Policy Development Steps

A unit or individual determines the need for an APS or update to existing policy and obtains the agreement of at least one responsible executive (i.e., provost, vice provost or vice president) to take ownership of the policy.

Policy issues may emerge through federal or state legislation, APSs, trends within or outside the University, a shift in University values or priorities, changes in best practices, concerns raised by the University community, an incident on campus, or a variety of other ways.

The responsible office prepares the Policy Proposal Intake Form after approval from the responsible executive.

The Policy Proposal Intake form helps clarify:

• The need for a proposed University policy,
• Whether the risk is sufficient to warrant the resources needed for policy development, implementation and maintenance,
• Initial University legal review and guidance.

Complete the Policy Proposal Intake Form, and then the University Policy and Rules Office will determine the type of policy.

Refer to the University Style Guide.

Engage a group of individuals who are subject matter experts, policy users, and stakeholders, and others who will research and write the policy and provide feedback.

• Define roles and expectations for members of the policy writing group.
• Establish a plan and time line for completion of the policy.

Determine if the proposed policy is needed in response to:

• Campus incident or problem,
• New or revised University policy,
• New or revised state or federal regulation,
• Changes in customer needs, best practices, University culture, social trends,
• Another reason.

Review the UW Policy Directory to determine if existing policy addresses the issue:

• Could a related policy be expanded to include the information?
• Could a related policy help inform the policy under consideration?
• Cross reference rather than repeat information.

Review policies issued by other universities:

• Other universities may have found new ways of addressing the issue,
• Other policies may help focus policy development, provide a good starting point, and/or suggest clearer language.

Ensure that University policy complies with existing federal, state, and local policies:

• A campus policy may be more restrictive but cannot be more permissive than an APS;
• Identify current processes, problem areas, and the potential impact of any changes.

Before you start writing:

• Think about the outcome that needs to be achieved. A strong, clear policy will provide direction or prescribe action. This is where your Purpose comes from.
• Research, analyze, and read other policies, but don’t just cut and paste sections from elsewhere. Be sure the document speaks with one University voice.
• Evaluate the audience for the policy and write for a diverse audience, not the policy owner.
• Draft the policy using the official policy draft created by the University Policy and Rules Office.
• The draft provides a framework for developing the policy and organizes content in a consistent manner,
• The draft is structured so users can focus on the part of the policy relevant to their decision.
• Review the Policy Writing Style Guide to achieve a well-written policy.

Draft:

• Procedures required to implement the policy,
• Guidance, if additional information or explanation is needed,
• Forms, templates and related instructions required by the new policy,
• Department web pages that will include the procedures, guidelines, forms, and instructions; the policy includes a link the departmental website.

Procedures are a set of instructions, steps or methods for the implementation, enforcement, or administration of an APS. Typically, procedures are:

• Action-oriented, step-by-step descriptions outlining who will accomplish a task, how it is performed, and when it must be done,
• Intended to ensure control activities are accomplished completely and consistently,
• Not considered to be policy in and of themselves,
• Created at the unit level,
• Changes do not go through the same review and approval process as policies,
• Procedures that impact multiple units may need additional review and feedback before being implemented.

Guidance:

• Provides a framework within which to implement policies,
• Includes general statements, recommendations, instructions, or best practices to achieve policy objectives,
• Can change based on the environment,
• Should be reviewed frequently.

Comparison of Policies and Procedures

The responsible office provides the draft policy, procedures, and related documents to stakeholders (including vice presidents, deans and senior administration, as appropriate) who can offer a broad perspective on the content and application of the policy. After deliberating the feedback, the responsible office updates the draft policy and related documents.

Effective Stakeholder Engagement

Stakeholders are those individuals or work areas who may affect or be affected by an APS. Stakeholders are likely to have distinct needs and levels of involvement, often with diverse and possibly conflicting interests and concerns.

Stakeholder engagement is about including the relevant people at the right time and in the most appropriate manner. All APSs have stakeholders with varying degrees of influence, involvement and interest.

Writing and consultation is often an alternating process, with the consultation informing the writing. Consultation is an important tool to:

• Test whether a proposed policy adequately addresses an issue and whether it is practicable,
• Identify the competing interests of different people or groups,
• Build consensus and a commitment to compliance with the eventual policy,
• Support transparency in the policy development process.

When executed effectively, stakeholder engagement can be used to:

• Gather information,
• Obtain buy-in and ongoing support,
• Build trust,
• Improve communication,
• Enhance reputation,
• Lead to more equitable and sustainable decision-making,
• Support ownership of the policy.

When identifying stakeholders, it is important to think broadly to ensure all relevant stakeholders are recognized. Consider the following:

• Who is responsible for the policy?
• Who is responsible for implementing the policy?
• Who are the key representatives for those affected by the policy?
• Why would a stakeholder want to engage in the policy process?

Stakeholder engagement is an iterative process and should occur throughout policy development. Stakeholder engagement is most effective when:

• Stakeholders recognize the mutual benefits of collaboration, for example, enhanced outcomes,
• Early input and ongoing involvement in policy development ensure that the policy meets all needs rather than late engagement, which can adversely impact timelines, implementation, and working relationships,
• Policy development is informed by practical needs (e.g., streamlining processes, enhancing administrative efficiencies and effectiveness),
• Stakeholders participate to identify and assess the operational impact and resource burden that implementation of the policy will place on units,
• The method and time allowed for consultation is appropriate to the complexity and sensitivity of the policy.

Some individuals may find it difficult to engage or circumstances may hinder them from fully contributing to the policy development process because of a lack of time or gaps in knowledge. However, it is important that the right people participate in the policy development process. Every stakeholder’s perspective is valuable and will inform the end result.

University community input and feedback are broadly sought, valued, and appropriately used. The final APS drafts are posted for a 30-day review, an opportunity for the University community to review and comment on new and revised policies. The responsible office considers the feedback received and revises the draft policy, as appropriate.

UPRO prepares the policy memo for pertinent vice president and vice provost signatures and sends to the responsible executives. Final approval is obtained from the President.

The effectiveness of a policy depends on the extent of its reach and how well it is understood and followed. A communication plan helps achieve these objectives.

Publish the approved policy in the UW Policy Directory.

Inform the responsible office that the policy is published so it may disseminate to the appropriate stakeholders and issue an announcement to the University community.

The responsible office:

• Implements education and training activities to achieve compliance with the policy
• Updates their website to include the link to the policy, and creates and publishes procedures, guidance, forms and instructions related to the policy as required.

The responsible office reviews its policy every three years or more frequently as circumstances require. A comprehensive policy review is needed to determine if:

• The purpose and goal of the policy is still being met.
• There are any new mandates (e.g., state or federal law changes) that require a policy change.
• Changes have occurred in best practices, customer needs, University culture, or social trends.
• Changes are needed to improve effectiveness or clarify the policy.
• The issue can be integrated with or addressed by other policies.
• Terminology, contact information, websites, and related links are current and correct.
• The appropriate training and education are occurring.
• The policy is still needed.

When changes are needed, the responsible office follows this process to revise an APS.