegate responsibility to another Employee or entity...moreThe person or entity accountable for the Policy or Procedure and who coordinates its deployment. The Accountable Officer is also responsible for leading the review of the Policy or Procedure and will ensure that any Policy or Procedure has accurate and current Regulatory Compliance Instruments referenced. The Accountable Officer may delegate responsibility to another Employee or entity.

Compliance Register

A register of all Regulatory Compliance Instruments, maintenance of which is the responsibility of the Executive Director (Corporate Management Services)....moreA register of all Regulatory Compliance Instruments, maintenance of which is the responsibility of the Executive Director (Corporate Management Services).

Council

Council means the governing body, the University of Southern Queensland Council....moreCouncil means the governing body, the University of Southern Queensland Council.

Drafter

The person or position delegated responsibility for drafting the Policy and who should be contacted for any matters relating to the specific Policy, Procedure or guideline prior to the approval process. In some instances, this may be the Accountable Officer....moreThe person or position delegated responsibility for drafting the Policy and who should be contacted for any matters relating to the specific Policy, Procedure or guideline prior to the approval process. In some instances, this may be the Accountable Officer.

Editorial Amendment

A housekeeping change to a Policy or Procedure such as updating a section or position name, contact person or reference to legislation, changing the approved name of a role, position, division or administrative unit, or a typographical error requiring correction....moreA housekeeping change to a Policy or Procedure such as updating a section or position name, contact person or reference to legislation, changing the approved name of a role, position, division or administrative unit, or a typographical error requiring correction.

Major Amendment

Changes to the purpose, scope or significant changes to the content, responsibilities, limits, assignment of powers etc. of a Policy or Procedure....moreChanges to the purpose, scope or significant changes to the content, responsibilities, limits, assignment of powers etc. of a Policy or Procedure.

Minor Amendment

A change to a Policy or Procedure which does not alter the general meaning, scope, purpose or intent of the document....moreA change to a Policy or Procedure which does not alter the general meaning, scope, purpose or intent of the document.

Policy

A high level strategic directive that establishes a principle based approach on a subject. Policy is operationalised through Procedures that give instructions and set out processes to implement a Policy....moreA high level strategic directive that establishes a principle based approach on a subject. Policy is operationalised through Procedures that give instructions and set out processes to implement a Policy.

Policy Instrument

The tools and instruments used by the University to implement its Policies, including but not limited to, Procedures, charters, schedules and manuals....moreThe tools and instruments used by the University to implement its Policies, including but not limited to, Procedures, charters, schedules and manuals.

Procedure

An operational instruction that sets out the process to operationalise a Policy....moreAn operational instruction that sets out the process to operationalise a Policy.

Regulatory Compliance Obligation

An external obligation provided in Regulatory Compliance Instruments....moreAn external obligation provided in Regulatory Compliance Instruments.

University

The term 'University' or 'USQ' means the University of Southern Queensland....moreThe term 'University' or 'USQ' means the University of Southern Queensland.

Definitions that relate to this procedure only

Keywords

Record No

18/188PL

Failure to comply with this Policy or Policy Instrument may be considered as misconduct and the provisions of the relevant Policy or Procedure applied.

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