Policy: University Policy Development, Approval, and Management

University Policy: General Institutional

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UNIVERSITY POLICY

Date Revised

New 2019

Date Effective

July 17, 2019

University Policy Development, Approval, and Management


Responsible University Official: Chancellor

Policy Owner: Vice Chancellor for Administrative Services

Policy Contact: Director of Ethics and Compliance

REASON FOR POLICY

Clear and well-organized policies and procedures communicate responsibilities and expectations and are an essential resource to guide behavior and decision making. This policy includes a procedural section to promote these objectives. The policy establishes process for the development, issuance, maintenance, and rescission of university policies to promote consistency, compliance with law and regulation, and effective communication with the university community.

University policies must be up-to-date, understandable, and consistent in format and in how they are approved. This policy outlines procedures to promote these objectives.


SCOPE

This policy and related procedures apply only to university-wide policies as defined below.



BACKGROUND

Wisconsin Statue Chapter 36 delegates to the chancellor the "necessary authority for administration and operation of the institution within the policies and guidelines established by the board" (36.09.7(f)). As the executive head of their respective faculties and institutions, the chancellor is responsible for "administering board polices under the coordinating direction of the president" (36.09.3).


DEFINITIONS

Area or Departmental Directives, or Protocols:
Directives or protocols are created at a unit-level to establish expectations within their specific units or areas.

Guideline:
General, non-mandatory recommendations related to the implementation of programmatic/policy objectives. Individuals are encouraged to follow guidelines.

Policy Statement:
Describes what the policy is (i.e. purpose, core provisions, or requirements).

Procedure:
Detailed and specific steps related to a policy that specify how that policy should be implemented. Procedures may include specific instructions and forms that foster compliance with an associated policy. Procedures include information on who, what, when, and where of the related policy.

Process:
A series of actions or steps taken to achieve a particular end.

Reason for Policy:
A statement 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).

University Policy:
A university policy (a) has broad application or effect across the university, (b) is fundamental to furtherance of the university's mission, (c) seeks to ensure compliance with or implement applicable law, regulation, or standards, (d) establishes fundamental operational, administrative, or budgetary principles, or (e) covers any other matter that the chancellor deems appropriate for a university-wide policy. University policies apply to constituents beyond the span of authority of a single department head and impose binding obligations on faculty, students and/or staff, as applicable.



POLICY STATEMENT

A University policy is a policy that (a) has broad application or effect across the university, (b) is fundamental to furtherance of the university's mission, (c) seeks to ensure compliance with or implement applicable law, regulation, or standards, (d) establishes fundamental operational, administrative, or budgetary principles, or (e) covers any other matter that the chancellor deems appropriate for a university-wide policy. University policies apply to constituents beyond the span of authority of a single department head and impose binding obligations on faculty, students and/or staff, as applicable.

The principal responsibility for proposing new university policies or modifications to existing university policies, rests with the applicable policy owner, who provides operational oversight to and management of the substantive area from which the policy is based.

The development of university policies and procedures will include the opportunity for appropriate levels of consultation with the affected stakeholders. University policies and procedures are to be developed in alignment with all laws, regulations, regent policy documents, UW System administrative policies, and related policies, procedures, and guidance. University policies can be more restrictive than systemwide policy, but not more lenient in terms of requirements of the policy.

University-wide policies shall follow the UW-Platteville University Policy Template (Appendix A). The template shall be used for new policies, and for existing policies that are revised after the effective date of this policy.

Approval

University policies are reviewed by and approved by the chancellor, in accordance with the policy management process described in this policy.

Expedited or Interim Policy Process

If there is a legitimate and urgent necessity for a policy or procedure to be implemented in an expedited time frame that would not allow for this policy approval process to be completed, the chancellor may implement the policy immediately. 


PROCEDURES

University policies shall be written in accordance with the University Policy Template (Appendix A). Appendix B is a flowchart of the process outlined below.

Issuing, Modifying or Updating Policies

a. Once a need for policy is identified, the policy owner shall seek initial support of the responsible official.
b. The policy owner shall prepare a policy draft using the University Policy Template (Appendix A).
c. The policy owner shall submit the draft policy (in template format) to the policy manager.

