Frequently Asked Questions
- When do you need a policy?
- What does the policy manager do?
- When do I send a draft policy to Legal and Compliance Services?
- Who approves policies?
- How do people find out about the policy?
- How do I change a policy?
- Who should I consult with/what committee should I put the policy through?
- Does the policy comply with legislation?
- Is the policy confidential/how can I restrict access?
- What is a policy, procedures, guidelines?
When do you need a policy?
Anyone can identify the need for a policy. If you think there is a 'gap' where a policy is required you need to identify who the appropriate Policy Manager maybe and contact them. If the policy gap is in your area you can initiate the development of the policy.
The need for a new policy may be driven by the identification of frequently occurring 'exemptions' to a policy. The need to address risk management or service issues may also drive policy development.
The trigger for policy change may arise from a regular review of the policy by the Policy Manager or by someone who has an interest in the policy may identify the need for policy change.
It may be external and stakeholder factors drive the need for a policy review prior to the scheduled time. This may arise from needs identified through stakeholder surveys, regularly occurring complaints or failures of a process to meet requirements or through benchmarking activities.
Development in policy may also be driven by legislative changes or changes to Standards.
It is the responsibility of each Policy Manager to ensure policies are regularly reviewed.
What does the policy manager do?
The Policy Manager is responsible for ensuring the policy is reviewed and reflects current needs and practice.
It is important to note that the Policy Manager manages the implementation but does not necessarily carry out the tasks associated with implementation. The Organisational Development Unit, for example, might assist with training associated with the policy roll out.
Whilst a Policy Manager may have responsibility for policy, compliance with the policy is the responsibility of the relevant Faculties and Areas covered by the policy. Occupational Health and Safety Policies, for example, may be 'owned' by the Director Corporate Risk and Edusafe but each faculty and area is responsible and accountable for compliance with the policy.
When do I send a draft policy to Legal and Compliance Services?
Legal and Compliance Services checks policies and procedures to ensure they comply with legislation and the policy framework.
LCS can also provide guidance on issues concerning the implementation of a policy, such as, should the policy apply to the Sarawak, Singapore or Sydney campuses, issues relating to how the policy will be implemented and how you consult with students and other stakeholders.
Policies must be forwarded to LCS for review before they can be submitted to a committee for approval. Sometimes a small change in wording can have significant impact. For this reason it is best if a policy is forwarded to LCS as detailed below:
- Prior to Consultation
Policies and procedures should be forwarded to LCS for review prior to consultation occurring. This will allow for the identification of any significant issues surrounding the policy to be identified at an early stage.
If a policy is not forwarded to LCS prior to consultation occurring there is a risk that the approval process of the policy will be delayed. Delays may occur when amendments are required to be carried out to the relevant policy (in order to comply with legal requirements) which will require additional consultation periods to be carried out to that affected members of the University are aware of the scope and effect of the amendments. - After Consultation
The purpose of consultation is to elicit feedback on the policy. If as a result of the feedback received from the consultation period there is a need to redraft the policy, it is best to resubmit the redrafted policy to LCS for further checking to ensure there are no difficulties with these changes. - Prior to Submission to a Committee for Approval
Policies must be submitted to LCS prior to submission to a committee for approval. If your policy is required to be submitted to another committee for recommendation to an approving committee (eg the University Teaching and Learning Committee recommends to the Academic Board) and the committee recommends changes to the policy, LCS must review these changes before the policy is submitted to the approving committee.
The number of times LCS may need to check a policy will depend on the number of times there are changes made to the policy during consultation.
If you are not sure when LCS should check the policy please submit the draft policy through the Contact Us link on the policy website.
Draft policies will be checked by LCS within 1 working week. If the policy raises complex issues you will be advised if a longer time period is required.
Who approves policies?
If a policy already exists the Policy Approver for the existing policy must approve any major changes (i.e. changes other than updating telephone numbers, contact details etc).
