What is the difference between a policy, procedure and guideline?
Policy: A policy is a formal, high-level statement that sets out the University’s position on a particular issue and provides governing principles that mandate actions or establish rights or obligations. Policies are mandatory and must be followed. They exist to:
- achieve compliance with applicable laws, regulations, and organizational requirements;
- promote operational efficiencies;
- enhance the University’s mission;
- reduce institutional risk; and/or
- promote ethical standards, integrity and accountability.
Procedure: Detailed step-by-step instructions on how to implement a policy or operationalize a process. They provide the “how-to” to ensure that the policy is consistently and effectively applied. Procedures should be specific and actionable, detailing who does what, when and how.
Guideline: An educational tool intended to educate the workforce on how to achieve a desired outcome and/or meet industry best practices. Allows end-user discretion in interpretation, implementation, or use. Non-compliance with, or violation of, guidelines does not create the same level of risk as non-compliance with policies or procedures.
Check the Policy Glossary for more definitions.
Where do I find University policies?
You can search for a policy (or procedure) at policy.uconn.edu in numerous ways:
- Browse alphabetically by policy title;
- Browse by policy audience (faculty, staff, students, others);
- Browse by the University unit or department that “owns” the policy (Office of the Provost, Office of the General Counsel, Department of Human Resources, etc.);
- Input a keyword in the search box.
NOTE: To locate departmental or unit policies, procedures, and/or guidance that are not available on this website, visit other University webpages such as the ones found here.
How do I know if I need to develop a new University Policy?
A new policy may be needed when there is a gap in current policies, changes in laws or regulations, new strategic directions or objectives of the University, or to address new risks or opportunities.
A policy should only be created to ensure consistency, compliance, and governance across the University. Anyone may identify the need for a new policy, but a Senior Institutional Official, in consultation with the Office of University Compliance (OUC), must confirm the need.
When determining the need for a new University policy, consider whether an alternative such as workforce guidance or procedures would be more effective. Evaluate the implications of the policy, including potential risks and costs, and assess whether the policy could lead to disparate outcomes among groups. Finally, determine if the policy serves as a governing principle with broad applicability.
Is it a new policy if I’m consolidating existing policies?
Yes, consolidating existing policies into a single document is considered the development of a new policy. The consolidation process often involves significant changes, including the elimination of redundant information, clarification of ambiguous sections, and reorganization of content.
What resources are available to help with policy drafting and development?
- Policy on Policies: Outlines the policy process framework and provides instructions and expectations.
- Policy Template: A standardized template that outlines the required sections and formatting for policies.
- Policy Owner Checklist: A checklist to ensure all necessary components and considerations are addressed.
- Guidance Documents: Documents that provide best practices and guidelines for drafting policies.
- Stakeholder Consultation: Engaging relevant stakeholders for their input and feedback during the drafting process.
- Office of University Compliance (OUC): The OUC helps ensure the fidelity of the policy process and reviews policies from an end-user perspective to help ensure they are clear and actionable.
How do I identify stakeholders who should be involved in drafting or review?
Engaging stakeholders early in the process helps ensure diverse perspectives are considered and that the policy is practical and implementable. Stakeholders include individuals or groups who will be affected by the policy or who have expertise and insights relevant to the policy topic.
A good guidepost is to ask:
- Who are the subject matter experts?
- What departments or units have roles, responsibilities, or resources that will be impacted by the policy?
This iterative process ensures the policy is clear, comprehensive, and practical. Allow several weeks for this phase, as several rounds of feedback and revisions may be necessary.
Once I have a new policy drafted and vetted with stakeholders, what do I do?
- Draft in the New Template: For new policy drafts, you only need to submit a ‘clean’ version using the new Policy Template, which can be accessed from policy.uconn.edu. Unlike policy revisions, a ‘redlined’ version with tracked changes is not required.
- Complete the Policy Owner Submission Checklist.
- Policy Owners should engage the OUC early in the development process and submit the final draft & completed Checklist to policy@uconn.edu before the policy submission deadline listed on the Policy Resources page of the policy site.
- Senior Policy Council deadlines: Submission deadlines are established to provide the OUC sufficient time to review your document and Checklist, and to offer any recommended changes or clarifications before the President’s Senior Policy Council (SPC) review. The SPC, which meets every other month, oversees the University’s policy governance process and advises the President on the approval, implementation, revision, or decommissioning of University policies. Check the Policy Council Meeting Dates and Policy Submission Deadlines to ensure timely submission. To be included on the SPC agenda, policy documents must be submitted by specific deadlines.
- Attend the SPC meeting: The Policy Owner should attend the SPC meeting to present the purpose of the policy and answer any questions. The SPC will then decide whether to approve, reject, or request further revisions. Be prepared to make additional changes based on SPC feedback. If approved, the policy will be routed to the President’s Office and, in some cases, the Board of Trustees for final approval.
- Publication: Once the policy receives final approval, the OUC will publish it to the University policy site and announce updates to the University community via the Daily Digest and policy listserv. We recommend subscribing to the policy listserv to stay informed about University Policies. It is the Policy Owner’s responsibility to provide further education and training as needed.
- Policy Maintenance: Policies expire 3-years from their approval date and must be reviewed and revised within that timeframe to remain current. Additionally, if revisions are required before the review deadline, it is the Policy Owner’s responsibility to initiate the policy review and approval process.
How far in advance do I need to plan to get a new policy approved?
The timeline for policy approval can vary, but it is generally advisable to start the process well in advance, considering the multiple stages involved: drafting, stakeholder consultation and revision, OUC review, and formal approvals. *If a policy applies to UConn Health, it must route through the UConn Health approval process before it can appear on an SPC agenda. This may include getting on the UConn Health Administrative Policy Committee agenda, which typically meets once monthly. Please reach out as soon as possible in the development process to ensure coordination across campuses.
Do the policies located at policy.uconn.edu apply to UConn Health employees and students?
Some policies located on this site apply to UConn Health, however the majority are aimed toward Storrs and Regional campuses. Unless otherwise specified, Regional Campuses include Avery Point, Greater Hartford, Stamford, Waterbury, the School of Law and all other Storrs based programs. The UConn Health community should visit Policy Manager for applicable policies and procedures.
How do I provide feedback on the process or resources?
Email policy@uconn.edu.