Policy on University Policy Development
Responsible Department:Legal Services
Responsible Administrator:General Counsel
Effective Date:September 2008
Date of Scheduled Review:September 2012
To provide a standardized process for the development, approval, implementation and management of University Policies in an effort to ensure that all University Policies are consistent with the mission of the university, comply with any applicable laws and regulations, and reflect the best practices of the related field.
This policy applies to all faculty and staff intending to develop or modify University Policies and does not apply to the development or modification of Board of Trustee Policies, Departmental Policies, or Procedures.
A. “University Policies” - policies that have a broad application throughout the university community (generally pertaining to more than one division or department) and that help ensure compliance with applicable laws and regulations, promote operational efficiencies, enhance the university’s mission, or reduce institutional risk. Ultimately, the Executive Policy Approval Committee will determine whether a policy rises to the level of a University Policy. For the purposes of this policy, University Policies will be divided into the following three classifications: (1) Academic Policies; (2) Administrative Policies; and (3) Student Life Policies.
B. “Board of Trustee Policies” – policies that apply solely to the University’s Board of Trustees or are established by the Board of Trustees.
C. “Departmental Policies” – policies that do not have the broad scope or significant impact of University Policies, but instead apply to only a single division or department.
D. “Procedure” – an established protocol that is intended to implement a University or Departmental Policy. Procedures may be added and revised by the Responsible Department (as defined below) without conforming to this policy.
E. “Executive Policy Approval Committee” (EPAC) - a committee comprised of six permanent members: the University’s General Counsel, who will chair the committee; the Executive Vice President (or designee); the Provost (or designee); the Vice President of Student Life (or designee); and the Chairs of the Faculty and Staff Senates.
The Chair of EPAC may select and recruit additional EPAC members whosedepartments or offices are likely to be impacted by a new or revised policy. These additional members will vary depending on the type of University Policy under consideration.
F. “Responsible Administrator” – the Dean, Director or Vice President of the Responsible Department (as defined below).
G. “Responsible Department” – The department, division or office responsible for the maintenance and review of a University Policy.
III. THE POLICY DEVELOPMENT PROCESS
The following phases set out the required steps any faculty or staff member (hereinafter“ the employee”) must follow to create or revise University Policies.
Step 1: Identification and Proposal: An employee identifies the need for a new University Policy or a substantial revision to an existing University Policy, completes the Policy Proposal Form and submits it to his or her supervisor.
Step 2: Initial Review: After reviewing the completed Policy Proposal Form, the supervisor approves or denies the proposal. In making this decision, the supervisor should consult with his or her Dean, Director, or Vice President, as applicable. If there is any question regarding whether the proposed policy rises to the level of a University Policy, the supervisor may elect to contact the Chair of EPAC for a determination on the matter. If the supervisor denies the proposal, the employee can appeal that decision to EPAC by contacting the EPAC Chair.
Step 3: Drafting: If the Policy Proposal is approved, the employee drafts the new or revised policy using the Policy Template and submits the draft along with a Policy Submission Cover Sheet, and the Policy Proposal Form to the Chair of EPAC, who distributes the materials to the appropriate members of EPAC.
Step 4: EPAC Review: After reviewing these documents and discussing the proposed policy with their respective constituency groups, EPAC members provide written feedback to the Chair. The Chair will allow sufficient time for EPAC members to meet with constituency groups, taking into consideration the meeting schedules of such groups. During its review of the policy, any member of EPAC may call a meeting to discuss the proposed policy. After receiving feedback, the employee makes any and all requested changes and resubmits the revised policy to the EPAC Chair, EPAC provides written approval or disapproval of the final policy within a reasonable amount of time.
Step 5: Additional Review: Prior to implementation, EPAC will determine whether the final draft should be reviewed and/or approved by the President’s Council, a Committee of the Board of Trustees, or the entire Board of Trustees. If such review and/or approval is deemed necessary, the EPAC Chair will designate an EPAC member or another appropriate representative to present the approved draft to one or all of those groups.
Step 6: Implementation and Notification: Once the policy is approved, EPAC will publish/communicate the new policy through university email and posting on the University Policy Website. EPAC will also designate a Responsible Department and Responsible Administrator. In most cases, the employee’s department, division or office will be designated as the Responsible Department, and the applicable Dean, Director or Vice President will be designated as the Responsible Administrator. Any additional education and training will be provided or coordinated by the Responsible Department.
Step 7: Record Retention: Following approval, the Responsible Department willkeep the records created during the Policy Development Process for four(4) years.
Step 8: Maintenance and Review: The Responsible Department will maintain,review and update the policies it sponsors. At a minimum, each Responsible Department must review each of its University Policies within four (4) years of the date the policy goes into effective or the date the Responsible Department last reviewed the policy. In its heading, the policy will state the month and year it is scheduled to be reviewed. At least sixty (60) days before the next scheduled review date, the Chair of EPAC will notify the Responsible Department that it must review the policy in question, and (a) if the policy requires no substantial revision, notify the Chair of the EPAC in writing that the policy has been reviewed and remains in effect; or (b) if the policy requires substantial revisions, including deletion, initiate this Policy Development Process.
Any employee that does not comply with this policy may face corrective action. Any University Policies that do not conform to this policy are not official University Policies, except those University Policies that predate this policy. Those policies will remain official University Policies, but must be reviewed in compliance with this policy within four (4) years from the date this policy is enacted.
VI. FORMS AND TEMPLATES