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ADMINISTRATIVE POLICY
Home : Administration & Operations : Compliance and Legal

Establishing Administrative Policies

Effective Date: June 1995
Last Update: January 2012
Responsible University Officer:
  • University President
Policy Owner:
  • University President
Policy Contact:

Printed on: . Please go to http://policy.umn.edu for the most current version of the Policy or related document.

POLICY STATEMENT

The University establishes administrative policies to align operations, set behavioral expectations across the University system, and communicate policy roles and responsibilities when appropriate to do so through a broad policy in accordance with the criteria below.

Criteria

University-wide administrative policies must:

  • be warranted in order to (a) implement Board of Regents policy; (b) achieve compliance with laws, rules, or regulations; or (c) address a risk to the institution that cannot be adequately addressed elsewhere;
  • apply institution-wide or campus-wide;
  • have significant impact, including but not limited to, the number of people and colleges/units impacted and the level and number of risk factors involved; and
  • promote operational efficiency and effectiveness.

Administrative policies will either require or prohibit specific actions of faculty, staff, or students, as well as external individuals who use University resources or services, as appropriate.

The President's Policy Committee (PPC) has delegated authority from the President to establish administrative policies. The PPC will assist policy owners in identifying an appropriate level of monitoring needed for the activity.

Policy owners must consult with representatives from target audiences during the development phase of both new and significantly revised policies. Policy owners must periodically review and monitor their policies and procedures for accuracy, efficiency, and effectiveness. Policy owners must also ensure that all monitoring and enforcement activities are appropriate for the level of risk managed.

Campus-Specific Administrative Policy Development

Individual campuses may develop campus-specific policies when:

  • there is no matching University-wide policy or when unique campus requirements cannot be accommodated within a matching U-wide policy; and when
  • the policy satisfies the criteria for University-wide administrative policies.

The Director of the University Policy Program will assist the campuses in ensuring alignment with the specifications above.

Campus policy owners may not develop policies that are inconsistent with, or less restrictive than, any Board of Regents or U-wide Administrative policy. 

Administrative policies that are specific only to the Twin Cities campus or pertain to multiple campuses and include the Twin Cities campus, will follow the development and approval process specified in the attached procedures, given the size of the campus and the number of individuals governed by a Twin Cities campus policy.

Relationship of Administrative Policy with Local Policy

Colleges and departments may develop local policies, whether or not a corresponding administrative policy exists. If a corresponding administrative policy exists, they may adopt a more, but not less, restrictive local policy, except where an administrative policy specifically prohibits units from establishing policies that differ from the corresponding administrative policy.

Units may not develop local policies that are inconsistent with Board of Regents or Administrative Policies.

REASON FOR POLICY

The policy, procedure and process were created to reduce risk and comply with University and legal requirements, through the setting of behavioral expectations (requirements) across the University system and the communicating of policy roles and responsibilities. The required process by which the policies are developed, reviewed, and maintained promotes consistency, efficiency and transparency and reflects best practice in higher education.

PROCEDURES

FORMS/INSTRUCTIONS

APPENDICES

FREQUENTLY ASKED QUESTIONS

ADDITIONAL CONTACTS

Subject
Contact
Phone
Fax/Email
Primary Contact(s)
612-624-8081
President's Office
Elizabeth Eull
612-626-9276

DEFINITIONS

Administrative Policy
Directives that mandate requirements of, or provisions for, members of the University community, including procedures to assist with their implementation. These directives may be system-wide, affect multiple campuses, or apply to one campus.
Board of Regents Policy
Umbrella policies that provide the framework and guiding principles under which the administration is responsible for implementation of, and compliance with, the intent of the Board of Regents policy.
Policy Advisory Committee (PAC)
A standing committee of University administrators authorized by the President's Policy Committee (PPC) to work in partnership with the University-wide and Twin Cities policy owners to review policy plans and drafts, and to make recommendations for action to the PPC. The PAC meets on a monthly basis, and consists of the administrative policy director (chair), and representatives of each of the executives on the PPC.
Policy Contact
Generally a person who is the subject matter expert designated by the policy owner to be the first point of contact to answer policy questions and assist in policy interpretation. The policy contact may be the same person as the policy owner.
Policy Owner
A person responsible for the operational administration of policies and their related procedures, processes, instructions, and forms. Depending on the scope of the subject matter, a policy may have more than one policy owner. The policy owner may also be the same person as the Responsible University Officer.
Policy Plan
A working document that provides the policy owners and review and approval groups with a consistent approach toward policy needs analysis, risk assessment, and policy development and management.
Policy Statement
Describes what the policy is (i.e., purpose, core provisions, or requirements).
President's Policy Committee (PPC)
A standing committee of University executives authorized by the president to provide final institutional review and approval of administrative policies. The PPC meets on a quarterly basis, and consists of the vice president and chief of staff (chair), senior vice presidents, vice present of health sciences, vice president for human resources, vice president and chief financial officer, vice president for research, associate vice president of internal audits, vice president of university services, and the general counsel.
Procedures
A series of consecutive action steps related to a policy that specifies how a particular process should be completed. Procedures include information on who, what, when, and where of the policy.
Reason for Policy
A statement on the policy that describes why the policy exists (i.e., mitigates institutional risk, implements a Board of Regents policy, supports institutional mission and values, meets legal or regulatory requirements of the policy).
Responsible University Officer
An executive designated by the president as responsible for the high-level oversight of administrative policies that naturally fall within their areas of responsibility. The responsible officer may sub-delegate operational responsibility to a policy owner. Depending on the scope of the subject matter, a policy may have more than one responsible officer.

