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Purpose

To provide guidance to the University of Illinois System (System) Community[1] on the development, review, and approval of proposals to establish, amend or repeal Policies that apply to the entire System (System-wide Policies); and to establish responsibility for ensuring System-wide Policies are current and available.

Scope

These guidelines govern proposals to establish, amend, or repeal any System-wide Policies. System-wide Policies pertain to the entire System and may fall under several general areas, including but not limited to academics, operations, human resources, ethics and conduct, information technology, etc.

These guidelines[2] apply to all members of the System Community, except:

• Proposals relating to the University Statutes or the General Rules Concerning University Organization and Procedure as those Policies have prescribed procedures for amendment.
• Proposals directed or exempted by the Board of Trustees unless the Board of Trustees specifies that these guidelines shall apply.
• Proposals relating to matters under the cognizance of Business Services because Business Services has an established Policy governance process, unless the Chief Financial Officer and Vice President or their designee directs that a particular Business Services-related proposal follow the procedures set forth in these guidelines.
• Proposals relating to unit, department, college, university, or hospital policies. However, these policies cannot contradict or be less restrictive than System-wide Policies.

Background

System-wide Policies help coordinate operations across the entire System. System-wide Policies also guide the management of activities, resources, and processes by emphasizing efficiency and best practices, promoting consistency, and eliminating unnecessary duplication. Finally, System-wide Policies facilitate compliance with federal, state, and local laws and regulations.

Statement of Policy Guidelines

All proposals to establish, amend, or repeal System-wide Policies (“Policy Proposals”), shall be developed, reviewed, and approved in accordance with these guidelines.

Policy Proposals should be thoroughly vetted with Stakeholders prior to being considered for approval.

The University Senates Conference (USC) is an indispensable partner in the development and approval of System-wide Policies and shall be consulted during the Policy review process as set forth in Appendix 1. At a minimum, the Executive Vice President/Vice President for Academic Affairs (EVP) will present all Policy Proposals to the USC for information, and the USC may communicate with the university senates as appropriate.

To adequately assess the impact of Policy Proposals, the President’s Management Council shall review and make recommendations to the Approval Authority regarding Policy Proposals.

Policy Proposals shall be approved by the appropriate Approval Authority as follows:

• Policy Proposals that would apply to the Board of Trustees or its members, that would affect the President’s exercise of authority, or that the Board of Trustees indicates a desire to consider, must be approved by the Board of Trustees unless approval authority has been delegated.
• Policy Proposals that would impact the areas of responsibility of multiple System Officers or Executive Offices must be approved by the President unless approval authority has been delegated.
• The President may, in the President’s discretion, forward any Policy Proposal to the Board of Trustees for consideration and approval.
• Unless the Board of Trustees or the President directs otherwise, Policy Proposals the President’s Management Council supports and agrees the impact of which is limited to the area of responsibility of a single System Officer, Executive Office or Other Official may be approved by that System Officer, Executive Office, or Other Official.

In situations where a System-wide Policy must be established or changed in a time period too short to allow completion of the full process set forth in these guidelines, Board of Trustees or the President have the inherent authority to establish Interim System-wide Policies. 

Policy Sponsors may approve minor, administrative updates and corrections to existing System-wide Policies without vetting or President’s Management Council review, although they still must be presented by the EVP’s Office to the USC in accordance with Appendix 1. Appropriate notice of the update or correction shall be provided to the System Community.

The EVP’s Office shall maintain on its website a list and/or link to all approved System-wide Policies or groups of System-wide Policies.

Procedures

Appendix 2 identifies the System officials serving as Policy Sponsors for each category of System-wide Policy.

Policy Sponsors shall identify and maintain a current list of the System-wide Policies for which they are responsible. Policy Sponsors shall review each Policy on their list at least once every five years and as necessary to maintain accuracy and assess continued applicability. If an existing System-wide Policy does not have an effective date or last modified date from which to establish the initial five-year review period, the Policy Sponsor shall use the effective date of these guidelines as the starting date.

Policy Sponsors are responsible for developing and seeking approval for Policy Proposals involving matters under their cognizance.

Developing Policy Proposals

Policy Proposals for new System-wide Policies shall be prepared in the format prescribed in the Template for System-Wide Policies. Policy Proposals to amend existing System-wide Policies shall be reflected in a “tracked changes” version of the existing document. Policy Proposals to repeal an existing System-wide Policy shall include a copy of the document proposed for repeal.

Policy Proposals shall be submitted via an online needs assessment,[3] the content of which is described in Policy Proposal Needs Assessment Form. The needs assessment explains the Policy Proposal, presents a business case for the change, and analyzes its impact. The needs assessment also indicates relevant Stakeholder positions on the proposal. To assist Policy Sponsors in identifying relevant Stakeholders, Appendix 2 lists possible Stakeholders for each category of System-wide Policy. Policy Proposals and needs assessments may be modified to incorporate and address Stakeholder recommendations.

