Policy on Policy Management – 216.1

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University of Arkansas at Little Rock
Policy Name: Policy on Policy Management (formerly Policy on Policies)
Policy Number: 216.1
Effective Date: May 4, 2018

Policy:

Summary/Purpose

The purpose of this policy is to describe essential elements of all university policies; to define the manner in which university policies are developed, maintained, and published; and to promote the regular review of university policies. This policy will be reviewed annually to ensure that its practices are relevant and fulfilling its intended purpose, as well as to reconcile any duplication of committees and functions.

Policy Development and Management

Delegation of Policy-Making Authority

The University of Arkansas at Little Rock is governed by the University of Arkansas Board of Trustees. The Board of Trustees has delegated authority over executive and administrative matters to the chancellors of the University of Arkansas campuses and has delegated legislative authority over academic policies and programs to predominantly faculty governance bodies on each campus. UA Little Rock policies do not replace any Board policies or state regulations. They are not instituted to expand upon what is already in place or cover campuses that are not covered in Board policies.

University personnel initiate new policies and changes in existing policies in response to changing needs and circumstances. These policies should include controls, enhance understanding of what to do in a specific situation, improve controls, reduce risk, increase efficiency and effectiveness and elaborate on new compliance regulations or rules that are not covered under Board policy. Changes in Board of Trustees’ policies and in federal and state laws and regulations frequently require changes in campus policies and procedures; such policy changes delineate what is in Board of Trustees policy or governmental rules and regulations.

Definition of Terms
  1. University Policy: A policy or practice adopted and approved consistent with the requirements of this policy that has broad applicability beyond the internal operating procedures of a single office, department, or division.
    1. Academic Policies: Academic policies are in the purview of the Faculty Senate, subject to the approval of the chancellor, and are made through processes under the University Assembly and Faculty Senate constitution. Academic policies are posted in the Policy Library and are reflected in the faculty handbook, the student handbook, and the graduate, undergraduate, and law catalogs.
    2. Administrative Policies: Administrative policies are put in place to provide an orderly environment for faculty and staff as they do their work to accomplish the university’s purposes. Administrative policies also provide a framework for university students and off-campus persons and groups who have interactions with the university. Administrative policies are primarily directed to the operation of the university and can be initiated by any vice chancellor or other senior administrator who reports directly to the chancellor. They are subject to the approval of the chancellor. The UA Little Rock University Assembly, the UA Little Rock Faculty Senate, the UA Little Rock Staff Senate, and the student government organizations of the campus may, through their own established processes, propose and recommend administrative policies to the chancellor.
  2. Originator: Originator of policy is the university office, department, body, or official that generates a new policy (or has created an existing policy), using the policy template.
  3. Custodian: The custodian is typically the office, administrative unit, or official at the university that is most directly responsible for implementing and administering a particular university policy. The custodian is the primary contact for questions concerning implementation and administration.
  4. Administrative Divisions: The primary administrative divisions of the university.
  5. Policy Management Board: The board designated by the chancellor to serve as managers of policy process. The Policy Management Board serves as a resource for policy originators and custodians: it can aid in policy development or proposals to change to policy, and it reviews policy before chancellor approval. The Policy Management Board creates, maintains, and revises the policy template or templates.
    1. The Board will be composed of the following members: at least one member appointed by each vice chancellor to represent their divisions, one representative from University Legal Counsel, one representative from Faculty Senate, and one representative from Staff Senate.
    2. The Policy Management Board will elect a chair from within its membership.
    3. The Policy Management Board will provide feedback on all new policy proposals and will ensure that regular review of active policies is occurring, using procedures it determines for this purpose.
    4. The Board will create and oversee a mechanism and procedure by which any stakeholder of an active university policy may request the review of said policy.
    5. The Board is authorized to consult with any expert, stakeholder and/or impacted office/unit on any new or existing policies. The Board is encouraged to solicit student feedback when appropriate.
    6. The Board will conduct an impact analysis of any proposed and existing policy under review. This impact analysis may include an equity analysis.
  6. Policy Template: The template created and maintained by the Policy Management Board to ensure clarity in written policy and to provide consistency of format across policies. All university policies must be written using the current policy template before final approval.
  7. Policy Impact Statement: A qualitative statement submitted with the policy template that describes in narrative form potential financial as well as other impacts of the proposed policy to students, faculty, staff, or other units. The purpose of this statement is to facilitate interaction, collaboration and communication across units.
  8. Policy Coordinator: A staff member appointed by the chancellor to maintain a Policy Library. The policy coordinator will work with appropriate offices and individuals to publish and maintain on the university’s website a searchable electronic Policy Library of all university policies. The policy coordinator will notify all relevant parties (originator, custodian) when a proposed policy has been given approval and assigned a number; the coordinator will also notify all relevant parties when the status of an active policy changes (e.g., when it enters into review or when it is decommissioned). The policy coordinator will be responsible for archiving all policy revisions and associated documents.
  9. Policy Library: An indexed or searchable, electronic repository of all university policies.
All University Policies to Include Certain Information

