Brigid Freeman
Manager, Policy and Delegations
University of Tasmania
The National University Administration Policy Development Intensive 2010
Objectives
Examine the state of policy and policy
development in Australasian universities as
reflected through university websites
 Identify good practice exemplars and features
 Identify quality resources supporting the
university policy development cycle
 Establish models for university policy
management.

Sample







13 universities spanning all Australian States and
Territories (except Tasmania)
3 universities from New Zealand (north & south
island)
‘Sandstone’ and ‘red-brick’ universities
Research-intensive universities (including five Go8
universities)
Single (HE) and dual-sector universities (HE / VET)
Metropolitan and regional universities
One private university (Bond University).
















University of Queensland
Charles Darwin University
Bond University
University of New South Wales
University of Technology, Sydney
Charles Sturt University
University of Wollongong
Australian National University
Royal Melbourne Institute of Technology (RMIT) University
Swinburne University of Technology
University of Adelaide
University of Western Australia
Edith Cowan University
Auckland University of Technology
Otago University
Victoria University of Wellington
Research Approach






University Policy Frameworks
University Policy on Policy
University Policy Websites
University Policy Repositories
University Policy Toolkits
Core sample of four policies: Credit Policy,
Plagiarism Policy, Environmental Sustainability
Policy and Leave Without Pay Policy
Towards a definition of
University Policy Framework
The University of Wollongong’s Standard on UOW
Policy aims to: “establish a defined, clear,
identifiable, consistent and enforceable system for
the development, approval, implementation and
review of policies … (and) provide a mechanism to
ensure that policies are compliant with the strategic
direction of the University and with relevant
legislation”.
University Policy Framework defines
University ‘policy’
Range of policy instruments (e.g. Policy,
Procedure, Guideline)
 Approval Authorities for all policy instruments
(e.g. Council, Vice-Chancellor, Senior Executive)
 Policy development cycle stages
 Application of policy instruments
(i.e. university-wide and/or section-specific
or local)


Without an effective University Policy Framework
“Policy can be accessed through multiple websites …
There is no standard policy development process …
Compliance is more difficult to achieve …
Approval paths are unclear and difficult to ascertain …
Implementation is usually not considered during
development …
 Obsolete and out of date policy (is) not managed
through a policy review cycle.”





What is Policy?




Mandatory or non-discretionary …
Statements of intent or principle …
Guiding or establishing …
Conduct, practice, strategic direction, action,
operations, obligations and/or decisionmaking
Governance Documents






University legislation
University By-Laws
Statutes
Rules
Regulations and
Orders
Policy Nomenclature
Policy
Policy, Council Policy, Governance Policy,
Operational Policy, Academic Policy, Management
Policy
Procedure
Procedures, Operating Procedures, Protocols,
Processes
Guideline
Guidelines, Standards, Manuals
Local policy and Policy, Local Policy, Faculty Governance Documents,
associated
Unit Rules, Directions, Instructions and Procedures,
documents
Operational Directives, Standard Operating
Principles and Procedures, Resolutions, Work
Instructions
Policy Approval Authorities
Council
Council and/or Vice-Chancellor
Council and/or Vice-Chancellor and/or Senior
Executive (member or committee)
 In a small number of instances Academic
Board/Senate



INSTRUMENTS
University
legislation
University
By-Laws
Statutes
Government or
Council
APPLICATION
University-wide
University-wide
University-wide
University-wide
Procedures
Council and/or
Vice-Chancellor
and/or
Senior Executive
Various
University legislation
or Delegations of
Authority
University legislation
or Policy on Policy or
Delegations of
Authority
Policy on Policy
Guidelines
Various
Policy on Policy
Local Policy
Various
Policy on Policy and
practice
University-wide
or Local
Local
Policy
Government or
Council
Council or
Academic Senate
AUTHORITY
THROUGH
Australian
Constitution
Australian Constitution
or University legislation
University legislation
Rules
University Policy Framework
APPROVAL
AUTHORITY
Government
University-wide
University-wide
or Local
University Policy Development Cycle Stages
Model 1
Most
Most of these: drafting, consultation,
approval, promulgation and review
Model 2
Some
Model 3
Few
Most stages from Model 1, and one or
more of these: identification of policy
requirements, nomination of responsible
officers, endorsement, implementation and
records management
Most stages from Models 1 and 2, and one
or more of these: benchmarking, revision,
quality control, monitoring and evaluation
Identification of policy
requirements
Nomination of
responsible officers
Review
Evaluation
he National
Drafting
University Administration Policy
Monitoring
Benchmarking
UNIVERSITY POLICY
DEVELOPMENT CYCLE
Implementation
Consultation
Revision
Promulgation
Quality control
Approval
Endorsement
OSCAR Winner …
Policy Framework / Policy on Policy
he National
University
of Wollongong
University
Administration
Policy
Standard
on UOW Policy
and Procedure
for the Development and Management of UOW Policy
(http://www.uow.edu.au/about/policy/UOW058645.html)
SPECIAL MENTIONS



