Handbook of Operating Procedures > Series 100 Authority, Delegation, Administration > 1.1.1 Adding and Amending Policies

1.1.1 Adding and Amending Policies

A. Purpose

The purpose of this Policy is to establish the Procedures for adding or amending policies in the HOP, including obtaining input from Employee and student governance bodies that may be affected by changes in a specific Policy.

B. Persons Affected

This Policy applies to all individuals associated with or on the premises of the University, including without limitation Employees, faculty, students, visitors, volunteers, contractors, or vendors.

C. Definitions

1. HOP Committee: The committee appointed by the President to review and make recommendations regarding proposed new and amended policies to the President. The committee is comprised of the following:
   1. Provost (chair)
   2. Executive Vice President and Chief Business Officer
   3. Senior Vice President for Research
   4. Senior Vice President of Business Affairs/Chief Operating Officer, Health Affairs
   5. Senior Vice President for Student Success
   6. Senior Vice President for Human Resources
   7. Chief Financial Officer
   8. Staff Senate President
   9. Faculty Senate President
   10. Student Government Association President
   11. Chief Information Officer
   12. Employee Advisory Council Chair
   13. Faculty Senate representatives
   14. Chief Compliance Officer
   15. Chief Legal Officer (ex-officio, non-voting)
   16. Other voting, non-voting, and ex-officio members selected by the President and identified in the President’s annual committee appointment letter.
2. HOP Coordinator: An Employee designated by the President, their designee, or the Provost to be responsible for the tracking, organization, and formatting of the HOP. The HOP Coordinator will also schedule HOP Committee meetings.
3. Non-substantive change: A change that does not alter the essential principle(s), scope or application of a Policy. Non-substantive changes do NOT need to be approved by the University or the UT System. These would include edits which are not intended to change the meaning of the Policy but are necessary for correctness, accuracy, organization, consistency, and usefulness. Such edits would include formatting (margins, indents, bullets, etc.), fonts (typeface, caps, bold), punctuation, spelling, paragraph and outline numbering, pagination, hypertext links, and reference citations. The HOP Coordinator will have primary responsibility for such changes.
4. Policy Impact Statement form: An initiating document proposing a new Policy. It provides relevant background information addressing the rationale, scope, and potential impact issues (e.g., resource, operational, financial, training, etc.).
5. Stakeholder: See 1.1.0
6. Substantive change: A change that alters the essential principle(s), scope, or application of the Policy.

D. Policy

D.1. Rules for Governance

The HOP contains official rules for the governance of the University, which consists of the Policies and Procedures affecting the way the University directs, administers, and controls the University (except medical procedures or protocols). The HOP will be written such that it does not add administrative burden for compliance and that it provides the proper degree of autonomy and integration to each division. These Policies and Procedures may

1. direct compliance with applicable state and federal laws and regulations, UT System Policies, or other Policies with System-wide application;
2. address or affect the responsibility or authority of the various offices and bodies that make up the University; or
3. address the relationships between Employees and students in relation to institutional values or goals.

D.2. No Contract

The HOP does NOT constitute a contract between the University and Employees.

D.3. Conflict with Existing Regulations

The Policies constituting the HOP must NOT conflict with any state or federal law, state or federal regulation, or rule or regulation found in Regents’ Rules. Any such Procedure within a HOP Policy that conflicts with any state or federal law, state or federal regulation, or rule or regulation in Regents’ Rules is null and void and has no effect.

D.4. Individual Instructional Units

Policies, rules, and guidelines adopted by individual instructional units are not subject to the approval process described in this Policy. However, all such Policies, rules, or guidelines adopted by an individual institutional unit must be consistent with the HOP and Regents’ Rules. Any unit-level Policy found in conflict with the HOP or UT System Policies or Regents’ Rules is null and void.

E. Responsibilities

E.1. President

The President or their designee is responsible for:

1. approving new Policies;
2. approving substantive Policy amendments; and
3. overall implementation of Policies.

E.2. Coordination and Development

The President has designated the Provost, the Executive Vice President for Health Affairs, and the Senior Vice President for Student Success as the individuals responsible for coordination of Policy development, review and approval.

E.3. Division Head

The Division Head is the policy owner and is responsible for:

1. approving the submission of new Policies or amendments to existing Policies to be sent to the HOP Coordinator for review;
2. soliciting feedback from stakeholders who may be impacted by each Policy; and
3. ensuring that Policies for which they are the Division Head are reviewed within the review cycle listed in the Policy. 

E.4. HOP Committee

The HOP Committee is responsible for giving feedback and approval for proposed new Policies and Policies with substantive changes.

