Creation of Selected Academic & Administrative Policies

This policy establishes guidelines for the initiation, development, adoption, and publication of University of Wisconsin-Milwaukee (UWM) Selected Academic & Administrative Policies (SAAPs), and the modification or elimination of existing UWM SAAPs.

The policy will assist UWM in serving its mission and achieving its goals, maintaining accountability on the part of responsible officials and university community members, and providing clear, concise and current guidelines on standards and requirements. This policy only applies to UWM SAAPs.

It is not the intention of this policy to supersede faculty, academic staff, or university staff policymaking authority or existing procedures under Wis. Stat. 36.09, and Board of Regent Policy Document (RPD) 20-20: University Staff Governance.

UWM SAAPs embody UWM’s intended course of action for its administrators, faculty, academic staff, university staff, other employees, students, visitors and others within the university community.  UWM SAAPs must be approved, kept current, and made accessible to all relevant operating units, in a timely manner, to assure compliance with policy objectives and to establish the accountability of operating units and individuals affected by each policy. UWM expects the members of the university community to comply with its SAAPs.

A UWM SAAP should satisfy all of the following criteria:

• It is consistent with shared governance as specified in Wisconsin Statutes (Chapter 36), UWS Administrative Code and relevant UWM Policies and Procedures approved by governance groups and enforced by same.
• It is a governing principle that mandates or guides actions;
• It has institution-wide application;
• It will change infrequently and sets a course for the foreseeable future;
• It helps ensure compliance with applicable laws and regulations and reduces risk;
• It enhances the university’s mission; and
• It is approved by the chancellor and where necessary approved by the UWS Board of Regents.

The Policy Advisory Committee (PAC) does not review policies primarily under the jurisdiction of faculty, academic staff, or university staff under Wis. Stat. 36.09 (4) and (4m) and RPD 20-20.

The Secretary of the University’s website is the official location of UWM SAAPs. 

• Academic Staff: Professional and administrative personnel other than faculty and university staff with duties and types of appointments that are primarily associated with higher education institutions or their administration.
• University Staff: UWM employees who are civil service employees of the state of Wisconsin, hired into positions that have not been specifically defined as unclassified by state statute.
• Dean: the deans of each UWM college.
• Faculty: Unclassified staff who hold the rank of professor, associate professor, assistant professor, or instructor in an academic department or its functional equivalent.
• Initiator: the UWM representative who initiates a new policy, a change to an existing policy, or the elimination of an existing policy. The Initiator may be the chancellor, the provost, or any vice chancellor with authority over the subject matter of the policy.
• Policy: guiding or governing principle(s), formally approved in accordance with this policy, to provide assistance in the conduct of university affairs, specifically Selected Academic and Administrative Policies.
• Policy Advisory Committee (PAC): appointed by the chancellor, in consultation with the provost, the University Committee, the Academic Staff Committee and other relevant groups, is comprised of campus representatives from administration, governance, and university staff. Each of the following groups shall be invited to select a representative to serve on the PAC:
  • University Committee
  • Academic Staff Committee
  • University Staff Committee
  • Division of Academic Affairs
  • Division of Finance & Administrative Affairs
  • Division of Student Affairs
  • Division of Community Empowerment & Institutional Inclusivity
  • Academic Deans
  • Secretary of the University (ex officio)
  • Office of Legal Affairs (ex officio)
• Proposed Policy: a proposed new policy or change to an existing policy.
• Procedures: statements that provide for orderly implementation of an established policy through specific, prescribed actions.
• Responsible Party: the UWM representative primarily responsible for overseeing implementation, administration of and updates to a particular policy.  The Responsible Party should be the administrator with the designated responsibility for the subject matter covered by the policy or direct oversight of that administrator. In cases of a policy covering overlapping areas, two administrators may, but are not required to, be designated as Responsible Parties. 

UWM policies must follow a standard template. A copy of the template is available on the Secretary of the University website. The template is also included under Forms and Appendices.

UWM SAAPs should contain the following information, although not all sections will be necessary for each policy:

• Purpose – description of the rationale behind development of the policy and/or particular problems
  or issues the policy is intended to address.
• Policy – a brief description of the essence of the policy and to whom it applies, with any exclusions listed.
• Authority – the legal (e.g. statute or regulation) or other (e.g. policy) authority pursuant to which the policy is being issued.
• Initiator – see definition above.
• Responsible Party – see definition above.
• Definitions – of any important or frequently used terms.
• Procedures – see definition above.
• Contact Information – refers readers to the Responsible Party or other university staff for questions about the policy.
• Policy History – the original effective date and dates of any revisions (substantive changes to the policy) or updates (minor corrections of non-substantive information).
• Forms & Appendices – any forms or additional resources useful for implementation of the policy.

