Name of Procedure Governing Policy Description of Procedure Procedure applies to Organisational Unit Review Procedure Organisational Unit Review Policy The Organisational Unit Review Procedure outlines the process followed for scheduled and unscheduled reviews of Organisational Units within Australian Catholic University (ACU). University-wide Specific Staff Only Students Only Staff and Students Procedure Status New Procedure Revision of Existing Procedure Description of Revision The Organisational Unit Review Policy and Procedure have been separated and the content has been updated. Approval Authority Governing Authority Responsible Officer Vice-Chancellor Planning, Quality and Risk Committee Director, Planning and Strategic Management Approval Date 4 May 2016 Effective Date 4 May 2016 Date of Last Revision February 2016 Date of Procedure Review* December 2019 * Unless otherwise indicated, this procedure will still apply beyond the review date. Related Policies, Procedures, Guidelines and Local Protocols Organisational Unit Review Policy Quality Management Policy Risk Management Policy Organisational Unit Review Template: Terms of Reference Organisational Unit Review Template: Response Plan and Progress Update Organisational Unit Review Budget Checklist and Template Planning, Quality and Risk Committee Terms of Reference ACU Strategic Plan ACU Code of Conduct Delegations of Authority Policy and Register ACU University Staff Enterprise Agreement
1. SCOPE 1.1 The Organisational Unit Review Procedure is governed by Australian Catholic University s (ACU) Organisational Unit Review Policy and relates to scheduled and unscheduled reviews of Organisational Units within the University. 2. SCHEDULE OF ORGANISATIONAL UNIT REVIEWS 2.1. The Planning, Quality and Risk Committee will approve the annual schedule of Organisational Unit reviews in the preceding year. 2.2. Once approved, the Head of the Organisational Unit 1 will be notified of the upcoming review by the Office of the Vice-Chancellor 2. 3. TERMS OF REFERENCE 3.1. The Terms of Reference will be developed (using the approved template) by the Head of the Organisational Unit, in consultation with the relevant Portfolio Head 3 and/or Vice-Chancellor, usually at least six months prior to the review visit. 3.2. The Terms of Reference will usually be no more than 1,500 words in length and will include a statement of purpose, main areas for review, proposed Review Panel ( the Panel ) and their professional biographies, and the list of stakeholders for consultation. 3.3. The Terms of Reference will be provided to the Portfolio Head and Planning, Quality and Risk Committee for comment and endorsement to assure the integrity of the review and its alignment with relevant University policies and procedures. 3.4. The Terms of Reference will be approved by the Vice-Chancellor and published on the Office of Planning and Strategic Management staff site. 3.5. The formal letter of invitation and accompanying relevant documentation will be sent to the Panel usually by the Office of Planning and Strategic Management, which will outline the role and responsibilities of the Chair and Panel members. 4. SELF-EVALUATION REPORT 4.1. The Self-Evaluation Report should be a concise, evidence-based document and usually no more than 6,000 words in length (excluding the appendices and any supporting material). 4.2. The Self-Evaluation Report will be developed by the Head of the Organisational Unit and endorsed by the Portfolio Head. 1 In this Procedure, this will refer to the Organisational Unit being reviewed. 2 The Vice-Chancellor may choose to delegate any responsibility included in this Procedure. 3 In this procedure, the relevant Portfolio Head refers to the Provost, Deputy Vice-Chancellor, Chief Operating Officer or Director of Identity and Mission. ACU Organisational Unit Review Procedure Page 2 of 6
4.3. The Self-Evaluation Report will be provided to the Office of Planning and Strategic Management at least four weeks before the Preliminary Meeting (see section 7.1) to allow time for the Report to be reviewed by the Panel. 4.4. Once endorsed, the Self-Evaluation Report will be provided to the Planning, Quality and Risk Committee for noting. 5. WRITTEN SUBMISSIONS 5.1. The Chair of the Planning, Quality and Risk Committee will call for confidential written submissions from ACU staff, students (where appropriate) and external stakeholders, which will include the Terms of Reference, details of the review and timeframe for submissions. 5.2. The call for written submissions will usually be sent at least five weeks prior to the review visit to allow stakeholders four weeks to return their written submissions. 