Information Pack

University Governance Instruments Framework, and Research Training OrdinanceGovernance Instruments Review ProjectSeptember 2020

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What is covered in this presentation

Overview of the Governance Instruments Review Project

Research Training Ordinance

Transition Arrangements

Ordinances & Policies

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The University needs to redesign the governance instruments framework in line with the University’s strategic directions and People Strategy.

• The University has created a wide array of governance instruments.

• Some are requisite and others are not.

• There is considerable duplication and inconsistency across the framework

• Process for review and development are lengthy and bureaucratic and operationalisation does not always support optimal workflow.

• There is poor communication of responsibilities contributing to lack of staff awareness of their delegations and accountabilities.

• A new framework will

• support values and principles-based decision making

• devolve authority to where decisions are best placed to be made.

• require implementation of an effective delegations framework.

• support enhanced engagement and accountability at all levels of the organisation

• be underpinned by a lean approach to implementation

• enable more efficient and effective decision-making focused on achieving the University’s mission

The University of Tasmania’s governance instruments framework includes:

• The University of Tasmania Act 1992 providing broad powers to University Council

• 18 Ordinances, 13 GLPS and By-Laws

• 230+ Rules, 115 policies supported by procedures and guidelines.

A lean, principles-based framework of governance instruments that is well understood across the University community will support a consistently high standard of decision making and a culture of trust and accountability

The University’s current governance instruments framework is overly complex and does not support quality consistent decision making

The University needs a governance instruments framework to undertake its functions and maintain compliance with State and National legislation and standards

Governance Instruments Review Project Plan and associated documents

Governance Instruments Review Project Overview

The University has commissioned a review and redesign of the governance instruments framework to ensure clear and accountable decision making within the University consistent with Council delegations and supporting Lean workflows

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Council Charter

115 Policies

Gove

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ce In

stru

men

tO

pera

tiona

lise

Systems/Operating Processes

13 GLPs

Procedures

By-Laws

University of Tasmania Act

Delegations Policy

Delegations Schedules

18 Ordinances

230+ Rules

= coverage

The old framework was overly complex and not logical

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A simplified model will improve clarity

Governance Instruments Review Project intranet

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Council, Academic Senate and UET have approved all new Ordinances and Policies

Old 18 Ordinances1 Council Charter230 Rules

New 10 OrdinancesAll other matters covered by policy principles and procedures or the University’s By-laws

Current list of 18 Ordinances

• 8 Student Complaints• 9 Student Academic Integrity• 10 Emeritus Professors• 11 Alumni• 13 Academic Senate• 14 Academic Structure• 18 Intellectual Property (becomes a policy)• 19 University Institutes• 20 University Foundation Committee• 21 Student Behaviour and Conduct• 30 Endowments Prizes and Scholarships• 33 Academic Dress• 42 Affiliated Student Associations• 79 Use of Library. • 80 Statement of Affiliation of Jane Franklin Hall• 84 Council elections• 133 Director Student and Academic Services

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UTAS had 115 policies which were duplicative and siloedAcademic Staff Promotions PolicyAcademic Structure PolicyAdjunct, Clinical and Associate Titles PolicyAdmissions PolicyArt for New Buildings and Spaces PolicyAssessment PolicyAsset Management PolicyAuthorship of Research PolicyBenchmarking PolicyBreastfeeding on Campus PolicyCollaborative Research PolicyConflict of Interest PolicyConjoint Doctoral Degrees PolicyConsultancy PolicyControl of Fraud & Corruption PolicyCopyright PolicyCouncil Confidential Information PolicyCouncil Members' Access to Information PolicyCourse Advisory Committee PolicyCourse PolicyDefence Export Controls PolicyDelegations Policy and associated schedulesDisability and Health Conditions PolicyDistinguished Professors PolicyDomestic Student Fee Collection PolicyDomestic Violence PolicyElectronic Communications PolicyEmergency and Crisis Management PolicyEmergency and Crisis Management PolicyEngagement of Contractors PolicyEnglish Language Proficiency PolicyFacilities Access Control PolicyFreedom of Inquiry and the Responsibility to Publish PolicyFringe Benefits Tax PolicyFull Fee Paying and Commonwealth Supported Student Remission of Debt PolicyGene Technology PolicyGeneral Purchasing Policy