UWM SAAPs should be brief and easy to read. Each policy should take into account the following:

• Legal and ethical implications;
• Fiscal implications;
• Personnel or human resources issues;
• Simplicity in technical explanations;
• Cross reference of related, or companion, policies;
• Identification of an appropriate reference for questions and clarification;
• Reference to a department website as appropriate; and
• Federal, State, Board of Regents and Universities of Wisconsin System (UWs) Administration laws, regulations and policies

A. Initiation and Development of UWM Policies

Any member of the university community wishing to propose a new or revised SAAP must communicate such a proposed policy, request for a proposed policy, or change to an existing policy to an appropriate Initiator. The SAAP Approval Flowchart is linked under Forms and Appendices.

1. Initiator

Once the Initiator agrees to formally initiate a new policy or a change to an existing policy, the Initiator will identify or confirm the Responsible Party for the policy.

For new policies, the Initiator will appoint an appropriate Responsible Party to oversee the development and implementation.

For revisions to existing policies, the Initiator will confirm whether the current Responsible Party remains appropriate. If the policy’s subject matter, ownership, or administrative structure has changed, the Initiator may assign a new Responsible Party. Otherwise, the existing Responsible Party continues to serve in that role.

Governance committees may request an initiator to initiate, change, or rescind a policy at any time.

2. Responsible Party

The Responsible Party oversees the drafting, review, and maintenance of the policy. They gather input from relevant governance groups, subject matter experts, and affected units to ensure the policy is accurate, consistent, and workable. The Responsible Party shall consult governance committees with roles in or oversight of any policy on any policy initiation, change, or rescission.

For new policies, the Responsible Party develops a draft using the SAAP template and consults with appropriate campus stakeholders.

For revisions to existing policies, the Responsible Party reviews the current version, consults with appropriate campus stakeholders, proposes necessary updates, including compliance with the SAAP template, and documents the rationale for any changes.

3. Circulation for Review

The Responsible Party will circulate a draft of the proposed policy to an informal group of reviewers for comments and feedback. This group of reviewers may include, but is not limited to, the Initiator, subject matter experts when appropriate, potential users of the proposed policy and representatives of groups, including governance, affected by the proposed policy.

The Responsible Party will set a reasonable deadline for comments and indicate the preferred format for providing feedback and comments. The Responsible Party will, at their discretion, incorporate comments and other changes to the policy. The Responsible Party must submit all proposed edits to the draft policy using tracked changes to ensure transparency and version control.

The Responsible Party should document all individuals or groups that have reviewed and commented on the proposed policy or proposed changes to the policy on the policy transmittal form.

4. Secretary of the University and Legal Affairs

After circulating a draft of the proposed policy or policy revision to an informal group of reviewers, the Responsible Party will forward the following to the Secretary of the University:

• The current draft or tracked-changes version of the policy;
• A brief rationale summarizing the proposed changes or reason for creating a new policy; and
• A list of individuals or groups that have reviewed and commented on the proposed policy.

The Secretary of the University will coordinate review of the draft policy with the Office of Legal Affairs.

The Office of Legal Affairs will review the proposed policy or policy revision to ensure:

1. Consistency with laws, regulations and other policies germane to the policy
2. Identification of any legal implications of the proposed policy

Following the legal review, the Secretary of the University will review the proposed policy or policy revision to ensure:

1. Consistency in format and presentation, including correct numbering and use of the approved template;
2. That the consultation and review process has been properly documented and all relevant materials are included.

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B. SAAP Review

1. Policy Advisory Committee (PAC)

a. Submission to PAC

After review by the Secretary of the University and the Office of Legal Affairs, the Secretary of the University will forward a proposed draft of the policy to the PAC for consideration.

b. PAC Role and Review

The PAC’s role is advisory.  The PAC will review proposed policies and policy revisions to evaluate their alignment with the missions of UWM and the Board of Regents of the University of Wisconsin System, their consistency with other institutional policies, and their overall clarity and practicality.

The Responsible Party or designee generally participates in the PAC discussion to provide context and answer questions.

c. Determining Employee Governance Review

After discussion, the PAC will determine whether a proposed policy or policy revision requires review by employee governance groups. In making this determination, the PAC will consider:

1. whether the policy directly affects faculty, academic staff, and/or university staff responsibilities or working conditions;
2. whether the policy primarily addresses administrative or operational matters that do not require governance action.

Based on this review, the PAC will recommend one of the following actions:

• forward the policy to the appropriate employee governance groups for review and approval, along with a recommendation on whether it should be included as automatic consent or new business; or
• advance the policy directly to the chancellor for approval if no employee governance consultation is required.

d. Actions Following PAC Review

Following PAC review, the Secretary of the University will route the policy according to the PAC’s recommendation:

• Policies recommended for employee governance approval will be forwarded to the faculty, academic staff, and/or university staff governance groups, along with the PAC’s recommendation on whether it should be included as automatic consent or new business.
• Policies that do not require employee governance consultation will be forwarded directly to the chancellor for approval.

If the PAC requests revisions but does not recommend adoption, the policy will return to the Responsible Party for revision and resubmission to the PAC or other appropriate action.

2. Responsible Party

If the PAC recommends additional revisions to a proposed policy or policy revision, the Responsible Party will consider the recommendations and make final changes to the policy and/or determine other actions to address the PAC’s recommendations.

