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PPM 1-20, Policy Governance |
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Responsible Office: Policy Office |
1.0 PURPOSE
This policy describes the process, structure, and requirements for policy creation, revision, and deletion, in an effort to provide clarity, efficiency, continuity, transparency, and coordination of policies. Policy-making should be guided by the values of communication, mutual trust, and respect for all University constituents, in accordance with principles of shared governance and in compliance with state law and Utah Board of Higher Education policy.
2.0 REFERENCES
2.1 PPM 1-13, Faculty Senate Constitution and Bylaws
2.2 PPM 6-22, Student Code
3.0 DEFINITIONS
3.1 Responsible Office
The position or office designated as the contact official for a policy, to serve as a resource to provide information regarding the background, purpose, and requirements of the policy. The employee or office is responsible for maintaining the policy for accuracy and relevance. The responsible office will typically be a position or office reporting to the President or a Vice President, but may be any other position or office to whom the President or a Vice President has delegated such authority for a specified area of University operations. Each policy created or revised after the implementation of this policy shall be assigned a responsible office, approved by the President. Notation of the responsible office shall be included in the PPM.
3.2 Policy Office - The office responsible for obligations identified in this policy or other duties as assigned by the President.
3.3 Policy Proposal - A recommendation to create, revise, or delete a policy in the PPM.
3.4 Policy Sponsor - The President or Vice Presidents. A Policy Sponsor may designate another individual to assume responsibilities only in their absence or as permitted herein.
3.5 Policies and Procedures Manual (“PPM”) - The compilation of all University level policies in one location made available to the public.
3.6 Substantive revision - Changes to policies that alter the intent, scope, meaning, or applicability of a University policy.
3.7 Supplementary documents - Appendices, schedules, or other procedural documents.
3.8 University Entities - Faculty Senate, Staff Advisory Council, and the student government.
4.0 POLICY
4.1 General
4.1.1 All University policies and procedures are subordinate to State of Utah statutes and the Utah Board of Higher Education policies. They are created under the authority of the Board of Trustees and the President. The most current policies, once approved by the President and Board of Trustees, as appropriate, supersede all previous or currently published versions University policies and procedures, and take precedence over any executive memoranda, rules, or procedures not adopted in the PPM. All policies in the PPM are binding on University employees, students, and persons visiting or using University facilities or resources.
4.1.2 The Policy Office will do the following:
- Compile and maintain all University policies in the PPM, which shall be made publicly available;
- Maintain an archive of University policy revisions;
- Facilitate compliance with this policy, including tracking of review and approval requirements outlined in this policy, creating checklists, templates, or forms that may be required to be used, and working to make the policy process accessible; and
- Review all policies prior to approval by the President in order to make recommendations regarding consistency with other policies, conformance with formatting and style standards of the University, or other pertinent recommendations.
4.2 Policy Sponsor Stage
4.2.1 Any University faculty, staff, or student may make recommendations regarding University policies to a policy sponsor.
4.2.2 If the policy sponsor supports the recommendation, the policy sponsor must submit notice to the policy office, on forms created by that office, so that the Policy Office may facilitate tracking of policy creation and review, provide templates, and otherwise assist in coordination efforts. The policy sponsor is responsible for identifying and engaging interested stakeholders who should provide input or take part in the drafting of the policy proposal. In instances where the policy sponsor seeks input from one of the University entities, the policy sponsor should consult with the executive body of the respective University entity regarding selection of a representative member.
4.2.3 Once a policy sponsor deems the policy proposal ready to move forward, the policy sponsor, or designee, must present the policy proposal to the University entities as identified in section 4.3, as applicable.
4.2.4 All new policies or revisions must be presented in the format created and made available by the Policy Office prior to being sent to the President for approval.
4.2.5 For all new policies, or policies without a currently assigned Responsible Office, the policy proposal must include a recommended for a responsible office.
4.2.6 Policy proposals must contain the policy in its entirety. Policy proposals should be clear in terms of the changes that are proposed. Policy proposals must include strikethrough for deletion of existing language and underline of additions. Policy proposals should include supporting documentation to aid individuals and entities reviewing the policy proposal.
4.2.7 The policy sponsor, or designee, should be prepared to discuss the background of, justification for, and likely impact of the policy proposal.
4.2.8 Prior to being submitted for the approval of the President or the Board of Trustees, University Legal Counsel shall review all policy proposals for legal concerns. University Legal Counsel may be consulted at any time in the process.
