University Policy and Procedure Statement UPPS No. 01.01.01

System Issue No. 6

Effective Date: 12/16/2008

Review: April 1 E3Y

01. POLICY STATEMENTS

01.01 The University Policy and Procedure Statement (UPPS) system provides:

a. A standard form of communicating university policies and procedures;

b. A structure for regular interval reviews of university policies and procedures;

c. A means for reviewing of policies and procedures on an as-needed basis to remain consistent with current practices; and

d. A means for assuring agreement between current practices and applicable regulations and laws.

01.02 The University Policy and Procedure Statements (UPPSs) impact all Texas State staff, faculty, and students by providing behavior guidelines and communicating new responsibilities, rights, or regulations instituted on campus. The university website includes all official UPPSs and updates to policies are announced in the Human Resources monthly bulletin.

01.03 Any person within the university may originate or recommend a new UPPS or request revision to an existing UPPS.

01.04 The appropriate persons will review UPPSs routinely according to their review cycles; for example, every year, every four years, etc., from the last action date.

01.05 The originating department will assess a UPPS based on:

a. Its necessity;

b. Its ability to reflect the best practice;

c. Its clarity and understandability; and

d. Its affect on customers and stakeholders.

01.06 The official version of a UPPS is available on the university website.

01.07 The UPPS Review minutes note the effective date of the UPPS.

01.08 The University Planning and Assessment (UPA) office is the official repository for all UPPS documents, including current official documents, all past versions of UPPSs, and deleted UPPSs.

01.09 If a conflict occurs between a UPPS and a policy reflected in documents of a higher authority (e.g., federal law, state law, Coordinating Board policy, Regents’ Rules, etc.), the policy as outlined in the document of higher authority will prevail.

01.10 If a conflict occurs between a divisional policy statement and the policy outlined in a UPPS, the UPPS will prevail.

01.11 University employees are responsible for staying current on UPPS changes.

02. DEFINITIONS

02.01 Reviewer – A stakeholder in the policy or procedure being outlined or reviewed.

02.02 Senior Reviewer (SR) – Typically the person most knowledgeable about the policy. If the identity of the senior reviewer is not apparent, the President’s Cabinet will identify the correct individual.

02.03 Executive Assistant (EA) – “Executive Assistant” or “EA” in this policy refers to either the appropriate division’s executive assistant or a designee.

02.04 Director of University Planning and Assessment (UPA) – The person responsible for maintaining the review process and posting approved UPPSs to the university website.

02.05 Congressional style – A method of mark-up in which deletions are lined through and additions are capitalized with underlines using the Microsoft Word editing format.

02.06 Substantive change – A change to policy which impacts the policy or process outlined.

02.07 Non-Substantive change – A change that does not impact the policy or process outlined. Examples include typographical errors, grammatical errors, and title changes.

02.08 Pen and ink changes – Any revisions where policy or process require only minimal changes, producing a “Pen and Ink” revision.

02.09 Reviewers’ Approval Sheet – A document signed by all reviewers which states that they concur with the proposed revision. In lieu of a Reviewers’ Approval Sheet (see Attachment III), emails from all reviewers may serve to indicate approval.

03. PROCEDURE FOR REVIEW OF EXISTING UPPS DOCUMENTS

03.01 The SR updates the document to include all necessary modifications.

a. Using Congressional style, the SR prepares a revision of the UPPS based on changes, if any, in the policy or procedure since the most recent review. The SR also incorporates any non-substantive changes.

b. The SR routes the revised draft and a Reviewers’ Approval Sheet (Attachment III) to all listed reviewers.

1) Multiple reviewers – The revised UPPS will include comments from all reviewers. The SR will obtain a consensus from all reviewers regarding proposed changes. Completing the Reviewers’ Approval Sheet (Attachment III) or an email demonstrates consensus.

2) Lack of consensus – If reviewers cannot come to consensus, the SR will determine which changes to recommend to the President’s Cabinet. The SR must make the views of the other reviewers known to the Cabinet.

03.02 The SR emails a copy of the revised draft UPPS and the completed Reviewers’ Approval Sheet (Attachment III) to the appropriate divisional EA. In cases where the changes to be made are non-substantive only, the SR will note in the email that the revision is “pen and ink”.

03.03 The divisional EA follows the internal process to make certain all appropriate people and entities within the division have an opportunity to review and comment on the proposed document. The EA will send all comments received from the division back to the SR for consideration and possible incorporation.

03.04 After addressing all stakeholder comments, the SR again submits the draft UPPS to the divisional EA. At this point, the EA sends the draft UPPS out to all other divisions, via the divisional EAs for review and comment. The EA will:

a. mark the revision is pen and ink if it requires only minimal changes;

b. ask reviewers to send comments directly to the Director of UPA by a specified deadline, usually within two weeks; and

c. forward the reviewed draft to the Director of UPA, along with the completed Reviewers’ Approval Sheet.

03.05 Each EA will compile responses and send them via email to the Director of UPA, noting whether or not the comments are substantive. If a division has no comments, that EA will send a “no comment” message to the Director of UPA.

03.06 The Senior Administrative Assistant for the Special Assistant to the President circulates the draft UPPS to:

a. The University Attorney, who will then forward a copy of the UPPS to the Texas State University System Legal Staff, as necessary.

b. The Director of Audit and Compliance.

c. The Director of Athletics.

d. The Director of Equity and Access.

03.07 The Senior Administrative Assistant for the Special Assistant to the President forwards comments received to the Director of UPA.

03.08 Once all divisional comments are received, the Director of UPA will compile the comments and sort them as substantive and non-substantive. The Director then sends the comments document to the SR and copies the appropriate divisional EA. The correspondence will include a deadline for response.

