MSU POLICY DEVELOPMENT FLOW CHART Propose
Draft
Review & Refine
Distribution & Comment
Approval
DRAFT
Publish/Rollout
Step 1: Propose
Step 2: Draft
Step 3: Preliminary Administrative Review and Refinement
•
•
•
• •
Initial concept vetting and consideration by small group Concept can be approved, denied, or returned for further refinement Upon approval of policy concept, research and due diligence conducted
• •
Responsible Administrator (RAD) identified RAD designates Policy Drafter Drafter develops policy draft with input from stakeholders*
Draft policy undergoes preliminary review by Senior Policy Council (SPC) Draft policy refined based on the action of the SPC Refined draft reviewed by President and Senior Cabinet
• •
Step 4: Distribute for Comment Phase
Step 5: Approvals
Step 6: Publish/Rollout
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• • •
•
•
•
Final draft policy distributed to constituency bodies for review/comment (20 work-day period) Policy Office submits proposed changes (redline) offered by constituency bodies to the SPC SPC forwards recommendation based on the input from constituency bodies to Policy Office for appropriate handling
•
•
Final draft receives fiscal review Final draft receives legal review Final draft receives Presidential review Final draft presented to appropriate Board Committee(s) for consideration and action Final draft presented to the Board of Regents for consideration and final disposition
Policy Office publishes policy on website
*NOTE: All persons drafting policies and procedures for the University must be certified by the Policy Office after having completed training coordinated by the Policy Office.
DRAFT
MSU Policy Format Policy Title (Times New Roman 12 point font) Policy No.: Responsible Administrator (RAD): Approval Date: I.
Policy Statement A brief background on the policy.
II.
Policy Purpose A short, succinct explanation of why the policy was created.
III.
Scope or Application A summary of whom the policy applies to (i.e., staff, students, faculty, and/or third parties such as vendors, consultants and/or visitors to campus) and who needs to read it.
IV.
Definitions A list of definitions of terms used in this policy.
V.
General Policy Standards The substance of policy using multiple sections and sub-sections as needed.
VI.
Roles and Responsibilities Summarize all responsibilities of the university parties and offices named in the policy necessary for compliance with the policy.
VII.
Procedures/Implementation Describe application procedures (if/when necessary) and the means by which the policy is implemented and enforced.
VIII.
Related Statutes, Regulations, and Procedures Any related local, state or federal statutes or regulation, or related policies and procedures. This policy should link to all listed statutes, regulations, or policies.
IX.
Effective Date The date the policy goes into effect.
X.
Policy History Include information about previous revision dates, whether this is a replacement policy or other useful background information that would assist in the policy interpretation. ▪ Issued: [Insert date initial policy was adopted] ▪ Reviewed without change: [Insert date of latest review, if that review did not produce changes] ▪ Revised: [Insert Date 1, Date 2, Date 3, starting with the most recent] ▪ Modified - Clerical Change: [Insert Date 1, Date 2, Date 3, starting with the most recent]
University Policy Office 1700 E. Cold Spring Lane | Baltimore, Maryland 21251 policies@morgan.edu
DRAFT
Policy Impact Statement and Submission Guidelines
Department heads and divisional management may determine a need for creating or revising a University Policy. The process for adoption of university policies involves a series of approval steps. The Responsible Administrator (RAD) is responsible for advancing new/revised policy proposals through the process outlined in the Policy on Policies. Individuals bringing forward policy submissions are encouraged to gain support from his/her executive level leader and consult with knowledgeable stakeholders and campus community representatives (faculty, staff, and/or students) who will be most affected by the requirements established in the policy. Steps in the initial process include: 1.
Review the Policy on Policies outlining policy development, review and approval process and apply the University Policy template.
2.
The Policy Drafter and RAD completes the Policy Impact Statement. A preliminary draft of the new policy or copy of the existing policy is to accompany the completed Policy Impact Statement.
3.
Submit the Policy Impact Statement, draft policy, tracking form, and supporting documents to the University Policy Office.
