University Policy

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about this manual

This guide contains information about the ongoing process to create, distribute and maintain University-wide policies, procedures, instructions and forms.

The policies and procedures that you write will become part of the University Policy and Procedures Manual. Although many of the components that will comprise the manual have yet to be written, the basic structure has been established.

A policy is divided into three levels of information; the actual policy, any applicable procedures and the necessary instructions and forms.

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contents

WRITING A POLICY

WHAT IS A POLICY

POLICY FORMAT

Policy Statement
Policy Reason

ON-LINE POLICY
 

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Writing a Policy

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Some tips to help you avoid the editor's infamous red pencil

Because policies are written for a diverse audience, they must be complete yet simple and easy to read. A policy is NOT a law and shouldn't require an attorney to interpret it.

Select your words carefully. Words like should and may imply a choice. For example,

" Faculty and staff should not smoke in class".

This means they shouldn't smoke but it's perfectly fine if they do.

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Whenever possible, use as few words as possible to state a case. For example, " All faculty and staff must ............."

The word "all" is redundant. Simply stating " Faculty and staff" implies all unless an exception is also written.

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Sometimes, overclarifying a statement can alter its meaning. For example, the following statement is quoted from an existing university policy: " All university faculty and staff, under the leadership of its officers, are obligated to ensure that university funds are used only for mission related purposes"

This statement implies that only those "under the leadership" are required to follow the policy.

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What is a Policy? 

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The word policy may mean different things to different people. In general, it's a guiding or governing principle.

A procedure is a series of interrelated steps that are taken to help implement the policy.

Instructions and forms facilitate completing the procedures.

A University Policy is defined using all of the following criteria:

1. It is a governing principle that mandates or constrains actions.
2. It has institution-wide application.
3. It will change infrequently and sets a course for the foreseeable future.
4. It helps ensure compliance, enhances the University's mission or reduces institutional risk.
5. It is approved at the senior levels of the University.

Sample Policy Statement

The University will reimburse people who travel on official, approved University business for reasonable travel expenses, provided they comply with the conditions outlined in this document.

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Policy Format 

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A standard, yet flexible, policy format ensures consistency from one written policy to another.

The first page of each standard University policy contains the Title Block.

Title Block

• wordmark
• volume designator
• title of this policy
• policy number
• date policy takes effect
• responsible officer
• responsible office
• pyramid logo

In addition to the title block, a standard University policy contains at least the following headings:

1. Policy Statement
2. Reason For Policy
3. Who Should Know This Policy
4. Related Information
5. Contacts

A policy that contains only these headings is called a short form policy.

 

Human Resource policy also includes an  "Official Language" heading.

 

Policy Statement

What are we doing?

• summary of people's actions
• who should follow the policy
• when policy applies
• major conditions or restrictions

Reason For Policy

Why are we doing it?

• legal or regulatory reasons
• description of conflict or problem the policy will resolve
• recognizes the legitimate interests of all parties
• overall benefits

Contents

Information listed in the Contents will differ depending on the status of the policy and whether it is a short or long form policy.

For example, if a policy had to be issued before the Related Documents and Contacts sections were complete, the Contents would not list page numbers for those sections.

The illustration at the right shows the Contents of a short form* policy.

A long form policy would have page numbers next to the five basic headings plus one or more of the headings described on the following pages.
 

Human Resource policy also includes an  "Official Language" heading.

 

Who Should Know This Policy

• who should observe the policy and follow its procedures
• who must understand the policy in order to do their job
• may also list people who are affected
 

Related Information

List ONLY information that is mentioned in the policy. - related University policies
 
• documents required to complete the procedures
• documents that provide helpful, relevant information
• state laws
• relevant programs, training courses
 

Contacts

• officers who can answer specific questions or approve exceptions
• include nonstandard business hours
• listed in alphabetical order by subject

 

Detailed Table of Contents

In a complex long form policy, a Detailed Contents would help the reader navigate between the various groups of information.

