1.1.1 Policy on Handbook of Operating Procedures

A. Purpose

The purpose of this policy is to establish the procedures for submitting recommendations to the President for amending The University of Texas at Tyler Handbook of Operating Procedures (HOP), including obtaining input from faculty, staff and student governance bodies that may be affected by changes in policies and procedures.

B. Persons Affected

This policy applies to administrators, faculty, staff and students of the University.

C. Definitions

  1. Division Head (DH). President, or his or her designee, or Vice President, or his or her designee, who is responsible for the programmatic, functional or administrative areas addressed by the policy and procedure.
  2. HOP Coordinator. The Provost or a designee from the Office of the Academic Affairs who is responsible for formatting, tracking and organization of Handbook of Operating Procedures and to ensure institutional compliance with this policy.
  3. Employees. Includes faculty and staff (full-time and part-time), direct-wage and work-study.
  4. HOP Committee. The committee appointed by the President to review and make recommendations regarding the HOP to the President. The committee includes the President, Vice Presidents, Chief Legal Officer, Faculty Senate President, University Staff Advisory Council President Chair, Student Government Association President, Associate Provost for Undergraduate and Online Education, six Faculty Representatives (selected by the Faculty Senate) and others who will be identified, as needed, by the HOP Committee that oversees all policies proposed and in the Handbook of Operating Procedures.
  5. Non-substantive Change. A change that does not change the essential principle(s), scope or application of a policy.
    Non-substantive changes such as edits, which are not intended to change the meaning of the policy but are necessary for correctness, accuracy, organization, consistency, and usefulness including the format (margins, indents, bullets, etc.), fonts (Arial, caps, bold), punctuation, spelling, paragraph and outline numbering, pagination, hypertext links, and reference citations, do not need to be approved nor sent to The University of Texas System for review and approval.
  6. Stakeholders. Groups that have knowledge of and are most impacted by a proposed policy or a policy under review.
  7. Substantive Changes. A change that changes the essential principle(s), scope or application of the policy in some way.

D. Policy

The HOP is the official repository of policies established for the governance of the University. The rules and regulations constituting the HOP must not conflict with any rule or regulation in the Regents’ Rules and Regulations. Any HOP rule or regulation that is in conflict with any rule or regulation in the Regents’ Rules and Regulations is null and void and has no effect.

The HOP will be written such that it does not add administrative burden to compliance and that it provides the proper degree of autonomy and integration to each division.

E. Responsibilities

  1. The President is responsible for approving substantive amendments to the policies and procedures constituting the HOP.
  2. The Division Head (DH) is responsible for:
    1. approving the submission of new policies or revisions to existing policies to be sent to the HOP Committee for further review;
    2. ensuring that policies for which he or she is the DH are reviewed within the review cycle listed on the policy. 
  3. The HOP Committee is responsible for:
    1. identifying the DH for each policy;
    2. identifying Stakeholders for each policy; 
    3. approving submission of proposed policies and policies with substantive and non-substantive revisions to the President. 
  4. The HOP Coordinator is responsible for:
    1. tracking proposed and existing policies in the HOP;
    2. notifying the Division Head and the HOP Committee when policies are due for review; 
    3. notifying the University when a proposed or existing policy is under review and who the Stakeholders are for that policy;
    4. calling regular meetings of the HOP Committee;
    5. assigning section numbers to new policies;
    6. reviewing policies for consistency and compliance; 
    7. preparing policies that have been approved by the HOP Committee for submission to the President;
    8. notifying the University community of revisions to the HOP. 
  5.  Stakeholders are responsible for:
    1. reviewing and responding to requests for review of policy drafts; and
    2. submitting advisory input regarding policies.
  6. The President is responsible for:
    1. Approving policies for the University 
    2. overall implementation of this policy
    3. Ensuring policies are uploaded to Web; and
    4. Ensuring the HOP is archived annually. 

