Campus - Williams building

Create a New/Update an Existing Policy

PDF icon Policy Process Infographic (pdf)

  1. Before the end of the academic year, Responsible Officials (ROs) will receive an email reminder from policy@uvm.edu which includes those Policies/University Operating Procedures (UOPs) scheduled for review during the upcoming academic year .  This email will include a list of any new Policies/UOPs either (i) scheduled to be developed, (ii) recommended for development, or (iii) currently under development.  In addition, throughout the academic year, ROs may also receive email reminders from UVMpolicyalert@powerdms.com for those Policies/UOPs that are due for review or that have a past due review date .
  2. ROs are responsible to review and update those Policies/UOPs under their responsibility that are due in the current cycle.  The timing of the review and update is at the discretion of the RO as long as the review/development is completed within the academic year in which it is due .
  3. ROs, the Office of the General Counsel (OGC), and any member of the Policy Advisory Team (PAT) have the ability to identify Policies that need development or substantial revision.  Once identified, the RO, OGC or PAT member (or their designee) will fill out a Policy “Data Sheet and Impact Assessment Form”.
  4. The Office of Compliance and Privacy Services (OCPS) will upload the Data Sheet and Impact Assessment Form into PowerDMS and assign the appropriate workflow. 
  5. The Policy Advisory Team (PAT) will either approve the Policy or will return it to the RO with comments, alternative recommendations or suggestions.  This process will continue until the Data Sheet and Impact Assessment Form has either been approved or denied.  If denied, the process stops.  If approved, this process continues.
  6. The Office of Compliance and Privacy Services (OCPS) will set up the policy within PowerDMS.  If it is a new Policy, OCPS will set up the folder, set folder and document security and assign the workflow.  If an existing Policy, OCPS will start the process by administratively creating the new draft and will assign the workflow.
  7. The Responsible Official (RO) or designee will use the appropriate template and develop or update the Policy.  During the drafting process, ROs are responsible to consult with other ROs and key stakeholders who are impacted by the Policy or who have operational responsibilities under the Policy.  Contact the Office of General Counsel (OGC) for questions regarding legal requirements.  Contact the Office of Compliance and Privacy Services (OCPS) for questions related to compliance requirements.
    1. New Policies:  Create the draft Policy using the approved templates and one of the methods below. The RO or designee may use their preferred method as long as the draft is either saved within or uploaded into PowerDMS.
      1. Create the draft Policy inside of PowerDMS.  The tool utilizes Microsoft Word.  Use the “Edit on Desktop” function.
      2. Create the draft Policy outside of PowerDMS in Word.  If using this method, it then has to be uploaded into PowerDMS.
    2. Existing Policies:  Edits can be made either inside or outside of the software.
      1. First determine the level of revisions for the Policy (housekeeping, minor, or substantial).  For more information on the various levels of revisions, review the Revisions definition located in the Adoption of University Policies, University Operating Procedures and University Guidelines (PDF)Policy.
        • a) If the revision is housekeeping, the Director of Compliance Services has the authority to make the change(s) without additional Policy Review Group (PRG) circulation. It will be rare; however, the RO retains the right to request additional circulation if they feel it is necessary.
        • b) If the revision is minor, the Director of Compliance Services will consult with the Responsible Official (RO) and the Office of General Counsel (OGC) to determine whether the revisions need circulation to the PRG.  If it requires circulation, complete ii., and continue to step #8.  If it does not need circulation, complete ii., and continue to step #15.
        • c) If the revision is substantial, a Policy Impact Form is required.  Go back and make sure that steps #3 through 6 are completed then move on to step #8.
      2. Next, determine which method you are going to use to make the revisions.  Regardless of the method used, MAKE SURE THAT YOU HAVE TURNED ON TRACK CHANGES to clearly show your edits.
  8. Once the document has been uploaded into PowerDMS, the RO/designee will move the document to the next step in the workflow by approving the document in PowerDMS.
  9. The system will auto-generate a notification to the Office of Compliance and Privacy Services (OCPS).
  10. When that is received, OCPS will prepare the document for campus review.
  11. OCPS will send a request from policy@uvm.edu to the Policy Review Group (PRG) with a cc: to OGC requesting that they review the Policy.  OCPS will attach a revised version of the Policy to the email.  The email will specify the individual to whom comments/edits should be submitted and will include a due date.
  12. The RO/designee will collect comments and edits from members of the PRG.  Under the discretion of the RO, the edited version may be recirculated until the Policy has been accepted by the RO.  Similarly, a member of the PAT can request that the Policy be recirculated.
  13. The RO/designee will review and make appropriate edits to the Policy.  See step 7.b.ii. for revision options.
  14. The RO/designee will approve the step and the workflow continues.
  15. OCPS will complete a final format check.
  16. OCPS will email the formatted version to the Vice President of Executive Operations (VPEO) (or appropriate RO for UOPs) who will obtain the requisite signatures:
    1. Within PowerDMS, the VPEO will sign on behalf of the Approving Authority to move it to the next step in the workflow.
    2. Outside of PowerDMS, VPEO will obtain a wet signature and scan the signed document into a PDF.
  17. Once signed, the VPEO will email a fully executed copy to policy@uvm.eduPowerDMS will store archived versions; however, the VPEO may also archive signed versions of the Policies separately.
  18. OCPS will post the Policy on the Institutional Policy Website.  OCPS will notify, via email, the RO, OGC and the VPEO that the Policy has been posted.
  19. VPEO will announce the policy in the next Announcements and Events email.
  20. OCPS will restart the review cycle within policy management software to the new review date (three years unless otherwise specified under the Policy).
  21. Unless there is a reason for an expedited review or modification, the RO will be notified through policy management software when the Policy is next up for review.  These are auto-generated emails and are sent from UVMpolicyalert@powerdms.com.
  22. ROs will provide an appropriate level of education and training to those affected by the new Policy.