Reviewing Policy Proposals

Policy Sponsors shall take the following actions to facilitate a thorough review of Policy Proposals prior to approval.

• Vet the Policy Proposal with relevant Stakeholders and address their feedback, as appropriate.
• Provide the Office of University Counsel and the University Ethics and Compliance Office the opportunity to review the Policy Proposal. These offices’ reviews are intended to identify and address legal considerations, as well as facilitate System-wide compliance efforts, avoid redundant requirements, and promote best practices.
• Present the Policy Proposal to the President’s Management Council for review. The President’s Management Council may recommend the Policy Proposal be approved by the Approval Authority, recommend the Policy Sponsor modify the Policy Proposal or conduct additional vetting with Stakeholders, or recommend such other actions as the President’s Management Council deems appropriate.
• Coordinate with the EVP’s Office to provide the Policy Proposal to the USC for appropriate consultation in accordance with Appendix 1.
• The Office of University Counsel and the University Ethics and Compliance Office shall be provided the opportunity for a final review of any substantive revisions to the Policy prior to forwarding the Policy Proposal to the Approval Authority.

Approving Policy Proposals

The Approval Authority may approve the Policy Proposal, disapprove the Policy Proposal, or take such other actions as the Approval Authority deems appropriate.

Communicating Approved System-wide Policy Changes

The Policy Sponsor shall communicate approved System-wide Policies, including posting to appropriate System websites and disseminating change notices to the System Community. Policy Sponsors shall also provide the EVP’s Office with a link to all approved System-wide Policies or groups of System-wide policies under their purview.

Policy Sponsors shall maintain an electronic copy of approved System-wide Policies under their purview in Microsoft Word or an equivalent format to facilitate future revisions and Policy Proposals.

Definitions

Approval Authority: The Board of Trustees, System Officers, Executive Offices or Other Officials authorized to approve Policy Proposals consistent with these guidelines.

Board of Trustees: The Board of Trustees of the University of Illinois or a duly authorized committee of the Board of Trustees of the University of Illinois.

Executive Office: An office that reports directly to the President. Such offices are typically identified on the President’s Office website.

Interim System-wide Policy:  A temporary System-wide Policy or change to a System-wide Policy to address circumstances requiring an abbreviated approval process. Situations giving rise to Interim System-wide Policies could include, for example, the enactment of a change to a state or federal law or regulation.

Other Official: A System Offices employee with System-wide responsibilities and duties as delegated by the President and/or the Board of Trustees. 

Policy:  Written formal guidance to all or a specified portion of the System Community by the Board of Trustees or an authorized System official, the purpose of which is to provide direction related to the execution of functions, coordination of activities, operational frameworks, governing principles, or other similar System-wide considerations.

Policy Sponsor:  The System Officer, Executive Office or Other Official responsible for all aspects of approved System-wide Policy maintenance and upkeep, including conducting periodic reviews for accuracy, coordinating proposed changes with Stakeholders, and obtaining approval for any changes (including repeal).

Policy Proposal: Proposals to establish, amend, or repeal System-wide Policies.

President’s Management Council: The senior-level council comprised of representatives of each Vice President and from the Executive Offices, as well as others as determined by the President. 

Stakeholders: Organizations or entities whose members are drawn from the System Community and who would be affected by a Policy Proposal. Depending upon the matter under consideration, Stakeholders may include, but are not limited to, university and hospital units, schools, departments, colleges, and offices; the University Senates Conference; the university senates; university officers, and faculty, employee, and student organizations.

System Community: The System’s Board of Trustees, faculty, staff, and students. 

System Officer: The System Officers are the President, the Chancellors, the Vice Presidents, the University Counsel, the Secretary of the Board of Trustees/University and such others as shall be designated by the President after consultation with the University Senates Conference. The Chancellors also serve as System Vice Presidents.

University of Illinois System: The entire University of Illinois System, including the universities at Urbana-Champaign, Chicago, and Springfield; the System Offices; and the University Hospital and clinics (collectively, “System,” individually “university” or “hospital”).

Forms, Tools and Additional Resources

If you have any questions on these guidelines or the procedures for processing Policy Proposals, you may contact the EVP Office at vpacadaff@uillinois.

Online policy needs assessment form

 

 

 

 

[1] Defined terms are capitalized throughout these guidelines. Definitions appear in the “Definitions” section of these guidelines.

[2] The appendices are an integral part of these guidelines.

[3] The online needs assessment form allows the Policy Proposal to be attached to and submitted together with the online needs assessment form.