Policy Framework Policy

All members of the University (University members).

To ensure that policy documents are developed, reviewed, amended and applied in a consistent and transparent way, and to outline key responsibilities.

The Policy Framework Procedures (Procedures) and document templates specify how policy documents are to be developed.

Policy documents define the University’s position and requirements, consistent with its purpose, functions and duties, the principles of Te Tiriti o Waitangi, the implementation of its strategic plan, Taumata teitei, its legal obligations and the management of its affairs.

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

• clear
• consistent
• unambiguous
• readily accessible.

1. University approved policy documents must be displayed on the Policy Hub which is administered by the University Committee Executive.

2. Policy documents must be developed, reviewed and approved in accordance with this policy and the Procedures.

3. The default review period for policy documents is five years from the date of the last review, or the date of commencement for new policies, but the policy owner may request an earlier review date or a shorter review period as appropriate. The failure to review a policy document on the review date does not affect its validity. The policy owner or approval authority may initiate a review of a policy document at any time before the review date.

Note- The approval authority may, for example, initiate a review to consider specified matters that may require substantive change to a policy document where the policy owner has completed a review and determined that no substantive change was required.

Compliance

4. University members must comply with the laws of Aotearoa New Zealand, relevant policy documents and directives in related documents.

5. University members must ensure that their decisions and actions are consistent with relevant policy documents and directives in related documents.

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

Document hierarchy

7. Policy documents uploaded to 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 in the table below.

Note - Statutes, regulations and guidelines are not policy documents and have been included in the table for information only.

8. In the event of an inconsistency between the policy document types listed above, the document higher in the hierarchy will prevail to the extent of the inconsistency.

9. A policy document will remain in force unless it is formally revoked in writing by the relevant approval authority. Where a policy document is revoked, the policy owner must notify the University Committee Executive accordingly.

Policy development

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

Policy owner

11. Each policy document must have a policy owner who is at level 2A or higher on the University’s Organisational Structure. For the purposes of this policy, level 2A is deemed to include the Chief Financial Officer, Chief Digital Officer, Chief Property Officer, Pro Vice-Chancellor Education, Pro Vice-Chancellor Equity, University Librarian and the Dean of Graduate Studies.

Approval authority

12. All new policy documents and substantive changes to existing policy documents must be approved by an approval authority determined in accordance with items 13-16.

13. A policy owner must not be the approval authority for a policy or procedure that they own. A policy owner may be the approval authority for a standard or guideline that they own.

14. Council will approve policy documents that:

• relate to the appointment of Council members
• contain the delegation of a power reserved to Council in section 283(2) of the Education and Training Act 2020
• must be referred to Council because the Vice-Chancellor is the policy owner
• the Vice-Chancellor considers appropriate to refer to Council for approval.

15. Subject to item 14, the Vice-Chancellor will approve academic policies after requesting and considering the advice of Senate and any other University board, committee, or body that is responsible for giving advice in relation to, or for giving effect to, University policy with respect to the matter.

16. Subject to item 14, the Vice-Chancellor will approve non-academic policies after requesting and considering the advice of any University board, committee, or body that is responsible for giving advice in relation to, or for giving effect to, University policy with respect to the matter.

Note - If a policy document contains both academic and non-academic components the Vice-Chancellor will determine whether it is to be treated as an academic or a non-academic policy for the purposes of this policy.

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 are reviewed and the outcome of the review is notified to the University Committee Executive by the review date shown on each document
• assigning a 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 is correct and aligned to the University’s purpose and to other policy documents
• ensuring that policy documents conform to legislative and University requirements and are correctly formatted
• ensuring the feedback, endorsement and approval processes are carried out appropriately
• communicating the policy document
• implementing an approved policy document.

19. The content manager is responsible for:

• managing the policy documents to ensure that they are consistent, current and supported by relevant additional documents such as guidelines and forms
• managing the content and updating of the policy documents and the linking of any additional documents
• liaising with the appropriate Portfolio Policy Coordinator and other content managers as appropriate
• dealing with queries about the content, application and compliance with the policy documents.

20. The Portfolio Policy Coordinators are responsible for:

• ensuring that policy documents to be uploaded to the Policy Hub comply with this policy and the Procedures
• advising on the development, consistency and approval processes of policy documents.

The following definitions apply to this document:

Academic policy is a policy document that concerns matters relating to courses of study or training, awards (a certificate, diploma, or degree), or other academic matters.

Notes:
- Examples of academic policies include policies relating to programme admission, teaching, assessment, research, doctoral study, and academic quality reviews.
- Examples of non-academic policies include administrative and management policies such as policies relating to finance, human resources, and the digital environment.

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

Note - If a committee is the approval authority, the chair will be responsible on behalf of the committee members.

Council  is the governing body of the University.

Policy document  refers to policies, procedures, and standards.

Policy Hub  is the University’s policy website.

Procedures means the Policy Framework Procedures.

Staff member means an individual employed by the University on a full time or part time basis. This includes permanent, fixed-term or casual staff members and adjunct appointees.

Student means a student enrolled in a course of study at the University.

University means Waipapa Taumata Rau | University of Auckland and includes all subsidiaries.

University members include members of Council, committee members, students, staff members, committee appointees, contractors, subcontractors, and the board and staff of Auckland UniServices Limited.

Include the following:

• Education and Training Act 2020
• University of Auckland Act 1961
• Taumata Teitei | Vision 2030 and Strategic Plan 2025
  
• Policy Framework Procedures
• All relevant employment agreements
• Policy template
• Procedures template
• Standards template
• Guidelines template
• University Organisation Structure

Owner: Deputy-Vice Chancellor Operations & Registrar 
Content Manager: Deputy-Vice Chancellor Operations & Registrar 
Approved by: Vice-Chancellor
Date approved:  22 April 2022
Date last reviewed or amended: 21 October 2024
Next review date:  21 October 2029