If the Responsible Party chooses to reject the PAC’s recommendations, the Responsible Party will prepare a cover memorandum detailing the reason(s) for the rejection.

The Responsible Party will then submit the revised policy to the Secretary of the University for transmittal back to the PAC.

Once the PAC recommends adoption, the Secretary of the University will forward the policy to the appropriate governance groups or the chancellor, as applicable.

3. Employee Governance

As recommended by the PAC, if the policy does not have implications for the employee governance groups, the Secretary of the University will submit the proposed policy to the chancellor for approval, according to the Section C below, or forwarding to the University of Wisconsin System’s Board of Regents.

If the policy has implications for faculty, academic staff, and/or university staff, the Secretary of the University will forward the policy to the appropriate governance group(s) for consultation and/or approval.

• Policies recommended by the PAC for governance approval will be placed on the corresponding senate agenda.

These groups will be given 30 days during the academic year to review the policy. Upon request, one 30-day extension may be granted by the PAC.

Each governance group will review the policy as appropriate under its procedures and forward its recommendation to the Secretary of the University for inclusion in the policy record.

Any recommendations or changes will be submitted to the Responsible Party for review in consultation with the PAC.

If no changes are suggested after the 30-day review period, the Secretary of the University will forward the policy to the chancellor for approval.

C. Approval of UWM Policies

Upon receipt of a proposed policy from the Secretary of the University, the chancellor may consult with any individual or group prior to approving a proposed policy or, when necessary, forwarding it to the University of Wisconsin System Board of Regents. The chancellor may also reject¹ the policy or send it back to the faculty, academic staff, and/or university staff governance groups or the Responsible Party for further modifications and/or review by the PAC, if applicable.  The chancellor will take action on a proposed policy within 30 days of receipt.

A proposed policy shall not become effective until approved by the chancellor or, where necessary, the University of Wisconsin System or Board of Regents.

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D. Publication and Distribution of UWM Policies

Once approved by the chancellor and, if necessary, the Board of Regents, the chancellor’s office shall provide the approved policy to the Secretary of the University for posting on the Policy Library. 

E. Interim Policies

The chancellor or designee may temporarily adopt, waive, revise or revoke any policy in a situation where there is an extraordinary need requiring that a university policy be established, waived, revised, or eliminated in a period too short to permit the completion of the process outlined in this policy. Such situations include, but are not limited to, changes to federal or state law, urgent needs for meeting accreditation or audit requirements, risk management, and emergency situations.  The chancellor or designee shall notify the chair of the University Committee, Academic Staff Committee, and University Staff Committee at least 5 business days in advance of the adoption of any interim policy. As soon as practicable thereafter and assuming an ongoing need for the policy, the initiator shall initiate the process for development and approval of a permanent policy addressing the same subject or elimination of an existing policy.

Any policy created or revised under this section shall be clearly labeled as “interim” and shall remain in effect until the earlier of 120 days or adoption of a new policy or modification of an existing policy pursuant to the review and approval process detailed above. In the meantime, the interim policy shall be considered an official policy of UWM. An interim policy may be extended, upon consultation with the employee governance groups, for 120 days.

F. Regular Policy Review

The Responsible Party for or the appropriate office having authority to implement each policy shall review and update that policy, or propose its elimination, as necessary but no less frequently than every five (5) years. Revisions to existing policies shall be processed and approved in the same manner as are new policies. Annually, the Secretary of the University will notify Responsible Parties of policies requiring review and updating and will monitor progress to ensure compliance.

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G. Policy Elimination

The process for eliminating a SAAP follows the same review and approval steps described in the Procedure A: Initiation and Development of UWM Policies and Procedure B: SAAP Review sections of this policy.

The Responsible Party must provide a written rationale for the proposed elimination and confirm that the policy is no longer needed due to redundancy, obsolescence, or supersession by another policy or governing document.

The proposed elimination will be reviewed by the Secretary of the University, the Office of Legal Affairs, the PAC, and the appropriate governance groups, following the same routing and approval sequence used for new or revised policies. The chancellor will provide final review and approval before the policy is officially retired.

H. Archiving Policies

The Secretary of the University shall be responsible for maintaining in its permanent records, in perpetuity, a copy of each new UWM SAAP and each amendment thereto, as well as records pertaining to the revocation or elimination of each policy.

Footnotes

1. Under UWM Faculty Policies & Procedures, Section 1.09 and the UWM Academic Staff Personnel Policies and Procedures Section 102.3, formal actions taken by the university faculty or academic staff or their senates become university policy to be implemented by appropriate authorities within thirty (30) days after they have been transmitted to the chancellor.  The chancellor may delay implementation beyond the 30-day period by notifying the University Committee or Academic Staff Committee, within that period, of their intention and the reasons therefore. ↩︎

• Appendix A - SAAP Template (DOCX)
• Appendix B - SAAP Approval Flowchart (DOCX)
• Appendix C - SAAP Transmittal Form

November 2, 2020

Revised

September 20, 2007

Original