E.5. HOP Coordinator

The HOP Coordinator is responsible for:

1. tracking proposed and existing Policies for the HOP;
2. notifying the Division Head when Policies are due for review; 
3. calling regular meetings of the HOP Committee;
4. assigning section numbers to new Policies;
5. reviewing Policies for consistency and completeness; 
6. preparing Policies that have been approved by the HOP Committee for submission to the Chief Legal Officer and the President;
7. ensuring Policies are uploaded to the University website and notifying the University community of revisions to the HOP; and
8. ensuring the HOP is appropriately archived.

E.6. Stakeholders

Stakeholders are responsible for:

1. responding to requests for review of Policy drafts; and
2. submitting advisory input regarding Policies.

F. Procedures

F.1. Policy Impact Statement Form

To ensure that the HOP provides the proper degree of autonomy and integration, the following principles should be kept in mind when preparing a Policy Impact Statement form:

1. The Policy should help ensure compliance with applicable laws and regulations, promote operational efficiencies, enhance the mission, or reduce institutional risks.
2. The Policy should establish a governing principle that has University-wide application.
3. The Policy should communicate an important governing principle rather than specifying operational detail.
4. The Policy should promote policy and/or high-level procedures which impact multiple academic, administrative, or operating units, including students, within the University.

F.2. Development and Administration

In accordance with Regents’ Rules, Series 20201, Section 4.9, the President shall develop and administer the rules and regulations for the governance of the University and any related amendments. Such rules and regulations shall constitute the HOP for the University.  

F.3. Development and Review

The development and review process will include an opportunity for faculty, staff, and student representative groups to provide advisory input regarding proposed changes to Policies that may impact the respective groups. 

F.4. Timeline

Each Policy in the HOP shall be reviewed within the timeline scheduled in the Policy.

F.5. Sections of Policies

Each Policy in the HOP shall be placed within one of the nine (9) sections of the HOP:

1. Section 1: Authority, Delegation and Administration
2. Section 2: General Policies and Procedures  
3. Section 3: Faculty and Academic Policies 
4. Section 4: Budget, Finance and Operations  
5. Section 5: Student Success  
6. Section 6: University Advancement 
7. Section 7: Information Resources
8. Section 8: Medical Policies and Procedures
9. Section 9: Student Policies and Procedures

F.6. Subsections of Draft Policies

Each Policy in the HOP shall be drafted with the following subsections: 

1. A. Purpose. Briefly describe the rationale for the Policy explaining how it supports the strategic goals of the University or how the Policy will ensure the persons affected will be in compliance with applicable laws or regulations using the following language: The purpose of this Policy is
2. B. Persons affected. 
   1. Identify all groups or individuals the Policy will cover, e.g., students, faculty, visitors, etc.
   2. If a Policy is meant to apply universally, the following language should be used: This Policy applies to all persons associated with or on the premises of the University, including without limitation Employees, faculty, students, visitors, volunteers, contractors, or vendors. 
3. C. Definitions. 
   1. Define key, unfamiliar or technical terms, acronyms, or initials used within the Policy to ensure that all readers of the Policy interpret its meaning using the same criteria.
   2. If there are no applicable definitions enter Not applicable.
   3. Definitions which apply to the entire HOP as well the new or amended Policy should have the following language after the term to be defined: See 1.1.0
4. D. Policy. 
   1. Provide a clear statement of the rule(s) or requirement(s) the Policy seeks to implement.
   2. Include instructions for reporting and resolving noncompliance with the Policy (when appropriate).
5. E. Responsibilities. Identify the responsibilities for implementation of the Policy with the following language: (Name of office or title of official here) is responsible for the administration of this Policy. (Name of office or title of official here) is responsible for the implementation of this Policy. NOTE: The same designation may be made for both responsibilities.
6. F. Procedures.
   1. Provide a guide of all actions required for implementation of or compliance with the Policy. These should be clear and concise.
   2. There may be subsection headings under this subsection (e.g. F.1, F.2). These shall be formatted in the same way as the subsection it is under (e.g. same font size and bolding).
7. G. Reference Documents. Include hyperlinks to any UT System Policies, University Policies, Regents’ Rules, relevant federal and state statutes, or other resources.
8. H. Review Responsibilities and Dates.
   1. Assign the Division Head and on what dates the Policy should be reviewed using the following language: The Division Head for this Policy is the (title of official here), and this Policy shall be reviewed every (number here) years or sooner, if necessary, by the Division Head or their designee.
   2. List each date the Policy is established, reviewed, or amended, and the next scheduled review date.
   3. The HOP Coordinator will list the official established date and the dates of review or amendment when the Policy is published.

F.7. Phase One: Preparing a Policy

Policy Impact Statement.

1. 1. A Division Head proposing a new Policy will draft and submit a Policy Impact Statement.
   2. A Policy Impact Statement is NOT required for amending existing Policies.
2. Notice to submit. At an early point in the drafting stage, the Division Head will notify the HOP Coordinator of their intention to submit a new Policy.

