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About UC Policies
Sources of Authority for University
of California Policies
The University of California has comprehensive
and interrelated policies and guidelines that address the
conduct of UC employees. The chart
showing the structure of administrative sources of authority
visually illustrates the hierarchy of authority for the
University. It shows how different constituencies work together
to define the rules governing employees in University-related
activities. This foundational structure supports the University's
missions
of teaching, research and public service, and principles
of shared
governance.
State and Federal Regulations
State and federal legislation provide the
first level of authority to the University. Article
IX, Section 9 of the California Constitution establishes
The Regents of the University of California with "full
powers of organization and governance" subject only
to very specific areas of legislative control. The article
states "the university shall be entirely independent
of all political and sectarian influence and kept free therefrom
in the appointment of its Regents and in the administration
of its affairs." The California Master
Plan for Higher Education represents "a written
covenant by the state and its higher education enterprise
to provide broad access to educational opportunity and to
support an intellectual infrastructure which would continually
create and apply new knowledge for the benefit of California's
people."
The Regents of the University of California
The University is governed by The
Regents, a 26-member board that appoints the President
of the University and the principal officers of The Regents:
the General Counsel, Treasurer, and Secretary. The Bylaws
of The Regents discuss the responsibilities of the officers
and committees, and include, among others, policies on the
use of the University name and seal. The Standing
Orders include provisions that establish the duties
of the President, Chancellors, Academic Senate, and establish
programs, such as the UC retirement system, that concern
faculty members and employees of the University. From time
to time, the Board of Regents adopts policies pertaining
to the governance of the University of California that fall
outside the purview of its Bylaws and Standing Orders. Some
examples are policies on nondiscrimination, fundraising
campaigns, and admission requirements.
Presidential Policies and Delegations
of Authority
The Regents promulgate policy for the University
overall, but certain policy-making duties are conferred
on the President of the University in Standing Orders 100.4.
New Presidential policy may result from Regents' action,
changes in law, or new administrative issues within the
University itself. Presidential policies are revised or
rescinded based on changes to Regents' policy, legal or
societal changes, or administrative changes. Policy review
prior to issuance by the President is performed by Universitywide
Policy Office, within the immediate office of the Senior
Vice President--Business and Finance in the Office of the
President. 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. Information
may be issued in several forms:
- Presidential
Policies - Memos, letters and statements issued by
the President.
- Presidential
Delegations of Authority - Authorities conferred upon
the President by the Board of Regents which the President
has chosen to redelegate to other senior officers, including
Chancellors, in published form.
Policies Issued by Other Offices at
the Office of the President
Universitywide
Policy Manuals and Selected Guidelines are issued and
maintained by various departments at the Office of the President.
Updates from these sources are sometimes announced as a
Presidential Policy while others are promulgated directly
from their own web site. UC Business and Finance Bulletins,
Academic Personnel, Facilities Management, and Research
Administration are just a few of the many systemwide offices
that issue policies and procedures.
Policy Development
at Office of the President
The Regents promulgate policy for the University
overall, but certain policy-making duties are conferred
on the President in Standing Orders of The Regents 100.4.
New Presidential policy may result from Regents' action,
changes in law, or new administrative issues within the
University. Presidential
policies are revised or rescinded based on changes to
Regents' policy, legal or societal changes, or administrative
changes. Presidential policies (also called administrative
policies) customarily set forth courses of action, provide
administrative direction, and promulgate regulations or
processes which are applicable Universitywide.
Presidential policy-making usually involves
extensive consultation with various constituencies of the
University community and may include representative administrators,
faculty and students from each of the ten University of
California campuses and three national laboratories. The
Universitywide
Policy Office coordinates appropriate consultation during
the policy-making process and assures that the proposed
policy is consistent with existing Presidential policy and
regulations outside the University. While policy
review is performed by the Universitywide Policies Unit,
the General Counsel of The Regents is responsible for legal
review.
