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1.1.1 Adding and Amending Policies

A. Purpose

Pursuant to Regents’ Rule 20201, Sec. 4.9, the president of each UT System institution must develop and administer the rules and regulations for the  governance of the institution and any related amendments. Such rules and regulations constitute the Handbook of Operating Procedures (HOP) for the University. The purpose of this Policy is to establish guidelines 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. Division Head: Policy owner who is responsible for:
    1. writing, submitting, amending and/or reviewing Policies;
    2. soliciting feedback from stakeholders who may be impacted by each Policy; andring that Policies for which they are the Division Head are reviewed within the review cycle.
  2. HOP: Handbook of Operating Procedures
  3. HOP Committee: The committee, appointed by the President, which reviews and makes recommendations regarding proposed new and amended Policies to the President.
  4. HOP Coordinator: An Employee designated by the President, their designee, or the Provost to be responsible for tracking, organizing, and formatting the HOP.
  5. Non-substantive change:
    1. A change that does not change the essential principle(s), scope, or application of a Policy.
    2. These edits are not intended to change the meaning of the Policy but are necessary for correctness, accuracy, organization, consistency, and usefulness. Such edits would include series and Policy numbering, formatting (e.g., margins, indents, bullets), fonts (e.g., typeface, caps, bold), punctuation, spelling, paragraph and outline numbering, pagination, hyperlinks, and reference citations.
    3. Non-substantive changes do NOT need to be approved by the University or the UT System.
    4. The HOP Coordinator will have primary responsibility for such changes.
  6. Policy: Encompasses both the policy statement and the procedures to implement the policy. There will be NO differentiation between policy and procedure in this document.
  7. Stakeholder: See HOP 1.05: Definitions of Terms
  8. Substantive change: A change that alters the essential principle(s), scope, or application of the Policy.

D. Policy

D.1. Purpose of the HOP

  1. Contents. The HOP contains official rules for the governance of the University, which consists of the Policies affecting the way the University directs, administers, or controls the University (but does not include medical procedures or protocols). 
  2. Utility. 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.
  3. Areas addressed. Policies may address any of the following areas:
    1. Compliance. Direct compliance with applicable state and federal laws and regulations, UT System policies, or other policies with System-wide application.
    2. Authority. Address or affect the responsibility or authority of the various offices and bodies that make up the University.
    3. Employee/student relationships. Address the relationships between Employees and students in relation to University values or goals.

 

D.2. General Information

  1. Development and administration.
    1. The President shall develop and administer the rules and regulations (herein known as Policies) for the governance of the University and any related amendments. Such Policies shall constitute the HOP for the University.
    2. The President or their designee is responsible for:
      1. approving new Policies;
      2. approving substantive Policy amendments; and
      3. overall implementation of Policies.
  2. No contract. The HOP does NOT constitute a contract between the University and Employees.
  3. No 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 the UT System policies or 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 UT System policies or Regents’ Rules is null and void and has no effect.
  4. Individual instructional units.
    1. No approval needed. Policies, rules, and guidelines adopted by individual instructional units are NOT subject to the approval process described in this Policy.
    2. No conflict. All such policies, rules, or guidelines adopted by an individual institutional unit must be consistent with the HOP, UT System policies, and Regents’ Rules. Any unit-level policy found in conflict with the HOP, UT System policies, or Regents’ Rules is null and void.
  5. 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.
  6. HOP Committee.
    1. Responsibilities. The HOP Committee is responsible for reviewing and making recommendations regarding proposed new and amended policies to the President as well as updating the HOP at least once a year or more frequently, as needed, to ensure adherence to all applicable UT System, state, and federal rules and regulations.
    2. Members. The committee is comprised of the following members:
      1. Provost & EVP Academic Affairs (co-chair)
      2. Vice Provost and EVP Health Affairs (co-chair)
      3. Executive Vice President and Chief Business Officer
      4. Senior Vice President for Research
      5. Senior Vice President of Business Affairs/Chief Operating Officer, Health Affairs
      6. Senior Vice President for Student Success
      7. Senior Vice President for Human Resources
      8. Chief Financial Officer
      9. Chief of Staff
      10. Staff Senate President
      11. Faculty Senate President
      12. Student Government Association President
      13. Chief Information Officer
      14. Faculty representatives from each Academic College and School
      15. Chief Compliance Officer
      16. Chief Legal Officer (ex-officio, non-voting)
      17. Other members selected by the President and identified in the President’s annual committee appointment letter.
  7. Division Head. The Division Head assigned to the Policy is responsible for writing, amending, submitting, and/or reviewing the Policy.
  8. HOP Coordinator. The HOP Coordinator is responsible for all the following:
    1. tracking proposed and existing Policies for the HOP;
    2. notifying the Division Heads when Policies are due for review;
    3. informing the HOP Committee chair or their designee of the need to schedule a HOP Committee meeting;
    4. distributing new and amended Policies to HOP Committee members for review and comment;
    5. assigning Policy numbers to new Policies;
    6. reviewing Policies for consistency and completeness;
    7. preparing Policies that have been approved by the HOP Committee for submission to the Chief Legal Officer and the President;
    8. notification of revisions to the HOP to the University community;
    9. ensuring Policies are uploaded to the University website;
    10. ensuring the HOP is appropriately archived;
    11. maintaining a database of all Policy review dates and schedules; and
    12. notifying the appropriate Division Head no fewer than three (3) months prior to the next Policy review date.
  9. Stakeholders. Stakeholders are responsible for:
    1. responding to requests for review of Policy drafts; and
    2. submitting advisory input regarding Policies.
  10. Development process. The development process will include an opportunity for faculty, staff, and student governance bodies to provide advisory input regarding proposed new or amended Policies that may impact the respective groups. 

