Considerations for Defining Your Governing Documents

Clear definitions for the types of documents your policy program manages help the program administrator and policy owners determine whether and when to codify a matter in policy. It also can provide guidance for determining what policies to retire. Here are some key points to consider when crafting your definitions.

Are the stated provisions and/or limitations required?

When units or employees have the option to choose whether to follow the guidance or not, the matter likely doesn’t warrant a policy. Recommendations and best practices can be communicated outside of policies. For example, if your institution allows individual units to determine whether and how to implement flexible work schedules and remote work for their employees, a policy that covers all possible scenarios would be difficult to craft. Instead, HR can provide resources for managers, such as position evaluation checklists, employee agreements, and offer letter templates. Where remote worker status coincides with other legal or policy implications, such as out-of-state income taxes or travel reimbursement, those policies or procedures can address the issues.

Who gives final approval for a policy?

Your institution’s culture will likely weigh into this decision. Policy approval needs to happen at a level high enough to demonstrate the authority of your policy program. However, consider whether that level needs to go all the way to the top. If your governing board has to sign off on all policies, your program’s ability to enact new or revised policies quickly may be limited when the board only meets six times a year and has a lot of other matters to address. Many institutions send policies to the president or chancellor for final approval, which is a more accessible last stop than the board. Another option is to have your president/chancellor delegate approval authority to a group that meets regularly for that purpose. This delegation can be achieved by defining the group and its responsibilities in your policy on policies.

Does each policy need an owner?

This, too, may depend on your institution’s culture. A policy owner is typically an executive officer who is seen as the “sponsor” of the policy. When looking at policy programs that oversee systemwide or campuswide policies, there are options for determining the owner. Some institutions assign the president or chancellor as owner of every policy. Other institutions list various senior executives as owners. When that is the case, it’s helpful to identify the criteria used to determine which executive owns a policy. Also consider whether you need to assign a responsible office for each policy. Most of the real work administering a policy happens further down the ladder from the executive rung. A responsible office may not oversee every aspect of a policy, but assumes the role of coordinating compliance efforts.

What do your policies look like?

An essential tool in the policy administrator’s toolbox is a policy template. When all your policies are outlined in a similar fashion, users learn how to read them and find the information they need quickly. Templates ensure that important information isn’t left out. One question that often comes up is whether the policy template should include procedures. I won’t advocate one way or the other here, but if your template does not include procedures, consider whether you should define what an operating procedure is. Which leads me to the next question.

Are policies the only way to convey information?

Your institution likely has varying levels of policies, such as systemwide, campuswide, and unit level. Consider defining in your policy on policies what the difference is between each type and what happens when there is a conflict between policies on the same topic. Other types of documents you may want to define include operating procedures, standards, and guidelines. Ask the same questions about whether something is required or optional, who has final approval, and whether the document must adhere to a template. Also, be sure to explain how the various types of documents relate to one another.