Policy Development and Administration

ISUPP 1010

POLICY INFORMATION
Major Functional Area (MFA): Office of the President
Policy Title: Policy Development and Administration
Responsible Executive (RE): University President
Sponsoring Organization (SO): Office of the President
Dates: Effective Date: 12-5-11
Annual Review: 12-5-12

 

I. INTRODUCTION

The Idaho State University Policy & Procedures (ISUPP) is the official repository of policies and procedures related to the academic, administrative, business, and student activities of the University. This document establishes guidelines to ensure Idaho State University (ISU) formally approves, issues, and maintains in a consistent format, all official policies in a central policy library. This policy provides direction to individuals engaged in the development and maintenance of University policies and defines the requirements that must be followed when drafting, approving, and revising official policy.

This policy applies to all University-wide policies.

II. POLICY STATEMENT

Idaho State University is governed by state and federal laws and statutes, rules and policies of the Idaho State Board of Education and University regulations and policies. The University must adopt policies and related procedures to direct and guide the operations of the University when such laws, statutes, rules, and regulations require or when they do not provide specific guidance or procedures or directives necessary for the efficient and effective operation of the University. It is the policy of ISU to formally develop, approve and issue all policies in a consistent format and to maintain said policies in a central policy library. The ISUPP is the official repository of policies and procedures related to all University-wide policies. Accordingly, this policy (Policy Development and Administration) (PDA) sets forth a uniform policy making procedure with prescribed processes, comment periods and deadlines for action.

III. AUTHORITY AND RESPONSIBILITIES

  • Idaho State University policies are divided into Major Functional Areas (MFA) overseen by the President, Provost, a Vice President, or a senior official designated by the President. Each policy is sponsored by a Sponsoring Organization (SO) under the authority and direction of a Responsible Executive (RE), who may be the President, Provost, Vice Presidents, Athletic Director, Director of Public Safety, or HR Director. The RE oversees development of the policy through the ISUPP process, including writing of the first draft, and assures all action steps are completed. In addition, the ISU internal audit organization is responsible to audit for compliance with requirements found in all ISUPPs.
  • The REs are responsible for reviewing and approving proposals for new policies and ensuring the established review process is followed. The appropriate RE's signature concludes the process of review of the new policies prior to submission to the President for certification.
  • The Technical Working Group (TWG) consists of a group selected by the RE with appropriate consultation with faculty, staff, and students representing those primarily impacted by the proposed policy. The RE is responsible to determine if a TWG is needed and establishes its size and composition. The analysis of the need for a policy involves an assessment of the current adequacies, inadequacies and history of similar policies at ISU and peer institutions, as well as the current legal, regulatory, and operational needs of the University. This also requires an in-depth understanding of the technical, system, resource and other requirements for developing and implementing a particular policy and the effects it may have on other areas of the University. This work, along with the development of the policy itself, is the responsibility of the TWG. Members of the TWG should be selected based upon their ability to do their work in a competent manner, as well as their ability to represent the needs and requirements of affected constituencies. The TWG is responsible for reviewing and commenting, not only on the contents of policy drafts, but also on the feasibility of the policy and its compatibility with the mission of the University and existing processes and systems. Other considerations include, but are not limited to:
    • Accreditation and enrollment
    • Compliance with laws and regulations
    • Compatibility with existing ISU policies
    • Research implications
    • Personnel and budget impact
    • Sufficiency of existing expertise
    • Facilities implications
    If there is a need for specialized expertise related to the proposed policy, persons with such expertise may be consulted by the TWG. TWG comments and suggestions will be forwarded to the RE for consideration.
  • The Office of General Counsel (OGC) is responsible to review and comment on all new policies and revisions to ensure their propriety from a legal and contractual perspective. This office is authorized to make minor corrections or updates without going through the entire approval process.
  • During the Comment and Review Period set forth in V.B.5, the President's Cabinet (PC) will review, comment and concur by a majority on all proposed new policies or major revisions to existing policies.
  • During the Final Approval and Announcement period, the PC, ERG, and RE are responsible for reviewing and approving proposed new policies or major revisions to existing policies. A signoff sheet is provided to accommodate ERG approval (See Appendix E).
  • During the Final Approval and Announcement phase, the RE will submit all policies to the OGC, who will submit all policies to the University President, who is responsible for final approval and certification of the new policies prior to publication and implementation.
  • Certification: Unless required to act sooner by state or federal law, or by Board directive, the President will have at least thirty (30) days after receiving a policy proposal, to reject, amend or modify the proposed policy and, if appropriate, certify it for inclusion in ISUPP. If the President does not certify the policy proposal, he or she may return it to the RE for further consideration. A refusal to certify a proposal will not preclude further proposals for adoption, amendment or repeal of the same policy.