List all major headings and subheadings contained in the policy, with page number references.
 

• section headings in bold type.
• subheadings indented.
• use the table of contents feature of your word processing program

Exclusions

• list any locations or organizations (internal or external to the University) that are excluded from the policy.
• list any funding sources or job classifications that are excluded from the policy.

 If there are no exclusions, assume that the policy applies to everyone at the University.

Definitions

List ONLY unique terms that, by being defined, would add to the reader's understanding of the basic policy. Subject matter terms should be included in a glossary in the Appendices.
 
• define unfamiliar or technical terms.
• define terms with special meanings.
• list terms in alphabetical order.
 

Procedure Title Bar

• applicable policy
• procedure number
• responsible manager
• responsible department

 

Procedure

A procedure describes a chronological series of interrelated steps.
 
• lists steps to follow in order to comply with the policy
• usually divided into sections marked by indented headings
• use an introductory section for complex procedures or those with options
• clearly identify options
• clearly identify cautions or warnings
• refer reader to :
• related documents
• relevant appendix entries
• relevant Special Situations
• - notify the reader if procedure is time-consuming

 Example:

Procedure - Submitting a Project

Submit capital projects to the capital budgeting process in the following manner:
 
1. Departments identify a capital need, complete a project identification form, and submit it to the College or Resource Responsibility Center (RRC). Attach a copy of the project identification form.
   
   
2. Colleges/RRCs review the requested capital improvement, assign a priority ranking to the request, and submit it to the Provost/Chancellor/Vice President.
   
   
3. Provosts/Chancellors/Vice Presidents review the requested capital 
   improvement, assign a preliminary priority ranking to the request, submit it to the Office of Budget and Finance, and present it to the Capital Improvements Advisory Committee (CIAC) budget hearings.

A project identification form (see the Forms section of this policy) must be submitted for all projects proposed for the period, including projects which were previously submitted and incorporated into the Capital Improvements Program. Each annual capital budget and capital improvements program is treated as a new undertaking, and confirmation of each project and its priority ranking is required if it is to remain in the capital improvements program. Project identification forms for projects included in the current capital improvements program are being returned to the Provosts, Chancellors, and Vice Presidents with instructions. Persons proposing those projects may obtain the forms from their Provost, Chancellor, or Vice President in order to improve the project information. If there are no changes, resubmit the sheets.

Special Situations

Contains information about important circumstances that affect ONLY a few people or circumstances that occur infrequently.
 
• divide into sections with indented headings
• list in order of importance
• may include procedures
 

Responsibilities

Summarize major responsibilities of any person or organization participating in this policy.

May include the reader, the University, operating units, departments and persons outside the University.
 

Appendices

Contains lengthy or complex reference information that would disrupt the flow of other sections.

May contain reference information that applies to a few people.

May contain variable information.

May contain flow chart of entire process.
 

Official Language

Contains the actual language extracted from a contract, resolution, legal document, etc. Whenever a conflict exists between Official Language and words used to summarize or otherwise explain, the Official Language is used.
 

History

List references to previous versions of this policy by name and date.
 

Frequently Asked Questions

No matter how well some policies are written, there will always be some questions based on individual interpretation. This section will contain the most common questions and their respective answers.

Looking for a University Policy?

University policies, along with policies published by the Regents and Senate are available electronically in the University Policy Vault.

There are two WWWeb pages you can use to access the Vault. The first page shows all U policies organized on a bookshelf as Financial, Academic Admin, or Human Resource policy. This page also contains links to the Regents and Senate policy pages. This page is recommended to persons familiar with the University. This page is located at http://www.fpd.finop.umn.edu/

The second page, http://www.fpd.finop.umn.edu/groups/ppd/documents/index/process.cfm shows all U policies organized by process. In other words, if you are buying lab supplies for your department, you would look under Purchasing to find all U policies related to that process.

There is also an Alphabetical List of University Policy.