I. Policy Summary
This Policy on Management of Campuswide Policies sets forth a uniform process for the creation, format, approval, and posting of policies with campuswide application.
Academic Senate policies, as well as policies that control units (or subdivisions thereof) establish for their operations, are not governed by this document.
Campus policy-making bodies established to issue policies within a specific regulatory jurisdiction, such as the Institutional Review Board, Animal Care and Use Committee, Biosafety Committee, and Radiation Safety Committee, are not governed by this document; however, any portion of a policy issued by those bodies extending beyond their regulatory jurisdiction (or contradicting policy elsewhere) is governed by this document.
II. Definitions
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Best Practice: A method or technique for carrying out a task that has consistently shown results superior to those achieved by other methods or techniques.
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Campuswide Policy: A set of principles and procedures intended to govern actions affecting a broad range of the campus community. A policy is considered campuswide if it meets one or both of the following criteria: (1) It affects a broad range of the campus community, either because it is of general interest or applicability or because one control unit establishes a set of principles that other control units must abide by; (2) it coordinates compliance with applicable laws and regulations across control units, promotes operational consistency and efficiency, and/or reduces institutional risks.
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Contact: The title, email address, and/or telephone number of the individual most capable of answering questions about the administration or interpretation of a policy.
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Control Unit: An administrative unit headed by an executive at the level of the Chancellor, Executive Vice Chancellor and Provost, Vice Chancellor, Vice Provost, Associate Chancellor or Associate Vice Chancellor.
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Guidelines: Supplemental materials that describe best practices or the recommended processes for implementing a policy or addressing a particular policy topic. It is not a directive that mandates or constrains actions.
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Policy: A set of principles intended to govern actions.
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Procedures: The actions necessary to carry out a policy.
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Responsible Executive: The Chancellor, Executive Vice Chancellor and Provost, Associate Chancellor, Vice Chancellor, or Associate Vice Chancellor responsible for campuswide policies within his or her area of jurisdiction.
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Responsible Office: The office(s) that administers a particular campuswide policy and is accountable for the policy’s accuracy, interpretation, and updating. Typically, at least one of the Responsible Offices reports to the Responsible Executive.
III. Scope of Policy
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This policy affects everyone at UC Berkeley.
IV. Policy
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Individuals responsible for developing, approving, or maintaining campuswide policies must comply with the procedures outlined herein.
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Note that the procedures outlined herein apply only to the creation, renewal, and revision of campuswide policies, not to any guidelines or practices that may accompany those policies, nor to unit-specific policies with a scope narrower than campuswide. Policies restricted to the Academic Senate, to department or unit operations, or to committees established to issue policies within a specific regulatory jurisdiction, that do not generally apply to the majority of the campus community, are not governed by this document.
V. Procedures
USING THE STANDARD CAMPUSWIDE POLICY TEMPLATE
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Format To ensure clarity and consistency, the campus uses a standard format for campuswide policies. Every new or revised campus policy must conform to this format. The current campus policy template is published on the campus policy website.
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Distinguishing Between Policy, Procedures, and Guidelines. As defined above, a policy is a statement of governing principle(s). Procedures are the actions taken to implement those principles. Although procedures are subordinate to policy and are subject to change, they are incorporated into the campus’s standard policy template to make it easier for members of the campus community to find them and hence comply with the policy. Policies and procedures are not to be confused with guidelines or practices. Guidelines and prescriptive practices are often desirable, but are neither encouraged nor discouraged by this policy.
DEVELOPING A NEW CAMPUSWIDE POLICY
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Every new campuswide policy must be sponsored by a Responsible Executive, who identifies a Responsible Office to guide the policy through the steps described below.
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Initially, the Responsible Office researches three questions
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Does the University or campus already have a policy on the subject?
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Does the campus need a policy on this subject?
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What campus constituencies and other policies are affected by the policy?
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If the University or campus has not issued a policy on the subject and a policy is needed to address operating concerns, the Responsible Office may develop a new policy. Refer to the Campus Policy Library for the currently approved campuswide administrative policies.
If the University or campus has issued a policy on the subject, the Responsible Office determines whether the new policy is necessary. The Responsible Office may be able to achieve its goal by revising the existing policy or making other changes that do not require issuance or revision of a campuswide policy. The Campus Policy Office maintains policy development tools and resources for campus users.
Campus policies and procedures may be more strict than systemwide policies, but not more permissive. Assuming the new policy is necessary, the Responsible Office engages with campus constituencies affected by the policy and makes a good-faith effort to incorporate the concerns of those constituencies into the policy.
Policies should be easy for novices to understand. They should provide comprehensive direction in plain language. The emphasis should be on fundamentals (grammar and sentence construction) rather than flourishes. The University Development and Alumni Relations’ editorial style guide serves as the usage and style guide. If the Editorial Style Guide does not answer the policy writer’s questions, the policy writer is encouraged to consult the 18th or later edition of the Chicago Manual of Style
The verbs “will,” “must,” or “shall” denote policy requirements. The verb “should” denotes policy elements that are strongly recommended but not required.
