Xavier University

Policy Development Manual Process, considerations, requirements, and templates

Last reviewed date: 4/15/13

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Introduction The manual outlines the development process that is to be followed when writing or revising Xavier University policies that impact employees and students. Every policy creation/revision process is slightly different, depending to whom the policy applies and on the sensitivities of the policy content itself. Except as provided in the Faculty Handbook, all policy revisions should follow the requirements outlined in this manual. Most procedural modifications that are included in policies are minor updates (often department specific) and would not need to follow such a formal process, although, careful thought and consideration around communication is essential. Questions to consider before writing a new policy or revising an existing policy: • Is a formal policy necessary and/or appropriate? • Are there new mandates (state or federal law, case law, rule changes) that require that a

policy change or a new policy be written? • Have changes occurred in systems, processes, best practices, customer needs, university

culture or social trends to suggest policy changes or the need for a new policy? • Can the policy be integrated with other policies, rules or documents? • Who is the policy owner (e.g., person/office responsible for revisions and updates)? • What departments/processes/customers will be impacted by this new or revised policy? At

what point should they be included in the process? • Are terminology, office names/numbers/websites/links and cross references current and

correct?

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Policy Development Flow Chart

Plan

Develop an Action Plan Pl

an

Form Policy Working Group or Point Person for Policy Development

Plan

Review Up to Date Policies for Format Examples *

Plan

Check in With Divisional Leader

Crea

te

Draft Initial Revision in University Policy Format*

Crea

te

Share Initial Draft with Divisional Leader

Crea

te

Consult with HR, OUC, Legal , Auditor as needed

Crea

te

Revise the Policy

Cons

ultin

g Prepare a Summary of Significant Changes*

Cons

ultin

g Consult with Appropriate Persons or Groups

Cons

ultin

g Meet with Appropriate Committees and/or Solicit Campus wide Feedback

Cons

ultin

g Integrate Appropriate Feedback into Policy

Appr

oval

Seek Approval for Policy with Cabinet

Appr

oval

Prepare President's Cabinet Briefing Sheet*

Appr

oval

Finalize Policy Wording Ap

prov

al

Prepare Policy Approval Form* and Communicate policy

Planning Phase

Creation Phase

Approval Phase

Consulting Phase

*=Attached Document

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Date Action

Planning Phase

Review policy to determine the extent of the changes that may be necessary or advisable to do.

_____ Create means a policy is new and being developed and will be approved by a review and signature approval process.

_____ Revision means the policy will undergo substantial content changes approved by a review and signature approval process.

_____ Edits are merely style, format or grammar change, correction of error, and/or procedural modifications and can be coordinated by the owner of the policy.

_____ Review means the policy was reviewed and found to be current.

Develop a plan of action. The current version of the policy should be placed in an electronic folder on the network drive and all future work done on the policy should be stored in the same folder. As suggested changes are made to the policy, use the “track changes” tool in Word. Name files descriptively and date each draft. Note “DRAFT” or “FINAL” on each version as appropriate.

The plan of action should include the groups (suggestions attached) with whom you will consult for feedback and/or approval of the policy.

Benchmark best practices as necessary, using policies, practices, and programs from public and private employers and benchmark institutions, depending on the policy.

Form a policy revision working group or point person for development. If the policy applies to faculty, 1-2 faculty members should be involved in/with the group. Consider using faculty ad hoc for their particular expertise. Consider how to select the team members based upon need and expertise. In some instances, individuals may develop the policy provided wide consultation occurs during the development

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Ensure understanding of the roles and responsibilities of policy revision working group members and appropriate timeframes for completion of work.

Review examples of up-to-date policies for format examples. (An example is attached.) Note the delineation of reason for policy, definitions (as applicable) scope, last reviewed date, responsibilities of VP/Associate Provost unit, and employees; and the inclusion of additional resources. These are part of the recommended policy format and need to be added if not currently present in the policy. Also, many new and/or complex policies benefit from an FAQ (Frequently Asked Questions) document especially in the communication of the policy.