Gift PolicyGoods and Services Tax PolicyGraduate Quality Statement PolicyHeads of School PolicyHigh Achiever PolicyHigher Degree by Research Aegrotat or Posthumous Awards PolicyHigher Degree by Research Candidature Management PolicyHigher Degree by Research Graduate Research Coordination PolicyHigher Degree by Research Minimum Infrastructure and Resources PolicyHigher Degree by Research Reviews of Progress PolicyHigher Degree by Research Supervision PolicyHigher Degree by Research Thesis Preparation, Submission and Examination PolicyHigher Degrees by Research Admissions and Enrolment PolicyHospitality PolicyICT Access Control PolicyICT Security PolicyICT Services and Facilities Use PolicyInclusion, Diversity and Equity PolicyInsurance PolicyInternational Student Enrolment PolicyInternational Student Fee Refund PolicyInternational Student Transfer Release Request PolicyInternational Student Tuition Fee Collection PolicyInvestment PolicyInvoicing and Receivables PolicyIT Standard Operating Environment PolicyIT Standard Operating Environment PolicyJoint Coursework Awards PolicyLearning and Teaching Evaluation Policy

Legal Compliance PolicyManagement of Research Data PolicyManagement of Research Funding PolicyMedia PolicyNaming and Naming Rights PolicyNational Greenhouse and Energy Reporting PolicyOpen Access PolicyOverseas Study –Higher Education Loan Program (OS-HELP) PolicyParking PolicyPerformance and Career Development PolicyPhD by Prior Publication PolicyPlagiarism and Academic Integrity PolicyPolice Record Check (Students) PolicyPolice Records Check Policy (Staff)Policy Development and Review PolicyPrinting, Scanning and Photocopying PolicyPrivacy PolicyProcurement PolicyProject Management PolicyProvision of Spiritual and Pastoral Care at the University of Tasmania PolicyPublic Interest Disclosures PolicyQuality Management PolicyRecords Management PolicyRecovery Team PolicyRecruitment and Appointment PolicyRedeployment PolicyResearch Ethics PolicyResidential Accommodation PolicyResponsible Conduct of Research PolicyReviews PolicyRisk Management PolicySafe Consumption of Alcohol PolicySafe to Practise PolicyScholarships PolicyService Teaching at the University of Tasmania PolicySocial Media Policy

Space Management PolicySpringboard to Higher Education Bursary Program PolicyStaff Gifts and Benefits PolicyStudent Reservist, Emergency Services, Elite Athletes and Performers Support PolicyStudent Services and Amenities Fees PolicySurvey PolicySustainability PolicySustainable Built Environment Designs PolicyTendering PolicyTimetable PolicyTravel PolicyTreasury PolicyUniversity Behaviour PolicyUniversity Entities Governance Framework PolicyVenue Hire PolicyVeterinary Services PolicyVisiting Fellows and Visiting Scholars Program PolicyVocational Education and Training PolicyWeb PolicyWork Health and Safety PolicyWork Integrated Learning PolicyWorking with Children Policy

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Old policies were detailed and often include procedural information

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We now have 30 Policies arranged within the HESF Domains 1-7

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Res

earc

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aini

ng O

rdin

ance

Compliance Policy& Compliance Register

UN and Security Council Autonomous sanctions

Foreign Interference

Conflicts of Interest

Research Training Policy

Admissions and Enrolment

HDR Admissions, Selection & Enrolment Procedure

HDR Scholarships

HDR RTP and Other Scholarships Procedure

Academic Support, Resources and Intellectual Climate

HDR Candidature Management & Enrolment Variation

Procedure

HDR Supervision & Academic Support Procedure

Candidate Progression, Development, and Completion

HDR Academic Progress Procedure

HDR Examination Procedure

Partnerships Policy Educational Partnerships Joint HDR Procedure

Policy ProceduresPolicy Principles

Mapping the new Research Training Governance structureKey changes1. The majority of the content of Rule

4 has been included in the Research Training Ordinance and the language change to plain English.

