,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDPPreparing a policy or procedure document for UC Santa Cruz’ InfoSlug on-line policyand procedure system is not as mysterious or difficult as you might think. This guideis designed to explain the campus’ policy and procedure framework, to help policyand procedure owners organize their written documentation, and to act as a resourceas they navigate the approval process. You will find the information in this “how to”guide helpful if you are responsible for formulating or documenting new or existingpolicies and procedures.Why create an on-line policies and procedures system? 2Why separate policy and procedure? 3Who are the primary users of the InfoSlug policies and procedures system? 3What are the characteristics of good policies and procedure documents? 4Good policies 4Good procedures 5Writing style for policy and procedure documents 5Design and layout of policy and procedure documents 5Icon definitions 6Responsibilities of policy and procedure owners 7Templates for policy and procedure documents 8Components of policy documents 8Components of procedure documents 9Components of “roadmap” documents 10Getting started 11Policy and procedure approval checklist 12Policies 12Procedures 13Additional help 14University Policy and Procedure Formulation, Approval, and Dissemination(internal working draft dated October 28, 1994).Guide to Writing Policy andProcedure Documents,Q 7KLV *XLGH6HH $OVR *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP:K FUHDWH DQ RQOLQH SROLFLHV DQG SURFHGXUHV VVWHP”Over the past several years the campus has been actively examining its decisionmaking processes with an objective of locating decision-making authority at thelowest appropriate levels. Improvements in the campus’ process for documentingpolicies, procedures, and delegations of authority will enable this effort by addressinga number of issues:1. Ease of Access. Currently there are too many manuals and loose memos—aninformation flood. Users don’t know what is important. Policy and proceduremanuals that do exist are not always up-to-date and users cannot always find thedocuments they need to make informed decisions. An up-to-date, on-line systemwill permit those who use or are directly affected by policies and procedures tohave the access they need.2. Cost Effectiveness. Currently, individual offices must dedicate resources tomaintaining files of relevant campuswide policies and procedures. Alternatively,the offices responsible for policy must respond to requests for policy documents asthey are needed by individual users—using scarce human resources within thoseoffices which might better be assigned to other activities.Making written policies and procedures readily available and identifying a singleoffice (or position within an office) in the policy (or procedure) documents towhich questions can be directed should result in the following benefits:• Less time spent on the telephone (or using electronic mail) to locate aperson to whom a question can be addressed;• Fewer errors; and• Consistent answers.3. Responsiveness. The ability to quickly update and disseminate procedures enablesthe campus to meet changing customer needs and to adapt to new environments.4. Accountability. Clearly written, available policies and procedures are one of thefoundation elements of any system in which individuals and units are heldaccountable for adherence to campus policies and procedures.A campus policies and procedures manual can quickly become out-of-date if aneffective policy coordination function is not coupled with the effort. The creation of aPolicy Coordinating Office responsible for the maintenance and distribution of policyrecords and up-to-date procedures along with providing guidance to you as policy(and procedure) owners will make your investment in preparing written documents amore rewarding effort.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP:K VHSDUDWH SROLF DQG SURFHGXUH”Policies reflect the “rules” governing the implementation of the campus processes.Procedures, on the other hand, represent an implementation of policy and shouldevolve over time as new tools emerge, new processes are designed, and the risksassociated with an area changes in response to internal or external environmentalchanges. (In fact, there should be an expectation that individuals will “challenge”outdated procedures and call them to the attention of their owners.) As aconsequence, rather than combine “policies,” “procedures,” and “guidelines” in asingle document, it is recommended thatas a general rulepolicies and proceduresappear as separate documents.This separation will also assist TQM (Total Quality Management) or processredesign teams in distinguishing University requirements from the existing body ofstandard practices. As the technology advances, entire manuals will be placed online. Therefore, a distinction between what is University policy and what is notbecomes very important.:KR DUH WKH XVHUV RI WKH ,QIR6OXJ SROLFLHV DQG SURFHGXUHVVVWHP”Because the campus’ policy and procedures system is (or more precisely, will be)accessible by the entire campus community (and by off-campus users who may haveInternet access), documents must be written so that they can be understood by a wideaudience. Users of campus policy and procedure documents include individuals inboth academic and administrative offices. For example,• Campus administrators,• Faculty,• Unit managers,• Administrative support personnel,• Service center staff,• Teams involved in TQM or process