Check in with appropriate divisional leader and the Associate Vice President for Audit and Risk Management to see if he/she has particular views on the policy revision.

Date Action

Creation Phase

Draft the initial revision, in University policy format (see attached example)

* If there is any chance that the policy changes will necessitate a Banner system change, involve Information Resources and/or Human Resources at this point. If the changes will affect the current operating procedures for any department, it is crucial to involve the specific department at this point.

Check in with XUPD Chief of Police to see if there are implications for bargaining unit members or labor contracts.

Share the initial/refined draft with divisional leader to ensure it fits within his/her parameters.

Consider a communication plan (Office of University Communications may be consulted).

Make revisions.

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Date Action

Consultation Phase

Determine to what extent legal consultation is necessary. It may be appropriate to have consultation now and at a later stage when the policy is more final. The Associate Vice President for Audit and Risk Management is also available for review and guidance.

Prepare a “summary of substantial changes” or a “summary of key policy points” document to accompany the policy. (An example template is attached). In some cases this step is not applicable, e.g., if a brand new policy.

Consult with groups and/or individuals on the content of the draft policy. Depending on the group, this is done in different ways.

Policies Applicable to Faculty. If the policy also applies to faculty you should consult with the Faculty Committee. Use a summary of changes format along with a memo from originating unit’s VP/Provost/Associate Provost.

Depending on the nature of the policy, Faculty Committee Subcommittees may be asked to provide feedback, as well as other university bodies.

Policies Applicable to Staff. Contact the Office of Human Resources or the Diversity Office to recommend appropriate staff personnel to provide feedback, as appropriate or use the Portal or Today@Xavier for obtaining feedback.

Policies Applicable to Students. If students are governed by the policy, contact Student Affairs and student governing bodies.

The Office of Human Resources and the Office of the Provost and Chief Academic Officer can assist you in the decision-making process about which groups from whom you will solicit feedback.

Convene a meeting with one or more appropriate campus committees. Send drafts out in electronic format one week before the meeting. Go to the meeting prepared to take notes as the group will likely have very helpful feedback for you. See attached list of groups at Xavier when considering those groups with whom you may need to consult.

* If the policy work group has not been well represented of campus constituents, consider the option of providing for a public comment period on the portal for at least 10 days.

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Date Action

Approval Phase

Finalize the policy wording.

Consult Office of University Communications should you need assistance in editorial review.

Prepare the Policy Approval Form (attached) and obtain necessary signatures. General Counsel is the last approval before Cabinet Review and Commentary.

Prepare a President’s Cabinet Briefing Sheet (attached) and indicate Action Required of Cabinet is First Review and Commentary.

Divisional Vice President/Provost Emails documents to the President’s Office Staff for distribution to Cabinet for the First Review and Commentary.

• Policy (Word format), • copy of Policy Approval Form, and • President’s Cabinet Briefing Sheet.

Cabinet First Review and Commentary period will be 2 weeks.

Edit policy to incorporate Cabinet First Review and Commentary. Update Policy Approval Form and President’s Cabinet Briefing Sheet as necessary. Indicate Action Required of Cabinet is Second Review and Commentary.

Divisional Vice President/Provost Emails documents to the President’s Office Staff for distribution to Cabinet for the Second Review and Commentary.

• Policy (Redlined Word format reflecting changes since First Review and Commentary),

• copy of Policy Approval Form, and • President’s Cabinet Briefing Sheet.

Cabinet Second Review and Commentary period will be 2 weeks.

Edit policy to incorporate Cabinet Second Review and Commentary. Update Policy Approval Form and President’s Cabinet Briefing Sheet as necessary. Indicate Action Required of Cabinet is Consent Agenda approval.

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Divisional Vice President/Provost Submits documents to the President’s Office Staff for distribution to Cabinet for approval on the Cabinet Consent Agenda.

• Policy (Redlined Word format reflecting changes since Second Review and Commentary),

• the final PDF version of the policy, • original Policy Approval form, and • President’s Cabinet Briefing Sheet.

Date Action

Communication and Implementation Phase

Determine which audience/audiences are most directly impacted by the new or revised policy.