2. Those requirements of HDRs in current policy that have a penalty attached to non-compliance have been included in the Ordinance

3. A new suite of procedures are being developed which bring together:

• procedural detail in the current Rule 4 and policies, and

• those parts of the procedures that aren’t or can’t be provided in a form, system or on the intranet.

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New Policies are made up of principle statements and together form a cohesive suite with each principle guiding a choice

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Procedures will bring together the policy principles and compliance requirements needed to guide our community in how to do things

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Rule 4 Research Training Ordinance

Rule 4 – Rules of Graduate Research

7. Fundamental Elements of HDR8. Minimum Entry Requirements

9. Admission Procedure10. Credit Provision11. Enrolment12. Degree Periods

13. Annual Review of Progress14. Annual & Sick Leave15. Leave of Absence & Additional Leave16. Place of Candidature

17. Research Training & Resource Management

18. Termination of Candidature

19. Submission & Examination of Thesis20. Satisfaction of Requirements of Award21. Aegrotat & Posthumous Award

22. Complaints

Research Training Ordinance

6. Reviews of Decisions

PART 1 – Fundamentals of the Degree7. General Matters8. Thesis9. Degree Periods

PART 2 – Admission & Credit10. Application for Admission11. Credit

PART 3 – Supervision & Academic Support12. Supervisors13. Graduate Research Coordinators14. Minimum Supervision Requirements

PART 4 – Candidature15. Commencement & Enrolment16. Variations to Enrolment17. Attendance Requirements18. Annual & Sick Leave19. Culture, Special, and Parental Leave Provisions20. Leave of Absence & Additional Leave21. Compliance with the Conditions of Candidature22. Satisfactory Academic Progress23. Confirmation of Candidature24. Annual Review of Progress25. Resetting Candidature

PART 5 – Examination26. Language of the Thesis27. Thesis Requirements28. Submission of Thesis for Examination29. Examination of the Thesis30. Outcome of Examination and Completion Requirements

PART 6 – Cancellation or Termination31. Cancellation of Enrolment32. Termination of Candidature

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Major Changes

Introduced Cancellation of Enrolment options

Removal of Minimum Entry Requirements from the Ordinance

Integration of PhD by Prior Publication

• Cancellation is generally enacted when the candidate is not at fault (e.gUniversity no longer has any supervision available).

• OR where they do not submit their thesis within their maximum degree period

• It means that a candidate whose candidature is cancelled can reapply for admission to an HDR at UTAS

• The Ordinance elements of the PhD by Prior Publication Policy have been integrated into the Ordinance.

• E.g. Degree periods

• The majority of this section has been moved to a schedule of the Admissions, Selection & Enrolment procedure.

• The Ordinance includes a statement about needing to meet minimum entry requirements at section 10.3

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Major Changes

Attendance RequirementsGreater clarity around CoC and Annual Reviews of Progress

New Section –Supervision & Academic Support

• Elements from Policy have been elevated (e.g. A full-time candidate must spend 48 weeks undertaking their research program)

• Greater detail provided around how/when off campus candidature can/will be approved

• Specific clause that prohibits concurrent enrolment with another degree (that is not essential to their HDR)

• Gives greater detail who can be a supervisor (elevated from Policy)

• Clause allowing the Dean to remove someone from the Register (i.e. there are now consequences for poor supervision performance)

• Clarified who can be a GRC

• Clarified minimum supervision requirements, in particular when the candidate no longer has a team/PS.