4.
After receiving these documents, the University Policy Office will review them and contact the Policy Drafter about the next steps. Definitions Relevant to the Policy Impact Statement Form
University Policy: A policy is a statement of institutional philosophy and direction, established to provide guidance and assistance to the University community in the conduct of University affairs. A University Policy: ▪ Is a governing principle that mandates or constrains actions; ▪ Enhances the University mission and reduces University risks; ▪ It describes actions and constraints through specific procedures for compliance; ▪ Has broad institutional application and provides guidance throughout the University; ▪ Generally, changes infrequently and sets a course for the foreseeable future; and ▪ Ensures compliance with applicable local, State, and federal laws and regulations. Designated Policy Drafter: A person who reports to the RAD. The drafter of a University Policy will vary depending upon the subject matter of the proposed policy. All persons drafting policies and procedures for the University must be certified by the Policy Office after having completed training coordinated by the Policy Office. Responsible Administrator (RAD): The RAD shall monitor the progress of the proposed policy and endeavor to keep it on track. The RAD is typically a senior level leader (VP, Provost or his/her designee).
University Policy Office 1700 E. Cold Spring Lane | Baltimore, Maryland 21251 policies@morgan.edu 1
DRAFT
Policy Impact Statement Please submit one Policy Impact Statement for each policy under consideration Policy Drafter: ____________________________________________
Contact: __________________
Responsible Administrator (RAD): _______________________________ Submission Date:____________ Proposed Policy Title (if new policy): _______________________________________________________ Existing Policy Title & No. (if revision): _____________________________________________________ I.
Background and Policy Rationale A.
Is this policy new, a minor revision, or a substantial revision? □ New □ Editorial Revision
B.
□ Substantial Revision
Why is this policy or vision necessary? □ Legal
C.
□ Non-Substantive Revision
□ Regulatory
□ MSU driven
□ Financial
□ Social Requirement
□ Operational/operational efficiency
□ Other
□ Technological
□ Current university policy is outdated
Please provide a brief supporting explanation: __________________________________________ __________________________________________________________________________ __________________________________________________________________________
D. What foreseeable advantages will this policy bring to the University? ___________________________ __________________________________________________________________________ __________________________________________________________________________ II.
Policy Impact A.
List entities, offices, and other University community members as well as operational activities affected by this policy: _____________________________________________________________________ __________________________________________________________________________
B.
How will this policy reflect the University’s mission and values? □ Retention of faculty and staff
□ Mitigate risk
□ Peer institution values
□ Responsible stewardship of resources (fiscal, human resources, physical assets) C.
□ Other
What resources (human, financial, physical, operational, technological or other) will be needed to implement and maintain compliance with this policy? _____________________________________________ __________________________________________________________________________
2
DRAFT • III.
If financial resources are required, estimate approximate amount: $_________________________
Proposed Policy Development A.
As part of the MSU policy process, key stakeholders should be engaged early in the policy draft process to provide adequate time for advisory input to the policy drafter. Identify key stakeholders, affected parties and/ or governance groups who have been consulted, or will be consulted in developing this policy. •
List the stakeholders, affected parties, and/or governance groups already consulted: _____________ _______________________________________________________________________
•
List the stakeholders, affected parties, and/or governance groups you plan to consult with: _________ _______________________________________________________________________
•
List subject-matter experts you will include in policy drafting: □ Internal Audit
□ Enterprise Risk Management
□ Health, Safety and Environment
□ Other B.
List compliance mechanisms existing or which need to be created (i.e., forms, technological, etc.): _______ __________________________________________________________________________
IV.
Communications and Training A.
What types of communication and training activities will your office provide to build awareness and enable implementation of the policy?______________________________________________________ __________________________________________________________________________
B.
Will initial or periodic training be required by law? If so, please explain how you will accomplish it. __________________________________________________________________________ __________________________________________________________________________
V.
