Universitywide Policy Office

PRESIDENTIAL POLICIES: DEVELOPMENT, COORDINATION, REVIEW AND ISSUANCE

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.