Policy Development

May 17, 2018 Management

Identify issue. Issues may emerge from trends within a unit, through federal or state legislation or regulation, as a result from an incident on campus, or in a variety of other ways. 2. Identify responsible executive. This position is responsible for the content and accuracy of a policy. Different offices can own pieces of the policy or procedures, and one individual carries the overall responsibility. If disputes arise, this individual is the one who ultimately decides the outcome or the process that will be used for resolution. 3.

Assemble a team. Involve individuals with topical and process expertise, policy users, those impacted by the policy, and others. _____Contact the UPP coordinator and determine a plan of action and a timeline. Check out the resources on the University Policy Web Site. _____Benchmark best practices as necessary, using policies, practices, and programs from Ohio State’s benchmark institutions and other organizations. _____Form a policy writing group. Consider how to select the team members (content and process experts, users, those impacted, etc.

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Get explicit about member roles, expectations, etc. _____Review applicable university bylaws, rules, regulations; university policies; and state and federal laws/regulations. Policies must remain consistent with all. _____Familiarize yourself with the UPP Policy Template, available on the policy website 4. Submit policy proposal to Senior Management Council (SMC). The responsible executive submits a policy proposal to the SMC. The SMC decides if an official position is needed on the issue, and if so, if it should be a policy or rule.

_____Prepare a Policy Proposal, which includes a list of stakeholders from which you will solicit input/feedback _____Review the Policy Proposal with the UPP coordinator(s) and schedule through your VP to go to the SMC when ready. This is the point at which they will decide if it should be a policy or a rule, or if we even want a policy on the issue. _____Get approval (or not) from SMC to proceed with policy development. Development 5. Draft Policy. The writing group drafts the policy, using benchmarking and best practice information as appropriate.

_____Discuss major changes to your policy with stakeholders prior to proposing major changes. _____Keep the policy short and succinct if at all possible. _____Does the policy accurately state current practice? _____Are terms in the policy adequately defined? _____Is your use of terminology consistent across policies if they are related? _____If two policies are interrelated, is it clear when each policy will apply? _____Is it clear to whom the policy applies? _____Check related policies to ensure your policy is not in conflict with another university policy.

_____Has the law in this area changed? Check with Legal Affairs if questions on whether or not the law has changed. _____Internal administrative procedures should generally not be part of the policy document. Consider pulling out the procedures and placing them in separate document that can be linked to from the policy. 6. Solicit and integrate feedback. The writing group solicits feedback from stakeholder groups identified on the policy proposal, and then evaluates and integrates it into a refined policy draft.

_____Solicit input from all stakeholders identified on the approved policy proposal (additional stakeholders can be added), in addition to the specific groups below, as needed. _____University Compliance Officers Committee (COC). For policies that directly address regulatory concerns. Provide drafts and solicit input/feedback at points at which it can be meaningfully integrated. _____Enterprise Risk Management Committee (ERM). Provide drafts and solicit input/feedback at points at which it can be meaningfully integrated. _____University Senate.

For policies that apply to faculty. Provide drafts and solicit input/feedback at points at which it can be meaningfully integrated. _____University Staff Advisory Committee. For policies that apply to staff. Provide drafts and solicit input/feedback at points at which it can be meaningfully integrated. 7. Take drafts to Policy Review Committee (PRC). The writing group and responsible executive take drafts to the PRC for feedback. 8. Integrate feedback. Feedback is solicited and integrated from stakeholders identified on the policy proposal as well as the PRC.

_____Contact the university policy coordinator(s) to arrange to take draft to PRC, at least a month in advance of the meeting if possible. _____Provide policies, associated documents, and any specific questions to guide feedback (if desired) to the university policy coordinator(s), in Microsoft word format, 15 days prior to the scheduled policy review committee meeting. _____Highlight or used “track changes” so that proposed changes are apparent. _____Refine the draft policy based on feedback from the PRC. _____If substantive changes were made, solicit further feedback from stakeholders and committees listed above, as appropriate.

_____Ensure that policy is consistent with university bylaws, rules, regulations; university policies; and state and federal laws/regulations. _____Legal Affairs must sign off on the policy before it goes to PRC for final review. _____Take “final” policy draft, showing changes, to Policy Review Committee for final endorsement. The final policy should note the proposed “effective” date. 9. Submit to SMC. After the PRC endorses it, the responsible executive submits the final policy draft to the SMC. 10. SMC approves (or not).

The SMC may approve the policy immediately, ask for substantial revisions or for additional time to review the policy, or determine that a policy is not needed or desired on the subject. _____Prepare a SMC cover sheet, review it with the UPP policy coordinator(s) and schedule through your VP to go to the SMC when policy is complete. _____Get approval (or not) from SMC. _____If approved, get signatures on Policy Approval and Sign Off Form. Provide a copy to the UPP coordinator(s) and keep a copy for the university archives. 11. Plan communication. The policy writing group plans communication and training on the new policy.

_____Develop a communication plan for the policy roll-out, which should include communications to all stakeholders, individuals and groups impacted by the policy, administrators, etc. 12. Post to website. Unit policy contacts enter policy data into the database that feeds the university policy website. Policies will continue to be housed on the owner’s server and website. _____Enter the policy data into the database. Instructions and access can be provided by the UPP coordinator(s), who approve the policy data after it has been entered into the database and before it is posted to the website.

Implementation 13. Communicate and train. The responsible executive/office communicates and trains according to their communication plan. 14. Archive superseded policy. The superseded policy and all associated documents are shared with University Archives upon approval of the new policy. _____Share information and tools needed to implement the policy with stakeholders and individuals who are expected to carry out or enforce the policy. Consider on-line training or tools, as well as face-to-face training. _____Send the superseded policy, the Policy Proposal, SMC Cover Sheet, Policy Approval.

Encourage feedback. Policy owners should encourage and collect feedback about their policies for use in the next policy revision. 16. Review policy. Policies should be reviewed and updated or confirmed current on a 5 year cycle. _____Collect all feedback you receive on the policy as it is implemented, and on an ongoing basis. Retain for the next revision of the policy. _____Create a process, or make a note on your calendar that the policy needs to be reviewed and either updated or confirmed current every 5 years. If substantive changes need to be made, this process is followed.


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