redesign initiatives,• Individuals who need to understand the “rules” by which the campus mustabide,• Anyone who fills out forms and wants to generate error-free transactions,• Action approvers,• Support groups and volunteers, *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP• Leaders of student organizations,• New employees,• Trainers, and• Others who need to make decisions about the most effective way to carry outtheir daily tasks.Thus your efforts to make policy and procedure information widely accessible willprovide your colleagues with the tools needed to effectively move decision-making tomore appropriate levels within the campus’ organization, will help them streamlinecampus administrative processes, and will provide a basis for individual anddepartmental accountability.Of course, it will be impossible to address every aspect of policy and procedure in awritten document. Lacking information on which office to call, users could “shoparound” for answers to policy or procedure questions. In order to limit theopportunities for conflicting answers, it is important for you to designate a policy“expert” (or similarly a procedure “expert”) readily available to faculty anddepartmental administrators to interpret and to resolve problems.:KDW DUH WKH FKDUDFWHULVWLFV RI JRRG SROLFLHV DQG SURFHGXUHGRFXPHQWV”The overall goal for any policy or procedure document is for the design to be simple,consistent, and easy to use. In order to ensure a consistent format betweendocuments, the campus has developed a number of Microsoft Word templates to helpthe writers of policies and procedures get started.*RRG 3ROLFLHV• Policies are written in clear, concise, simple language.• Policy statements address what is the rule rather than how to implement therule.• Policy statements are readily available to the campus community and theirauthority is clear.• Designated “policy experts” (identified in each document) are readilyavailable to interpret policies and resolve problems.• As a body, they represent a consistent, logical framework for campus action.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP*RRG 3URFHGXUHV• Procedures are tied to policies. Making explicit this relationship along withhow the procedure helps the campus achieve its goals or strategic plan helpsensure understanding and compliance.• Procedures are developed with the customer/user in mind. Well developedand thought out procedures provide benefits to the procedure user.• There is a sense of ownership among procedure users. For this reason, ithelps to involve users in the development of campus procedures.• The procedures are understandable. Procedures should be written so thatwhat needs to be done can be easily followed by all users.• When feasible, procedures should offer the user options. Procedures whichare unnecessarily restrictive may limit their usefulness.:ULWLQJ 6WOH IRU 3ROLF DQG 3URFHGXUH ‘RFXPHQWV• Concise, minimum of verbiage.• Factual—double-check accuracy!• Don’t include information that may be quickly outdated (e.g., names).• If you use an acronym, spell it out the first time you use it. •Include step-by-step instructions for completing (paper or electronic) forms(procedures only). • Not too technical—simple enough to be understood by a new employee.‘HVLJQ DQG /DRXW RI 3ROLF DQG 3URFHGXUH ‘RFXPHQWV• Generous use of white space.• Presentation is structured so that the user can quickly focus on the aspect ofpolicy or procedure relevant to their decision/task at hand.• Use a flexible, modular outline to make the document easy to modify (andtherefore keep up-to-date).• Use labels to introduce key points (headings and labels in margins need to beconsistent … i.e., location on each page, type size, etc.).You may wish to obtain a diskette containing templates, icons, anddefined styles for headings, labels, and margins (in Microsoft Wordformat for Windows or Macintosh). These disks are available fromthe Policy Coordinating Office. *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP,FRQ ‘HILQLWLRQVIcons are a useful way of pointing out critical information. The following set of icons(adapted from standards used at Stanford University) are UC Santa Cruz standards:Points the reader to information they need such as training classes,other source documents, and phone numbers of departments orindividuals who can provide assistance.Briefly states or refers reader to specific policy documents available inInfoSlug or other campus formats.Suggestions for handling a form or procedures efficiently.A critical piece of information that, if overlooked, could cause anerror.A way of doing something that is an exception to the general rule anda description of why it is an exception.A specific example of an activity, a document, etc.Explains key terms.A checklist that the user can follow to complete a task.