Policy Regulation Guidance

Policies and procedures are a corner stone of a compliance culture providing a framework for how the University operates and a reflection of our values.   

Policies are a body of shared standards used to strengthen and support the University’s success.  Having the necessary policies in place, as well as a system of procedures to manage them is a critical component of the University’s Compliance Framework.   

Policies are designed to influence and determine all major decisions and actions, and all activities take place within the boundaries set by them.  

Our policies are the principles and rules, supported by guidelines, formulated and adopted by the University. These are published on the University Secretary website. 

Policies are intended to influence and determine all major decisions and actions that take place within the organisation. 

Procedures are the specific methods used to express policies in action in the day-to-day running of the University. Together, policies and procedures ensure that the required methods of governance of the University are communicated and followed by the organisation. 

Policies within the University are generally adopted by the Board of Governors (or one of its committees) or the University Executive Board. The Vice Chancellor may delegate the authority to issue policies and procedures in accordance with the University Policy Framework Regulation.   

The University Secretary shall maintain a register of staff who are given delegated authority to issue Policies and Procedures.  

Formal Guidance can be issued by the following: 

Each member of the Senior Leadership Team. 

Each member of the University Executive Board, but only in respect of the areas of responsibility or operations of their Faculty or Professional Service Directorate. 

Any person to whom the Vice Chancellor has delegated the authority to issue policies in accordance with this Policy Regulation Framework, but only in respect of the areas covered by that delegation.

The flowchart at Appendix C illustrates the process by which policies will be managed. 

This policy gives guidance on the production, approval and management of all policies produced by the University. All published policies will be held electronically and accessed through the University’s website.  

Each policy will provide a clear statement as to the way in which the University will conduct its business and will also act as a set of guiding principles to help with the decision-making process. 

This policy ensures that policy production, consultation, approval and review is auditable and effectively managed. 

This policy applies to all staff managing policy on behalf of the University. 

All Regulations, Policies, Procedures, Formal Guidance or any designated process apply to all members of the University. 

Responsibility for the production and approval process, together with the review process, rests with the Information and Compliance Unit with the University Secretary having overall responsibility for the Policy Management Framework.  

It is the responsibility of all staff to ensure that they adhere to this policy and to ensure that they familiarise themselves with the University’s policies by keeping up-to-date with changes published on the website. 

Each Policy will have a review date and should be reviewed before this date is reached. Doing this will ensure that the policies remain relevant and fit for purpose.  

All existing Policies will be flagged for review 3 months before their due date as standard; however, where a Policy is identified as requiring updating before this, the policy owner may approve an earlier review.  

All Procedures relating to Policies must be reviewed at the same time as the Policy to ensure consistency. 

As a standard, policies will be reviewed at least every three years though an earlier review date may be initiated by the Policy Owner. When a policy reaches 3 months before its review date, a reminder will be sent to the Policy Owner by the Information and Compliance Unit to review the policy. The Policy Owner will then review the policy and assess the impact of any changes. If there is no change, this will be recorded and reported to the Authorising Body.  

If the review date is missed, the published policy will be marked as "Under Review" using a watermark and a notification sent to the Policy Owner. A list of Policies that have missed their review date will be submitted to the appropriate Authorising Body by the University Secretary with an explanation for the delay as provided by the Policy Owner.   

Where a policy is not due for review, but is found to require updating, it will remain published, unless the reasons for review render it obsolete. Provided that the changes are not substantive (e.g., a drafting error, change in structure) the Policy Owner has delegated authority to amend the policy and submit for republication. Otherwise any substantive changes must be approved by the relevant Authorising Body. 

All policies will be published on the University Secretary website (unless there are data protection or security reasons not to do so although these will be noted on the website but accessible on a restricted basis via the Corporate Support Team). If not published, it will be taken that there is no policy for that area of work. This will support the transparency of data and information agenda by ensuring that anything that can be published is done so. 

The Compliance Team will be responsible for ensuring all policies are reviewed appropriately by the Policy Owner and for bringing to the attention of the relevant Authorising Body policies that have gone beyond their review date.

Board of Governors 

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University Executive Board 

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