Xavier University
Policy Development
Manual
Process, considerations, requirements, and
templates
Last reviewed date: 4/15/13
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?
1
Policy Development Flow Chart
Planning Phase
Check in
With
Divisional
Leader
Plan
Review Up to
Date Policies
for Format
Examples *
Plan
Form Policy
Working
Group or
Point Person
for Policy
Development
Plan
Plan
Develop an
Action Plan
Creation Phase
Revise the
Policy
Create
Consult with
HR, OUC,
Legal ,
Auditor as
needed
Create
Share Initial
Draft with
Divisional
Leader
Create
Create
Draft Initial
Revision in
University
Policy
Format*
Consulting Phase
Integrate
Appropriate
Feedback
into Policy
Consulting
Meet with
Appropriate
Committees
and/or Solicit
Campus wide
Feedback
Consulting
Consult
with
Appropriate
Persons or
Groups
Consulting
Consulting
Prepare a
Summary
of
Significant
Changes*
Approval Phase
*=Attached Document
Prepare Policy
Approval
Form* and
Communicate
policy
Approval
Finalize
Policy
Wording
Approval
Prepare
President's
Cabinet
Briefing
Sheet*
Approval
Approval
Seek
Approval
for Policy
with
Cabinet
2
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
3
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.
4
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.
5
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.
6
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.
7
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
8
Example
(NAME OF DEPT) Policy Revision
Summary of Substantial Changes to
Policy Title:
Current Policy
Changes
9
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:
10
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
AVP/
Associate Provost:
Date
____________________________________________
Signature
Date
Divisional VP/Provost (if applicable):
____________________________________________
Signature
Date
Faculty Committee Chairperson
_____________________________________________
Signature
General Counsel:
Date
_____________________________________________
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
AVP/
Associate Provost:
Date
____________________________________________
Signature
Date
Divisional VP/Provost (if applicable):
____________________________________________
Signature
Date
Faculty Committee Chairperson
_____________________________________________
Signature
General Counsel:
Date
_____________________________________________
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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