Developing a new policy/procedure, or maintaining and updating a policy/procedure can seem tedious. Help is available. Below you will find a variety of tools to assist you in every step of the process. Before beginning, we recommend you read the policy on Developing University Administrative Policies, and then use the remaining links as needed. If the guidance documents and templates listed below do not answer all of your questions, please check the FAQ section. If additional questions, please contact the University Integrity and Compliance Office at policies@louisville.edu.

A link to the University's policy regarding university-wide administrative policy development.


Policy Vetting Process

The sponsor shall determine appropriate university officials, committees, or groups to include in the discussion of the proposed or revised policy.


Templates

Official templates for development of university-wide administrative policies and procedures.

Download the Microsoft Word document templates to be used for development and submission of university-wide administrative policies and procedures.


Policy Template (DOCX)
Procedure Template (DOCX)

Download the Microsoft Word document templates to be used for development and submission of university-wide administrative policies and procedures.

Policy Template (DOCX)
Procedure Template (DOCX)

Policy Escalation Statement

Guidance and language to consider when policy compliance may warrant escalation.

Known incidents of non-compliance may be escalated. Escalation determination shall include consideration of university policies and procedures, the level of severity, and the risk to the university and/or its constituents. Escalation may result in notification of immediate supervisors up to and including university officials, committees, external entities and/or the board of trustees.

Situations that might result in escalation:

  • Willful neglect
  • Intentional non-compliance
  • Repeat offenders
  • Inadvertent non-compliance creating high level risk

You may contact us at compliance@louisville.edu for questions about policy escalation.

Known incidents of non-compliance may be escalated. Escalation determination shall include consideration of university policies and procedures, the level of severity, and the risk to the university and/or its constituents. Escalation may result in notification of immediate supervisors up to and including university officials, committees, external entities and/or the board of trustees.

Situations that might result in escalation:

  • Willful neglect
  • Intentional non-compliance
  • Repeat offenders
  • Inadvertent non-compliance creating high level risk

You may contact the Institutional Compliance Office at compliance@louisville.edu for questions about policy escalation.


Didn't Find Your Answer?

Please email us at policies@louisville.edu for further assistance.


Policy Creation and Approval Process

A step-by-step process for policy development and approval. This outlined process aligns with the university's policy on Developing University Administrative Policies. Contact policies@louisville.edu with questions regarding the creation and approval process.

1 
Identify the Need for a Policy

Sponsor approves the need for a new or revised policy

2 
Draft Policy

Responsible department drafts policy per approved policy template (DOCX)

3 
Vetting Process

Sponsor vets the policy with university constituents. The sponsor will determine appropriate vetting of a new or revised policy and should consult with University Counsel to determine if a policy requires Board of Trustees approval.

4 
Revise Draft

Draft revisions are considered based on feedback provided during vetting process.

5 
University Integrity and Compliance Office Review

Responsible department provides draft policy to policies@louisville.edu for review

6 
Revise Draft and Post for Open Comment Period

Responsible department revises draft per feedback and sends updated draft to UICO to post for open comment period.

7 
Revise Draft and President's Cabinet Approval

Responsible department revises draft per feedback from open comment period and submits the proposed policy to the President's Cabinet for review and approval.

8
Policy Publication

Sponsor sends approved policy to policies
@louisville.edu
for publication in the Policy and Procedure Library

1 
Identify the Need for a Policy

Sponsor approves the need for a new or revised policy

2 
Draft Policy

Responsible department drafts policy per approved policy template (DOCX)

3 
Vetting Process

Sponsor vets the policy with university constituents. The sponsor will determine appropriate vetting of a new or revised policy and may consult with University Counsel to determine if a policy requires Board of Trustees approval.

4 
Revise Draft

Responsible department makes necessary revisions per feedback

5 
University Integrity and Compliance Office (UICO) Review

Responsible department provides draft policy to policies@louisville.edu for review

6 
Revise Draft and Post for Open Comment Period

Responsible department revises draft per feedback and sends updated draft to UICO to post for open comment period.

7 
Revise Draft and President's Cabinet Approval

Responsible department revises draft per feedback from open comment period and submits the proposed policy to the President's Cabinet for review and approval.

