Policy Process Infographic (pdf)

General

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.

Data Sheet and Impact Assessment Form

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 PAT will either approve the development or substantial revision of 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.

Policy

6. The 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 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 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. Regardless of whether you make edits inside PowerDMS or outside using Word, MAKE SURE THAT YOU HAVE TURNED ON TRACK CHANGES to clearly show your edits.
      1. 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 RO and the OGC to determine whether the edits require broader circulation to the PRG and/or to the Collective Bargaining Unit Review Group (CBU).  If it requires circulation, continue to step #8.  If it does not need circulation, skip to step #17.
         • 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.
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. PowerDMS will auto-generate a notification to the OCPS that the document is ready.

PRG Policy Draft Comment Period

10. When that is received, OCPS will prepare the document for campus review by the PRG.
11. OCPS will send a request from policy@uvm.edu to the 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, this updated version may be recirculated until the Policy has been accepted by the RO.  Similarly, a member of the PAT can request that the updated version be recirculated. The RO makes a final determination as to which, if any, edits will be accepted.

Discretionary CBU Policy Reviewed Draft Comment Period

13. The RO/designee will make approved edits to the Policy in PowerDMS. This becomes the “reviewed draft”.
14. The RO/designee will approve the step in PowerDMS and the workflow continues.
15. OCPS prepares a summary of changes and reviewed draft document for CBU review.
16. Labor and Employee Relations (LER) works with the CBU’s, RO and OGC to finalize.
17. The RO/designee makes approved edits to the document and approves the workflow step in PowerDMS.

Finalize

18. OCPS will then complete a final format check.
19. OCPS will email the formatted version to the President’s Office with a copy to the Vice President for Legal Affairs and General Counsel (GC/SAP) who will obtain the requisite signatures:
    1. Within PowerDMS, the GC/SAP will sign on behalf of the Approving Authority to move it to the next step in the workflow.
    2. Outside of PowerDMS, GC/SAP will obtain a wet signature and scan the signed document into a PDF.
20. Once signed, the GC/SAP will email a fully executed copy to policy@uvm.edu.  PowerDMS will store archived versions; however, the GC/SAP may also archive signed versions of the Policies separately.
21. OCPS will post the Policy on the Institutional Policy Website. 

Communicate

22. OCPS will notify, via email, the RO, OGC, the President’s Office and the GC/SAP that the Policy has been posted.
23. OCPS will restart the review cycle within policy management software to the new review date (three academic years unless otherwise specified under the Policy).
24. 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.
25. ROs will provide an appropriate level of education and training to those affected by the new Policy.

UOP Process Infographic (pdf)

General

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.

Data Sheet and Impact Assessment Form

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 PAT will either approve the development or substantial revision of 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.

UOP

6. The 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 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 OGC for questions regarding legal requirements.  Contact the 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. 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 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 RO and the OGC to determine whether the edits require broader circulation to the PRG and/or to the Collective Bargaining Unit Review Group (CBU). If it requires circulation continue to step #8. If it does not need circulation, skip to step #17.
         • 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.
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. PowerDMS will auto-generate a notification to the OCPS that the document is ready.

PRG UOP Draft Comment Period

10. When that is received, OCPS will prepare the document for campus review by the PRG
11. OCPS will send a request from policy@uvm.edu to the 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, this updated version may be recirculated until the UOP has been accepted by the RO.  Similarly, a member of the PAT can request that the updated version be recirculated. The RO makes a final determination as to which, if any, edits will be accepted.

Discretionary CBU UOP Reviewed Draft Comment Period

13. The RO/designee will make approved edits to the UOP in PowerDMS. That becomes the "reviewed draft". 
14. The RO/designee will approve the step in PowerDMS and the workflow continues.
15. OCPS prepares a summary of changes and reviewed draft document for CBU review.
16. Labor and Employee Relations (LER) works with the CBU’s, RO and OGC to finalize.
17. The RO/designee makes approved edits to the document and approves the workflow step in PowerDMS.

Finalize

18. OCPS will then complete a final format check.
19. OCPS will email the formatted version to the President's Office with a copy to the Vice President for Legal Affairs and General Counsel (GC/SAP) or appropriate RO who will obtain the requisite signatures:
    1. Within PowerDMS, the GC/SAP will sign on behalf of the Approving Authority to move it to the next step in the workflow.
    2. Outside of PowerDMS, GC/SAP will obtain a wet signature and scan the signed document into a PDF.
20. Once signed, the GC/SAP will email a fully executed copy to policy@uvm.edu.  PowerDMS will store archived versions; however, the GC/SAP may also archive signed versions of the UOPs separately.
21. OCPS will post the UOP on the Institutional Policy Website.  OCPS will notify, via email, the RO, OGC and the GC/SAP that the UOP has been posted.

Communicate

22. OCPS will restart the review cycle within policy management software to the new review date (three academic years unless otherwise specified under the UOP).
23. 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.
24. ROs will provide an appropriate level of education and training to those affected by the new UOP.

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. 

The policy/UOP review process is conducted through Policy Review app (opens in new window). More information can be found in the Policy App Mini-Manual.

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