4.3 University Entity Review Stage
4.3.1 General. Except as outlined in sections 4.7 (Expedited Review) and 4.8 (Interim Emergency Approval Process), policy proposals must go through the review process described in this section 4.3 prior to presenting it to the President for approval. The policy sponsor or the President may add additional internal approval authorities other than those required in this section 4.3. Policy sponsors may recommend additional approval authorities. The President may require policy proposals be sent to any additional review committees or entities as information items.
4.3.2 Faculty Review
4.3.2.1 Faculty Senate's role in policy development and modification is described in PPM 1-13. Policy sponsors may recommend policy proposals that effect policies in those areas, which must go through the process described in section 4.3.2.2.
4.3.2.2 If Faculty Senate reviews or recommends a policy proposal to Faculty Senate that impacts other University entities under sections 4.3.3 (Staff Advisory Council Review) or 4.3.4 (Student Review), the policy proposal must also be shared at the same time with those University entities for review under those sections, as well as review under section 4.3.5.2 (General Review).
4.3.2.3 When policy proposals are presented for Faculty Senate review (either from Faculty Senate committees or externally proposed policies), the University entity notice and general review notice shall begin as of the next Executive Committee meeting and be available through the next Faculty Senate meeting.
4.3.2.4 Action by Faculty Senate may be to support the policy proposal, provide conditional support subject to specific amendments, or not support the policy proposal with a description of the reasons. In the event a policy proposal is not supported by the Faculty Senate, the lack of support and reasons therefore must be reported to the President and the Board of Trustees as they consider final approval. Failure of Faculty Senate to take an action within the timeframe will be deemed an approval of the policy proposal. A policy sponsor may withdraw a policy proposal at any time.
4.3.3 Staff Review. The policy sponsor (or designee) must share all policy proposals affecting policies in section 3 of the PPM for the information of the Staff Advisory Council, which body may make recommendations to the policy sponsor regarding any such policy within the earlier of the next Staff Advisory Council meeting or three weeks' reciept of the policy proposal. Staff Advisory Council may request the policy sponsor attend a meeting to discuss the policy proposal if notification is given at least one week before the meeting. Policy proposals that also impact other University entities under section 4.3.2 (Faculty Senate Review) or 4.3.4 (Student Review), must also be shared a the same time with those University entities for review under those sections, as well as for review under section 4.3.5.2 (General Review).
4.3.4 Student Review. Proposed amendments to PPM 6-22, Student Code must be provided to the student body organization, who may provide any feedback within the earlier of their next meeting or three weeks' receipt of the proposal. Proposed amendments must also be shared with other University entities under section 4.3.2 (Faculty Senate Review) or 4.3.3 (Staff Advisory Council Review), as well as review under section 4.3.5.2 (General Review).
4.3.5 General Review
4.3.5.1 The policy sponsor must provide the President all written feedback given by the University entities.
4.3.5.2 All policy proposals must be made accessible for faculty, staff, and students (or external stakeholders at the request of the President) to review and comment for a period of at least seven calendar days before the policy proposal may be approved by the President. The Policy Office will facilitate a method by which those individuals can submit comments regarding the policy proposal to the University during that time. The President must review all feedback provided prior to approving a policy.
4.4 President Approval Process
4.4.1 After a policy proposal has gone through an appropriate approval process described herein, the policy sponsor must present the policy proposal to the President. The President must review the policy proposal, taking into consideration factors such as content, need, conflict with existing policies, and any comments submitted. The President should consult with the Vice Presidents, the Chair of the Faculty Senate, and the Chair of the Staff Advisory Council, and may consult with others for advice or recommendations regarding approval of policy proposals. After reviewing the policy pProposal, the President may:
- Approve the policy proposal for recommendation to the Board of Trustees, as appropriate;
- Make revisions to the policy proposal prior to approving a policy for recommendation to the Board of Trustees; the Board of Trustees must be notified of any substantive revisions made to a policy proposal after it has gone through the approval process identified in section 4.3, as applicable;
- Remand the policy proposal to the policy sponsor and to an appropriate stage of the approval process with recommendations for further review or development; or
- Dismiss the policy proposal, with reasons identified for dismissal. The Policy Office shall notify the policy sponsor and relevant University entities.
4.4.2 Where a new policy has non-substantive or natural implications necessitating revision of other policies, the Policy Office may make those revisions without going through a review process described herein.