Review Policy Ranking by Criticality or Priority REVIEW POLICY RANKING BY CRITICALITY OR PRIORITY High
□
Medium
□
Low
□
Policy considered to have a medium to high probability of adverse effects to MSU either as a whole or to a significant college/school/unit level or has not been revised in 11+ years Policy considered to have low to medium probability of adverse effects to MSU either as a whole or to a significant college/school/unit level or has not been revised in 6-10 years Policy considered to have minimal probability of adverse effects to MSU either as a whole or to a college/school/unit level or has not been revised in 1-5 years
Submitted by: Policy Drafter Name and Title: ___________________________________________________________ Policy Drafer Signature: ________________________________________________________________ Responsible Administrator Name and Title: __________________________________________________ Responsible Administrator Signature: ______________________________________________________
3
DRAFT
University Policy Tracking Form Step 1. Fill out this section for all university policies: 1. 2. 3. 4.
Policy Name and No.: Policy Drafter: RAD: Check one: _____ _____
__________________________________________________ __________________________________________________ __________________________________________________ Revision _____ New Policy Reviewed without Changes (i.e. this policy is still current and accurate) If this is a review without change, please sign this form and send to Executive Director of University Policy (Section 2 and 3 are not required).
Step 2. Attach signed Policy Impact Statement, which discusses the following: 1. 2. 3. 4. 5.
Discuss/describe the reason for this new policy or policy change (e.g., law change, add clarity, reorganization, etc.). Discuss what stakeholders have been involved in the drafting/vetting of this policy/revision. Have these stakeholders raised any issues or concerns, and if so, have they been resolved? Discuss any budgetary impacts this policy or policy change may have, including monetary costs and time burdens. Discuss updated procedures, training and necessary communications that have been prepared. Provide other comments as necessary.
Step 3. Submit/email the package to the University Policy Office [policies@morgan.edu]. A complete package will include the following. • • • • •
Cover: University Policy Approval Tracking Sheet (this sheet) Tab 1: Policy Impact Statement (pdf) Tab 2: Policy (an unmarked clean copy in Word) Tab 3: For Revisions, provide details of changes. This can be accomplished with an annotated version highlighting major changes, or with a “track changes” version. Tab 4: Supplemental materials (as may be necessary)
Step 4. Initial Review and Feedback ________________________________________________ Executive Director of University Policy
__________________________ Date Reviewed
________________________________________________ Preliminary Administrative Review by Senior Policy Council (SPC)
__________________________ Date Draft Policy Shared/Presented
Review Status: □ Approve □ Deny
□ Return for further development
________________________________________________ Review by President and Senior Cabinet
__________________________ Date Refined Draft Shared/Presented
Constituency Body Review (20 work-day period): □ University Council (UC)
__________________________ Date Final Draft Shared
□ Union: American Federation of State, County and Municipal Employees (AFSCME) □ Union: Fraternal Order of Police (FOP) University Policy Office 1700 E. Cold Spring Lane | Baltimore, Maryland 21251 policies@morgan.edu 1
DRAFT Step 5. Final Draft Policy Review 1.
The University Policy Office will distribute the final policy draft to the following offices: ________________________________________________ Fiscal Review by EVP for Finance and Administration (or his/her designee)
____________________ Date Reviewed/Approved
________________________________________________ Legal Review by Office of General Counsel & Office of the Attorney General
__________________________ Date Reviewed/Approved
________________________________________________ Presidential Review
____________________ Date Reviewed/Approved
Step 6. Board of Regents Review, Consideration and Approval 1.
The Board Office will obtain clean and redlined versions of the draft policy for inclusion in the Board materials for Board of Regents review, consideration, and final disposition. ________________________________________________ Executive Committee (information only)
____________________ Date Shared
________________________________________________ Standing Committee(s)
____________________ Date Reviewed/Approved
________________________________________________ Board of Regents
____________________ Date Shared/Presented
BOR Action: □ Approved – Effective Date: _________
□ Rejected □ Postponed for Further Discussion
Step 7. Publication and Dissemination 1.