D.3. Initial Review

  1. Submission for review. Division Heads will ensure that all proposed new or amended Policies are submitted to the HOP Coordinator no later than four (4) weeks prior to the next scheduled HOP Committee meeting.
  2. Distribution for review. The HOP Coordinator will email new and amended Policies to the HOP Committee members three (3) weeks prior to the next HOP Committee meeting.
  3. Review completion. HOP Committee members and Stakeholders (as appropriate) will complete an initial review before the next HOP Committee meeting.

D.4. Policy Numbering

1.    Series. Each Policy shall be placed within one of the 10 series of the HOP:

Series 1: Administration and Governance

Series 2: Safety and Transportation 

Series 3: Academics and Faculty

Series 4: Advancement 

Series 5: Operations 

Series 6: Human Resources

Series 7: Student Success

Series 8: Research

Series 9: Information Resources

Series 10: Medical

2.    Policy numbers. The HOP Coordinator will assign a Policy number to each new Policy within the appropriate series.

 

D.5. Sections of Draft Policies

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

  1. A. Purpose.
    1. Provide a clear statement of the rule(s) or law(s) the Policy seeks to implement (if applicable) and the reference itself with a hyperlink.
    2. Briefly describe the purpose of the Policy and 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.
  2. B. Persons Affected. Identify all groups or individuals the Policy will cover (e.g., students, faculty, visitors).
  3. C. Definitions. 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. If there are no applicable definitions enter Not applicable.
  4. D. Policy.
    1. Provide a clear statement of the rule(s) or law(s) the Policy seeks to implement.
    2. Provide a guide of all actions required for implementation of or compliance with the Policy. These should be clear and concise.
    3. There may be subsections (e.g., D.1, D.2) and these shall be formatted in the same way.
  5. E. Reference Sources and Authority. Include hyperlinks to any UT System policies, University Policies, Regents’ Rules, relevant federal and state statutes, or other resources.
  6. F. Review Responsibilities and Dates.
    1. Name the Division Head and on what intervals the Policy should be reviewed.
    2. The HOP Coordinator will list the official approval, amended or reviewed date for each Policy. NOTE: Non-substantive changes will NOT change the amended date.

D.6. Process for New and Amended Policies

  1. New Policies
    1. Submission. The Division Head will submit the Policy draft to the HOP Coordinator via email.
    2. Writing assistance. The HOP Coordinator or the Chief Legal Officer may provide research and writing assistance, if requested.
    3. Legal review. The HOP Coordinator will forward the Policy to the Chief Legal Officer for review.
  2. Amended Policies.
    1. Changes tracked. The Division Head will submit a copy of the Policy that is being amended with changes tracked to the HOP Coordinator.
    2. Review. The HOP Coordinator will do an initial review to determine whether the changes place the amendment in a “substantive” or “non-substantive” classification.
    3. Classification. If there is any doubt about the classification, the HOP Coordinator will forward this copy of the Policy to the Chief Legal Officer for classification of the type of Policy changes.
    4. Non-substantive changes.
      1. Proposed changes to a Policy that are non-substantive (as defined in Subsection C.5) do NOT require HOP Committee review, review by the Office of Legal Affairs, or approval by the President.
      2. The HOP Coordinator may thereafter publish these changes.
      3. These changes will NOT warrant an “AMENDED” notation.