University policies will be written using the Policy Management Board approved policy template. This template shall include the following information, some of which may be assigned to a policy by the custodian, appropriate administrative division head, or Policy Management Board:

*Required *Required if Relevant
*Policy Name *Related university policies, if any
*Summary/Purpose of Policy *Related external policies, statutes, or resources, if any
*Definitions of terms in policy, as relevant *Supersession and revision history
*Policy Statement *External approval, if appropriate
*Effective Date and Revised Date(s)
*Most Recent Review Date
*Status
*Originator
*Custodian
Policy Statuses and Numbers

Statuses: In Development, Active, Active-Under Review, Decommissioned

Once a policy is approved by the chancellor, it is assigned a number, following protocol established by the Policy Management Board. An “Active” status means the policy is currently in effect. “Active-Under Review” denotes a policy that is currently being reviewed, whether through routine review or requested review. “Decommissioned” denotes policies that are no longer in effect. A policy that is in the proposal stages has a status of “In Development.” (“In Development” status should not be taken as an indication that the proposal will receive approval and become an Active policy.)

Development and Approval of University Policies

Policy proposals must use the policy template and must be accompanied by a Policy Impact Statement. The Policy Management Board serves as a resource for policy originators and custodians by providing feedback on new policy proposals if requested. The Policy Management Board reviews policy proposals and advises the chancellor on them.

The originator is responsible for alerting the custodian of any current policy that will be affected (either by amendment or replacement) by a policy in development. The originator of the currently active policy or policies may also be contacted. The Policy Management Board can assist the originator in determining this process (which policies, whom to contact) during development.

Before final approval of any proposed university policy, the policy will be assigned a custodian. The custodian may be recommended by the originator, with final selection by the chancellor. In most instances, the custodian shall be the university office most directly responsible for implementing and administering the policy. Joint custodianship shared between two custodians is possible.

Once a policy is approved by the chancellor, its status will be “Active,” and the policy coordinator will disseminate it as required (which includes at minimum, placing it in the Policy Library), using procedures developed for this purpose.

Maintenance and Publications of University Policies

The policy coordinator will maintain an original and a revision history of all university policies with associated documents, including a change log and impact statement. The policy coordinator will work with appropriate administrative units and individuals to publish and maintain a searchable electronic Policy Library of all university policies. The Policy Library should be accessible on the university’s website. The Policy Library shall include a link or links to the policies and bylaws of the Board of Trustees of the University of Arkansas System.        

Preemption of University Policies

A university policy in the Policy Library supersedes and preempts inconsistent policies and procedures that are not included in the Policy Library. To be effective, a policy must be included in the Policy Library.

Decommissioning a Policy

Any originator of a policy, custodian of a policy, stakeholder, appropriate vice chancellor, or other administrator who reports directly to the chancellor, may at any time propose that a policy be decommissioned. If determined appropriate by the chancellor, then consultation of custodian, and/or administrative unit, and/or stakeholders will be initiated before decommission. The Policy Management Board or an appropriate administrative unit will oversee this process. If approved by the chancellor, the policy will be decommissioned and the policy coordinator will disseminate this change to the campus community. The policy will be removed from the Policy Library but will be retained by the policy coordinator with the status changed to “Decommissioned” with a date of decommission for archival purposes.

Review of University Policies

The Policy Management Board shall set a schedule for systematic, routine review of UA Little Rock policies. They will work in conjunction with the custodian (and, as relevant, with the originator) to assure that each policy is reviewed to make sure that it remains useful as well as consistent with applicable federal and state laws and regulations, UA System policies and bylaws, relevant Senate legislation, and other university policies. If it is determined that changes to a university policy are necessary or prudent as a part of the routine review or at any other time, the custodian or originator may propose a policy change consistent with this policy. Any stakeholder of a policy may request the review of a specific policy by following the procedures determined and disseminated by the Policy Management Board.

Report on Policy Management to University Assembly

A member of the Policy Management Board will report regularly to the president of the University Assembly in writing with a summary of all Policy Management Board activities since the previous Assembly meeting.

 


Source:
Revised: November 10, 2009; October 6, 2015; May 4, 2018
Status: Active
Approved By: Chancellor Andrew Rogerson, May 4, 2018
Originator: HLC Steering Team and Accreditation Compliance Committee
Custodian: Office of the Chancellor