Printed on: 06/14/2021. Please go to http://policy.umn.edu for the most current version of the Policy or related document.
University of Minnisota  Administrative Policy

Establishing Administrative Policies

Responsible University Officer(s):
  • University President
Policy Owner(s):
  • University President
Policy contact(s):
  • Michele Gross
Date Revised:
Nov 24, 2020
Effective Date:
Jun 1, 1995

Policy Statement

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 require or prohibit specific actions of faculty, staff, students, and external individuals who use University resources or services, as appropriate.

The president has delegated authority to the President’s Policy Committee (PPC) to establish administrative policies. All new and significantly revised administrative policies must be approved by the PPC before going into effect. The PPC must also approve administrative policies proposed for retirement.

Policy owners must periodically review and monitor their policies and procedures for accuracy, efficiency and effectiveness.

Responsible University officers must ensure that monitoring compliance with their policies occurs.

System-Wide Administrative Policy Development

Criteria

System-wide administrative policies must: 1) advance the University’s mission; or 2) be necessary to implement Board of Regents policy or directive or to achieve compliance with laws, rules, or regulations; and 3) meet one or more of the following criteria:

  • address a significant risk to the institution that cannot be adequately addressed otherwise;
  • have significant impact, including but not limited to, the number of people, campuses or colleges/units impacted, and the level and number of risk factors involved; or
  • promote operational efficiency and effectiveness.

Consultation

Policy owners must consult with representatives from target audiences during the development phase of both new and significantly revised policies; proposals for retirement of existing policies; and during the course of a comprehensive review. Consultation must, at a minimum, include University Senate governance specified in the University Senate Consultation Matrix, and the Diversity Community of Practice (DCoP) Equity Lens Policy Review Committee (ELPRC).

Comprehensive Review Cycle

Policy owners must complete a comprehensive review of each of their policies every four years.  If a policy owner wishes to extend the next comprehensive review period from the standard four years to up to six years, they must complete a Comprehensive Review Extension Request form and receive approval from the President’s Policy Committee (PPC).

In the event that a policy has more than one policy owner (“owner”), the owners must be in agreement with the proposed changes.

Campus-Wide Administrative Policy Development

Individual campuses may develop campus-wide policies when:

  • there is no existing system-wide policy or when unique campus requirements cannot be accommodated within an existing system-wide policy;
  • 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; or it would be 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.

Unit-specific Administrative 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 an existing system-wide administrative or campus-wide policy
  • the policy is inconsistent with or less restrictive than Board of Regents policies, system-wide administrative policies, or campus-wide policies.

Exceptions to Policy Requirements

If exceptions are allowed for one or more requirements in a policy, the policy owner should specify the conditions under which an exception would be allowed and the individual or office that would consider granting the exception request.

Alignment Review

The director of the University Policy Program or designate will conduct regular reviews of administrative policies at the system, campus, and unit level to ensure alignment with the associated Board of Regents policies (See Board of Regents Policy: Board Policy Development) .

Expedited or Interim Policies

The PPC may approve an expedited or 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

To reduce risk and comply with University and legal requirements, by setting behavioral expectations (requirements) across the University system and communicating policy roles and responsibilities. The steps taken to incorporate an equity lens help promote equity and diversity. 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

Contacts

SubjectContactPhoneEmail
Primary Contact Michele Gross 612-624-8081 m-gros@umn.edu
President’s Office Brianne E Keeney 612-626-9145 keen0113@umn.edu

