ESTABLISHING UNIVERSITY POLICIES

About This Policy

Policy Statement

North Central University formally, approves, promulgates, and maintains in a consistent format, official university policies in a central policy repository.

University policies must have broad application throughout the university, enhance the university’s mission, set behavioral expectations, promote ethical standards and integrity, promote operational efficiencies, manage institutional risk, help achieve compliance with applicable laws and regulations, been reviewed and approved by the Policy Advisory Committee (PAC) and the President’s Council (PC), and provide procedures for implementation.

The PC may approve an interim policy when legal requirements or a significant institutional risk exists and there is insufficient time to complete the standard review and approval process before publishing. A policy plan and timeline, not exceeding twelve months, for completing the standard review of the interim policy must be included in the request to the PC. If approved, the policy will go into effect immediately. The policy owner must complete the standard policy review and approval process during this approved interim period.

Reason For Policy

A formal process for policy formulation, promulgation, and maintenance provides continuity, ease of access and understanding, opportunities for stakeholder feedback during policy formulation, accountability throughout the policy formulation process, transparent guidance to the university community, and allows the university to evaluate risks associated with policy decisions.

Policy Scope

Faculty, staff, students, academic and administrative units, affiliated entities, agents, and volunteers.

Procedures

• Developing and Approving University Policies
• Comprehensively Reviewing Existing University Policies
• Revising Existing University Policies
• Making Editorial Changes to University Policies
• Establishing Interim Policies
• Retiring University Policies

Forms / Instructions

• University Policy Plan
• Policy Change Form
• Policy Communications Plan
• Policy Review Guidance

Appendices

• University Policy Formulation Process
• University Policy Style Guide
• Template: Policy- Simplified

Additional Contacts

Definitions

Authoring Groups
Ad hoc groups, organized by the policy owner, to assist with the initial authoring and formulation of a policy draft.

Board of Regents Policy
Umbrella policies that provide the framework and guiding principles under which the administration is responsible for the implementation of, and compliance with, the intent of the Board of Regents policy.

Comprehensive Review
An in-depth review of a policy by the policy owner and the Policy Advisory Committee (PAC) that occurs at least every four years that confirms that the policy is up-to-date, relevant, needed, and that the university is complying with the policy.

Editorial Updates
Non-substantive and routine updates to a policy that do not necessitate the standard policy review process.  Editorial updates typically include, but are not limited to:

• Title changes.
• Web address changes.
• E-mail address changes.
• Grammatical errors within the policy.

Interim Policy
Provisional policy issued when a university policy is needed because of legal requirements or a significant institutional risk exists and there is insufficient time to complete the standard review and approval process before promulgation. A policy plan and timeline for completing the standard review of the interim policy must be included in the request to the PC. If approved on an interim, the policy will go into effect immediately. The policy owner must complete the standard policy review and approval process within one year of execution.

Policy Advisory Committee (PAC)
A standing committee authorized by the President to review and approve all university-wide policy plans and policy drafts and to recommend policy actions for finalization before review, acceptance, and approval by the President’s Council.  Comprised of various administrators from across the university.  The PAC meets monthly.

PAC Chair 
An individual appointed by the President to manage the policy review process and chair the Policy Advisory Committee. Charged with stewardship of the policy framework, policy development process, and the official policy template, editing drafts of policy documents, guiding policies through the policy development process, maintaining a central repository of university policies, and promulgating policy approvals and revisions to the university community.

Policy Contact
A subject matter expert designated by the policy owner to be the first point of contact to answer policy questions and assist in policy interpretation. In some cases, the policy contact is the policy owner.

Policy History
The policy history addresses details regarding the initial approval and subsequent revisions and is maintained by the policy director. The document details all language changes and periodic reviews that do not require any revisions.

Policy Owner
An individual responsible for the operational administration of policies and their related procedures, processes, instructions, and forms. Depending on the scope of the subject matter, a policy may have more than one policy owner. The responsible university officer defines the policy owner for a university policy.