The Policy Coordinator
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The Office of Ethics, Risk, and Compliance Services appoints a Policy Coordinator to assist in the development, approval, and announcement of campuswide policies. The Policy Coordinator has the following responsibilities:
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Work with the Responsible Offices to confirm there is a need for their policy.
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Encourage Responsible Offices to consult with constituencies affected by their policy.
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Complete a technical review of any proposed new policy or revisions to an existing campus policy to make sure proposed policies are understandable to novice readers.
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Make sure new policies are in the campuswide policy template (described above).
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Work with the Responsible Office to prepare proposed policies for review by the Compliance and Enterprise Risk Committee (CERC) Policy Subcommittee and, once recommended for approval by the Policy Subcommittee, for review by CERC.
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Co-chair the CERC Policy Subcommittee.
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After the policy has been reviewed by the Policy Subcommittee and recommended to move forward in the review process, the Policy Coordinator will facilitate a public comment period, generally lasting twenty-one days, for all new and revised policies. A draft of the policy will be made available for review, and notification of the comment period will be coordinated to ensure that stakeholders appropriate to the policy’s scope are informed. At a minimum, the following campus partners will always be notified: Berkeley Division of the Academic Senate, People & Culture, the Academic Personnel Office, Graduate Division, Undergraduate Education, Employee & Labor Relations, and the Office of Legal Affairs. Comments will be collated by the Policy Coordinator and shared at the next stage of review.
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The review process may be repeated at the discretion of the Policy Coordinator, CERC, and/or the Policy Subcommittee.
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Once a new policy or revision to a policy is approved, the Policy Coordinator will provide copies of the final policy and coordinate campus and constituency notification with the Responsible Executive and Responsible Office.
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Report new policies to the Chancellor’s Cabinet on an annual basis.
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Maintain the Official Campuswide Policies website and Campus Policies Library
The Compliance and Enterprise Risk Committee
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The CERC reviews campuswide policies for their impact on the full range of campus departments and operations.
The CERC reviews campuswide administrative policies through the CERC Policy Subcommittee. The Policy Coordinator co-chairs the Subcommittee (one seat) with the Deputy Ethics, Risk and Compliance Officer from the Office of Ethics, Risk and Compliance (one seat). Other members invited to be representatives on the Policy Subcommittee include:
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One voting representative from each of the offices of the Executive Vice Chancellor and Provost, and from each Vice Provost and Vice Chancellor.
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A representative from the Academic Senate shall have one voting seat.
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Up to three members of the CERC may additionally serve on the Subcommittee as voting members (three seats).
Additionally, in an ex officio capacity, a representative from Audit & Advisory Services, Office of Legal Affairs, Risk Services, and the Clery Compliance Office are invited to advise the Subcommittee in a non-voting capacity.
Once a policy proposal has been discussed, and so long as two-thirds of the seated membership is in attendance, a simple verbal acknowledgment by one of the co-chairs that the policy will be forwarded to CERC is sufficient to pass out of the Subcommittee. If there is no clear majority agreement during the policy proposal presentation, a counted vote must be taken for recommending policies to be forwarded to the CERC. Electronically submitted votes may be accepted. The CERC Policy Subcommittee meets separately from the CERC. It reviews policies in whatever manner it chooses, but strives to respond within 30 days to requests for policy review. The Policy Subcommittee may request that a Responsible Office presents at the Policy Subcommittee and the CERC meetings when the policy they are sponsoring is under discussion.
The Responsible Office is obligated to revise its policy in accordance with the Policy Subcommittee’s review in order to proceed in the policy development process. If the Policy Coordinator determines that the Policy Subcommittee’s suggested revisions have not been adequately addressed, the Policy Coordinator works with the Responsible Office to make the revision more responsive. The Policy Subcommittee may request that the policy proposal return to the Policy Subcommittee prior to advancing to the CERC. In such cases, the Policy Coordinator will prioritize an in-progress policy proposal on the Policy Subcommittee’s agenda.
Once the Policy Subcommittee fully reviews a policy and recommends that it be forwarded to the CERC for approval, the Policy Coordinator puts the policy on the agenda for the next CERC meeting. The Policy Coordinator will send the CERC a copy of the proposed final version of the policy, along with an updated Proposal to Add or Change Policy form, and a short summary of the proposal and the Policy Subcommittee deliberations. After discussion, the CERC votes on the policy. If the CERC does not approve the policy, the Responsible Office must work with the Policy Coordinator to address the CERC’s concerns.
The Policy Subcommittee may recommend to the CERC that a policy be approved on an interim basis. Interim policies will include a next-review date of less than five years. The Responsible Office may request that the next-review date be extended up to one year by notifying the Policy Coordinator in writing. The Policy Coordinator will advise the Policy Subcommittee of the request and call a meeting to discuss the extension if more than one Policy Subcommittee member expresses concern.
Policy Issuance
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Once the CERC has approved a policy, the Policy Coordinator works with the Responsible Executive (or their representative) and the Responsible Office to confirm how the policy will be issued to the campus.
EMERGENCY (FAST-TRACK) POLICY APPROVAL
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Should an emergency require rapid formulation of a new campus policy or revision of an existing policy, the Responsible Executive submits the policy directly to the Chancellor, who may:
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Approve the policy immediately on an interim basis.
