Establishing Administrative Policies

The University of Minnesota (University) establishes administrative policies to align operations, set behavioral expectations across the University system, and communicate policy roles and responsibilities. Administrative policies may be established if they:

• support the University's mission and strategic positioning goals;
• apply institution-wide;
• impact a substantial number of the University population;
• promote consistency, efficiency, and effectiveness and/or mitigate or manage significant institutional risk; and
• derive from the authority of Board of Regents Policies, including specific delegated authority to manage the institution, or comply with federal or state laws, rules, or regulations.

Policy Framework. The President is responsible for establishing administrative policies by means of a comprehensive and strategic framework that provides:

• a means for determining the need for administrative policy;
• a consistent, transparent, and inclusive development process;
• an identified authority for approving administrative policy;
• a mechanism for regular review of policy need, compliance, and effectiveness; and
• a consistent policy format and accessible electronic policy library.

Compliance. Employees and students are responsible for knowing, understanding, and complying with administrative policies that relate to their position or employment or enrollment at the University. Policy owners are responsible for following the policy development and implementation process established by the president, communicating their policies properly, reviewing and updating their policies regularly, and monitoring their policies for compliance and effectiveness.

Relationship of Administrative Policy with Local Policy. Campuses, colleges, and departments may develop local policies, whether or not a corresponding administrative policy exists. If there is a corresponding administrative policy, they may adopt a more, but not less, restrictive local policy with the concurrence of the policy owner, except where an administrative policy specifically prohibits units from establishing policies that differ from the corresponding administrative policy.

Local policy development that pertains to the Twin Cities campuses will follow this policy and associated processes.

Expedited Process. Policy owners may request a more expedited process from the Chair of the President's Policy Committee (PPC) through the Administrative Policy Director. Special situations where this is likely may include a change in federal or state law, a significant and immediate financial opportunity, or a major institutional risk.

To set forth the criteria for establishing administrative policies and the policy development and implementation process.

• Developing Administrative Policy
• Maintaining Administrative Policy
• Comprehensive Review of Administrative Policies

• UM 1641: Administrative Policy Plan (DOC)
• UM 1648: Administrative Policy: Comprehensive Review or Change Request (DOC)

Subject	Contact	Phone	Fax/Email
Primary Contact(s)	Michele Gross	612-624-8081	m-gros@umn.edu
President's Office	Kate Stuckert	612-625-8844	stuck00@umn.edu

Administrative Policy

Administrative policies are system-wide institutional directives that mandate requirements of, or provisions for, members of the University community, including procedures to assist with their implementation.

Policy Advisory Committee (PAC)

The Policy Advisory Committee is a standing committee of University administrators authorized by the President's Policy Committee (PPC) to work in partnership with the policies owners to review the policy plan to ensure policies are needed and aligned with institutional mission, goals, and priorities; review subsequent policy drafts to ensure policies are concise, consistent in format and scope, and easy to understand; and to make recommendations for action to the PPC. The PAC meets on a bimonthly basis, and consists of the administrative policy director (chair), and representatives of each of the executives on the PPC.

Policy Contact

The Policy Contact is 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

The Policy Owner is 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 officer.

Policy Plan

The Policy Plan is 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

The policy statement describes what the policy is (i.e., purpose, core provisions, or requirements).

President's Policy Committee (PPC)

The President's Policy Committee is 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 president for human resources, vice president and chief financial officer, vice president for research, and the general counsel.

Procedures

Procedures are 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

The Reason for Policy is a statement on the policy that describes why the policy exists (i.e., mitigates institutional risk, supports institutional mission and values, meets legal or regulatory requirements of the policy)

Regents Policy

Regents Policies are 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 Regents policy.

Responsible Officer

The Responsible Officer is 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.

President

The President maintains ultimate responsibility for all administrative policies (policies).

President's Executive Team

The President's Executive Team sets criteria by which University policies are established; 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; serves as a forum for dialogue on policies and overall impact on the direction of the institution; and keeps informed of policies.

President's Policy Committee (PPC)

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 Chair determines role of the committee in reviewing and approving substantive amendments, based on assessment of proposed change.

Policy Advisory Committee (PAC)

The Policy Advisory Committee reviews policy plans to determine if the criteria for administrative policies are met, that the policy statement and reason are clear, and that the plan for implementing and maintaining the policy is sound; 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 executive officer and share feedback as appropriate with the PAC.

Policy Director

The 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 and the President's Advisory Committee; 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

The Policy Owner prepares a policy plan for the President's Policy 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.

Responsible Officer

The Responsible Officer is 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

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.

University Faculty, Staff, and Students

University faculty, staff, and students are responsible for understanding and following all applicable University policies and related procedures.

• Administrative Policy Development Process (PDF)
• Guide to Writing Policy (PDF)
• Hierarchy of Legal/Regulatory and Policy Authority
• Template: Appendix (DOC)
• Template: FAQ (DOC)
• Template: Policy (DOC)
• Template: Procedure (DOC)
• University Policy Framework - Hierarchy (PDF)
• University of Minnesota Administrative Policy Framework (PDF)

• Establishing Administrative Policies FAQ

• Board of Regents Policies

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