5.3. Those individuals who provide a confidential written submission may request an interview with the Panel, which will be considered by the Portfolio Head. 5.4. All written submissions will be sent to the Office of Planning and Strategic Management for distribution to the Panel. 5.5. Written submissions are confidential to the review process and comments will not be attributed to individuals in the Final Review Report. 6. SCHEDULE FOR THE REVIEW VISIT 6.1. The Office of Planning and Strategic Management will confirm the list of the proposed stakeholders for interview with the Portfolio Head. This will based upon those stakeholders identified in the Terms of Reference as well as those considered under section 5.3. 6.2. The Office of Planning and Strategic Management will arrange the interviews with the stakeholders (both internal and external to the Organisational Unit). 6.3. The Organisational Unit, in consultation with the Office of Planning and Strategic Management, will organise the travel, accommodation and catering for the Panel in accordance with relevant University policies, procedures and guidelines. 7. PRELIMINARY AND PRE-REVIEW MEETING 7.1. The Preliminary Meeting will involve the Panel and Office of Planning and Strategic Management, and will usually take place at least two to four weeks prior to the review visit (either face-to-face or by teleconference). 7.1.1. The Head of the Organisational Unit will be present for part of the meeting to introduce the Self-Evaluation Report and respond to any questions from the Panel. 7.1.2. The meeting will provide the Panel with the opportunity to discuss: ACU Organisational Unit Review Procedure Page 3 of 6
The Self-Evaluation Report and determine if additional information is required ahead of the review visit; The areas for investigation and approach consistent with the Terms of Reference; and The stakeholders for interview and schedule for the review visit. 7.2. The Vice-Chancellor may have a Pre-Review Meeting with the Chair and/or Panel prior to the review visit to discuss the focus and direction of the review. This meeting may also include the relevant Portfolio Head, however, this is at the Vice-Chancellor s discretion. 8. REVIEW VISIT 8.1. The review visit will usually be scheduled for three days, however, it may depend upon the Terms of Reference and size of the Organisational Unit. 8.2. The Chair will be responsible for leading the review, which will include: Ensuring that all Panel members understand their role and responsibilities, in particular, the confidential nature of the review process (including documentation and written submissions); Monitoring time and ensuring all appropriate questions are asked in line with the Terms of Reference; Determining whether additional information and/or interviews are required; and Drafting the recommendations and overseeing the development of the Draft Review Report in consultation with the Panel members. 8.3. In line with the Terms of Reference, the review visit should include interviews with the Portfolio Head, Head of the Organisational Unit, a selection of academic and/or professional staff, students (where appropriate) and any key external stakeholders. 8.4. The review visit should conclude with two close-out meetings. The Panel will meet with the Vice-Chancellor to provide a summary of the review findings and proposed draft recommendations. This meeting may also include the relevant Portfolio Head, however, this is at the Vice-Chancellor s discretion. The Panel will also meet with the Head of the Organisational Unit to provide a general overview of the review. 9. DRAFT AND FINAL REVIEW REPORT 9.1. The Draft Review Report should be developed by the Panel and should be a concise, evidencebased document, usually no more than 8,000 words in length (excluding the appendices and any supporting material). 9.2. Once confirmed by the Panel, the Draft Review Report will be provided to the Portfolio Head and Head of the Organisational Unit for comment and to check the factual accuracy of the report. ACU Organisational Unit Review Procedure Page 4 of 6