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Consult with various campus experts and constituencies before approving the policy.
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Return the policy to the Responsible Executive or Responsible Office for revision.
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Return the policy to the Responsible Executive or Responsible Office for submission through the regular policy approval process.
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Reject the policy.
Once the Chancellor approves a fast-tracked policy, the Responsible Executive transmits an electronic version of the policy to the Policy Coordinator for posting on the Campus Policies Library website.. The fast-track approval process is intended for emergencies only and cannot be used to circumvent the regular approval process. Policy changes mandated by federal or state legislation or by the Office of the President, are considered emergencies if said policy changes have themselves been made on an emergency basis and require immediate campus implementation or if the mandated policy changes otherwise entail imminent danger to human safety, to the financial well-being of the campus or to the campus' relationship with the larger community.
PROMOTING AWARENESS OF CAMPUSWIDE POLICIES
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New or revised policies are promoted primarily through the Campus Policy Library, which serves as the repository for all campuswide policies.
In addition to posting on the Campus Policies Library website, the Responsible Office should publicize policies using Campus Administrative Memos and other such media as may be deemed effective.
Training in the particulars of a policy is handled by the Responsible Office.
INTERPRETING CAMPUSWIDE POLICIES
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The office responsible for the administration of a campuswide policy designates an individual as a contact for questions about the policy. This contact is posted near the top of every policy and must be kept current by the Responsible Office. If more than one office is responsible for administering the policy, particularly in the area of procedure, the policy must list each Responsible Office, its area of responsibility, and contact information. It is expected that members of the campus community seeking clarification of policies will receive prompt, courteous, and clear responses.
MAINTAINING CAMPUSWIDE POLICIES
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The Responsible Office is obligated to promote compliance with a policy and to keep a policy up-to-date. A policy should be reviewed at least once every five years. The Policy Coordinator should send a reminder to the Responsible Office if a policy has not been reviewed during the previous five years.
When changes to a policy are necessary, the Responsible Office and Policy Coordinator determine whether the changes require approval. In general, any change to the policy’s intent requires review by the CERC. Non-substantive changes may undergo a technical review by the Policy Coordinator and be added to the approved policy without undergoing CERC’s review process. Examples of a non-substantive change may include updating contact information that does not change the responsible office or grammatical corrections that do not change the intent of the policy. If the Responsible Office and the the Policy Coordinator cannot agree whether a revision constitutes a change to the policy’s intent, the question is referred to the campus’s Chief Ethics, Risk, and Compliance Officer for a final decision.
All campuswide policies, no matter when written or last updated, remain in effect as long as they are posted in the Campus Policies Library. Should a campuswide policy become obsolete, the Responsible Office notifies the Policy Coordinator in writing that the policy can be rescinded. If the Responsible Office no longer exists, either the Responsible Executive or the Responsible Office that assumed the former Responsible Office’s policy-making duties notifies the Policy Coordinator in writing that the policy can be rescinded.
VI. Responsibilities
Chancellor:
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Retains ultimate authority for campuswide policies.
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Works directly with Responsible Executives to issue emergency policies.
Executive Vice Chancellor and Provost, Associate Chancellors, Vice Chancellors, Associate Vice Chancellor:
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Act as Responsible Executives for campuswide policies.
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Approve, deny, or return for revision campuswide policies generated by their control unit prior to being submitted to CERC for campuswide approval.
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Issue policies subsequent to CERC approval.
Chancellor’s Cabinet:
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Receives updates annually from the Office of Ethics, Risk, and Compliance Services concerning new or substantially revised policies and responds as necessary.
Compliance and Enterprise Risk Committee (CERC):
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Reviews and approves new policies and substantively-changed existing policies for impact on campus units and operations.
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Oversees the CERC Policy Subcommittee to provide review and recommendations regarding all new and revised campus policies.
Responsible Executive and Responsible Offices :
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Review systemwide policies in their area to determine whether the policies require further interpretation or procedures at the campus level.
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Develop campuswide policies in areas where policies are needed.
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Make sure campuswide policies in their area are consistent with systemwide policies and federal and state regulations.
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Disseminate information about campuswide policies for which they are responsible.
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Promote compliance with policies for which they are responsible.
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Provide contact information to help members of the campus community with questions about a policy.
Office of Ethics, Risk, and Compliance Services:
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Appoints a Policy Coordinator for the campus.
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Assists Responsible Offices in developing policies, including the determination of whether a proposed policy is campuswide in scope.
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Coordinates the approval process for policies.
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Maintains the official Campus Policy website, including a library of all current campuswide policies.
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Disseminates information about campuswide policies.
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Annually provides the Chancellor’s Cabinet updates concerning any new or substantially revised policies for their awareness.
Faculty, Staff, and Students:
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Know and follow campuswide policies.
VII. Consequences of Policy Violations
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Policies that have not been approved by the Chancellor or CERC will not be enforced as campuswide policies. Subsequent to January 1, 2026, policies must go through the review process outlined in this document to be approved by CERC.