Policy and Procedure Framework

Policy and Procedure Framework

University governance relies on clear, principle-based policies and flexible, up-to-date procedures. This framework explains the distinction between the two and why separation is recommended.

Separating procedures from policy documents enhances clarity, flexibility, and manageability. Policies should tell the university community what must be done and why, in a stable and clear voice. Procedures should be provided separately to explain how to comply and be allowed to evolve as needed.

Adopt this best practice to ensure policies are enduring and adaptable, driving effective compliance and good governance.

What are Policies?

• High-level statements reflecting the university’s values, principles, and rules.
• Define what must be done and why.
• Approved by governing bodies and apply broadly across the institution.
• Should be stable and change infrequently.

What are Procedures?

• Step-by-step instructions detailing how to implement a policy.
• Specify how, who, and when.
• Maintained at the departmental or administrative level.
• Can be updated more frequently to reflect operational changes.

Why Keep Procedures Out of Policy Documents?

1. Clarity

• Policies set expectations and rules; procedures explain the technical details.
• Mixing both can blur distinctions, making compliance and communication harder.
• Clear separation helps the university community understand mandatory rules without wading through operational specifics.

2. Flexibility and Adaptability

• Procedures must evolve as technologies, roles, and methods change.
• Embedding procedures in policies makes updates slow and cumbersome.
• Separate procedures allow for rapid improvements without formal policy revisions.

3. Efficient Policy Management and Risk Reduction

• Policies require rigorous review and high-level approval; procedures do not.
• Frequent procedural changes shouldn’t trigger full policy review cycles.
• Outdated procedures in policies can cause non-compliance and confusion.
• Separation allows departments to tailor procedures to their needs while maintaining consistent policy principles.

What are Best Practices?

• Reference procedures in the policy and link to them in an appendix or external document.
• Use a policy-procedure framework: each policy has a corresponding procedure document.
• Policy owners should extract step-by-step instructions, forms, or implementation details and place them in supplemental documents or online resources.