Create a New/Update an Existing UOP

PDF icon UOP Process Infographic (pdf)

  1. Before the end of the academic year, Responsible Officials (ROs) will receive an email reminder from policy@uvm.edu which includes those Policies/University Operating Procedures (UOPs) scheduled for review during the upcoming academic year .  This email will include a list of any new Policies/UOPs either (i) scheduled to be developed, (ii) recommended for development, or (iii) currently under development.  In addition, throughout the academic year, ROs may also receive email reminders from UVMpolicyalert@powerdms.com for those Policies/UOPs that are due for review or that have a past due review date .
  2. ROs are responsible to review and update those Policies/UOPs under their responsibility that are due in the current cycle.  The timing of the review and update is at the discretion of the RO as long as the review/development is completed within the academic year in which it is due .
  3. ROs, the Office of the General Counsel (OGC), and any member of the Policy Advisory Team (PAT) have the ability to identify UOPs that need development or substantial revision.  Once identified, the RO, OGC or PAT member (or their designee) will fill out a Policy “Data Sheet and Impact Assessment Form”.
  4. The Office of Compliance and Privacy Services (OCPS) will upload the Data Sheet and Impact Assessment Form into PowerDMS and assign the appropriate workflow. 
  5. The Policy Advisory Team (PAT) will either approve the UOP or will return it to the RO with comments, alternative recommendations or suggestions.  This process will continue until the Data Sheet and Impact Assessment Form has either been approved or denied.  If denied, the process stops.  If approved, this process continues.
  6. The Office of Compliance and Privacy Services (OCPS) will set up the policy within PowerDMS.  If it is a new Policy, OCPS will set up the folder, set folder and document security and assign the workflow.  If an existing UOP, OCPS will start the process by administratively creating the new draft and will assign the workflow.
  7. The Responsible Official (RO) or designee will use the appropriate template and develop or update the UOP.  During the drafting process, ROs are responsible to consult with other ROs and key stakeholders who are impacted by the UOP or who have operational responsibilities under the UOP.  Contact the Office of General Counsel (OGC) for questions regarding legal requirements.  Contact the Office of Compliance and Privacy Services (OCPS) for questions related to compliance requirements.
    1. New UOPs:  Create the draft UOP using the approved templates and one of the methods below. The RO or designee may use their preferred method as long as the draft is either saved within or uploaded into PowerDMS.
      1. Create the draft UOP inside of PowerDMS.  The tool utilizes Microsoft Word.  Use the “Edit on Desktop” function.
      2. Create the draft UOP outside of PowerDMS in Word.  If using this method, it then has to be uploaded into PowerDMS.
    2. Existing UOPs:  Edits can be made either inside or outside of the software.
      1. First determine the level of revisions for the UOP (housekeeping, minor, or substantial).  For more information on the various levels of revisions, review the Revisions definition located in the Adoption of University Policies, University Operating Procedures and University Guidelines (PDF)Policy.
        • a) If the revision is housekeeping, the Director of Compliance Services has the authority to make the change(s) without additional circulation. It will be rare; however, the RO retains the right to request additional circulation if they feel it is necessary.
        • b) If the revision is minor, ROs have the authority to make the change(s) without additional circulation.  The RO retains the right to request additional circulation if needed.  If additional circulation is needed, complete ii, and continue to step #8.  If not, complete ii., and continue to step #15.
        • c) If the revision is substantial, ROs have the authority to make most change(s) without additional circulation; however, the RO must have involved key stakeholders in the revision process.  The PAT reserves the right to request broader circulation.  The decision whether to recirculate for campus comment is made on a case-by-case basis depending on need.  Depending on the decision, either continue to ii. (if circulating), or go to step #15 (if circulation is not necessary).
      2. Next, determine which method you are going to use to make the revisions.  Regardless of the method used, MAKE SURE THAT YOU HAVE TURNED ON TRACK CHANGES to clearly show your edits.
  8. Once the document has been uploaded into PowerDMS, the RO/designee will move the document to the next step in the workflow by approving the document in PowerDMS.
  9. The system will auto-generate a notification to the Office of Compliance and Privacy Services (OCPS).
  10. When that is received, OCPS will prepare the document for campus review.
  11. OCPS will send a request from policy@uvm.edu to the Policy Review Group (PRG) with a cc: to OGC requesting that they review the UOP.  OCPS will attach a revised version of the UOP to the email.  The email will specify the individual to whom comments/edits should be submitted and will include a due date.
  12. The RO/designee will collect comments and edits from members of the PRG.  Under the discretion of the RO, the edited version may be recirculated until the UOP has been accepted by the RO.  Similarly, a member of the PAT can request that the UOP be recirculated.
  13. The RO/designee will review and make appropriate edits to the UOP.  See step 7.b.ii. for revision options.
  14. The RO/designee will approve the step and the workflow continues.
  15. OCPS will complete a final format check.
  16. OCPS will email the formatted version to the Vice President of Executive Operations (VPEO) (or appropriate RO for UOPs) who will obtain the requisite signatures:
    1. Within PowerDMS, the VPEO will sign on behalf of the Approving Authority to move it to the next step in the workflow.
    2. Outside of PowerDMS, VPEO will obtain a wet signature and scan the signed document into a PDF.
  17. Once signed, the VPEO will email a fully executed copy to policy@uvm.eduPowerDMS will store archived versions; however, the VPEO may also archive signed versions of the UOPs separately.
  18. OCPS will post the UOP on the Institutional Policy Website.  OCPS will notify, via email, the RO, OGC and the VPEO that the UOP has been posted.
  19. VPEO will announce the policy in the next Announcements and Events email.
  20. OCPS will restart the review cycle within policy management software to the new review date (three years unless otherwise specified under the UOP).
  21. Unless there is a reason for an expedited review or modification, the RO will be notified through policy management software when the UOP is next up for review.  These are auto-generated emails and are sent from UVMpolicyalert@powerdms.com.
  22. ROs will provide an appropriate level of education and training to those affected by the new UOP.