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 the Twin Cities campus. Select policies may impact or direct individuals, such as visitors, external to the University.
Appendix
An optional document attached to one or more policies. Content may contain information that further explains the policy. Changes to appendices need not go through PAC review.
Board of Regents Policies
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.
Campus Policies
Policies at a level below administrative wide, that governs a specific campus.
Comp Review Form
A working document that is prepared by policy owners to specify whether or not a policy is still needed, what changes are proposed, addressing potential equity issues, and identify monitoring plans.
Diversity Community of Practice (DCoP) – Equity Lens Policy Review Committee
A group of volunteers from DCoP who conduct a review of new and comprehensively reviewed policy to determine if the language has the potential to have a disparate impact on underserved or historically marginalized individuals or groups.
Equity Lens
A process for analyzing or diagnosing the impact of the design and implementation of policies on under-served, marginalized, and diverse individuals and groups and to identify and potentially reduce or eliminate barriers.
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, provide feedback to the policy owners on their drafts, and to advise or 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 identified by the appropriate senior leader. 
Policy Plan
A working document that provides the policy owners and review and approval groups with guidelines regarding 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 senior assistant (chair), executive vice president and provost, vice president of health sciences, vice president for human resources, senior vice president and chief financial officer, vice president for research, vice president for information technology, vice president for equity and diversity, vice president of university services, chief compliance officer, chief auditor, and general counsel. The current chair of the Senate Consultative Committee is a non-voting member of the PPC.
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
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.
Unit Policies
Policies at a level below campus-wide, such as collegiate or departmental policies that govern their specific areas.

Responsibilities

Diversity Community of Practice Equity Lens Policy Review Committee (ELPRC)
Assists policy owners in applying an equity lens to the development and review of administrative policies.
Policy Advisory Committee (PAC)
For new policies, 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 a policy should move into the public review state; and provides regular updates to their respective University officer. Reviews comprehensive review forms, revised policy and associated materials. 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. Assist the policy owner, as needed, in identifying appropriate monitoring for the policy.
Policy Owner (system-wide policies)
Prepare either a policy plan or comprehensive review form for the Policy Advisory Committee's review and action when proceeding through the policy development/revision and approval process. Develops/revises policies, procedures, instructions, and forms under the direction of a responsible officer Conduct a comprehensive review of their policies every four years to ensure ongoing policy accuracy and need in accordance with the policy plan. Obtains approval from their associated responsible officer for the proposed policy or policy change prior to review by the PAC. Policy owners are responsible for communicating policy changes to their key audiences, if not covered by the communication by the Director of the University Policy Program. Monitors compliance with policy requirements for accuracy, efficiency and effectiveness; and communicate the monitoring results to their management. Attend equity lens training or have the primary contact of the policy attend. The policy owner may authorize a designated contact to act on their behalf when developing or comprehensively reviewing policies, but remains responsible for the policy and it’s content.
President
Retains ultimate responsibility for all administrative policies.
President's Policy Committee (PPC)
Review and act on system-wide administrative policies as well as those policies that apply at least to the Twin Cities campus. Oversee the administrative policy framework to ensure policy alignment, continuity, and accountability. Apply an institutional perspective to the review and approval of administrative policies; consult with the President on policy matters that involve a substantially new direction or major impact on the University; and act on new policy requests and substantive amendments to existing policies for promulgation to ensure policies meet the minimum criteria for adoption as administrative policies. The committee also assesses and determines the institution's administrative policy needs; whether the burden is proportional to the risk; and ensures policy development and management plans are appropriate for the administration of policies.Review and act on comprehensive review extension requests from policy owners retirement.
Responsible University Officer
Accountable for the substance of, including the provisions and requirements of, and compliance with administrative policies under the Responsible Officer's jurisdiction, and oversees policy owner performance in the administration of assigned policies, including monitoring.
University Administrators
Ensure that 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:
November 2020 - Comprehensive Review.
  1. Updated title to reflect scope.
  2. Included policy retirement in the language.  This has been part of the PPC work, just not listed.
  3. Adjusted the criteria slightly to allow for policies that are not driven by a law or regulation.
  4. Reflected the requirement to consult with the Equity Lens Policy Review Committee.
  5. Added a requirement that when there are multiple policy owners, they must agree with the proposed revision.
  6. Added the requirement from the Board of Regents for an alignment review.
  7. Enhanced the definitions and responsibilities sections.
Amended:
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.
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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