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP5HVSRQVLELOLWLHV RI 3ROLF DQG 3URFHGXUH 2ZQHUVPolicy and procedure “owners” are accountable for the timely review, updating, anddissemination of policies and procedures in their functional area. Assignment ofresponsibility for policies or procedures is accomplished partly through a series ofdelegations of authority. Delegations of authority assign authority and responsibilityfor actions and/or activities to specified campus administrators. Alternatively, in theabsence of a formal delegation, authority will rest with the unit which has beenassigned operational responsibility for an area.An up-to-date index to campus delegations is (or more accurately, will be) a part ofthe InfoSlug policies and procedures system.When developing new policy or revising existing policy, policy owners have anobligation to identify those who will be directly affected by new or revised policiesand to consider their views early in the policy development discussions.Similarly, when developing new or revising existing procedures, procedure ownershave an obligation to identify those who will be directly affected by new or revisedprocedures and to consider a representative sample of their views early in theprocedure development discussions. They must also ensure that their proceduresadhere to the principles of and achieve the objectives for campus process redesign,including the principles of incorporating “customer voice” and ensuring each campusprocess “adds value” to the service delivered to “customers.” For more informationabout these process redesign principles, check InfoSlug.In addition to documenting the approved policy or procedure, the owner shoulddevelop support and training options, if appropriate, for the customers/users who areattempting to adhere to their policy or procedure. This includes, at a minimum, thedesignation of “experts” to which departmental staff or faculty can turn for guidanceor to resolve problems.For more information (or for a copy of the full written policy concerning “owner”responsibilities), check the InfoSlug policies and procedures system (when it becomesavailable) or contact the Policy Coordinating Office. *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP7HPSODWHV IRU SROLF DQG SURFHGXUH GRFXPHQWV&RPSRQHQWV RI 3ROLF ‘RFXPHQWVCampus policy documents should use a paragraph numbering system that permitsthem to be cited easily and they should include each of the following components:1. Headline banner UC Santa Cruz Policy, the policy title, issuing date, and an identificationblock which includes: Policy number, Page Number, Effective Date,“Supersedes” notification, Office of Origin, and Policy Approval Authority.The Policy Number and Page Number would appear on all subsequentpages; the footer of each page should repeat the Issuing Date and the PolicyTitle.Note: The policy title should be carefully selected so that it is simple andclearly conveys the policy’s content.2. Purpose of the policy/Policy statementA concise statement of the rationale for the policy, including if appropriate,reference to external regulations, further policy discussion, etc. Summary(one paragraph) clearly stating the important policy content.3. Detailed policystatementComplete policy statement. If the effective date is different from the issuingdate in the headline banner, and then an appropriate discussion of when thepolicy applies should be included with the policy statement.4. Applicability Exactly who the policy applies to and the consequences for non-compliance,if applicable.5. Definitions Definitions of terms (as needed).6. Cognizant office(s)/Getting HelpThe office and specific individual position title (with telephone number andelectronic mail address, as appropriate) that should be contacted forinterpretations, resolution of problems, and special situations.7. Policy authority The highest administrative or academic officer or group authorizing thepolicy. If appropriate, one might also note the next required review date.8. Related policies/References for moreinformationInformation about related policies or procedures, guidelines, forms, etc.Give complete references and ensure that documents cited are readilyavailable (i.e., either as widely distributed manuals such as the Business andFinance Bulletins, Accounting Manual, Contracts and Grants Manual; oravailable in the on-line campus Policies and Procedure Manuals). If needed,provide additional background discussion here.9. ImplementationproceduresReference to detailed procedures that are recommended in order to carry outthe intent of the policy.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP&RPSRQHQWV RI 3URFHGXUH ‘RFXPHQWVCampus procedure documents should use a consistent format applying standardlanguage and icons so as to become an easy-to-use reference and training tool forboth academic and staff employees. They should include the following components:Headline banner UC Santa Cruz Procedure, the procedure title, issuing date, and anidentification block which includes: Procedure number, Page Number,Effective Date, “Supersedes” notification, Office of Origin, and ProcedureApproval Authority. The Procedure Number and Page Number wouldappear on all subsequent pages; the footer of each page should repeat theIssuing Date and the Procedure Title.Note: The procedure title should be carefully selected so that it is simpleand clearly conveys the procedure’s content.Overview/proceduredescriptionDescribes the overall objectives, functions, or tasks that the procedure isdesigned to accomplish and the circumstances under which the procedureshould be used.Areas of responsibility Lists departments, units, offices, and individual job titles for those who haveresponsibility for aspects of daily control and coordination of the procedure,authority to approve exceptions to the procedure (if applicable), andprocedural implementation (including responsibility for any requiredelectronic or written forms). Sets forth the scope of such department’s,unit’s, office’s, or individual’s responsibilities under the procedure, theprocedural areas subject to discretionary modification (if any), and theresponsibility for implementation.Procedure details Using an approach which is customized to the subject (i.e., can be astatement in outline format of each step required, a checklist of what needsto be done, an explanation of how to complete the necessary forms orscreens—including copies of the forms or screens, or an appropriatecombination of techniques), provide the reader with the necessaryprocedural and “how to” information. Included in this section should bedefinitions of unique terms or terms subject to different interpretation andcopies of all forms needed to complete the procedure. A transaction flowchart might also be included in this section.References UC Santa Cruz policies (i.e., University-wide and campus-specific), federaland state laws and regulations, or other references directly applicable to theprocedure.Help page A table which points users to training programs, classes, University offices,other University documentation, telephone numbers, and other sources ofhelp completing forms or carrying out procedures. *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP&RPSRQHQWV RI ´5RDG0DSµ ‘RFXPHQWVPolicies and procedures which affect the UC Santa Cruz community will reside inmultiple locations (e.g., in our own InfoSlug on-line policies and procedures manual,on the UC Office of the President gopher server, in paper-only documents, etc.). Inthat it is not cost-effective to duplicate electronic manuals available elsewhere (butrather to provide references or electronic links to such resources), a “roadmap”template (in addition to the “policy” template and the “procedure” template) shouldbe utilized.The “roadmap” document enables the policy or procedure owner to place in thecampus’ InfoSlug policy and procedure system a reference to policies and procedureswhich reside in other systems. There are a number of different formats for policy andprocedure information and different indexing methods are used by these resources.Accordingly, this new template provides end-users with easy, consistent access to thespecific policy and procedure documents needed to complete their work.For selected, often used areas for which there is no campus-specific policy orprocedure, the “roadmap” template provides a listing of appropriate policies and/orprocedures which the user should consult in order to get the information they need tocomplete a task/make a decision. In addition, the template guides the user toappropriate on-campus resources for help and assistance. Because this informationhas been pre-compiled (and appropriately indexed), queries to the electronic manualwill guide each user to the same base of information.Headline banner UC Santa Cruz Policy (or Procedure), the title, issuing date, and anidentification block which includes: Page Number, Effective Date,“Supersedes” notification, and Office of Origin. The Page Number wouldappear on all subsequent pages; the footer of each page should repeat theIssuing Date and the Procedure Title.Overview/description A concise summary of the policy (or procedure).References Reference to the appropriate policy or procedure documents (including howto access such policy or procedure documents).Help page A table which points users to training programs, classes, University offices,other University documentation, telephone numbers, and other sources ofhelp completing forms or carrying out procedures.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP*HWWLQJ 6WDUWHGThe following steps will help you get started.1. Consult with the Policy Coordinating Office for questions about the componentsof a policy or procedure, the recommended templates, and the standard languageand terminology that should be used in campus policy and procedure documents.The Policy Coordinating Office has responsibility for• maintaining delegations, policies, and procedures inventory/”manual” (anddatabase) and coordinating their update,• setting standards for written policies and procedures, and• providing training/consulting to preparers of policies and procedures.You can also work with the Policy Coordinating Office to research the policycontext and identify related policies and procedures. Thus the PolicyCoordinating Office can be a valuable resource to you as you develop writtenpolicies or procedures.2. Develop a document outline.3. Verify the outline with your supervisor and other subject matter experts.4. Determine who will be the writers/reviewers of your policy or procedure.5. Consult the style guidelines contained in this document (see page 5).6. As you develop your policy or procedure, keep the Policy Coordinating Officeinformed of your progress and seek their assistance where appropriate (e.g., asyou determine the approvals that may be required).7. Designate appropriate policy (or procedure) “experts.”8. Obtain the appropriate approvals.9. Provide the final policy or procedure document to the Policy Coordinating Officein both electronic and hard copy form. *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP3ROLF DQG 3URFHGXUH $SSURYDO &KHFNOLVW3ROLFLHVA detailed diagram/flow chart illustrating the policy formulation and approvalprocess steps is available upon request from the Policy Coordinating Office. Thefollowing check list, however, can serve as a guide to the policy owner:1. Check for existing policies and responsible individuals:• Check policies and procedures manuals (i.e., campus and systemwide).• Check delegations of authority (or unit with operational responsibility).• Check with Policy Coordinating Office if you cannot locate policy and/orresponsible office from other sources.2. Identify cognizant administrative office/officer and policy gap:• Work closely with Policy Coordinating Office to research policy contextand to identify related policies and procedures.