F.8. Phase Two: Submission for Review

1. First review.
   1. New Policy.
      1. The Division Head will submit the Policy Impact Statement form to the HOP Coordinator.
      2. The HOP Coordinator will review the Policy Impact Statement form for accuracy and completeness and will return it to the Division Head.
      3. The Division Head will draft Policy language for approved new Policies based on the completed Policy Impact Statement form.
      4. The HOP Coordinator or the Chief Legal Officer may provide research assistance, if needed.
   2. Amended Policy.
      1. The Division Head will submit a marked-up copy of the Policy that is being amended that clearly shows proposed changes to the Policy.
      2. The HOP Coordinator will forward this copy of the Policy to the Office of Legal Affairs for identification of substantive and non-substantive Policy changes.
   3. Non-substantive changes.
      1. Proposed changes to a HOP Policy that are non-substantive do NOT require further HOP Committee review.
      2. The President may delegate the authority to approve non-substantive changes to the Office of Legal Affairs.
      3. The HOP Coordinator will thereafter publish these changes.
   4. Substantive changes. Substantive changes must follow the steps in the Policy review process, starting with step F.8.3.
   5. Medical Policies. Section 8: Medical policies and procedures are only applicable to the University’s Clinical Operations and do not affect the non-clinical operations of the University. Section 8: Medical Policies and Procedures do NOT require HOP Committee review and may be approved by the Chief Legal Officer and the EVP for Health Affairs.
   6. Student Policies. Section 9: Student Policies and Procedures that are only applicable to students do NOT require HOP Committee review. Section 9: Student Policies and Procedures and may be approved by the Chief Legal Officer and the Senior Vice President for Student Success.
2. New or amended Policies.
   1. The HOP Coordinator will distribute the proposed Policy to the HOP Committee members and place its review on the agenda for the next HOP Committee meeting.
   2. The HOP Committee will make recommendations, and these will go to the Division Head of the Policy.
3. Division Head review.
   1. The Division Head will review advisory input generated from the HOP Committee and will address recommended changes to the proposed Policy.
   2. Should a conflict arise over suggested changes, the HOP Committee will convene a meeting to discuss and resolve any conflicts.
4. Approval.
   1. The HOP Committee will decide whether to approve the proposed new or amended HOP Policy.
   2. Once approved by a simple majority of the HOP Committee members, the HOP Coordinator will send the proposed or amended Policy to the Chief Legal Officer for review.

F.9. Phase Three: Legal Review

1. Review. The Chief Legal Officer will have thirty (30) calendar days from receiving the proposed Policy from the HOP Coordinator to review and provide input, in accordance with the posted guidelines.
2. System referral. The Chief Legal Officer has the discretion to refer any proposed HOP Policy or amendments to the Vice Chancellor and General Counsel of the UT System (or their designee) for review and approval. Policies that go to the UT System for legal review are exempted from the 30-day timeline required under Section F.9.1.
3. Legal advice. Recommendations and comments from University or UT System attorneys, including the Chief Legal Officer, constitute legal advice provided to University administration. As such, these recommendations and comments must be treated as privileged and confidential attorney-client communications.
4. Review by the Division Head. On or before the expiration of the 30-day legal review period, the Division Head will review the legal advisory input and incorporate proposed changes. 
5. Additional review by the Chief Legal Officer. The Chief Legal Officer may determine that the proposed Policy has undergone a substantive change (i.e., a fundamental alteration in its nature or scope) over the course of the legal review period. If that determination is made, the Chief Legal Officer has discretion to return the Policy to the Division Head. The Division Head will review and address any additional input and resubmit the Policy to the Chief Legal Officer.
6. Final approval. Once the Division Head and the Office of Legal Affairs are in agreement with the final version of the HOP Policy, the Office of Legal Affairs will submit the Policy to the President for final approval, including the Policy Impact Statement form and any additional background and rationale for the proposed Policy. 

F.10. Phase Four: Final Approval and Publication

1. Review by the President.
   1. The President will review the new or amended Policy, the Policy Impact Statement form (if applicable), and any accompanying explanatory materials, and will decide whether to approve the Policy.
   2. If it is NOT approved, the Policy shall be returned to the Chief Legal Officer for further revision, if applicable.
2. Inclusion in the HOP. Upon the President’s final approval, the HOP Coordinator will place the new or amended Policy in the HOP and post the amended Policy online.
3. Notification of the University. The HOP Coordinator will be responsible for the notification of the University community regarding new or amended HOP Policies.
4. Review of policies. All HOP Policies will be subject to a periodic review which will be conducted pursuant to a schedule established by the Division Head, with the input of the HOP Committee members, if requested.

G. Reference Sources and Authority

Regents’ Rules, Series 20201, Section 4.9 

UTS Policies

H. Review Responsibilities and Dates

The Division Head for this Policy is the Chief Compliance Officer and this Policy shall be reviewed every three (3) years or sooner, if necessary.