Guideline: Recommended guidance or additional information used to support policies and procedures, industry best practice, or intended to educate the workforce on how to achieve a desired outcome. Allows end-user discretion in interpretation, implementation, or use. Non-compliance with, or violation of, guidelines does not create the same level of risk.

Guideline, Clinical: A systematically developed set of recommendations designed to assist healthcare professionals and/or patients in making decisions about appropriate care for specific clinical circumstances. Clinical guidelines are based on evidence from scientific research, expert opinion, and clinical expertise, and they aim to improve the quality and consistency of care by offering standardized approaches to diagnosis, treatment, and management of health conditions. Key aspects of clinical guidelines include:

• Evidence-based: They are developed using the best available research evidence to ensure effectiveness and safety in patient care.
• Standardization: Clinical guidelines help standardize medical practices across healthcare providers to ensure consistency in treatment.
• Flexibility: While they provide recommendations, clinicians can adapt them based on individual patient circumstances, needs, and preferences.
• Focus on quality care: Guidelines are designed to improve patient outcomes, reduce variations in care, and optimize resource use in the healthcare system.

Policy Owner: The unit, senior institutional official and/or designee responsible for authoring, implementing, maintaining, and monitoring a policy.

Procedures: Operational processes established for the implementation of policies. If a policy is “what” the institution does, its procedures are “how” it carries out the requirements of a policy. Non-compliance with, or violation of, procedures may result in disciplinary action.
Procedures

• outline required actions by objective and/or job function;
• state clearly and succinctly the step-by-step instructions that must be followed to implement policy effectively;
• specify the structure to enforce the policy;
• University Policy procedures shall not be revised without consultation with the Office of University Compliance.

Revision, Editorial: Includes modifications related to spelling, grammar, format, and updates to hyperlinks or URLs, contact information, references, titles of individuals and organizations.

Revision, Non-substantive: Includes modifications intended to enhance clarity without changing the intent of the policy, such as adding or modifying definitions, rearranging or re-wording sentences without changing their meaning or the policy’s requirements for compliance.

Revision, Substantive: Includes significant modifications to the nature and/or scope of the policy that affect its requirements, principles, or intent.

Senior Institutional Official (SIO): The appropriate University officer (Vice President, Vice Provost, or similar) who has authority and responsibility for the area or activity to which a policy may apply.

Stakeholder: University members with expertise in the subject matter of the policy, or whose operations will be significantly affected by the policy.

University Policy: An official statement expressing the position of the University on an issue of university-wide importance. A university policy

• is a governing principle that mandates or constrains actions, establishes rights or obligations, or guides the decisions and actions of the University;
• has broad application;
• exists to achieve compliance with applicable laws, regulations, and organizational requirements; to promote operational efficiencies; to enhance the University’s mission; to reduce institutional risk; and/or to promote ethical standards, integrity and accountability;
• is approved by the administrative authority of the University and/or the Board of Trustees

Policies that do not fit the criteria of a University Policy, such as individual unit policies, should be vetted through the appropriate Dean or Director for approval to ensure consistent application and to avoid conflict with any University or unit policies. Unit policies, procedures and guidelines shall not subvert, supersede, or contradict University Policies. Units should use a similar policy review process as outlined in this document. Please contact the Office of University Compliance or refer to the Policy website for assistance.

University Senior Policy Council: The University Senior Policy Council is a standing committee whose role is to review and approve new and revised University policies.  The Senior Policy Council is comprised of the University President; Executive Secretary to the Board of Trustees; Chief of Staff; General Counsel; Chief Compliance Officer, Chief Human Resources Officer, Provost, and the Vice President for Finance and Chief Financial Officer.  Others may be invited, as necessary.

Workforce Members, UConn: Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for UConn, is under the direct control of UConn, whether or not they are paid by UConn.

Workforce Members, UConn Health: Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for UConn Health, is under the direct control of UConn Health, whether or not they are paid by UConn Health.

Workforce Members, University: (Institutional – All Campuses) Employees, volunteers, trainees, and other persons whose conduct, in the performance of work for the University, is under the direct control of the University, whether or not they are paid by the University.