Victoria University of Wellington
Policy Documentation Development Information
(http://www.victoria.ac.nz/home/about/policy/default.aspx)
Swinburne University of Technology
Policy Framework, Policy and Procedure Development and Management
(http://www.swinburne.edu.au/corporate/registrar/ppd/framework.htm)
University of Adelaide
University Policy Framework (http://www.adelaide.edu.au/policies/604/)
Policy Websites

Different functions - University Policy Repository,
University Policy Framework, University Policy Cycle

University Policy Repository = ‘authoritative source’

Policy on other University webpages

Introduction of new University Policy Frameworks
impacts on navigability of Policy Websites
Skeleton Policy Website











Policy Framework
Policy on Policy
Policy Repository
Policy Toolkit
Policy News
Records Management
Legislation & Governance
Delegations of Authority
Codes of Conduct and Charters
University Plans and University Committees
Agreements
OSCAR Winner … Policy Website
he National
Australian
National
University
University
Administration
Policy(http://policies.anu.edu.au/)
SPECIAL MENTION
University of Adelaide (http://www.adelaide.edu.au/policies/)
University of Wollongong (http://www.uow.edu.au/about/policy/)
Plagiarism Policy
 Mature policy area
 heStatements
of principle widely dispersed across
National
governance
and policy
University Administration
Policyinstruments
 Policy provisions close to high level governance
instruments dealing with student misconduct
 Most use legalistic language of discipline like …..
‘Justice’, ‘Allegation ‘, ‘Offence’, ‘Plea’, ‘Hearing’,
‘Witnesses’, ‘Evidence’, ‘Transcript’, ‘Proceedings’, ‘Proof’,
‘Guilty’, ‘Offence’, ‘Discipline’, ‘Reprimand’, ‘Penalties’,
‘Fine’, ‘Enforcement’, ‘Suspension’, ‘Expulsion’
Punitive or Educative?
“University rules, policies and guidelines tend to
focus
on the punitive aspects of procedures rather
he National
University
Administration
than
the educative
andPolicy
often fail to articulate to
students why the conventions of citing and
referencing are an integral part of developing
scholarly writing skills, and why plagiarism is
considered a serious offence in the academic
environment”.
University of Adelaide, Plagiarism Policy, p7
Skeleton Plagiarism Policy









