UMLCC manages university operating policies and procedures. Responsibilities include working with campus units on creation, revision and elimination of university operating policies and procedures. UMLCC oversees the shared governance, legal and compliance review process to ensure that policies and procedures meet university standards and legal requirements.
University operating policies and procedures are different from department policies and procedures. University operating policies and procedures are defined as follows:
University Operating Policies (can be found on our policies website)
- have campus-wide or University-wide application
- strengthen controls to ensure compliance with applicable laws and regulations
- enhance the university’s mission, promote operational efficiencies, and/or reduce institutional risk
Policies establish a framework for what will or will not be done at UM, and reflect the rules governing the implementation of campus processes. Only the policies as listed on the University Operating Policies will be applicable/enforced. Campus units might have policies specific to their units, but because of their unit-specific focus, these are not considered University Operating Policies but departmental policies.
Procedures
Procedures reflect current operational processes for completing tasks. Procedures contain details that include specific steps, process examples, forms to use, and contact information for assistance. Procedures and substantive changes to procedures may be made by the Responsible Office without review by the shared governance bodies, unless the procedure contains substantive rights of employees or students. When such is the case, the Office of Legal Counsel must be consulted prior to implementation of such changes. The Office of Legal Counsel has the authority to require changes to these types of procedures undergo the same approval process as the creation of a policy.
Departments may create and amend their own policies and procedures in accordance with their standards and review processes, so long as such departmental policy does not meet the definition of a university operating policy. Additionally, departmental policies and procedures may not conflict with university operating policies and procedures, Board of Regents policies, and applicable law and regulation. UMLCC is available to departments to assist in creation, amendment, and review of departmental policies and procedures.
Steps to Propose a new University Policy
Often times campus sectors identify a need for a new university operating policy during the course of their work. Policy gaps may also be discovered as part of the UMLCC’s compliance program, or through an internal audit. Regardless of how the need is discovered, the next step is to identify who should be involved in the initial drafting of the policy. Policy creators should therefore first determine who would be considered the Responsible Office for the proposed policy. The Responsible Office (“RO”) is the executive team leader whose sector has primary, or required, responsibility and oversight regarding the content and implementationof the proposed policy. For example, a policy regarding academics or faculty would likely have the Provost as the RO, and a policy related to University facilities, would likely have the Vice President for Operations and Finance as the RO.
Once the RO is identified, initial policy drafting should begin. Policy drafting results in the best outcomes when campus constituents whose work will be significantly impacted by the policy are able to provide substantive input and review during the drafting process. For example, as part of the creation process for the Minors on Campus Policy, after an initial draft was created by UMLCC, it was sent for review to individuals from Campus Recreation, LAB Preschool, spectrUM Discovery, ASUM Childcare, Athletics, the Music Department, and Risk Management.
The policy and its proceduresbe drafted in accordance with the UM’s Operating Policy and its procedures. [It is also advisable to use UMLCC’s policy template.] Once a finalized draft of the policy is completed, it must be entered into UApprove. All employees have access to UApprove and the ability to propose a new policy within the UApprove system.
Upon submission into UApprove, the proposed policy will then undergo UM’s formal shared governance review process. UM’s process systematically seeks input from identified campus and shared governance leaders, and affords the RO multiple opportunities during the process to either make substantive changes to the proposed policy within UApprove, or quash the proposed policy entirely.
This review process starts with initial review by the RO, Internal Audit, and Legal Counsel. The proposed policy is then routed to the shared governance units (ASUM, faculty senate, and staff senate) for review and input. After their review, the President’s cabinet reviews the proposed policy, along with all input and feedback from prior reviewers, and any responsive comments to such feedback provided from the individuals involved in the creation of the proposed policy. Cabinet’s review is conducted at a publicly noticed meeting with the opportunity for public comment. The proposed policy is then reviewed one final time by legal counsel and is the submitted to the President for approval or rejection. Only the President can enact a policy.
A more comprehensive pictorial of the entire review process is provided below:
Policy Amendments
All substantive policy amendments must be submitted within UApprove. Substantive amendments go through the same review process as new policies. Non-substantive amendments are approved by the Policy Gatekeeper.
Communication & Education
Responsible Offices should communicate and educate campus when new policies within their purview have been adopted, as well as when substantive amendments to their policies are finalized.
Policy Review Cycle
Existing policies should be reviewed at least every three years. UApprove automatically notifies the RO when a policy review is expected. Policies may require review on shorter cycles for a myriad of reasons such as regulatory changes and policy impacts.
UMLCC encourages those formally involved in the shared governance review process, along with anyone else interested in providing feedback on proposed new policies and substantive amendments to policies, to use UM’s Policy Review Tool [add hyperlink].
Review of Procedures to University Operating Policies
Only university policies—not procedures to university policies—are required to go through the UM’s shared governance process. However, UMLCC encourages shared governance review of procedures when such confer procedural rights to employees or students (e.g. the student code of conduct, procedures to the UM’s Discrimination, Harassment, and Retaliation policy) and when upon creation of a new university policy.