The approval for a policy rests with the committee/board or officer that has the power to approve policies relating to that subject matter. The committee terms of reference provide this information. Details of the terms of reference of a committee/board can be found within the constitution or relevant statute. See: http://committees.curtin.edu.au/meetings.cfm
Currently the three bodies who can approve policies are:
* Council
* Academic Board
* Planning and Management Committee
Legal and Compliance Services can provide you with assistance in determining the appropriate approval level. Please contact policy@curtin.edu.au.
How do people find out about the policy?
When the policy is approved it must be published on the Curtin Policy Website.
How the policy is disseminated will depend on the nature of the policy and the breadth of the group of people whose activities are likely to be affected by the policy. You may find it appropriate to develop brochures or how training seminars. It is the responsibility of the Policy Manager to decide how best to inform the relevant audience of the policy.
You should note there is the capacity to link procedures and forms to the policy under the "Other Relevant Documents" section at the end of the policy.
How do I change a policy?
If you are not the Policy Manager you need to identify the Policy Manager (the title is in the Responsibilities section at the end of the Policy) and contact them to explain the need and nature of the change. It is the Policy Manager's responsibility to determine whether and when the policy is required to be changed.
The type of change needs to be considered carefully as what may appear a minor change eg the title of a person may have significant consequences.
- Obsolete policy- it may become apparent that a policy has become superseded or obsolete but has never been formally rescinded. If the policy has clearly been superseded by a subsequent policy, or legislation, that deals with substantially the same matters, the Policy Manager submit a paper to the policy approver to approve the rescission of the policy. This should be done at the same time as developing the replacement policy (if there is a replacing policy).
- Changes of substance to the policy - this may include deletion of parts of the policy, addition of new sections or other substantive changes in the policy. The determination of whether something is substantive will rely on the expert judgment of the Policy Manager. Substantial changes will be required to go through the normal policy development process.
Who should I consult with/what committee should I put the policy through?
You need to determine who may be affected by the policy. In some cases the consultation may be through an email seeking feedback, convening a meeting to discuss the impact of the policy on various areas or through formal committees. You should consider what committees would consider the issues covered by the policy? The Terms of Reference contained in Constitutions/Charters of the committees will provide you with guidance on this. http://committees.curtin.edu.au/constitutions/index.cfm
You should be aware that some policies relating to staff entitlements must be presented to specific staff consultative committees. The Associate Director HR Consultancy Services can advise you on this matter. Contact Jane van den Herik at J.vandenHerik@curtin.edu.au.
Legal and Compliance Services can provide you with advice in relation to the appropriate committee pathways. Please contact policy@curtin.edu.au.
Does the policy comply with legislation?
As the Policy Manager is usually the expert in the area that has responsibility for the policy it is their responsibility to ensure that the policy complies with relevant legislation. Legal and Compliance Services can also assist in this and in relation to the University legislative framework.
The Register of Curtin's Compliance Obligations sets out the major pieces of legislation with which the University is required to comply, for example the Disability Discrimination Act 1992. Also listed is the Responsible Officer for each piece of legislation and they can assist you in determining what you are required to include/exclude in your policy and procedures to ensure compliance with the legilsation and other University policies. Please see the Legal and Compliance website for more information.
Is the policy confidential/how can I restrict access?
Policies are not confidential and are available to all members of the community. It is recommended that if there are confidential matters or Intellectual Property you wish to protect, that information should be contained in a separate document. The document can be referred to in the policy or linked to the policy, but on a restricted access basis.
Curtin University of Technology is the copyright owner of all policies.
What is a policy, procedures, guidelines?
The Policy and Procedure Development Framework policy contains the following definitions of these terms:
* A policy is a statement mandating decision-making.
* Procedures are the processes and actions involved in implementing the policy.
* A Guideline is an area specific decision on how a university policy or procedure may be implemented.
If an area considers there is a 'gap' in the University policy it is usually more appropriate to request the Contact Officer for the university policy to amend the gap in the policy