Educative, non-legalistic terms
Define plagiarism
Outline staff and student responsibilities
Procedures for educating students about good academic practice
Fair, consistent, transparent procedures for investigating and
assessing suspected cases of plagiarism
Differential treatments (naïve/intentional; formative/summative)
and differential consequent approaches
Central Register
Position on software (Turnitin, MOSS)
NZ universities – Resolution processes in keeping with Treaty
OSCAR Winner … Plagiarism Policy
University of Queensland
Academic Integrity and Plagiarism Policy and
he Nationalfor Dealing with Student Discipline and Misconduct Matters
Procedures
http://www.uq.edu.au/hupp/?page=25128
University Administration Policy
SPECIAL MENTION
University of Adelaide
Plagiarism Policy (http://www.adelaide.edu.au/policies/230) and
University of Western Australia
Guidelines for Faculties and Other Teaching and Supervision Sections at
UWA: Ethical Scholarship, Academic Literacy and Academic Misconduct
(http://www.teachingandlearning.uwa.edu.au/staffnet/policies/conduct)
he National
Environment
Policy – Minimalist Approach
University Administration Policy
Intensive 2010
 Development
Comply with
legislative and regulatory
requirements
 Comply with ethical environmental obligations
(locally and globally)
 Implement ‘best practice’ (generally non-specified)
environmental sustainability-related management
approaches and initiatives
 Undertake environmental sustainability focussed
teaching and research
he National
Environment
Policy – Emerging Policy
University Administration Policy
Development Intensive 2010
Provisions
 Introduce Environmental Management System
 Develop an Environmental Management Plan
(detailing principles, targets and initiatives)
 Establish an Environment Committee
 Promote environmental awareness and
community outreach
 Minimise environmental risk(s)
he National
Skeleton
Environment Policy
University Administration Policy
Development Intensive 2010
 Sustainable
management of the University’s natural
environment
 Sustainable management of the University’s developed
environment
 Sustainable management of natural resources
 Relevant Teaching and Research
 Environmental emergency provision (i.e. pollution)
 Interdependence of physical / cultural environment
 (NZ) Application of Treaty provisions
OSCAR Winner …
Environment
Policy
he National
University Administration Policy
Victorian University of Wellington
Environmental Policy and
Environmentally Sustainable Procurement Guidelines
http://www.victoria.ac.nz/home/about/policy/facilities.aspx#environment
Leave Without Pay Policy



Leave Without Pay Policy or Leave Policy
Presentation: Manual or Policy
Language shaping culture:
“The University recognises that the abilities of
its … staff should be made available for the
benefit of the community ... “ (UNSW)
Skeleton Leave Without Pay Policy
he National









University Administration Policy
Development
Intensive 2010
Compliance
Purposes for LWOP
Eligibility and assessment criteria
Time limits
Approval authorities
Implications for other entitlements
Superannuation arrangements
Responsibilities
Application procedure
OSCAR Winner …
he National
Leave
Without Pay Policy
University Administration Policy
University of Technology Sydney
Leave Without Pay Guidelines
http://www.hru.uts.edu.au/manual/4cond/conditions.html#4.6
Credit Policy






Credit, Credit Transfer and Recognition of Prior
Learning Policy
Mature ‘gatekeeper’ policy
Conservative progressive
Linked to Admissions, Enrolment and
Assessment Policy
Framed by legislation
Supported by Faculty/local policy
he National
University Administration Policy
Credit
Policy
Development
Influences
Development Intensive 2010
 Universities Australia / AVCC credit transfer
documentation
 Codes of Practice
 VET developments - RTOs, AQF and AQTF
 National and international qualification
recognition services
he National
Credit
Policies
Themes
University
Administration
Policy






Development Intensive 2010
Portability and articulation (VET HE)
Inter-sectoral linkages and collaboration
(between unis; across sectors RTO TAFE HE;
within dual-sector institutions)
Increasing recognition of various modes of
learning (informal and formal)
Efficiencies in education and training system
Qualification and institutional integrity
Equity mechanism.
Joint OSCAR Winners …
he National
Credit
/ RPL Policy
University Administration Policy
Swinburne University of Technology
http://policies.swinburne.edu.au/ppdonline/Default.aspx
Edith Cowan University
http://www.ecu.edu.au/GPPS/policies_db/policies_view.php?rec_id=0000000268
University Policy Management
 University Policy Framework (in the Policy on Policy)
 Clarity regarding policy approval pathways
 hePolicy
approval authorities = provisions of university legislation,
National
delegations
and Policy onPolicy
Policy
University Administration
 Clarification regarding policy cycle
 Incorporation of quality assurance stages
 Tools and resources (e.g. Policy Toolkit)
 Searchable, central Policy Repository
 Meaningful consultation and communication
 Change management
 Policy implementation monitoring and evaluation
 Transparent policy review mechanisms
The Policy Oscars: Best Practice Identified
Best Policy Framework
University of Wollongong
he National
Best Policy
Website
ANU
University
Administration
Policy
Best Plagiarism Policy
University of Queensland
Best Environment Policy Victorian University of Wellington
Best LWOP Policy
University of Technology Sydney
Best Credit Policy
Swinburne University &
Edith Cowan University