IV. DEFINITIONS

  • "ISUPP" - Idaho State University Policies and Procedures. Website link: http://www.isu.edu/policy/index.shtml.
  • "Policy Development and Administration" (PDA) - ISUPP policy development process.
  • "Major Functional Areas" (MFA) are listed on the ISUPP Website as:

    I. Office of the President,
    II. Finance and Administration,
    III. Human Resources,
    IV. Academic Affairs,
    V. Student Affairs,
    VI. University Advancement,
    VII. Research,
    VIII. Athletics,
    IX. Public Safety/Parking.

    Final policies will be placed in the MFA section most closely aligned with the policy itself, and in some cases, may be cross referenced or linked between MFAs. For example, most policies directly related to faculty will appear within the Academic Affairs MFA. However, some policies affecting faculty might also be included within the Human Resources or other MFAs.
  • "Responsible Executive" (RE) - The MFA's Responsible Executive, which means the President, Provost, Vice Presidents, Athletic Director, Director of Public Safety, and HR Director. When proposed policies significantly impact other MFAs, REs will coordinate efforts with other REs and DREs.
  • "Designated Responsible Executive" (DRE) - While not the RE for a particular MFA, are designated and authorized to initiate policy proposals. They are the Faculty Senate Chair, Staff Council Chair, faculty council chairs, and General Counsel. DREs will coordinate with REs and other affected DREs, and are subject to the procedures applicable to REs and their approval.
  • "Sponsoring Organization" (SO) - The organization or department initiating the policy or amendment of a policy and development of a draft policy. Individuals and organizations may initiate policy proposals through the respective RE or DRE and within the MFA category most closely aligned with the policy proposal subject matter.
  • "Technical Working Group" (TWG) - This group is an integral part of the ISUPP process once it reaches the RE approval level. The RE establishes this group for the purpose of vetting the viability, impact, accuracy and potential consequences of implementing the change. They provide the technical expertise and research on behalf of the RE. (See Section III.C.)
  • "Executive Review Group" (ERG) - comprised of the University vice presidents.
  • "Idaho State Board of Education" (SBOE) also Board.

