I. Purpose
This policy and its accompanying procedures fulfill UC Policy EC-23-0656 Developing and Maintaining Presidential Policies, § III., which states that “the Executive Officer, or their designee, at each UC location, must establish a local policy or procedure to implement a standardized policy management process.” This policy provides guidance in how policies are developed and maintained, and to consistently define terms used throughout all policies of the University of California Education Abroad Program. UCEAP's policies shall reflect its academic mission and vision and comply with laws, regulations, UC Board of Regents Policies, UC Office of President Policies, UC Academic Personnel Manual, and UC Santa Barbara Policies. Procedures developed to implement these policies shall be clear and efficient. Policies and procedures may be revised or deleted at any time, at the sole discretion of UCEAP.
II. Scope
This policy applies to all policies and procedures of UCEAP.
III. Definitions
- Associate Vice Provost and Executive Director: “AVPED,” in every policy of UCEAP, unless otherwise specified, means the UCEAP Associate Vice Provost and Executive Director.
- Data Privacy and Compliance Officer: “DPCO,” in every policy of UCEAP, unless otherwise specified, means the UCEAP Data Privacy and Compliance Officer.
- Employee: “Employee,” in every policy of UCEAP, unless otherwise specified, means an individual who is employed full-time, part-time, or in a temporary status.
- Non-substantive Change: “Non-substantive change,” in this policy, means a revision that does not materially alter the substance of the policy, or substantially modify its meaning or intent. Non-substantive changes include, but are not limited to, edits related to document formatting, grammar, punctuation, and style. Non-substantive changes do not require routing and are made as needed by the Office of the Associate Vice Provost and Executive Director.
- Legal Counsel: “UC Legal” and “UCL,” in every policy of UCEAP, unless otherwise specified, means the UC Office of the General Counsel.
- Policy: “Policy,” in every policy of UCEAP, unless otherwise specified, means any written document that is part of the Privacy Manual, which mandates or sets limits within which UCEAP staff, students, faculty, and other individuals interacting with UCEAP are expected to operate in compliance with applicable laws and regulations.
- Policy Action: “Policy action,” in this policy, means the development, deletion, review, or substantive revision of a policy.
- Policy Owner: “Policy owner,” in every policy of UCEAP, unless otherwise specified, means the UCEAP director primarily responsible for the subject matter of the policy.
- Policy Contact: “Policy contact,” in every policy of UCEAP, unless otherwise specified, means the individual designated by the policy owner as the primary subject matter expert and/or administrative point of contact for a policy.
- Policy Manual: “Policy manual,” in every policy of UCEAP, unless otherwise specified, means the official repository of all UCEAP policies adopted by the Associate Vice Provost and Executive Director and administered by the DPCO. The policies published on the dedicated UCEAP Policy webpage and intranet are the official policies of UCEAP and supersede any version appearing elsewhere.
- Procedures: “Procedures,” in every policy of UCEAP, unless otherwise specified, means the operational processes that outline how the institution will implement the policy. Procedure documents may include, but are not limited to, guidelines, handbooks, and bylaws.
- Regents: “Board of Regents” or “Regents,” in every policy of UCEAP, unless otherwise specified, means the Board of Regents of the University of California.
- Staff: “Staff,” in every policy of UCEAP, unless otherwise specified, means employees whose primary responsibilities do not include teaching academic courses.
- Substantive Change: “Substantive change,” in this policy, means a revision to a policy that materially alters its meaning or intent. Substantive changes include, but are not limited to, addition or deletion of a definition, change in a responsible party, change in application of the policy, or revisions made to reflect current operational practices or changes in the law or UC policy.
- Unit Administrator: “Unit Administrator,” in every policy of UCEAP, unless otherwise specified, means an individual with unit supervisory responsibilities. Unit administrators include, but are not limited to, directors, associate directors, and team leaders.
- University of California: “UC,” in every policy of UCEAP, unless otherwise specified, means the University of California, its Regents, its multiple campuses, its official business, its property, and its personnel.