Finalize procedures and forms necessary for policy implementation.

Create and implement training as appropriate.

Update or create any FAQ that will be useful in policy implementation.

Determine the timeline for communication to and training of the Xavier community.

Decide policy category(s) for publishing on the Central University Policy Webpage.

Decide the most effective communication method for each of the intended audience(s).

• All approved policies must be reported in Xavier Today and on the portal.

• Consider meetings, mailings, and email. • Consider multiple and follow-up communications.

Coordinate with the President’s Office Staff forwarding the approved policy to the Office of Communications for posting on the Policy Webpage.

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Groups With Whom To Consult and

Gather Feedback On Policies As Applicable University Bodies

President’s Cabinet Faculty Committee Diversity & Equity Committee University Committee on the Status of Women Xavier Technology Committee Benefits Committee University Planning & Resource Council Others?

Offices

President’s Office Provost Office Office of University Communications The Women’s Center Vice President/Provost/Associate Provost

Offices Office of Human Resources General Counsel Associate Vice President for Audit & Risk

Management Other Key Stakeholders (persons, units) _____________

Other:

Xavier University Patrol Officers Association Undergraduate Student Government Board Undergraduate Studies Board Graduate Studies

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Example

(NAME OF DEPT) Policy Revision

Summary of Substantial Changes to Policy Title:

Current Policy Changes

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President’s Cabinet Briefing Sheet

DATE: POLICY: ACTION REQUIRED OF CABINET: (First Review and Commentary, Second Review and Commentary, or Consent Agenda). BACKGROUND: OVERVIEW OF THE PROPOSED POLICY AND DECISION POINTS: CONSULTATION: COMMUNICATION AND IMPLEMENTATION PLAN: POLICY OWNER:

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XAVIER UNIVERSITY Policy Title

Effective: (Date) Last Updated: (Date) Responsible University Office: (Office with supervision for this policy) Responsible Executive: (Title only) Scope: (Who is affected by this policy or needs to read it)

A. REASON FOR POLICY This section should include the reason or rationale for the policy.

B. POLICY

C. DEFINITIONS (if applicable) D. PROCEDURES E. EXHIBITS (if applicable) F. HISTORY Include information about previous policy versions or whether this policy replaces an existing policy.

Other applicable policies and/or resources:

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POLICY APPROVAL FORM Policy Name: Policy Owner: General Information: Consultation with appropriate University employees and groups: Required Approvals: Department Head: ____________________________________________ Signature Date AVP/ Associate Provost: ____________________________________________ Signature Date Divisional VP/Provost (if applicable): ____________________________________________ Signature Date Faculty Committee Chairperson _____________________________________________ Signature Date General Counsel: _____________________________________________ Signature Date The approvals listed above are required before Cabinet review.

President’s Office: ____________________________________________ Signature Date Office of University Communications: ____________________________________________ Signature Date

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POLICY APPROVAL FORM SAMPLE Policy Name: Operation of Utility Vehicles On and Around Xavier University Policy Owner: Connie Perme, Office of Human Resources & Steve Owen, Environmental Health & Safety General Information: This policy delineates for employees of Xavier University the use of campus utility vehicles and the safety regulations associated with such policy. The policy defines utility vehicle, defines the operating environment for utility vehicles, including the map of designated public roads and sidewalks, and outlines the guidelines for employee operation. This policy will become effective September 1, 2008 and will be owned and maintained by Environmental Health & Safety. Additionally, all operators will be included in training program about this policy. Consultation with appropriate University employees and groups: Offices of: Emergency Management, Health and Safety, Human Resources, Physical Plant; Members of Cabinet. Required approvals: Department Head: ____________________________________________ Signature Date AVP/ Associate Provost: ____________________________________________ Signature Date Divisional VP/Provost (if applicable): ____________________________________________ Signature Date Faculty Committee Chairperson _____________________________________________ Signature Date General Counsel: _____________________________________________ Signature Date The approvals listed above are required before Cabinet review.

President’s Office: ____________________________________________ Signature Date Office of University Communications: ____________________________________________ Signature Date