Policy
Development at UC Irvine
University activities are primarily governed by systemwide policies. Campus policies are also developed to address
a specific campus need to promulgate what will or will not
be done on the UC Irvine campus under certain circumstances. Members of
the campus community are responsible for identifying the
institutional need for campus policy and guidelines that
address accountability, resourcefulness and efficiency in
meeting the University's teaching, research, and public
service obligations.
To implement systemwide guidelines or
develop a new campus administrative policy, senior management within a
related functional area generally organize a work group
composed of campus administrators whose departments will
be most affected by the policy. Faculty, staff and students
who can provide insight into the ramifications of the policy
at the campus level, or who otherwise represent a constituency
with a vested interest in the policy's implementation, may
also be included. The work group researches the critical
issues connected to the topic and examine existing and related
policies. After reconciling competing points of view, should
they exist, a proposed campus policy is drafted. Development
of the draft follows the format detailed in Section
103-11: Guidelines for Writing and Publishing Policies
and Procedures. The Administrative Policies Coordinator
usually participates in the work group and advises on whether
there are any conflicts with other policies and provides
preliminary comments as to feasibility, completeness, clarity,
consistency, style, and format.
The drafted policy is then reviewed
by selected senior managers and administrative groups and,
occasionally, Campus Counsel. If the drafted
guidelines affect the terms and conditions of employment,
the draft will be presented to the campus for a 30-day
review and comment period. Concurrent review by collective
bargaining agents may also occur. The final document is
subject to approval in accordance with the approvals
required for UC Irvine's administrative policies and procedures,
and published on the Official University Policies &
Procedures Web site, or other campus policy resource.
UC Irvine's
Administrative Policies & Procedures
Sources of policy information maintained
by the Administrative Policies Office, a unit in Distribution & Document Management, include:
- Administrative
Policies & Procedures These
policy and procedure sections communicate what will be
done specifically on the UC Irvine campus. Each section
displays the most recent revision or review date, the campus
office or administrator responsible for its development
and maintenance (the "owner"), and contact information.
Owners are notified
bi-annually to review their section and revise or confirm that the information is current.
There are generally three types of
campus administrative policy statements:
- Those that relate to a specific
activity and do not require campuswide participation
to implement (food service, fireworks, animals on campus).
- Those that have campuswide application
(e.g., emergency management, computer and network
use) and include links to various sources of official
policy information (e.g., State of California, Business
and Finance Bulletins).
- Those that adhere to specific guidelines
mandated by Office of the President, implementing a
complex Universitywide policy in a specific non-financial
area and requiring campus participation to implement
(e.g., whistleblower, sexual harassment, electronic
communications).
Many other sections are called guidelines
and contain procedures developed by departments within
central administration. For example, financial sections
originating in the Administrative & Business Services
(A&BS) coordinating point generally derive their
authority from the UC
Business & Finance Bulletins and UC
Accounting Manual. Step-by-step instructions for
completing financial tasks or operational guidelines
for handling common administrative activities are also
stated in SNAP,
a portal to financial tools such as PayQuest.
- Personnel
Procedures for UCI Staff Members
are the implementation of the UC Policies for Staff Members.
Human Resources, a department in the A&BS coordinating
point, is considered the responsible owner of these sections.
- UCI
Delegation of Authority Letters are issued by the
Chancellor
and define in writing the campus official(s) responsible
for approving/implementing major, broad-based business
activities on behalf of the University which may involve
significant areas of liability or public accountability.
Like policies, delegations to the campus may come in the
form of a systemwide directive to the Chancellors (a Presidential
Delegation or Presidential Policy), or may be stated in
another official format like the UC Business and Finance
Bulletins, UC Facilities Manual or UC Accounting Manual.
Letters are prepared as described in the Office
of the President directive and issued through the
Administrative Policies Office.
Other UCI departments that issue and maintain
campus policy information on their Web sites:
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