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Universitywide Policy Office
PRESIDENTIAL POLICIES: DEVELOPMENT, COORDINATION, REVIEW
AND ISSUANCE

Process Flowchart
POLICY
RESPONSIBILITY
The Universitywide
Policy Office (UPO) is the office of record for Presidential
delegations of authority and Presidential policies1,
2. The Coordinator--Universitywide
Policies is responsible for policy review prior to issuance
by the President, while the General Counsel of The Regents
is responsible for legal review. Presidential policies customarily
set forth courses of action, provide administrative direction,
and promulgate regulations or processes which are applicable
Universitywide. Presidential policies may be issued in the
form of letters, statements, delegations of authority, or
in various University of California manuals.
SOURCES
OF UNIVERSITY POLICY
University policy
development may be motivated by internal or external, such
as:
1. Article
IX, Section 9 of the California Constitution, Composition
and Powers of the Corporation
2. Bylaws and Standing
Orders of The Regents (e.g., Standing
Order 100.4, Duties of the President of the University)
3. Actions of The
Regents
4. Proposals from
groups advisory to the President, e.g., the Council of Chancellors,
the President's Cabinet
5. Recommendations
of the Academic
Senate
6. Opinions of the
General Counsel of The
Regents
7. Recommendations
arising from Universitywide advisory groups, e.g., Executive
Vice Chancellors, Chief Human Resources Managers
8. Ongoing review
of existing policy and related issues by functional area offices
9. Federal and State
government actions
10. Higher education
institutional policy development
DEVELOPMENT
OF PRESIDENTIAL POLICIES
Vice Presidents
develop draft Universitywide policy proposals for matters
which fall within their respective functional jurisdictions.
When a policy topic falls within more than one functional
area, the Vice President having primary jurisdiction assumes
leadership of that policy's development, coordinating with
other affected offices. Often work groups are constituted,
comprising staff representatives from each Vice President's
office connected to the proposed policy and, when appropriate,
from offices of the Principal Officers of The Regents (General
Counsel, Treasurer,
and Secretary).
The originating
functional-area office (the Vice President, or designee assigned
lead responsibility) should forward the proposed policy to
the Universitywide Policy Office after the draft takes shape,
and to the Office of General Counsel for preliminary legal
review. The Coordinator--Universitywide Policies will review
the draft and advise on any repercussions for other policies,
and will provide preliminary comments as to feasibility, completeness,
clarity, consistency, style, and format (See UPO
Policy Review.) The Office of General Counsel will advise
whether the policy proposal comports with internal and external
regulations.
Following preliminary
consultation within the Office of the President and redrafting
according to internal feedback, the originating office may
wish to conduct informal discussions with operational counterparts
on campuses. Consultation may occur at meetings of the President's
Cabinet or the Council of Chancellors.
The proposed policy
is then sent for formal review and comment to the Chancellors,
Laboratory Directors, Vice Presidents and affected employee
groups.3
Comments received
are taken into consideration by those developing the policy.
Whenever substantive changes are made, the revision is reviewed
by the Univeristywide Policy Office and by the Office of General
Counsel. It is not uncommon to have several such reviews during
the policy development. The Universitywide Policy Office customarily
responds with written comments to the person who requested
the review, sometimes preceded by informal discussions.
UPO
POLICY REVIEW
1) The Universitywide
Policy Office checks the appropriate source documents to ascertain
what policies and related documents exist on the subject,
assures that the proposed policy does not conflict with current
policy, and researches whether the proposal affects other
existing policies. The Universitywide Policy Office determines
whether or not the subject matter is properly a Presidential
responsibility, as opposed to a Regental or Vice Presidential
matter.
2) The Universitywide
Policy Office establishes adequate and appropriate review
by campuses and Laboratories, General Counsel and other Principal
Officers of The Regents, and appropriate functional areas
under the Vice Presidents, and asks the originating office
to coordinate further review if necessary.
3) In reviewing a
proposed policy, the Universitywide Policy Office researches
the history of issues connected to the policy, and reconciles
these with the policy developers. Customarily, the Universitywide
Policy Office will discuss issues informally with the staff
lead on a particular policy and then send any further comments
in writing to the University officer or department head who
requested the review. The Universitywide Policy Office may
also consult with General Counsel. If a decision needs to
be made at the Vice Presidential level, that is suggested
in the written comments.
4) The Universitywide
Policy Office edits for grammar and style. Is the proposed
policy document self contained? Does it answer all the reader's
questions as a stand-alone document? Does it set forth all
the relevant information and present a total picture? Is the
language clear and concise, and internally consistent? Is
it as unbureaucratic as possible, is it grammatical, and is
it in accord with University editorial standards and policy
style? As necessary, the Universitywide Policy Office may
suggest a revision in a proposed policy or suggest different
language to clarify the intent of the policy.
ISSUANCE
OF PRESIDENTIAL POLICY
After final comments
from all reviewers are considered, the paper copy of the policy
is transmitted by the originating office to the Universitywide
Policy Office for preparation for Presidential issuance, along
with a draft issuance letter from the President to Chancellors
and other administrators. The draft issuance letter and policy
text should also be forwarded electronically and the Universitywide
Policy Office will prepare these documents in final form for
the President's signature on letterhead paper. The draft issuance
letter must specify when the policy is to be effective and
if it supersedes another policy or related document. This
package should also include a cover sheet from the appropriate
Vice President to the President recommending approval and
providing background information concerning the policy and
its development, including information on consultation.4
A signoff from General Counsel as to legal conformance must
be obtained before a policy is forwarded for approval to the
President. Relevant background material and other information
may be attached when it will inform the President's review.
After the Universitywide
Policy Office has completed the final review, the policy and
the issuance letter are sent to the President's Immediate
Office for approval and signature. Then the Universitywide
Policy Office posts the final on the web and distributes the
official copies.
The originating
office is responsible for integrating the policy into existing
policy manuals. Presidential policy is issued on blue paper
for ready identification and is sent in a standard format
to persons on a set distribution list, with appropriate variations
depending on the policy subject. Presidential delegations
of authority are issued on yellow paper for ready identification
and are similarly distributed.
POLICY
RECORDS AND INDEXING
The Universitywide
Policy Office maintains a cross-referenced Master Index of
Presidential Policies within the Corporate Administrative
Policy system. A separate Master Index of Delegations of Authority
also is maintained by the Universitywide Policy Office.
The Universitywide
Policy Office periodically reviews longstanding policies to
ensure they do contain current information and cross-references.
The Universitywide Policy Office contacts functional areas
to assist in this review and to advise on the status of policies
within their jurisdiction.
FOOTNOTES
1
Regental policies reflect matters reserved for action
by The Regents, as described in The Regents' Bylaws and Standing
Orders, or pursuant to other matters about which The Regents
wish to formally act. The office of record for Regental policies
is the Secretary of The Regents.
2
Presidential policies include Universitywide guidelines
and procedures implementing the policies.
3
The Office of Labor Relations coordinates notification
of affected employee groups, as applicable. Matters affecting
the Academic Senate are coordinated through the Provost, Academic
Affairs.
4
E.g., UCOP functional offices, campus groups, academic
advisory bodies.
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