8
Policy Publication

Sponsor sends approved policy to policies@louisville.edu for publication in the Policy and Procedure Library


Policy Review Guidelines

Guidelines for developing a departmental level review cycle to maintain policies and keep them current.

New Administrative Policy
  • Department/committee identifies the need for a policy (at this point a sponsor should be identified; usually the VP of the area)
  • Sponsor approves the need for the policy
  • Submit draft policy through the approved Administrative Policy Development and Approval Process:
    • Sponsor determines appropriate vetting;
    • New policy requires approval by the President's Cabinet
  • Review policy at least once every three years. Each unit/department is responsible for developing a departmental level review cycle consistent with the above guidelines and in compliance with the University's Developing University Administrative Policies policy.
Revisions to an Administrative Policy
  • Responsible department identifies need for policy revision
  • Sponsor approves the need for the policy
  • Submit draft policy through the approved Administrative Policy Development and Approval Process:
    • Sponsor determines appropriate vetting;
    • Revised policies require sponsor level and President Leadership Team approval, except for minor changes, including editorial and style
  • Review policy at least once every three years. Each unit/department is responsible for developing a departmental level review cycle consistent with the above guidelines and in compliance with the University's Developing University Administrative Policies policy.
New Administrative Policy
  • Department/committee identifies the need for a policy (at this point a sponsor should be identified; usually the VP of the area)
  • Sponsor approves the need for the policy
  • Submit draft policy through the approved Administrative Policy Development and Approval Process:
    • Sponsor determines appropriate vetting;
    • New policy requires approval by the President's Leadership Team
  • Review policy at least once every three years. Each unit/department is responsible for developing a departmental level review cycle consistent with the above guidelines and in compliance with the University's Developing University Administrative Policies policy.
Revisions to an Administrative Policy
  • Responsible department identifies need for policy revision
  • Sponsor approves the need for the policy
  • Submit draft policy through the approved Administrative Policy Development and Approval Process:
    • Sponsor determines appropriate vetting;
    • Revised policies require sponsor level and President Leadership Team approval, except for minor changes, including editorial and style
  • Review policy at least once every three years. Each unit/department is responsible for developing a departmental level review cycle consistent with the above guidelines and in compliance with the University's Developing University Administrative Policies policy.

Writing Tips

Style guidance, general tips and how to determine whether you have a policy or procedure.

Writing Tips - Policy versus Procedure

A Policy: states a mandatory rule or official position, states what to do and why, is generally brief, and has longevity.

A Procedure: states the steps to meet the rule or position, answers how, when, who and sometimes what, is generally more detailed (than a policy), may change frequently as processes continue to improve.

General Tips on Writing a Policy or Procedure:
  • Use direct and simple language that is easy to understand
  • Define new and uncommon terminology and terms that can have more than one meaning
  • Spell out acronyms when used for the first time
  • Avoid using an individual's name (to help eliminate information from becoming outdated)
  • Link to related policies, procedures, guidelines
  • Check for consistency with other documents (no contradictions)
  • If it's not mandatory, it may be guidance/best practice
  • Refer to the University Editorial Styleguide for editorial questions, including abbreviations and capitalization
Additional Policy Writing Resources:
Writing Tips - Policy versus Procedure

A Policy: states a mandatory rule or official position, states what to do and why, is generally brief, and has longevity.

A Procedure: states the steps to meet the rule or position, answers how, when, who and sometimes what, is generally more detailed (than a policy), may change frequently as processes continue to improve.

General Tips on Writing a Policy or Procedure:
  • Use direct and simple language that is easy to understand
  • Define new and uncommon terminology and terms that can have more than one meaning
  • Spell out acronyms when used for the first time
  • Avoid using an individual's name (to help eliminate information from becoming outdated)
  • Link to related policies, procedures, guidelines
  • Check for consistency with other documents (no contradictions)
  • If it's not mandatory, it may be guidance/best practice
  • Refer to the University Editorial Styleguide for editorial questions, including abbreviations and capitalization
Additional Policy Writing Resources:

Check the frequently asked questions for additional information.