Handbook of Operating Procedures 3-1510

Developing and Maintaining Policies in the Handbook of Operating Procedures

Effective May 9, 2023
Executive Sponsor: Chief Compliance Officer
Policy Owner: Policy Program Manager
 

1. Policy Statement

The University of Texas at Austin (University) will develop and maintain its governance policies in the University’s Handbook of Operating Procedures (HOP) in accordance with The University of Texas System (UT System) Board of Regents’ Rules and Regulations and UT System policies. The process used for this purpose will follow principles of transparency and due diligence in Policy Management.
 

2. Reason for Policy

To provide the roles, responsibilities, and process for developing and maintaining HOP Policies in accordance with Regents’ Rules 20201 and 40101. This framework supports the goals of the University’s ethics and compliance program.
 

3. Scope & Audience

This policy applies to all University employees and students.
 

4. Definitions (specific to this policy)

Administrative or Operational HOP Policies:

University governing policies that direct the function of administrative operations or University activities excluding educational policies developed through faculty legislation.

Educational Policy:

University governing policies pertaining to the areas of faculty responsibility as set forth in Regents' Rule 40101.

Executive Sponsor:
The executive officer, usually a vice president, who officially advances and endorses a HOP Policy.

Governance of the Institution:
The manner in which the University directs, administers, and controls the institution, including policies that direct compliance with applicable federal and state laws and regulations, Regents' Rules and Regulations, and UT System policies with system-wide application.

HOP Amendment:
A change made to the HOP, including the adoption of a new policy, revision to an existing policy, or retirement of a policy.

HOP Policy: 
A governing statement and expected behaviors contained in the University’s Handbook of Operating Procedures which support compliance with laws and rules of UT System; operational efficiency; mitigation of institutional risk; and the core mission and values of the University. The University Policy Office website contains criteria used for HOP Policies.

Policy Impact Statement:
An initiating document proposing a HOP Amendment for a new policy or revision to an existing policy. It provides relevant policy related information addressing rationale, scope, and potential impact (resource, operational, financial, training).

Policy Management:
The administration of a HOP Policy's lifecycle including the creation, review, approval, communication, periodic review, policy updates, and delivery of associated training. It also includes proper retirement of a policy when it is no longer relevant.

Policy Office Advisory Group (POAG):
An appointed group of University divisional representatives, at a minimum, including the chairs of Faculty Council, Staff Council, and Student Government, who serve to represent their respective division or governance group on HOP Policy matters presented for their review. Membership is approved by the president.

Policy Owner:
The individual responsible for assuring appropriate Policy Management of a specific HOP Policy. The Policy Owner is considered a subject matter expert on the issue covered by the HOP Policy.

Policy Template:
The standardized format used for creating or revising a HOP Policy.

Significant Change:
A substantive edit to HOP Policy content including changes to essential principle(s), scope, and application. This does not include changes which are solely: (a) editorial; (b) related to organizational reporting change; (c) reformatting a policy or paragraph; (d) updates to policy related contacts, tools, resources, or reference citations; or (e) made to bring clarity or grammar improvements, and do not materially change the purpose of the policy.

Stakeholder Review Plan:
A set of action steps developed for the appropriate review of a proposed HOP administrative or operational policy. The plan develops after review of the Policy Impact Statement and policy draft with consideration given to the rationale, nature, and significance of the HOP Amendment being proposed.

5. Website (for policy)

https://secure2.compliancebridge.com/utexas/public/getdoc.php?file=3-1510
 

6. Contacts

7. Responsibilities & Procedures

1. 1. General
      1. The University’s president has authority and responsibility to develop and administer plans and policies for the program, organization, and operation of the University as delegated by Regents’ Rule 20201 and in accordance with Regents’ Rule 40101.
      2. Policies developed by the University may not conflict with federal or state laws or regulations, Regents’ Rules and Regulations, or applicable UT System policies; conflicting University policies will be invalid. In addition, University divisional or unit level policy must not conflict with HOP related policies.
      3. The provisions of this policy should not be interpreted in a way that would conflict with the faculty’s role in Educational Policy formulation as referenced in Regents’ Rule 40101.
      4. Presidential consideration will be given only to proposed HOP Amendments that follow the process steps outlined in this policy.
      5. Policy Owners are responsible for initiating steps to create HOP Policies, conduct periodic review of their policies, and take necessary action to update or retire a policy when deemed appropriate. This includes timely action when a policy is affected by applicable changes in federal or state laws or regulations, when Regents’ Rules or UT System policy revisions require action, or when action is deemed appropriate to support the University’s mission and core values.
      6. The president designates the Policy Program Manager (PPM) as the University official responsible for coordination of the HOP Policy process.
      7. The director of presidential priorities for the president and each vice president will annually provide the PPM with his or her nominee(s) to serve on the Policy Office Advisory Group (POAG) for the coming academic year. The chairpersons of Faculty Council, Staff Council, and Student Government will be ex-officio members of the POAG each year. The president grants final approval for appointments to the POAG.
      8. The University Policy Office (UPO) will retain all HOP Policies in accordance with the University's Records Retention Schedule including policies as they are adopted, revised, and retired.