9.2.1. The Head of the Organisational Unit, in consultation with their Executive Management Team 4 (as appropriate), may seek clarification from the Panel, however, any proposed amendments to the Draft Review Report must be endorsed by the Portfolio Head. 9.2.2. The requested amendments and comments will be provided to the Panel for consideration, who will determine whether any changes are made to the Draft Review Report. 9.3. The Draft Review Report will be provided to the Chair of the Planning, Quality and Risk Committee to consider whether: a. The draft recommendations include major workplace changes that would result in significant effects for staff that would require consultation in line with the Fair Work Act; b. There are potential impacts on other Organisational Units; and c. The review process and development of the Draft Review Report was conducted in accordance with the relevant University policies and procedures. 9.4. The Draft Review Report will be provided to the Vice-Chancellor for comment and to formally accept the Final Review Report on behalf of the University (usually within eight weeks of the review visit). 9.5. Once accepted by the Vice-Chancellor, the Panel, Portfolio Head, Chair of the Planning, Quality and Risk Committee and Head of the Organisational Unit will receive a copy of the Final Review Report. 9.6. The Final Review Report will be provided to the Planning, Quality and Risk Committee at the next available meeting. 10. RESPONSE PLAN 10.1. The Portfolio Head and Head of the Organisational Unit, in consultation with the Chair of the Planning, Quality and Risk Committee (as appropriate), will determine whether the recommendations include major workplace changes including impact on other Organisational Units that would result in significant effects for staff that would require consultation in line with the Fair Work Act. 10.1.1. The Head of the Organisational Unit, in consultation with the Portfolio Head, will contact the relevant stakeholders (including Human Resources where appropriate) to discuss the recommendations in question and ask for input into the Response Plan as appropriate. 10.1.2. Any change management provisions outlined in the Response Plan will be carried out in accordance with the University s relevant policies and agreements (including the University Staff Enterprise Agreement). 10.2. The Head of the Organisational Unit, in consultation with their Management Team (as appropriate), will prepare the Response Plan (using the approved template) to the Final Review Report. 4 This will differ for each Organisational Unit, however, may include the Faculty Executive team, Associate Directors and Managers as required. ACU Organisational Unit Review Procedure Page 5 of 6
10.2.1. The Response Plan will be developed in light of the Organisational Unit s current budget allocations. If additional funding is required by the Organisational Unit, a budget submission must be provided to the Budget Advisory Committee for approval. 10.3. The Response Plan will be endorsed by the Portfolio Head and approved by the Vice-Chancellor in principle, subject to advice from the Planning, Quality and Risk Committee. This is usually within eight weeks of the Final Review Report being signed-off on by the Vice-Chancellor. 10.4. The Response Plan will be provided to the Planning, Quality and Risk Committee for: a. Endorsement of the planned activities in line with the recommendations; b. Comment/input in relation to the potential impact(s) of the planned activities on other Organisational Units; and c. Approval to publish the suite of review documents on the Office of Planning and Strategic Management SharePoint site. 10.5. Academic Board and ACU Staff Consultative Committee will be notified once the suite of review documents is due to be published. 10.6. The suite of review documents, which includes the Self-Evaluation Report, Final Review Report and Response Plan, will be published on the SharePoint site and made available to all ACU staff. 11. PROGRESS UPDATE(S) 11.1. A Progress Update will be developed annually by the Head of the Organisational Unit (using the approved the Response Plan template) and endorsed by the Portfolio Head. 11.2. A Progress Update (summary) will be developed by the Office of Planning and Strategic Management and provided to the Planning, Quality and Risk Committee. 11.3. The Planning, Quality and Risk Committee will determine whether any changes or amendments to the Response Plan require approval from the Vice-Chancellor. 11.3.1. Subject to approval by the Vice-Chancellor (where appropriate), the Planning, Quality and Risk Committee will approve the publication of the Progress Update (summary) on the Office of Planning and Strategic Management staff site. 11.4. The Head of the Organisational Unit will be invited to provide a verbal update to the Planning, Quality and Risk Committee in support of the annual Progress Update. 11.5. The Progress Updates will cease upon either: a. The conclusion of the Response Plan; b. The commencement of a subsequent (new) review; or c. Any remaining (uncompleted) actions from the Response Plan are deemed as no longer relevant by the Vice-Chancellor and/or Planning, Quality and Risk Committee. 12. REVIEW OF THIS PROCEDURE 12.1. This Procedure will be reviewed every five years or more frequently if appropriate. ACU Organisational Unit Review Procedure Page 6 of 6