- University of California Campuses: “UC campuses,” in every policy of UCEAP, unless otherwise specified, means all of the University of California campuses, as identified by UC.
- University of California Education Abroad Program: “UCEAP,” in every policy of UCEAP, means the University of California Education Abroad Program.
- University of California Office of the President: “UCOP,” in every policy of UCEAP, unless otherwise specified, means the University of California Office of the President.
IV. Responsibilities
A. General
The policies adopted by the AVPED apply only to UCEAP and shall be published in the policy manual and maintained electronically on a dedicated webpage.
1. Contract Disclaimer
No provision in any UCEAP policy shall create a contract, expressed or implied, with any individual or organization.
2. Legal Review
All UCEAP policies considered for adoption must be reviewed and approved for legal sufficiency by UCL prior to adoption.
3. Conflicts
If a conflict is discovered by UCEAP between a provision of a UCEAP policy and a UC policy, the AVPED will request a resolution or exception from the UC Provost and Chancellor of UCSB. If a conflict is discovered by UCEAP between a provision of a UCEAP policy and a law or regulation, the conflict will be resolved by the DPCO under the guidance of UCL. In all other circumstances, if a provision of a policy conflicts with a law or regulation, the invalid provision will be construed in a manner that gives force and effect to all other provisions in the policy, to the extent possible. If any invalid provision cannot be construed to render it valid, that provision will be construed as narrowly as possible and severed from the policy, if necessary, to give force and effect to the policy.
4. Policy Workflow & Adoption
Policies follow the workflow procedure detailed by the DPCO and approved by the AVPED. Policies are adopted when approved by the AVPED.
5. Policy Effective Date
A policy takes effect the date it is approved by the AVPED, unless a different date is stated in the policy.
6. Policy Exception
Exception to a UCEAP policy may only be granted with the approval of the AVPED, subject to compliance with laws, regulations, and UC Policies.
7. Policy Review
Policy owners and contacts must review policies that fall under their purview a minimum of once every five (5) years unless otherwise required by law, regulation, or UC policy. A non-substantive change made to a policy does not require a policy review.
8. Procedures in Policies
Procedures that are necessary to provide a right protected by law are required to be included in a policy. Procedures may also be included in policy, if the policy owner and AVPED approve. Nonetheless, policies should contain as little procedure as is reasonably possible for economy and clarity.
9. Other Procedures
Units may develop administrative procedures to manage the specific operations of the unit. Unit administrators must ensure procedures are consistent with laws, regulations, and UC policies. Procedures are null and void to the extent of any conflict with these. Unit administrators may request the DPCO publish a procedure on the policy webpage where the associated policy appears. Procedures that are not included in a policy need not be reviewed by UCL for legal sufficiency or approved by the AVPED, and are not subject to the policy approval procedure.
B. Policy Development, Revision, Deletion, and Review
1. Policy Owners & Contacts
a. Creation and Revision
The policy contact, under the guidance of the policy owner, must develop, revise, and review policies as required by law, regulation, UC policy, and as needed by organizational initiatives or operational changes. For these actions, the policy contact and owner must ensure the policy:
- is consistent with and not duplicative of other policies;
- is consistent with UC policies;
- satisfies accrediting bodies and external industry/professional association requirements, as applicable;
- is sufficiently clear so that substantive questions concerning execution of or compliance with the policy can be answered;
- provides the guidance necessary to prescribe procedures which achieve the policy objective(s); and
- clearly explains any values or objectives required by the policy and the decision-making process required by the policy.
b. Deletion
The AVPED’s approval is required for policy deletion, and any policy involving a law or regulation must be reviewed and approved for deletion by legal counsel. Prior to deletion, all parties involved must ensure: (i) the policy is not required by law, regulation, or UC policy; and (ii) any necessary content is adequately addressed in another policy or related procedure.