• If the policy has academic implications, check with Academic SenateOffice on the need for further consultation.• If the policy affects specific groups for which explicit consultations arerequired, check with the appropriate principal officer or unit manager foradditional instructions (e.g., policies with labor relations implications mustfollow a specific process).3. Develop new or revised campus administrative policy.• Work closely with Policy Coordinating Office to identify affected partiesand appropriate review bodies.• In the early policy development stages, consult with/consider the views ofthose who will be directly affected by the new or revised policy.• Draft new or revised policy.• Review final draft of policy with Policy Coordinating Office (for clarity,readability, and consistency with other policies and procedures).• Review final draft of new or revised campus administrative policy withcognizant University officer (per delegation of authority or operationalresponsibility).4. Working closely with the Coordinating Office, conduct additionalreview/consultation as appropriate.• Forward draft policy to Policy Coordinating Office.• Take to appropriate campus review bodies.• Take to appropriate senior administrative officers.• Engage in additional review/consultation (as may be suggested).• Revise policy (if necessary).5. Ensure that appropriate procedures are developed or revised. Contact PolicyCoordinating Office for assistance.*XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV ,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP6. Disseminate policy.• Prepare materials for Policies and Procedures Manual.• Forward to Policy Coordinating Office for posting to electronic manual.• Provide notice to affected population.• Provide training/orientation (as appropriate).3URFHGXUHVThe check list for procedure owners is quite similar except for the review process.Note that with procedures, the review process is less formal although it is expectedthat procedure owners will incorporate the principles of “customer voice” into theirprocess:1. Check for existing policies, procedures, and responsible individuals:• Check policies and procedures manuals (i.e., campus and systemwide).• Check delegations of authority (or unit with operational responsibility).• Check with Policy Coordinating Office if you cannot locate procedureand/or responsible office from other sources.2. Identify cognizant administrative office/officer and need for procedure:• Work closely with Policy Coordinating Office to research policy contextand to identify related policies and procedures.• If the procedure requires the development of new policies, follow the stepsin the policy formulation and approval process.3. Develop new or revised campus administrative procedure.• In the early procedure development stages, consult with/consider the viewsof those who will be directly affected by the new or revised procedure.• Review the principles and objectives for campus process redesign andensure that they are achieved as new or revised procedures are developed.• Review final draft of new or revised campus administrative procedure withcognizant University officer (per delegation of authority or operationalresponsibility).4. Conduct additional review/consultation as appropriate.• As appropriate consult with Policy Coordinating Office.• Engage in additional review/consultation (as may be suggested).• Revise procedure (if necessary).5. Disseminate procedure.• Prepare training program for new or revised procedures.• Prepare materials for Policies and Procedures Manual.• Forward to Policy Coordinating Office for posting to electronic manual.• Provide notice to affected population.• Hold training workshops/orientation (as appropriate). *XLGH WR :ULWLQJ 3ROLF DQG 3URFHGXUH ‘RFXPHQWV,17(51$/ :25.,1* ‘5$)7 ³ 3ULQWHG ² 3ROLFLHV 3URFHGXUHV 7HDP$GGLWLRQDO +HOSThis document—as should each of your documents—concludes with a help page thatpoints users to training programs, classes, University offices, other Universitydocumentation, telephone numbers and other sources of help with completing forms,carrying out procedures, or interpreting policy. If You NeedHelp WithContactQuestions about thisguide or the policy andprocedure formats.Policy Coordinating Office.Finding a good exampleof a policy document asa model for your policy.Check InfoSlug for examples, or contact the PolicyCoordinating Office.Finding a good exampleof a model proceduredocument.Check InfoSlug for examples, or contact the PolicyCoordinating Office.More information aboutthe steps involved inthe policy or procedureapproval process.Policy Coordinating Office.Microsoft Wordtemplates for policiesand procedures.Policy Coordinating Office.Inserting an icon intoyour policy orprocedure document.Review the README file on the templates diskette, orcontact your computing coordinator or the CATSInformation Resource Center.Microsoft Word.Your computing coordinator or the CATS InformationResource Center.Obtaining additionaltraining.Policy Coordinating Office or Employee Development. The Policy Coordinating Office is temporarily located within the Office of Planningand Budget (3rd floor Kerr Hall, 408-459-2446).Also available for consultation and advice are the members of the Policy andProcedures Team. Call the Policy Coordinating Office for assistance in contactingthe members of this team.
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