• Rule 4 mainly talked about Confirmation of Candidature

• Ordinance gives greater weight to progress and has sections on:

• Satisfactory Academic Progress

• Confirmation of Candidature

• Annual Review of Progress

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Major Changes

Termination of Candidature

New section – Resetting candidature

Introduction of Language of the Thesis into the Ordinance

• Candidature can be terminated for many reasons

• These are now found at each relevant location

• E.g. At CoC or Annual Review

• Previously in Policy, the Ordinance now covers the conditions under which a thesis can be written in an Australian Indigenous Language

• This section is also relevant for joint candidate’s, if a secondary language is to be used.

• Where a candidate’s project, through no fault of their own, and prior to CoC, no longer exists or cannot continue

• That candidate can be offered to reset their candidature. i.e. New project, new clock, new scholarship (same conditions as old enrolment)

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Major Changes

Examination OutcomeEligibility for Examination All Procedural Elements from the Rule have been removed

• Elements from Policy have been elevated into the Ordinance

• Detail criteria to satisfy the requirements of the award

• Failure to submit corrected thesis within the nominated time gives grounds to cancel their enrolment

• Failure to satisfy the requirements of the degree results in a Fail grade.

• Procedural references have been replaced with “in accordance with University Approved Procedure”

• Elements from Policy have been elevated into the Ordinance

• This includes having completed all Coursework requirements and including an ‘academic integrity report of originality of the full thesis’

• Failure to submit the thesis gives cause for cancellation of enrolment.

• Aegrotat and Posthumous conditions included here

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What’s changed for us?R

ule

4Admissions & Enrolment Policy & Procedure

Candidature Management Policy & Procedure

Reviews of Progress Policy & Procedure

Supervision Policy

GRC Policy

Minimum Infrastructure & Resources Policy

PhD by Prior Publication Policy

Aegrotat & Posthumous Policy

Thesis Preparation, Submission & Examination PolicyGuidelines for Incorporating Publications into a Thesis

COI in the Appointment of Examiners of Research Theses Guidelines

Research Training O

rdinance

Admissions, Selection & Enrolment Procedure

RTP & Other Scholarships Procedure

Supervision & Academic Support Procedure

Candidature Management & Enrolment Variation Procedure

Academic Progress Procedure

Examinations Procedure

Governing Policy Principlesincluding Research Training Policy

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Policies & Guidelines remaining ‘available’ (despite being revoked) while procedures finalised

https://secure.utas.edu.au/policy/utas-policy-framework

Admissions & Enrolment PolicyMinimum Infrastructure &

Resources Policy

Supervision PolicyGRC Policy

Candidature Management PolicyReviews of Progress Policy

Thesis Preparation, Submission & Examination Policy

COI in the Appointment of Examinations Guideslines

This means that Admissions & Enrolment procedure, Candidature Management procedure, Reviews of Progress procedure, PhD by Prior Publication policy and Aegrotat or Posthumous Awards Policy will be removed from the website and placed on TRIM for

archival purposes.

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What’s left to do?

• First consultation pack of procedures distributed this morning;

• Admissions, Selection & Enrolment

• RTP & Other Scholarships

• Supervision & Academic Support

• Candidature Management & Enrolment Variation

• Feedback due 9 October, with procedures planned to go-live End October

• Second pack of procedures being finalised;

• Academic Progress (includes new cancellation of enrolment procedure elements)

• Examinations (includes scheduleoptional oral, and creative arts specificities)

• Planned to go for consultation 19 October, with procedures to go-live in November

• Audit of webpages completed

• Friday 25 September changes will be made in the morning to support these changes

• Revoked Policies & Procedures will be taken down by the Governance Project team

• Except for those previously indicated while procedures are finalise

• Finalise Procedures #1• Update GRO Website • Finalise Procedures #2

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Will give you time to read through the OrdinanceOpportunity to ask questions about how we’ll implement thisOpportunity to ask questions about managing the transition

arrangements while procedures are finalisedIf time permits, discuss the Procedures that are out for consultation

and how they integrate and support the Ordinance

What’s the purpose of the next two sessions?

Thank you