Policy Plan
A working document that provides the policy owners, the President’s Council, the Policy Advisory Council, and other reviewers with a consistent approach toward policy needs analysis, impact analysis, risk assessment, and policy formulation and management. The PAC chair assists the policy owner and/or contact in the completion of the policy plan. The policy plan is presented by the responsible university officer or policy owner to a meeting of the PAC.

Policy Revisions
These are substantive changes to a policy that happen outside the standard policy review cycle.  Policy revisions typically include, but are not limited to:

• Changes in the scope of the policy.
• Changes to the meaning/intent of the policy statement.
• Most changes to procedures/appendices.
• Changes in policy requirements.
• Changes to policy responsibilities.

Policy Scope
A statement, describing whom the policy affects and which actions are impacted by the policy. The scope may expressly exclude certain people, organizations, or actions from the policy requirements. The scope is used to focus the policy on only the desired targets, and avoid unintended consequences where possible.

Policy Statement
Statement within a policy that encapsulates the policy’s purpose, namely its core provisions or requirements. Addresses what actions are mandated or prohibited.  States which audiences have requisite actions and which audiences are excluded from parts or all of the policy.

Procedures
Required actions to conform to a university policy, contained in a designated section of the policy.

Promulgation
Official declaration that a policy is in effect.

Reason for Policy
A statement on the policy that describes why the policy exists (i.e., mitigates institutional risk, implements a Board of Regents policy, supports institutional mission and values, meets legal or regulatory requirements of the policy).

Responsible University Officer
The Vice President for Academics serves as the responsible university officer for all academic and student life policies. The Vice President for Business and Finance serves as the responsible university officer for all non-academic and non-student development policies.

Retirement (of a policy)
A policy may be retired if the EC determines that the policy is no longer needed.  Typically, reasons that the university retires policies include, but is not limited to:

• Changes in Board of Regent policy
• Changes in university policy
• Changes in legislation or compliance obligations
• Changes in requisite procedures
• Changes in university operation

President’s Council (PC)
A standing committee comprised of the university president, vice presidents, and other university administrators with the sole authority to approve university policies.

Stakeholder
Individual, function, or organization identified in the policy plan for a proposed policy, whose university role or professional expertise relates to the subject of the policy, and who, therefore, is consulted for comment on its draft.

Standard
A supplemental document that further defines a policy requirement. Compliance is mandatory. All standards are used as reference points to ensure organizational compliance. Testing and audits compare a subject to the standard, with the intention of certifying a minimum level of uniform compliance.

University Policy
Official university directive that:

• Has broad application throughout the university.
• Enhances the university’s mission, sets behavioral expectations, promotes ethical standards and integrity, promotes operational efficiencies, or manages institutional risk.
• Helps achieve compliance with applicable laws and regulations.
• Has been reviewed and approved by the Policy Advisory Committee and the President’s Council.
• Provides procedures for implementation.

University Policy Document
The official record of a university policy that is presented in a standard format or “template” to facilitate consistency, clarity, and conciseness on the university policy library.

University Policy Archive
A local repository that contains archived versions of current and retired policies, related policy documents, and approval forms.

University Policy Library
The university policy library website is North Central University’s:

• Sole official repository for policies and procedures.
• Sole definitive source for the most current policies.

University Policy Template
A required policy format developed to ensure consistency. Use of the template facilitates the adoption of clear, concise, and uniform university policies.

University Policy Template—Simplified
A simplified version of the official university policy template given to the policy owner to assist in the drafting of an official university policy which contains all the headings and sections of the official policy template, but not the intricate formatting of the official document.

Responsibilities

President
Maintains ultimate responsibility for all university policies.

Policy Advisory Committee (PAC)
Reviews and approves policy plans to determine if the criteria for policies are met, that the policy statement and reason are clear, stakeholders are consulted for input, and that the plan for implementing and maintaining the policy is sound.

Reviews and approves policy drafts to provide the content, structure, formatting, expression, and other editorial aspects of documents to assure their clarity and coherence. Provides recommendations to the President’s Council (PC) as to whether a policy should move to the PC for review. Typically, meet once a month.