D.7. HOP Committee Review 

  1. Standard review. Typical proposed new and amended Policies will follow the following steps:
    1. Distribution. The HOP Coordinator will:
      1. email the proposed new or amended Policy to the HOP Committee members; and
      2. will place its review on the agenda for the next HOP Committee meeting.
    2. Changes tracked. An amended Policy will be emailed to the members with changes tracked.
    3. Prior review. All HOP Committee members will review each proposed Policy prior to the next meeting; discussion of each Policy in the meeting will assume that each member is familiar with them.
    4. Committee recommendations. The HOP Committee will discuss each proposed Policy on the agenda, and recommendations for changes may be made by members.
    5. Approval. If there are no recommendations for substantive changes, a simple majority of “yes” votes will be considered sufficient for approval, and the HOP Coordinator will follow the procedures set forth in Subsection D.11.
  2. Expedited review. Proposed new or amended Policies which require adoption and implementation that would fall outside the standard review timeline may necessitate an expedited review.
    1. Submission. The Division Head shall inform the HOP Coordinator of the necessity for an expedited review.
    2. Distribution. The HOP Coordinator shall distribute the Policy by email to the HOP Committee members for review and recommendations with a notification that this is an expedited review.
    3. Due date. The email shall specify the date on which the votes and comments are due, typically within two (2) weeks.
    4. Record of votes. The HOP Coordinator will keep a spreadsheet with a record of how each committee member voted on each expedited proposed new or amended Policy (“yes,” “no,” or “no vote”).
    5. Approval. If there are no recommendations for substantive changes, a simple majority of “yes” votes will be considered sufficient for approval, and the HOP Coordinator will follow the procedures set forth in Subsection D.10.

D.8. Division Head Review

  1. Input assessed. The Division Head will review and address recommended changes to the proposed new or amended Policy.
  2. Disagreement. Should a disagreement arise over suggested changes, the HOP Committee will convene a meeting or submit comments by email to discuss and resolve any conflicts.
  3. Submission. The Division Head will submit the final version of the Policy to the HOP Coordinator.

D.9. Alternate Review Process

  1. Student Policies. Series 7: Student Success Policies that are only applicable to students do NOT require HOP Committee review and may be approved by the Chief Legal Officer and the Senior Vice President for Student Success.
  2. Medical Policies. Series 10: Medical Policies that are only applicable to the clinical operations of the UT Tyler Health Science Center and do not affect the operations of the University’s Main campus do NOT require HOP Committee review and may be approved by the Chief Legal Officer and the EVP for Health Affairs.

D.10. Legal Review

  1. Submission. The HOP Coordinator will submit the final version of the proposed new or amended Policy to the Chief Legal Officer.
  2. Time frame. The Chief Legal Officer will have thirty (30) calendar days from receiving the proposed new or amended Policy from the HOP Coordinator to review and provide input.
  3. Expedited reviews. The HOP Coordinator will inform the Chief Legal Officer if a Policy has been requested for an expedited review. The Chief Legal Officer will then prioritize and fast-track the review of the Policy.
  4. Referral to the UT System. The Chief Legal Officer has the discretion to refer any proposed new or amended HOP Policy or amendments to the Vice Chancellor and General Counsel of the UT System (or their designee) for review and approval. NOTE: Proposed new or amended Policies that go to the UT System for legal review are exempt from the 30-day time frame.
  5. Confidential. 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.
  6. Determination of fundamental change. The Chief Legal Officer may determine that the proposed new or amended Policy has undergone a fundamental change over the course of the legal review period. If that determination is made, the Chief Legal Officer will 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. 

D.11. Division Head Review (if applicable)

  1. Time frame. 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.
  2. Return to CLO. The revised Policy will be returned to the Chief Legal Officer for a final review.
  3. Final draft. The final draft of the Policy will be returned to the HOP Coordinator by either the Chief Legal Officer or the Division Head.

D.12. Final Approval

  1. Final draft.
    1. Submission. Once the Division Head and the Chief Legal Officer are in agreement with the final draft of the Policy, the HOP Coordinator will submit the proposed new or amended Policy to the President for final approval.
    2. Changes tracked. An amended Policy will be emailed to the President with changes tracked.
  2. Review by the President.
    1. Review. The President will review the proposed new or amended Policy and will decide whether to approve the Policy.
    2. Not approved. If it is NOT approved, the HOP Coordinator will be notified and the Policy shall be returned to the Chief Legal Officer for further revision, if applicable.
    3. Approved. If the Policy is approved, the HOP Coordinator will be notified.

D.13. Publication

Upon the President’s final approval, the HOP Coordinator will place the new or amended Policy on the HOP webpage and will notify the University community of the new or amended policy.

D.14. Periodic Review

  1. Review intervals. All Policies will be subject to a periodic review which will be conducted at intervals of no more than three (3) years.
  2. Deadlines. The HOP Coordinator will be responsible for tracking the review deadlines.
  3. Notification. The HOP Coordinator will notify each Division Head no fewer than three (3) months before the designated review deadline.

E. Reference Documents and Authority

F. 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, by the Division Head or their designee.

AMENDED: 04/13/2011
REVIEWED: AY 2014-15
AMENDED: 04/2019

AMENDED: 05/2020

AMENDED: 05/2021

REVIEWED: 10/2022

AMENDED: 09/2023

AMENDED: 05/16/2024