RESPONSIBILITIES

President
The President maintains ultimate responsibility for all administrative policies (policies).
President's Executive Team
Advises the President and President's Policy Committee (PPC) on policy matters involving a substantially new direction or major impact on the University as necessary and serves as a forum for dialogue on policies and overall impact on the direction of the institution.
Policy Advisory Committee (PAC)
Reviews policy plans to determine if the criteria for administrative policies are met; that the policy statement and reason are clear; that the plan for implementing and maintaining the policy is sound. PAC also reviews policy drafts for clarity and consistency; provides recommendations to the PPC as to whether or not a policy should move into the public review state; and provides regular updates to their respective University officer. Their review scope includes institution-wide policies, and policies that include at least the Twin Cities campus.
Policy Director
Supports the President's Policy Committee, responsible officers, and policy owners throughout the policy initiation, development, implementation, and management process; disseminates timely and relevant information regarding new and amended policies to the broader University community and ensure that the communication plan has been executed; maintains an easily accessible, user-friendly electronic catalog of policies on a central web site; monitors and shares policy user feedback with policy owners; monitors review schedules and work with President's Policy Committee chair to ensure compliance; and assesses framework effectiveness and discuss results and plans for continuous improvement with President's Policy Committee.
Policy Owner (University-wide policies)
Prepares a policy plan for the Policy Advisory Committee's review and action before proceeding through the policy development and approval process; develops and administers policies, procedures, instructions, and forms under the direction of a responsible officer (this includes all steps set forth in the policy plan); and performs scheduled review and assessment of assigned policies to ensure ongoing policy accuracy and need in accordance with the policy plan. Policy Owner obtains approval from their associate Responsible University Officer for the proposed policy or policy change prior to review by the PAC.
President's Policy Committee (PPC)
Reviews and approves institution-wide administrative policies as well as those policies that apply at least to the Twin Cities campus. The President's Policy Committee oversees the administrative policy framework to ensure policy alignment, continuity, and accountability; applies an institutional perspective to the review and approval of administrative policies; consults with the President and full Executive Team on policy matters that involve a substantially new direction or major impact on the University; approves new policies and substantive amendments to existing policies for promulgation to ensure policies meet the minimum criteria for adoption as administrative policies; assesses and determines the institution's administrative policy needs; and ensures policy development and management plans are appropriate for the administration of policies. The PPC may also choose to deny a request for a policy or policy change, as well as authorize elimination of policies proposed for deletion. The PPC Chair determines role of the committee in reviewing and approving substantive amendments, based on assessment of proposed change. When approving policy, the PPC will assess that the burden is proportional to the risk identified by the policy owners.
Responsible University Officer
Accountable for the substance of, including the provisions and requirements of, and compliance with administrative policies under his or her jurisdiction, and oversees policy owner performance in the administration of assigned policies.
University Administrators
Ensure that all unit employees are aware of policies relevant to the performance of their duties by providing access to policies, assistance with policy interpretation and application, and communicating the University's expectation for policy compliance.

RELATED INFORMATION

HISTORY

Amended:
January 2012 - Identifies key factors for determining if the policy is needed to address a significant risk; Incorporates a new section on campus-specific policy development; Specifies that campus, collegiate, and departmental policies must be consistent with Board of Regents and Administrative Policies; Modifies the comprehensive review cycle from the current three years to four years in procedures.
Amended:
February 2008 - Added new oversight and review process prior to new policies getting established. New Policies and major changes to existing policies require Policy Planning Committee approval and a 30 day review prior to getting published. Policy Statement updated to reflect current goals for policy. Definitions and Responsibilities sections revamped. Policy Impact Statement, and Revision to Policy Forms have been retired. Policy Plan form added. Policy Template updated to reflect new ordering of Policy Sections. Added Hierarchy of Legal/Regulatory and Policy Authority, Policy Development and Maintenance Process Diagram, Policy Framework, Policy Plan, and University Policy Hierarchy to appendices.
Amended:
July 2003 - Added appendix: Hierarchy of Legal/Regulatory and Policy Authority
Amended:
July 2001 - Updated Responsible Officer from Policy Planning Committee to Unversity Controller. Updated delegation of authority from Regents, to Regents and President in Establishing University Policy Procedure.
Amended:
July 2000 - Updated Regents information in Contacts section.
Amended:
January 1999 - Revised all procedures to reflect UPPD use of the Document Management System and the new forms: Policy Impact Statement and Revision to University Policy. Updated related information section. Added Policy Impact Statement and Revision to University Policy Forms.
Amended:
June 1995. Expanded policy to include all University policy makers.
Effective:
June 1995
Amended:
March 1995. Modified titles.
Supercedes:
Policy 3.1.1 - Developing University Financial Policy
Adopted for Policy Book:
3/94

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Last modified on November 13, 2013