F. Procedures/Guidelines for Implementation

  1. To ensure that the HOP provides the proper degree of autonomy and integration, the following guidelines should be considered when drafting or amending policies in the HOP:
    1. The policy should help ensure compliance with applicable laws and regulations, promote operational efficiencies, enhance the mission or reduce institutional risks.
    2. The policy should establish a governing principle that has University-wide application.
    3. The policy should communicate an important governing principle rather than specifying operational detail.
    4. The policy should avoid dictating policy or procedure that could be better determined by a division within the University.
  2. In accordance with Regents’ Rules Series 20201, Section 4.9, the President shall develop and administer the rules and regulations for the governance of the institution and any related amendments. Such rules and regulations shall constitute the Handbook of Operating Procedures for the University.  
  3. The President has designated the Provost's Office as the University office responsible for coordination of policy development and review. The development and review process will include an opportunity for faculty, staff and student governance bodies to provide advisory input regarding proposed changes to policies that may impact the respective groups. 
  4. Each policy in the HOP shall have the following subsections:
    1. Purpose
    2. Persons Affected
    3. Definitions
    4. Policy
    5. Responsibilities
    6. Procedures; and
    7. Review
  5. Each policy in the HOP shall be placed within one of the six sections of the HOP:
    1. Section 1: Authority, Delegation and Administration
    2. Section 2: General Policies and Procedures  
    3. Section 3: Faculty and Academic Policies 
    4. Section 4: Business, Fiscal and Facility Policies  
    5. Section 5: Student and Student Life Policies  
    6. Section 6: University Advancement 
  6. Each policy in the HOP shall be reviewed within the review timeline scheduled on the policy.

Proposed New Policies or Substantive Changes

  1. A university office proposing a new policy, or a substantive change to an existing policy, will draft the policy in correct HOP format and prepare a statement of background and rationale for the new policy. The draft and supporting documents will be submitted through the appropriate dean, director or administrative head up to the Division Head (DH), or his or her designee, for policy development. 
  2. The DH presents justification for the proposed policy to the HOP Committee. 
  3. Upon approval of the proposed policy draft by the HOP Committee, the HOP Committee will:
    1. identify Stakeholders; and 
    2. set a timeline for completion of review. 
  4. The HOP Coordinator will:
    1. begin tracking; and 
    2. assign a section number. 
  5. The DH will distribute the proposed policy draft to the Stakeholders, and if necessary, convenes a meeting to review the proposed policy draft. 
  6. The DH resubmits the draft for approval to the HOP Committee.
  7. The HOP Committee reviews the proposed policy draft.
  8. Once a majority of the HOP Committee supports the proposed policy draft, the proposed policy draft will be sent through the HOP Coordinator to the President.  and Chief Legal Officer for discussion and approval. 
  9. The President will share the proposed policy with the President’s Cabinet for discussion and input. 
  10. All rules and regulations or amendments in this Handbook of Operating Procedures must be approved by the President and by the University’s chief legal officer. 
  11. After approval by the President and the chief legal officer, HOP Coordinator or the Coordinator's designee uploads the policy to the Web, and the policy becomes official. 
  12. The HOP Coordinator notifies the University community of the new policy. 

Policies with No Significant Change

Proposed changes that are not significant do not need to be approved in accordance with this policy or reviewed by the Executive Vice Chancellor or Vice Chancellor and General Counsel.  All changes that are not significant will be presented to the HOP Committee.  If any member of the HOP committee believes that a change is significant, the item will be referred to the HOP Coordinator for a determination by the President. 

G. Review

The Divisional Head for this policy is the President and this policy shall be reviewed every five years or sooner, if necessary, by the following Stakeholders:

  1. HOP Coordinator
  2. Provost/Vice President for Academic Affairs
  3. Chief Operations Officer
  4. Vice President for Student Success
  5. Vice President for University Advancement
  6. Vice President for Technology
  7. Chief Financial Officer 
  8. Chief Legal Officer
  9. Faculty Senate President
  10. University Staff Advisory Council Chair
  11. Student Government Association President
  12. Vice President for Marketing and Communications

AMENDED:  04/13/2011
REVIEWED:  AY 2014-15
AMENDED:  04/2019