V. PROCEDURES TO IMPLEMENT

  • Initiation and Proposal of Policies
    A need for a new or revised policy or elimination of an existing one may be identified by the appropriate RE over the MFA, by a DRE, or by members of the University community through their Responsible Executive. The process typically includes the following steps:
    • The RE may initiate a proposal/concept for a new policy, or revision or elimination of an existing policy. The proposal/concept is submitted to the Provost and the Vice President for Finance and Administration to determine any potential academic or financial impact of the proposal. After this review, the RE approves the proposal for development.
    • The RE prepares a formal proposal using the policy proposal template included in this policy (Appendix A).
    • The RE will determine whether and to what extent involvement of a TWG is required. In some cases, such as when a policy or policy change is required by federal or state law or regulation, or by Board policy or directive, the RE may determine that a TWG is not necessary. The RE is authorized to determine membership of the TWG for all policies under their purview, soliciting the advice and counsel of Vice Presidents or the President, as appropriate.
  • Drafting Policies
    • New policies and policy revisions may be initialized by an individual ISU community member, RE, DRE, SO, or other constituent of the University. In all cases the proposal moves through the policy process, until it reaches the president. It must gain approval at each level in order to proceed. Additionally, the RE is responsible to review existing ISUPPs to keep them updated and compliant with federal and state laws and regulations. Policies must be reviewed at least annually. Once a policy update proposal has reached the RE level, it will again be reviewed by OGC for accuracy and conformity with existing regulations and laws.
    • Once the policy proposal has been approved, the appropriate RE oversees the creation of a draft of the policy following the format as outlined in Appendix C (ISUPP format and content guidelines described in part "D" below.) Throughout the process, the RE is charged with assuring the Checklist for Review and Certification of ISUPP Policies and Procedures (Appendix D) is completed and submitted.
    • The RE will determine if a TWG is necessary.
    • Where appropriate, the RE shall submit the draft for review and comment by the TWG, and all comments and suggestions will be forwarded to the appropriate RE for consideration and preparation of the revised draft.
    • Comment and Review Period (Appendix B steps 9-10). Except when federal or state law or Board policy mandates otherwise, a notice of intent to promulgate containing a brief nontechnical statement of the subject matter to be addressed in the proposed policy will be issued by OGC, providing a comment period of no less than thirty (30) calendar days commencing on the date first announced to the University community. During the 30 day period, individuals and organizations may submit written comments via e-mail to policies@isu.edu regarding the proposed policy addition, amendment or repeal. Comments must include the individual's name, organization, and department. Comments which do not provide the required information will not be considered. All properly submitted comments will receive consideration, but the commenter will not necessarily receive a response. If no comments are received during the comment and review period from organizations listed on Appendix D, a notation will be made on the checklist.
    • After the close of the comment and review period, the RE will have no more than twenty-one (21) days for steps 11-14 in Appendix B to review all comments received, further consult with identifiable University organizations, and if appropriate, revise the policy proposal prior to submitting it to the OGC which will present it to the President for review and certification or the final disposition.
  • Approval and Announcement of Policies
    • The RE submits the final policy, including the Appendix D - Checklist, and Appendix E - ERG Certification, to the OGC who submits it to the President for review and certification. OGC is responsible for retention, numbering and posting of the final policy. The RE announces the policy and implements actions required by the policy, along with conducting any training that may be required.
      For additional guidance see the policy development flowchart in Appendix B.
  • Policy Format
    Policies and related procedures must be submitted using the attached policy format (Appendix C) and must include the following information:
    • The major functional area
    • The policy title
    • The Responsible Executive for the policy, i.e., President, Provost, Vice President, Athletic Director, Director of Public Safety, or HR Director
    • The Sponsoring Organization
    • Dates: effective date, revised, and annual review
    • Introduction
    • Policy Statement
    • Authority and Responsibilities
    • Definitions, if necessary for clear understanding of the policy
    • Procedures to Implement, if needed to implement the policy
    • The University President's approval certification section
    Policies and procedures may also contain the following information as necessary:
    • Background information
    • Related information and/or documents
    • Forms
    • Contacts
  • On-going Review and/or Revision of Existing Policies

    It is the responsibility of each RE to ensure the policies and procedures within his/her MFA are reviewed by the annual review date and updated accordingly. The RE must then notify the Office of General Counsel of any updates and establish a new annual review date (even if no updates are required.) An RE may initiate a review of existing policy at any time.

  • Dissemination of Information about New or Revised Policies

    A new or significantly revised policy will be announced via e-mail or released in a memorandum by the RE to University employees and/or students and will be included in the ISUPP.

  • Maintenance of the ISUPP Policies and Procedures

    The Office of General Counsel is the gatekeeper for the ISUPP and is responsible to ensure it is properly controlled and maintained. It is authorized to make minor corrections or updates without going through the entire approval process.

    The ISUPP Website serves as the policy index and accession site for official ISU policies. Copies of all finalized policies and certifications are retained by the Office of General Counsel in accordance with University record keeping policy. Other related documents for policies will be retained by the appropriate RE in accordance with University record keeping policy.

    The ISUPP Website is not intended to serve as the repository for all internal policies, procedures, and guidelines of the respective division, colleges, schools, and business and academic units of the University. In addition to the ISUPP, the division, colleges, centers, institutes, departments and business units may have internal policies and procedures specific to their operations that need not be included in the ISUPP. The division and colleges may define "departments" and "affiliated business units" according to their specific circumstances and/or accreditation requirements. For access to division, college, school and department level internal policies, procedures, and guidelines, the appropriate unit should be contacted. Any such policies and procedures must not conflict with laws, statutes, rules of the State Board of Education, and University-wide policies or regulations.

    University operations are subject to applicable federal and state law and regulations, regardless of whether the ISUPP policies are amended in a timely manner. While the ISUPP is intended to be as complete as possible, any properly adopted and approved policies and procedures which are inadvertently omitted are nonetheless operational, as if included. All policies and procedures are subject to change from time to time as approved by the University.

 

IDAHO STATE UNIVERSITY

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Pocatello, Idaho, 83209