1. 2. HOP Amendments

3. Administrative or Operational HOP Policy Management
   1. Responsibilities
      1. Policy Program Manager. The PPM is responsible for:
         • facilitating the HOP Policy process with key stakeholders to assure compliance with this policy;
         • determining a Stakeholder Review Plan for proposed HOP Amendments;
         • ensuring integrity of HOP Amendments with regard to format, clarity, content, and writing style;
         • chairing the POAG;
         • communicating with executive leaders when HOP Amendments are approved by the president;
         • maintaining the UPO website, including the digital library of current HOP Policies; and
         • maintaining archival records of HOP Policies.
      2. POAG. This cross-divisional group serves in an advisory role to the PPM on issues related to HOP Amendments and policy matters considered administrative or operational.                                                                                                Responsibilities of POAG members include:
         • serving as a representative for their divisional or governance interests during the two week POAG review and advisory comment period for draft HOP Amendments;
         • consulting on HOP Policy related issues as they arise; and
         • serving as a representative for their divisional or governance interests during POAG review/comment periods opened for draft HOP Policy amendments;
      3. Policy Owner (PO). The PO is responsible for:
         • developing HOP Policies for matters within the scope of his or her responsibility following steps outlined in this policy;
         • initiating proper communication associated with policy rollout;
         • initiating necessary policy related training;
         • providing timely response to policy questions issued via the HOP website;
         • conducting periodic review of his or her HOP Policies;
         • initiating timely updates to policies when necessary;
         • serving as the key contact for policy interpretation and exception approval; and
         • initiating policy retirement when the policy is no longer relevant.
      4. Executive Sponsor. The Executive Sponsor officially endorses and/or supports the PO in the advancement of HOP Amendments through the policy process.
      5. President. The president has institutional authority for approving or denying any HOP amendment. If required, the Office of the President is responsible for advancing the HOP Amendment for further review and approval by the UT System EVC-AA.
   2. Process Steps

• work with the PO until the policy draft is ready for POAG review; and
• for removal requests, confirm that removal will not conflict with any policy requirements mandated by Regents' Rules or UT System policy.

• The PPM will review the initiating documents and develop a Stakeholder Review Plan to ensure compliance with this policy.
• Advisory input will be sought from the POAG and governance groups with a review period not to exceed two weeks.
• Governance groups (Faculty Council, Staff Council and Student Government) must provide to the PPM written advisory comment for any HOP Amendment under POAG review on or before the two-week review period deadline.
• The Executive Sponsor retains sole authority for decisions on advancing the policy for presidential consideration following advisory input offered during this stage.
• The VPLA must submit a letter regarding the legal sufficiency review or request an extension within 30 days of the policy submission date to Legal Affairs.
  Extensions may be granted for up to two weeks with no more than two extensions per policy submission.

• The president may seek further executive level advisory input on the HOP Amendment as he or she deems necessary.
• The president will notify the PPM of his or her decision to approve or reject the policy.
• If approved, and if required, the president will advance the policy to the UT System EVC-AA for review and approval.

3. Policy Communication & Training

4. Policy Retirement

4. Educational or Academic HOP Policy Management

1. Responsibilities
   1. Executive Vice President and Provost (Provost). The provost is the Executive Sponsor of all educational or academic policies contained in the HOP. He or she may initiate the creation, revision, or retirement of such policies.
   2. General Faculty and Faculty Council. As delegated by the General Faculty, Faculty Council has responsibility for proposing amendments to HOP Policies concerning faculty governance. Faculty Council may also initiate faculty legislation related to the areas referenced in Regents’ Rule 40101 following procedures and rules set forth in HOP 2-1110 – Faculty Council. The secretary to the General Faculty is responsible for submitting proposed HOP Amendments to the president with notification to the PPM.
   3. VPLA. The VPLA must submit a letter regarding the legal sufficiency review or request an extension within 30 days of the date the policy was submitted to Legal Affairs. Extensions may be granted for up to two weeks, with no more than two extensions per policy submission.
   4. President. The president or presidents designee has institutional authority for approving or denying a HOP Amendment advanced by the leadership of Faculty Council. Institutional interpretation of HOP Policies rests with the president.
2. Process Steps

• The president, or designee, may seek further executive level advisory input on the HOP Amendment, as needed.
• The president will notify the PPM of his or her decision to approve or reject the policy.
• If approved, and if required, the president will advance the policy to the UT System EVC-AA for review and approval.

3. Policy Communication & Training

4. Policy Retirement

6. Non-significant Changes to HOP Policies. A HOP Amendment that is not deemed a Significant Change by the PPM will result in limited review to affect the change to the HOP. The PPM is responsible for updating the UPO website for changes of this nature.

7. Interim Policy. At the discretion of the president, an interim HOP Policy may be implemented when federal or state laws, regulatory actions, or compelling circumstances make expedited policy implementation prudent or necessary.

• Using standard initiating forms, a vice president or other Executive Sponsor may request an interim policy for consideration by the president. Upon approval by the president, the PPM will be charged with publishing the interim policy on the UPO website.
• An interim policy is effective for a period of up to six months from the date of presidential approval. Normal review of the interim policy should e sought as soon as circumstances allow. The interim policy is subject to renewal for good cause upon the president’s approval.

8. Periodic Review. The PO and Executive Sponsor are responsible for conducting periodic review of HOP Policies contained in their respective portfolios and taking appropriate action to make timely updates to policy content as necessary.

8. Forms & Tools

None
 

9. Frequently Asked Questions

None
 

10. Related Information

Regents' Rules and Regulations, Rule 80105 – Joint Sponsorship of the Use of Property or Buildings

Regents' Rules and Regulations, Rule 80106 – Special Use Facilities
 

11. History

Origination date: June 10, 2015

Modified date: May 9, 2023
     
Next scheduled review:  May 2026