4.4.3 A record of all decisions regarding policy proposals shall be kept by the Policy Office.
4.5 Board of Trustees Approval Process
4.5.1 Policy proposals approved by the President and that must be approved by the Board of Trustees should normally be submitted for no later than at their next regularly scheduled meeting. The Board of Trustees must approve or disapprove of policy proposals.
4.5.2 If the Board of Trustees disapproves a policy proposal that would likely be approved with non-substantive revisions, the President, or designee, may make the non-substantive revisions and request approval of the revised policy by the Board of Trustees.
4.5.3 If the Board of Trustees disapproves a policy proposal that would likely be approved with substantive revisions, the Board of Trustees may provide such advice and counsel to the President, who may direct further reivew through any applicable review process.
4.5.4 The actions of the Board of Trustees will be recorded in the minutes of the meetings of that body.
4.6 Post Approval Process
4.6.1 New policies and revisions to policies go into effect immediately upon approval by highest entity required for approval unless another enactment date is otherwise expressly approved.
4.6.2 Once a policy proposal has been approved, the Policy Office shall notify faculty, staff, and students in a timely fashion of any changes to policy. Notification may take place by posting to a designated University webpage or another webpage where public notices are generally given.
4.6.3 The Policy Office shall update policies in the PPM, which shall be posted online, and keep a record of all past policies in an archive that will be made available to the public upon request. If required by the Utah Board of Higher Education, a copy of the new or revised policy shall be sent to the Utah Board of Higher Education.
4.7 Expedited Review
4.7.1 The expedited review process is appropriate for policy proposals which do not contain substantive revisions of existing University policies.
4.7.2 Expedited policy proposals must follow the process outlined in sections 4.4 and 4.5. The President may add additional approval authorities, as deemed appropriate. Vice Presidents may recommend additional approval authorities. The President may require policy proposals be sent to review committees or entities as information items.
4.7.3 Notwithstanding anything herein, the Policy Office is authorized to make corrections, e.g. fix typos or incorrect references, revise formatting, rectify oversights, or make similar editorial revisions at any time without further approval.
4.8 Interim Emergency Approval Process
4.8.1 The interim emergency approval process is reserved for circumstances under which the President deems the policy proposal to be crucial and must be processed in a shorter time period than is possible through the regular review process. Policy proposals related to tenure and rank and PPM 1-13 should not be processed in the interim emergency approval process, unless the President determines there is a necessary legal requirement to do so.
4.8.2 Interim emergency Policy Proposals need not go through the regular review processes described in Sections 4.3, 4.4, or 4.5. However, the Vice Presidents, the Chair of the Faculty Senate, and the Chair of the Staff Advisory Council must have at least five calendar days to review the policy and provide feedback to the President prior to the President approving a temporary emergency policy proposal, unless not practicable for legal reasons. All feedback or concerns must be recorded and made available upon request by any interested party. Interim emergency policies go into effect immediately, but the Board of Trustees must have an opportunity to review the policy at the next regular Board of Trustees meeting for policies that require their review. The regular review process should be engaged at the next reasonable opportunity.
4.8.3 Interim emergency policies remain in effect for a specified period of time not to exceed one year and cannot be renewed without going through the regular review process. Such policies shall clearly be identified as interim policies with an expiration date posted on the policy. If a policy is suspended under the interim emergency policy process, the policy shall continue to be included in the PPM but identified as suspended with an expiration date for the suspension.
4.9 Miscellaneous
4.9.1 Policies may include reference to, or have attached to them, supplementary documents. Supplementary documents must be consistent with the letter and intent of the policy. Changes to supplementary documents do not need to go through the formal policy approval process unless required by language in the policy. Supplementary documents must be approved by the Vice President with authority over the area, subject to review and revision by the President.
4.9.2 Academic and administrative units may promulgate procedures to implement University policies as well as school or unit-level rules or procedures, provided these rules or procedures are consistent with the letter and intent of the policy.
4.9.3 Individual exceptions to policies may be made on a case-by-case basis with the approval of the President in consultation with the Vice President with authority over the area and University Legal Counsel.
4.9.4 Policy reviews may continue through semester breaks, however, all impacted University entities agree to work together in good faith to adhere to the intent of the policy during those breaks. For example, if a policy proposal needs to be reviewed under section 4.3.2, Faculty Senate will use its convening power, as appropriate.
4.9.5 Oversights or departures from this policy shall not negate policy approval by any approving body. However, upon discovery of any material departure, the Board of Trustees or President shall review the departure and take steps to correct or seek appropriate ratification of the departure, as needed.
Revision History
Creation Date: 11-18-20
Amended: 9-19-24