Establishing Administrative Policies
The University establishes administrative policies to align operations, set behavioral expectations across the University system, mitigate institutional risk, and communicate policy roles and responsibilities when appropriate to do so through a broad policy in accordance with the criteria below.
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. All administrative policies must be approved by the PPC before they may go into effect.
Responsible officers are responsible for ensuring that monitoring compliance with policies occurs. The appropriate senior leader or the Office of Institutional Compliance will assist policy owners, as needed, in identifying appropriate monitoring for the activity.
System-wide administrative policies must advance the University’s mission; be necessary to implement Board of Regents policy or directive or to achieve compliance with laws, rules, or regulations; and meet one or more of the following criteria:
- address a risk to the institution that cannot be adequately addressed otherwise;
- 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 or
- promote operational efficiency and effectiveness.
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 and complete a comprehensive review of each of their policies every four years.
Campus-Wide Administrative Policy Development
Individual campuses may develop campus-wide policies when:
- there is no matching system-wide policy or when unique campus requirements cannot be accommodated within a matching system-wide policy; and
- the policy satisfies the criteria for system-wide administrative policies; or
- if the policy content is specifically covered within the scope of University Education Association Unit 9 Contract (Duluth and Crookston campuses).
Campuses may not create a campus-wide policy when it is prohibited by an existing system-wide administrative policy.
Campuses may not develop policies that are inconsistent with, or less restrictive than Board of Regents or system-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..
The Director of the University Policy Program will assist the campuses in ensuring alignment with the specifications above.
Unit Policy Development
Colleges and departments (units) may develop local policies whether or not a corresponding administrative policy exists, if permitted by their campus or college processes
Units may not create a local policy:
- when it is prohibited by a existing system-wide administrative or campus-wide policy.
- when the policy is inconsistent with or less restrictive than Board of Regents, system-wide administrative policies, or campus-wide policies.
Expedited or Interim Policies
The President’s Policy Committee (PPC) may approve an interim policy when legal requirements or a significant institutional risk exists and there is insufficient time to complete the standard review and approval process before publishing, A policy plan and timeline for completing the standard review of the interim policy must be included in the request to the PPC. If approved, the policy will go into effect immediately. The policy owner must complete the standard policy review and approval process during this approved interim period.
REASON FOR POLICY
The policy, procedures 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.
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|President’s Office||Elizabeth Eull||612-626-9276||Eullx001@umn.edu|
- 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 the implementation of, and compliance with, the intent of the Board of Regents policy.
- Unit Policies
- Policies at a level below campus-wide, such as collegiate or departmental policies that govern their specific areas.
- 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), representatives of each of the senior leaders on the PPC, and representatives from each of the system campuses.
- Policy Contact
- A 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 is defined by the appropriate senior leader.
- 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 senior leaders 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 president’s chief of staff (chair), senior vice president, vice present of health sciences, vice president for human resources, vice president and chief financial officer, vice president for research, vice president for information technology, vice president for equity and diversity, associate vice president of internal audit, vice president of university services, and the general counsel.
- 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
- A senior leader on the President’s Policy Committee designated by the president as responsible for the 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 policy, a policy may have more than one responsible officer.
- The President maintains ultimate responsibility for all administrative policies.
- 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 their respective senior leader on 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 system-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; 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 works with President's Policy Committee chair to ensure compliance; and assesses framework effectiveness and discusses results and plans for continuous improvement with President's Policy Committee.
- Policy Owner (system-wide policies)
- Prepares a policy plan for the Policy Advisory Committee's review and action when 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 associated responsible officer for the proposed policy or policy change prior to review by the PAC.
- President's Policy Committee (PPC)
- Reviews and approves system-wide administrative policies as well as those policies that apply at least to the Twin Cities campus. The PPC 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 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. 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.
- Board of Regents Policy: Board Policy Development
- Administrative Policy: President's Delegations of Authority
- May 2016 - Comprehensive Review, Major Revision, 30 Day Review. 1. Provides a new section that addresses the publishing of an expedited policy. 2. Better aligns the relationship of campus and local policies. 3. Specifies that required time period for conducting comprehensive reviews on existing policies.
- 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.
- 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.
- July 2003 - Added appendix: Hierarchy of Legal/Regulatory and Policy Authority
- 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.
- July 2000 - Updated Regents information in Contacts section.
- 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.
- June 1995. Expanded policy to include all University policy makers.
- June 1995
- March 1995. Modified titles.
- Policy 3.1.1 - Developing University Financial Policy
- Adopted for Policy Book: