213 - Policy Development and Revision

Title:	Policy Development and Revision
Owner:	Office of the President
Last Updated/Revised:	11/01/2024

Policy: Policies serve many purposes, including ensuring compliance and safeguarding the University mission and core values. A standardized process for University policy development and revision promotes shared governance, transparency, communication, institutional efficiency, organizational effectiveness, mitigates risk, and enhances compliance and accountability. University Policies are systematically reviewed to identify (a) needed revisions and (b) gaps that indicate where a new policy should be developed.

This policy relies upon the key terms that follow.

Policy - a statement that mandates or constrains actions and may affect the rights or duties of USU constituents or the general public. Policies are often intended to ensure compliance with applicable laws, regulations, reduce institutional risk, and/or promote operational efficiencies. They are also used to facilitate the university mission.

Academic Policy. An academic policy is one that applies to courses, grading, instruction, curriculum, academic program requirements, specializations, certificates, degrees, academic credit, transfer credits, credit equivalencies, and/or academic progress. Policies numbered 300 or 400 in the Policy and Procedure Manual fall into this category. Academic Policies will follow the Academic Policy Approval Process.

University Policy. A non-academic policy has broad application across the University. Policies numbered 100, 200, 500, 600 or 700 in the Policy and Procedure Manual fall into this category. University policies will follow the University Policy Approval Process.

Departmental Process - A departmental process applies only within a particular department or only to the operations or transactions within a particular department and that are overseen by the department; they are not published in the Policy and Procedure Manual. Thus, the Policy Development and Revision policy does not apply to or govern departmental processes. Contact the Executive Director of Academic Compliance and Reporting if you need guidance in determining if an initiative may be a policy or is simply a departmental process.

- Owner The Office, Department, or Job Title (e.g., CFO) with whom ownership of the policy resides.

Policy Sponsor - The individual who is responsible for developing a new or revising an existing policy. The policy sponsor is assigned by the Owner and is responsible for keeping all policies current and reviewing them during every Policy and Procedure Manual refresh, at a minimum. Policy sponsors are responsible for overseeing a policy through the processes described below.

Revisions required by law or regulation or non-substantive edits that do not materially change the intent of a University policy (e.g., correcting names, titles, hyperlinks, typographical or grammatical errors, etc.) must follow the procedures set out in the Procedure for Requesting Edits to University Policies that are Non-substantive or Required Edits (see below).

University Policies enacted and substantively or non-substantively revised will be updated in the Policy and Procedure Manual on the public website at the next publication date (see Policy 308 for the publication schedule).

Policies must be consistent with, and cannot be less restrictive than, Federal or State laws or regulations.

Purpose: The purpose of this policy is to ensure that all policies are thoroughly reviewed, formally approved, implemented and communicated, maintained, publicized, and made available to the University Community via the Policy and Procedures Manual (and if appropriate, the Catalog) on the USU website.

Procedures:

(policies numbered 300 or 400 in the Policy and Procedure Manual) Academic Policy Approval Process

Identify Need
1. If a member of the USU community believes a current policy should be modified or a new policy should be developed (numbered 300 or 400), the individual will notify the Owner noted on the policy (or if a new policy, the Owner on a related policy) to discuss potential changes. If the contact person is not clear, contact the Executive Director of Academic Compliance and Reporting for guidance.
Policy Sponsor Assigned by the Owner
Policy Template Completed
1. The Policy Sponsor collaborates with relevant stakeholders to complete the Policy Template. For a revised policy, Policy Sponsors must create a tracked changes version of the current policy to highlight the proposed changes.
2. To ensure the policy does not conflict with laws or other regulations, the Executive Director of Academic Compliance and Reporting may be consulted at this stage.
3. Policy Sponsors are encouraged to consult with other relevant committees (e.g., the Assessment Committee, DEI Committee, Curriculum Committee, etc.).
Registrar Review
1. The Policy Template is shared with the Office of the Registrar for review and feedback via a shared drive.
2. If the policy may conflict with laws or other regulations, the Registrar will consult with the Executive Director of Academic Compliance and Reporting. Feedback will be given via comments on the shared document within 5 business days.
Faculty Senate Review and Approval (Note: If the policy is not implicated in the Faculty Handbook, it does not require adjudication at this level, rather feedback only is obtained).
1. Policy Sponsor requests to be on the agenda at the next Faculty Senate meeting by sending the Chair of the Faculty Senate a link to the Policy Template that will reside in a shared drive so that comments can be made by the senators. In the case of an urgent need, the Policy Sponsor may request an eVote. Whether or not an eVote will be conducted is up to the discretion of the Faculty Senate Chair.
2. The Faculty Senate Chair sends out a link to the Policy Template at least 3 days prior to the meeting. Senators will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the Senate, and after discussion either:
  1. The policy will go back for revisions and/or additional feedback will be sought (e.g., relevant committee(s) or stakeholders) and begin this step again, or
  2. The policy will be put to a vote (see policy 103). The Chair may ask the Policy Sponsor to leave the meeting during the vote. If the Policy Sponsor is not present during the vote, they will be notified of the result within one business day.
4. Approved proposals move to University Council.
University Council Review and Approval
1. Following approval at the Senate, the Policy Sponsor requests to be on the agenda at the next University Council (UC) meeting by sending the Chair of the UC a link to the Policy Template (which must include the date it was approved by the Faculty Senate) that will reside in a shared drive so that comments can be made by the council members. In the case of an urgent need, the Policy Sponsor may request an eVote. Whether or not an eVote will be conducted is up to the discretion of the University Council Chair.
2. The UC Chair sends out the link to the Policy Template at least 3 days prior to the meeting. Members will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the UC, and after discussion either:
  1. The policy will go back for revisions and go back to step 5, or
  2. The policy will be put to a vote (see policy 104). The Chair may ask the Policy Sponsor to leave the meeting during the vote. If the Policy Sponsor is not present during the vote, they will be notified of the result within one business day.
4. If a policy is not approved, the Policy Sponsor will communicate this back to the Chair of the Faculty Senate who will announce it at the next meeting.
5. Approved proposals move to the President's Council.
President’s Council Review and Approval
1. Following approval at the UC, the Policy Sponsor requests to be on the agenda at the next President’s Council meeting by sending the Chair of the PC a link to the Policy Template (that includes the dates approved by the Senate and UC) that will reside in a shared drive so that comments can be made by the council members. In the case of an urgent need, the Policy Sponsor may request an eVote. Whether or not an eVote will be conducted is up to the discretion of the President.
2. All council members will receive the link to the Policy Template at least 3 days prior to the meeting. Members will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the PC, and after discussion either:
  1. The policy will go back for revisions and go back to step 5, or
  2. The policy will be voted on (see policy 105). The Chair may ask the Policy Sponsor to leave the meeting during the vote. If the Policy Sponsor is not present during the vote, they will be notified of the result within one business day.
4. If a policy is not approved, the Policy Sponsor will communicate this back to the Chairs of both the Senate and the UC who will announce it at the next meetings.
5. Approved proposals move to Implementation.
Implementation of Policy
1. Policy Sponsor works with the Executive Director of Academic Compliance and Reporting or designee to complete the Implementation Checklist and determine a viable implementation date.
  1. Implementation dates should be at least two weeks post any required training and formal announcement.
2. Policy Sponsor sends an email to the Chairs of the Faculty Senate and UC of the approval with the Implementation Checklist for inclusion on the agendas at the next meeting.
3. Per the Implementation Checklist, changes are made by the Executive Director of Academic Compliance and Reporting or designee to all relevant areas (e.g., Policy and Procedure Manual, Catalog, Website, etc.).
4. The Executive Director of Academic Compliance and Reporting or designee will upload the Policy Template and update the Policy Spreadsheet in a folder on a shared drive owned by the Office of Institutional Research and Assessment.
5. At least two weeks prior to implementation, the policy is presented to all relevant stakeholders via meetings, webinars, or email communication, as appropriate (see Implementation Checklist).
6. Policy is implemented per the date on the Implementation Checklist.
Conduct ongoing policy review. All Policies should be reviewed on a regular basis by the owner, at a minimum, at every policy and procedure refresh.

University Policy Approval Process (policies numbered 100, 200, 500, 600, or 700 in the Policy and Procedure Manual)

This process is NOT required for:

Academic Policies, which should follow the Academic Policy Approval Process (described above).
Policies or changes that are required by law or regulation, or non-substantive edits.
Departmental processes, which only apply within a particular department or only to the operations or transactions within a particular department and that are overseen by a particular
- Departmental processes may not conflict with laws or other regulations.
- Departments are strongly encouraged to consult with the Vice President of Academic and Regulatory Operations if there is any uncertainty about potential conflicts.
- Departments should develop a process to receive input from shared governance groups of elected faculty representatives and other shared governance groups and obtain approval from appropriate departmental leadership or University leadership, as appropriate.

Need Identified
1. If a member of the USU community believes a current University Policy (numbered 100, 200, 500, 600, or 700) should be modified or a new policy should be created, the individual shall notify the Owner (or if a new policy, the Owner of a related policy) to discuss potential changes. If the contact person is not clear, contact the Executive Director of Academic Compliance and Reporting for guidance.
Policy Sponsor Assigned by the Owner
Policy Template Completed
1. The Policy Sponsor collaborates with relevant stakeholders to complete the Policy Template.
2. Policy Sponsors must consult with the Executive Director of Academic Compliance and Reporting (who may consult with legal counsel) to ensure the policy does not conflict with laws or other regulations. Because consultation at this stage can take time, please plan accordingly and expect feedback to take up to 2 weeks.
3. Policy Sponsors are encouraged to consult with other relevant committees (e.g., DEI Committee).
Faculty Senate Feedback
1. Policy Sponsor requests to be on the agenda at the next Faculty Senate meeting by sending the Chair of the Faculty Senate a link to the Policy Template that will reside in a shared drive so that comments can be made by the senators.
2. The Faculty Senate Chair sends out a link to the Policy Template at least 3 days prior to the meeting. Senators will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the Senate for informational purposes only (no vote is required). The Policy Sponsor may choose to revise based on feedback prior to presenting to the University Council Approval.
University Council Review and Approval
1. Following implementing any relevant feedback given at the Senate, the Policy Sponsor requests to be on the agenda at the next University Council (UC) meeting by sending the Chair of the UC a link to the Policy Template (which must include the date it was presented to the Faculty Senate) that will reside in a shared drive so that comments can be made by the council members.
2. The UC Chair sends out the link to the Policy Template at least 3 days prior to the meeting. Members will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the UC, and after discussion either:
  1. The policy will go back for revisions and begin this step again, or
  2. The policy will be put to a vote (see policy 104). The Chair may ask the Policy Sponsor to leave the meeting during the vote. If the Policy Sponsor is not present during the vote, they will be notified of the result within one business day.
4. If a policy is not approved, the Policy Sponsor will communicate this back to the Chair of the Faculty Senate who will announce it at the next meeting.
5. Approved proposals move to the President's Council.
President’s Council Review and Approval
1. Policy Sponsor requests to be on the agenda at the next President’s Council meeting by sending the Chair of the PC a link to the Policy Template (that includes the dates presented to the Senate for feedback and approved by UC) that will reside in a shared drive so that comments can be made by the council members. In the case of an urgent need, the Policy Sponsor may request an eVote. Whether or not an eVote will be conducted is up to the discretion of the Chair.
2. PC Chair sends out the overview and link to the Policy Template 3 days prior to the meeting. Members will read and include any material comments on the document prior to the meeting.
3. Policy Sponsor will present to the PC, and after discussion either:
  1. The policy will go back for revisions and go back to step 4, or
  2. The policy will be voted on (see policy 105). The Chair may ask the Policy Sponsor to leave the meeting during the vote. If the Policy Sponsor is not present during the vote, they will be notified of the result within one business day.
4. If a policy is not approved, the Policy Sponsor will communicate this back to the Chairs of the Faculty Senate and UC who will announce it at the next meeting.
5. Approved proposals move to Implementation.
Implementation of Policy
1. Policy Sponsor works with the Executive Director of Academic Compliance and Reporting or designee to complete the Implementation Checklist and determine a viable implementation date.
  1. Implementation dates should be at least two weeks post any required training and formal announcement.
2. Policy Sponsor sends an email to the Chairs of the Faculty Senate and UC of the approval with the Implementation Checklist for inclusion on the agendas at the next meeting.
3. Per the Implementation Checklist, changes are made by the Executive Director of Academic Compliance and Reporting or designee to all relevant areas (e.g., Policy and Procedure Manual, Catalog, Website, etc.).
4. The Executive Director of Academic Compliance and Reporting or designee will upload the Policy Template and update the Policy Spreadsheet in a folder on a shared drive owned by the Office of Institutional Research and Assessment.
5. At least two weeks prior to implementation, the policy is presented to all relevant stakeholders via meetings, webinars, or email communication, as appropriate (see Implementation Checklist).
6. Policy is implemented per the date on the Implementation Checklist.
Conduct ongoing policy review. All Policies should be reviewed on a regular basis by the owner, at a minimum, at every policy and procedure refresh. Any effort to create a new University Policy or to substantively edit, revise, or completely replace any existing University policy must follow shared governance principles and the procedures set out in this policy.

Requesting Edits to University Policies that are Non-substantive or Required Edits Process

Identify need for non-substantive or required changes to a current policy
1. If a member of the USU community believes a current policy should be modified to include a non-substantive (including a change to the Owner name) or the policy requires a change to maintain compliance with laws/regulations, the individual shall notify the Executive Director of Academic Compliance and Reporting.
2. The Executive Director of Academic Compliance and Reporting will work with the Owner to determine need.
  1. If the change is deemed substantive and is not required, then either the Academic or University Approval Process above will be followed.
  2. If the change is non-substantive, the Owner (or designee) will make the change using the Policy Template.
  3. If the change is required (e.g., a new law or regulation will require a modification), the Owner (or designee) will be responsible for working with the Executive Director of Academic Compliance and Reporting (or designee) to edit the policy appropriately within the Policy Template.
  4. If changes are being made to a policy that extend beyond a required change, then either the Academic or University Approval Process above will be followed.
Implementation of Policy
1. The Owner (or designee) works with the Executive Director of Academic Compliance and Reporting or designee to complete the Implementation Checklist and determine a viable implementation date.
  1. Implementation dates should be at least two weeks post any required training and formal announcement.
2. Policy Sponsor sends an email to the Chairs of the Faculty Senate and UC of the approval with the Implementation Checklist for inclusion on the agendas at the next meeting.
3. Per the Implementation Checklist, changes are made by the Executive Director of Academic Compliance and Reporting or designee to all relevant areas (e.g., Policy and Procedure Manual, Catalog, Website, etc.).
4. The Executive Director of Academic Compliance and Reporting or designee will upload the Policy Template and update the Policy Spreadsheet in a folder on a shared drive owned by the Office of Institutional Research and Assessment.
5. At least two weeks prior to implementation, the policy is presented to all relevant stakeholders via meetings, webinars, or email communication, as appropriate (see Implementation Checklist).
6. Policy is implemented per the date on the Implementation Checklist.

Scope: This policy applies to the USU community.

Documents and Forms:

Policy Flowchart
Policy Template
Implementation Checklist