PAC Chair
Supports the President’s Council (PC), PAC, responsible university officers, and policy owners throughout the policy initiation, formulation, implementation, and management process; disseminates timely and relevant information regarding new and amended policies to the broader University community; maintains an easily accessible, user-friendly electronic catalog of policies on a central web site; monitors and shares policy user feedback with policy owners; monitors review schedules and works with PC to ensure compliance; and assesses framework effectiveness and discusses results and plans for continuous improvement with PC.

• Designs, implements, and reviews document templates, processes, and systems for formulating, reviewing, issuing, promulgating, storing, and revising university policies.
• Guide the responsible officer and/or policy owner through the policy formulation process.
• Lead the process for reviewing and approving draft policies, involving control of draft documents and engagement of the PC and PAC.
• Arrange and chair PAC meetings.
• Consult with the responsible officers to determine when revisions to an existing policy should be presented to the PAC or PC for review and/or approval.
• Issue a university-wide announcement to promulgate or, where appropriate, retire a university policy.
• Initiate review of policies whose requirements and/or provisions have been in effect for four years or longer.
• Maintain a library of all university policies, including control of all official versions.

Responsible University Officer
Accountable for the substance of, including the provisions and requirements of, and compliance with university policies under his or her jurisdiction, and oversees policy owner performance in the administration of assigned policies. “Sponsors” university policies that fall under his or her jurisdiction.

Accordingly, a responsible university officer must:

• Identify the need for and purpose of a policy in relation to a subject that falls under his/her jurisdiction.
• Determine how stakeholder comments on drafts of the policy should be incorporated.
• Approve final drafts of all policy plans and policy documents before they are presented to the President’s Council (PC), Policy Advisory Committee, stakeholders, and the university community for review, approval, comment, promulgation, or compliance.
• Present policy documents, including policy plants, to the PC.
• When the related policy plan has been approved by the PC, may request that a policy be promulgated on an interim basis.
• Verify that timely reviews of existing policies under his or her jurisdiction are conducted by policy owners.
• Where appropriate, advise PC of intent to retire an existing policy or to consolidate with another policy.

Policy Owner
With the assistance of the Policy Advisory Committee (PAC) chair, the policy owner prepares a policy plan for the PAC’s review and action when proceeding through the policy formulation and approval process; develops and administers policies, procedures, instructions, and forms under the direction of a responsible officer (this includes all steps set forth in the policy plan); and performs scheduled review and assessment of assigned policies to ensure ongoing policy accuracy and need in accordance with the policy plan. The policy owner obtains approval from their associated responsible officer for the proposed policy or policy change prior to review by the PAC.

President’s Council (PC)
Oversees the university policy framework to ensure policy alignment, continuity, and accountability; applies an institutional perspective to the review and approval of university policies; determines if policy matters involve a substantially new direction or major impact on the University and need broader input; approves new policies and substantive amendments to existing policies for promulgation to ensure policies meet the minimum criteria for adoption as a university policy; assesses and determines the institution’s policy needs; and ensures policy formulation and management plans are appropriate for the administration of policies. The PC may also choose to deny a request for a policy or policy change, as well as authorize elimination of policies proposed for deletion. When approving a policy, the PC will assess that the burden is proportional to the risk identified by the policy owners.

The PC may approve a policy plan as an agreement that a proposed policy may be promulgated on an interim basis.

Stakeholder
When invited by the Policy Advisory Committee chair, policy owner, or responsible university officer, comment on a draft policy in relation to its likely impact on members of the university community.

University Chairs, Deans, and Directors
Ensure that all unit employees are aware of policies relevant to the performance of their duties by providing access to policies, assistance with policy interpretation and application, and communicating the University’s expectation for policy compliance.

University Vice Presidents
Vice presidents are responsible for the oversight of policies that naturally fall within their areas of responsibility.  Vice presidents create, implement, and gain compliance for university policies that fall under his or her jurisdiction.

History

Amended
2019-04-23 – Changed the policy title.  Was: Formulation, Promulgation, and Maintenance of University Policies. Now: Establishing University Policies.  Changed all references of Senior Leadership Team (SLT) to President’s Council (PC).

Issued
2017-02-01