1. Initial Process for Review and Input

The policy manager will perform the following:
a. Review draft for clarity and consistency and work with the policy owner to make edits.
b. Present policy to Executive Team for initial review and comment. 
c. Follow up with the policy owner to convey any feedback and resolve any recommended substantive changes.
d. Circulate draft to stakeholder(s) and governance groups (academic staff, university, faculty, and student senates) seeking input and feedback.
e. Circulate draft policy and procedures to deans, vice chancellors, provost, assistant provosts, directors, seeking input and feedback.
f. Post to University Policy webpage (to be established) as draft policy for a minimum of 14 day comment period.

2. Finalizing and Publishing Policy

The policy manger will perform the following:
a. After the comment period, follow up with policy owner and responsible official to relay feedback and resolve any recommended substantive changes.
b. Finalize policy template incorporating agreed upon changes.
c. Present the policy to the Executive Team for final review.
d. Submit to chancellor for final review and signature
e. Publish the policy in KnowledgeBase, post the policy link on the University Policy webpage, and maintain a printed copy for filing.
f. Categorize university policies accordingly:
 Policy Number Policy Topic 
 100 Academic & Student Affairs 
 200 Human Resources 
 300 Financial Administration 
 400 Research & Sponsored Programs 
 500 Information Access & Technologies 
 600 Safety & Risk Management
 700 Health & Public Safety 
 800 Facilities 
 900 General Institutional 

3. Communication of New or Substantively Revised Policy

a) The policy manager will prepare an email announcement and request (from the director of communications) that an all campus email notification is sent. Send additional or targeted communications as appropriate (the all campus email should be thought of as the minimum in this context, not necessarily the best or only way to communicate about policy). (See Appendix C: University and Administrative Policy Communications Plan.)
b) The policy owner will ensure that departmental webpages are updated, and that any links to university policies link directly to the University Policy webpage (to avoid having outdated or inaccurate information).
c) The policy owner will issue and communicate procedures and training as appropriate.

4. Location of University Policies

a) Published university policies shall be maintained in KnowledgeBase (Administrative Services instance). The KnowledgeBase instance of the policy is the accurate and only approved version. All web references to university policies shall be links to the KnowledgeBase instance of the policy.
b) The policy manager shall manage the review process and the updating of university policies.
c) Policies shall be reviewed on a regular basis or as needed.

5. Policy Maintenance and Periodic Review

The policy owner is responsible for maintaining and updating policies in his or her area to ensure they reflect current responsibilities, in conformance with new or revised laws, regulations, or other factors. To ensure policies remain current, all policies should undergo a periodic review on a regular basis. If such a periodic review does not result in changes, the policy owner should provide the date of the review to the policy manager, who will note on the policy that it was reviewed without change.

6. Rescission of University Policies

When a policy is deemed unnecessary or obsolete, the policy owner should submit a request to the policy manager that the policy be archived. The request will include an explanation for the action. The policy manager will notify governance groups and will present the request to the Executive Team for approval. Notice of the policy rescission shall be posted in KnowledgeBase for at least one month. The archived policy will be placed in a policy archive in KnowledgeBase.



RESPONSIBILITIES

Policy Owner:
The employee(s) who provide operational oversight to and management of the substantive area from which a particular university policy is based. The policy owner is responsible for the creation, implementation, and timely updating of the university policy.

Policy Manager:
The individual charged with administration of the university policy management program, which includes maintenance of physical copies of all signed university policies, maintaining an archive of changes or amendments, and maintaining the University Policy webpage. 

The policy manager will also review all new and revised policies for consistency, and manage the final approval process. The policy manager, in consultation with the policy owner, has the authority to make clerical changes to policies, including updating names, offices, links, citations and formatting (substantive changes must go through the approval process). The policy manager for all UW-Platteville campuses is the director of ethics and compliance.

Responsible University Official:
The senior leader(s) with oversight responsibility of the substantive area(s) covered by a particular university policy. The responsible university official serves as liaison to executive team throughout the university policy process.

Policy Contact(s):
Those designated to receive questions questions and feedback on the policy.


CONTACTS


 Subject Contact  Phone  Fax/Email 
Policy OwnerPaige Smith608.342.6171psmith@uwplatt.edu
 Policy Manager Denise LaBudda  608.342.7133  labuddad@uwplatt.edu 


RELATED DOCUMENTS


A pdf of this policy is located here.


HISTORY

This is a new policy.


SCHEDULED REVIEW

2022




Keywords:Policy, university policy, development, approval, management, compliance, general institutional   Doc ID:93074
Owner:Denise L.Group:UW Platt Admin Services
Created:2019-07-11 08:07 CDTUpdated:2020-04-01 08:35 CDT
Sites:UW Platt Admin Services
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