2. Office of General Counsel
a. Legal Sufficiency Review
UCL is responsible for reviewing all new policies and substantive changes to policies to determine consistency with applicable laws and regulations, identify and address legal risks, and improve legal defensibility. This legal sufficiency review consists of:
- analyzing the policy (and any procedures contained therein) to determine compliance with laws, regulations, attorney general opinions, executive orders, and UC policies;
- identifying potential legal risks that might arise from the use of a particular word, term, or phrase, from the way the policy is structured, or from any procedures contained in or missing from the policy; and
- recommending changes that address noted legal deficiencies.
UCL will inform the DPCO if a policy or a provision of a policy is determined to be legally insufficient and recommend language that brings the policy into compliance with laws, regulations, or UC policy.
Only policies approved by UCL are eligible for adoption by the AVPED.
b. Deletion
Any policy involving a law or regulation must be reviewed and approved by legal counsel prior to deletion.
C. Policy Administration and Management Program
The DPCO is responsible for the administration and management of UCEAP’s policy program and policy manual. The DPCO shall route proposed policy actions for approval in accordance with this policy and the procedures outlined in the Policy Workflow webpage. In addition, the DPCO is responsible for:
- coordinating the development, revision, deletion, review, and approval of all UCEAP policies;
- publishing approved policies in the policy manual;
- maintaining the official copy of all adopted policies; and
- archiving or deleting appropriate documents in accordance with UC records retention schedule.
D. Guidelines for Interpreting Policies and Procedures
The following guidelines shall be used when interpreting all UCEAP policies and procedures. These guidelines are not binding on UCL when providing official legal opinions.
1. Headings
The heading of a title, subtitle, chapter, subchapter, or section does not limit or expand the meaning of a policy.
2. Meanings of Words
Words shall be given their ordinary meaning. Words and phrases shall be read in context and construed according to the rules of grammar and common usage. Words in the present tense include the future tense.
3. Grammar and Punctuation
A grammatical error does not vitiate a policy. If the sentence or clause is meaningless because of the grammatical error, words and clauses may be transposed to give the policy meaning.
4. May, Must, Shall, etc.
The following meanings apply unless the context in which the word or phrase appears necessarily requires a different interpretation/meaning or unless a different meaning is expressly provided:
- “May” and “should” create discretionary authority or grant permission or a power.
- “Shall,” “will,” and “required” impose a duty.
- “Must” imposes a duty and may recognize a condition precedent.
- “Is entitled to” creates or recognizes a right.
- “May not,” “shall not,” “will not,” and “cannot” impose a prohibition.
- “Is not entitled to” negates a right.
- “Is not required to” negates a duty or condition precedent.
- “Includes” and “including” are terms of enlargement and not of limitation or exclusive enumeration, and use of the terms does not create a presumption that components not expressed are excluded.
5. Severability
If any provision of a UCEAP policy, or its application to any person or circumstance becomes legally invalid or unenforceable, the validity, legality, and enforceability of the remaining provisions of the policy will not in any way be affected or impaired thereby and shall remain valid and enforceable to the fullest extent permitted by law.
6. Computation of Time
In computing a period of days, the first day is excluded and the last day is included. If the last day of any period is a Saturday, Sunday, or legal holiday, the period is extended to include the next day that is not a Saturday, Sunday, or legal holiday.
E. Style
These style guidelines have been adopted to achieve consistent formatting and style when drafting and revising policies and procedures UCEAP-systemwide. This is not intended to replace writing style guides used for other purposes or publications.
1. Name of Entity
Spell out the full name of the entity on the first reference, provide a parenthetical abbreviation in double quotation marks, and the abbreviation after. Example: University of California (“UC”) is a large institution.
2. Punctuation
a. Capitalization
- Capitalize Defined Terms. Capitalize defined terms throughout the body of the text to ensure the reader will refer to the specific definition within the context of the policy, and not the readers own convention.