03.09 The SR should address each comment in blue ink, noting whether to incorporate the change or to discuss it further. Once completed, the SR should send the document, complete with comments, to the Director of UPA and copy the appropriate EA.

03.10 Based on the feedback received from the SR, the Director of UPA will determine whether to submit the draft UPPS for electronic approval or to add it to the agenda for the next UPPS review meeting.

a. Electronic Approval: The Director of UPA then sends the draft UPPS to the President’s Cabinet after incorporating or resolving all comments or indicating no comments were made.

1) If electronic approval fails, the Director of UPA will add the draft UPPS to the next UPPS review agenda and invite the SR to the meeting.

2) If the UPPS is approved electronically, that approval is reflected in the UPPS Review Minutes.

3) If unresolved comments remain, the Director of UPA will add the draft UPPS to the next UPPS review agenda and invite the SR to the meeting.

4) The Director of UPA will list all comments to be incorporated into the final document in the UPPS Review minutes.

5) The appropriate EA will incorporate comments (if present) into the electronic version of the UPPS based on the SR comments previously submitted. The EA then sends the UPPS with comments incorporated and all attachments to the Director of UPA via email.

b. UPPS Review Meeting:

1) If required, the Director of UPA will schedule a UPPS review meeting with the divisional vice presidents.

(a) The Director of UPA will notify all EAs of the time and date for the UPPS Review meeting and will distribute a proposed agenda.

(b) Each EA will invite the appropriate SRs with UPPSs on the agenda to the UPPS review meeting, noting the specific time scheduled for each.

2) After the meeting, the Director of UPA will send out UPPS review meeting minutes to all EAs. The minutes will clearly state which UPPSs have been approved and will specify all newly incorporated comments.

3) Upon receipt of the UPPS Review minutes, the appropriate EA will incorporate comments.

(a) The appropriate EA will incorporate all comments based on the SR’s written response and instructions from UPPS Review meeting minutes.

(b) The appropriate EA will email the UPPS with comments incorporated and all attachments to the Director of UPA for final processing and distribution.

04. PROCEDURE FOR INTRODUCING A NEW UPPS

04.01 The appropriate vice president will identify reviewers when a new UPPS has been proposed. As necessary, the President’s Cabinet will select an SR in cases of more than one assigned reviewer.

a. Reviewers develop a draft UPPS that addresses the identified needs. Attachment I includes the proper format for a proposed UPPS and Attachment II provides writing style guidelines.

b. All key stakeholders must have an opportunity to comment.

c. Reviewers must consider legal ramifications.

d. Reviewers must address conflicting issues with the policy across divisions.

04.02 The SR forwards the completed UPPS draft, along with the signed Reviewers’ Approval Sheet (Attachment III), to the correct divisional EA.

04.03 The divisional EA follows the internal process to make certain all appropriate people and entities within the division have an opportunity to review and comment on the proposed document. The EA will send all comments received from the division back to the SR for consideration and possible incorporation.

04.04 After addressing all stakeholder comments, the SR again submits the draft UPPS to the divisional EA. At this point, the EA sends the draft UPPS out to all other divisions, via the divisional EAs for review and comment:

a. The EA will direct reviewers to send comments directly to the Director of UPA by a specified deadline, usually within two weeks.

b. The EA will also forward the reviewed draft to the Director of UPA, along with the completed Reviewers’ Approval Sheet (Attachment III).

04.05 Follow steps outlined in Sections 03.05 through 03.08 above.

05. RESPONSIBILITIES OF THE DIRECTOR OF UPA

05.01 Distribute monthly a rolling list of documents up for review, along with review dates to EAs.

05.02 Ensure receipt of comments in a timely manner and send any needed reminders to the EAs.

05.03 Guide the UPPS process in accordance with this UPPS.

05.04 Facilitate the electronic approval process and schedule, facilitate, record and distribute minutes for UPPS Review meetings.

05.05 Edit the final UPPS documents for style consistency and route for signature approval to the senior reviewer and his or her chain of command.

05.06 Post the official version of all UPPS documents on the university website.

05.07 Maintain an index of all UPPSs, the most recent review date, names of reviewers, and all other pertinent information to facilitate the review process.

05.08 Submit a list of delinquent UPPSs to the President’s Cabinet quarterly.

06. PROCEDURES FOR DIVISIONAL POLICY AND PROCEDURE STATEMENTS (PPSs)

06.01 Each vice president shall implement a divisional policy statement system, as necessary, and post it on the division’s website.

06.02 The affected offices will negotiate concerns resulting from PPSs and, if necessary, refer those concerns to the President’s Cabinet.

06.03 Divisional PPSs specify policies and procedures that guide each division in executing areas of responsibility.

06.04 In order to avoid conflicts among divisional PPSs, each vice president will assure consultations between appropriate stakeholders in other divisions.

07. RESPONSIBILITY OF THE PRESIDENT’S CABINET

07.01 The President’s Cabinet will assure the timely review and approval of all official UPPS documents.

08. REVIEWERS OF THIS UPPS

08.01 Reviewers of this UPPS include the following:

Position Date

Director, University Planning and April 1 E3Y

Assessment

Executive Assistant, Academic Affairs April 1 E3Y

Executive Assistant, Finance and April 1 E3Y

Support Services

Executive Assistant, Student Affairs April 1 E3Y

Executive Assistant, Information April 1 E3Y

Technology

Executive Assistant, University April 1 E3Y

Advancement

09. CERTIFICATION STATEMENT

This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedure from the date of this document until superseded.

Director of University Planning and Assessment; senior reviewer of this UPPS

Associate Vice President for Institutional Effectiveness

Provost and Vice President for Academic Affairs

President