Create a New/Update an Existing Guideline

PDF icon Guideline Process Infographic (pdf)

The creation, review and revision of Guidelines and Resource Pages is under the discretion of the RO or another University administrator.  Guidelines with University-wide impact may be posted to the University web page with RO sponsorship and PAT approval. 

PowerDMS

PowerDMS is UVM’s Policy Management Software Vendor.

Access to PowerDMS is limited.  If a key stakeholder does not have access, send an email to policy@uvm.edu to inquire about license availability.  Individual departments may be charged a fee associated with additional licenses.

Abbreviations

DCS = Director of Compliance Services

The DCS administers the University's policy program and leads the Policy Advisory Team (PAT).

OCPS = Office of Compliance and Privacy Services

OCPS works closely with the University community to promote an institutional culture of compliance and thus prevent and effectively address violations of law, regulations and University policy and protocols.

 

OGC = Office of General Counsel

PAT = Policy Advisory Team

The PAT reviews and provides feedback on all Policy Impact Statements as well as new or significantly revised policy or UOP drafts. The PAT also helps ensure that new or revised University Policies and UOPs follow an approved format and process, are current, align with existinggoverning documents, and are approved by the respective RO. Members of the PAT include:

  • General Counsel
  • Vice President for Executive Operations
  • Chief Internal Auditor
  • Director for Compliance Services (Team Lead)
  • Chief Risk & Safety Officer
  • Director of Risk Management & Safety

PRG = Policy Review Group

The PRG is comprised of Deans, Directors, Department Heads, Chairs, Union Representatives and leaders of University Governance Groups. For University Policies, UOPs or University Guidelines requiring Board review and/or ratification, it also includes the Board Chair or Chairs of Trustee Committees.

RO = Responsilbe Official

A senior institutional official, typically a Vice President, who has responsibility for the oversight of specific programs, activities, conduct, or endeavors.

 

VPEO = Vice President for Executive Operations