- Job Titles. Use job titles rather than individual names in policies, for business continuity. Capitalize formal titles. Use lowercase for occupational or informal job titles. Examples: The President must approve the document. The department head will submit a monthly report.
- Government Entities. Capitalize government entities when all or part of a proper noun or an agency’s formal name is used. Do not capitalize government subdivisions such as city, county, state, or federal agencies when used as a common noun, adjective, or in place of the actual name. Examples: Federal Bureau of Investigation; federal agency.
b. Colons
Use a colon to introduce a series or a list, especially a list preceded by “as follows” or “the following.”
c. Oxford/Serial Comma
Legal experts agree the Oxford/serial comma is an important distinction for clarity and avoids the chance of accidental coupling of terms. Use a comma to separate every item in a series of three or more terms, including the second-to-last item. Examples: The options are teal, orange, or blue. The Oxford comma is not necessary in titles and headings which include an ampersand. Example: Teal, Orange & Blue.
d. Semi-colon
When using a semi-colon, two closely related and complete sentences must appear on both sides of the punctuation mark. Example: He loved the food; he said it tasted heavenly. Semi-colons may also be used to separate a series of clauses containing commas. Example: The options were teal, his favorite; orange, his second favorite; and blue, his least favorite.
e. Quotation Marks
Most punctuation that separates or terminates quoted material must appear inside the quotation marks. This includes commas, periods, question marks, and exclamation marks. An important exception occurs when a semicolon punctuates the larger sentence. It must be placed outside quotation marks and parentheses. Example: Pat received a coffee mug that says “#1 Boss”; she accepted it cordially and keeps it next to a sign, which reads “Do what is right, not what is easy.”
3. Format
a. Application of Policy
Broad, consistent categories should be used to describe to whom the policy applies. Examples: All UCEAP staff, all UCEAP students.
b. Template & Accessibility
Institution policies are to be prepared in Microsoft Word using the standard policy template with Track Changes enabled. The policy draft should contain a working policy number, title, owner, contact, purpose, scope, definitions, responsibilities, and references/cross-references. The policy should utilize heading styles, list styles, meaningful hyperlinks, and document/table properties, where applicable, for accessibility. Upon approval of the AVPED, policies will be converted to accessible webpages by the DPCO and published online in the policy manual.
c. Lists
- Lists within Sentences. Use commas to separate items within a sentence or with semicolons if the items in the list include commas.
- Vertical Lists. Long lists and lists that contain multiple levels of items should use a vertical layout/outline style. In this format, the list should form a complete sentence. Example: Vertical lists should:
- use a colon between the text and the beginning of the list, if the list items contain a comma;
- begin each item with a bullet point, lower case letter, or number, depending on the indentation level in the document; and
- conclude with a period.
d. Numbers, Figures & Money
Spell out numbers and, in parentheses, use numerals to express the stated amount. Numbers less than 100 should be hyphenated. Examples: Ninety-nine (99), one thousand dollars ($1,000). When referring to percentages, always spell out the word “percent.” Example: fifty-nine percent (59%).
e. Third Person Pronouns & Gender
To achieve the greatest accuracy and specificity, while also maintaining inclusivity:
- replace gender-specific pronouns with articles, for example using “the position” in place of “his position”;
- use neutral words or phrases, such as “individual” or “person”;
- define terms and repeat the proper nouns;
- rewrite sentences to eliminate pronouns completely;
- avoid use of “he or she,” “him or her,” “she/he,” and “s/he”; and
- use gender-neutral pronouns, such as “they” or “them.”
f. Citations
Citations to UCEAP, campus, and UCOP policies should include: (i) the organization abbreviation, followed by: (ii) the word “Policy;” (iii) the number or code assignation for the policy, if available; and (iv) the title of the policy. Link the entire citation to the policy online. Omit commas, quotations marks, or other punctuation from the citation. Example: UCOP Policy EC-23-0656 Developing and Maintaining Presidential Policies.
V. References & Cross-references
None.