The Policy Office will post the approved policy on the University’s central website.
2
DRAFT
Policy Removal Request Form (Decommissioning) Date of Request: _____________ Policy No.: _______________ Policy Title: _________________________ Policy Owner: _____________________________ Responsible Admin (RAD): __________________________ Request disposition of the MSU Policy to: □
Retire the policy (any further action is noted below)
□
Retire the policy because it is being consolidated with another policy
□
Retire the policy and move the contents to a divisional level office/unit
□
Other:
Rationale for taking recommended action: □
Content is no longer relevant (please provide explanation)
□
It fits better with another policy or merging of policies (list policies)
□
It does not belong as a governing policy and is better suited/relocated to another location (i.e., handbook, catalog, guidelines, procedures, or divisional level office/unit)
□
Other:
Explanation for rationale: ______________________________________________________ ________________________________________________________________________ Approved by Responsible Admin (RAD): ____________________________________ Date: _______________ Approved by Legal Team: _________________________________________________ Date: _______________ Approved by President: ___________________________________________________ Date: _______________ Board of Regents: ___________________________________________ Date:________________ Decommissioning Status:
□
Approved – Effective Date: _______
□ Denied
□
Postponed for Further Discussion
University Policy Office 1700 E. Cold Spring Lane | Baltimore, Maryland 21251 policies@morgan.edu
Policy Maintenance Certification All MSU policies must be reviewed by the Responsible Administrator (RAD) on a periodic basis, ending with the policy owner and RAD attesting to this important step. This form is designed to assist policy owners during this review process. Instructions: Please use one form for each policy. Following a review of the policy, indicate the policy’s disposition based on the categories below. In the Review Recommendations section below, check the box containing your designated action category. In the Review Policy Ranking section below, check the box containing your designation of policy criticality or priority. The policy owner and RAD must sign the form and return to the University Policy Office or email the file to policies@morgan.edu. GENERAL INFORMATION Policy Title: Policy Number:
Approval Date:
Last Revised:
POLICY OWNERSHIP Department: Policy Owner: RAD:
Phone: Phone:
Email: Email:
REVIEW RECOMMENDATIONS FOR EXISTING MSU POLICY No Revision Required Accurate Policy content has been reviewed and is accurate. as Written Verify laws, procedures and related policies have not changed. □ *If policy is not in full policy display format, it must be updated to this format, which may result in changes requiring further policy process review. Retire Policy Policy has been reviewed and is no longer relevant. Policy should be retired. Follow □ procedural steps for MSU Policy Retirement. Policy Can be Merged with Policy has been reviewed and will be consolidated with another MSU policy. The Another Policy revisions will be submitted through the university’s normal policy workflow □ process. Follow procedural steps for MSU Policy Retirement. The other MSU policy (to be merged with) is: Revision will be submitted to the University Policy Office by: Enter a Date Policy Needs Revision Policy has been reviewed and revisions are needed. The revisions will be submitted □ through the university’s normal workflow process. Revision will be submitted to the University Policy Office by: Enter a Date Policy to be Relocated from the This policy has been reviewed and does not meet MSU policy criteria. It will be □ Central Policy Website moved to the appropriate location (i.e., divisional level office/unit, etc.). Follow procedural steps from MSU Policy Retirement.
High
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Medium
□
Low
□
REVIEW POLICY RANKING BY CRITICALITY OR PRIORITY Policy considered to have a medium to high probability of adverse effects to MSU either as a whole or to a significant college/school/unit level or has not been revised in 11+ years Policy considered to have low to medium probability of adverse effects to MSU either as a whole or to a significant college/school/unit level or has not been revised in 6-10 years Policy considered to have minimal probability of adverse effects to MSU either as a whole or to a college/school/unit level or has not been revised in 1-5 years
Policy Owner: Responsible Administrator:
SIGNATURES Title: Title:
University Policy Office 1700 E. Cold Spring Lane | Baltimore, Maryland 21251 policies@morgan.edu
Date: Date: