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 Vice Presidents, Faculty Senate President, University Staff Advisory Council Chair, Student Government Association President, Associate Provost for Undergraduate and Online Education, one faculty representative  from each academic college nominated by the deans of the colleges, reviewed and approved by the Faculty Senate, the Provost and the President,  Chief Legal Officer (non-voting), Director of Human Resources (non-voting), Chief Compliance Officer (non-voting), and one representing the Faculty Senate (non-voting) 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. identifying Stakeholders for each policy; and
    3. 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 any additional Stakeholders for each policy; 
    3. approving submission of proposed policies and policies with substantive revisions to the President. 
  4. The HOP Coordinator is responsible for:
    1.  tracking proposed and existing policies in the HOP;
    2. notifying the DH 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 to contactfor 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. ensuring policies are uploaded to the Web and notifying the University community of revisions to the HOP and
    9. ensure the HOP is appropriately archived.
  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; and
    2. overall implementation of this policy.

F.1 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 promote policy or high-level procedure which impact multiple academic, administrative, or operating units, including students, 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
    7. Review
    8. Added, Amended, Reviewed On, and Next Review dates
  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.

F.2 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. This constitutes a first reading. 
  3. Upon approval of the proposed policy draft by the HOP Committee, the HOP Committee and/or the DH will:
    1. identify Stakeholders; and 
    2. set a timeline for completion of review. 
  4. The HOP Coordinator will assign a section number and notify the University community that a proposed or existing policy is under review and who to contact for that policy.   
  5. The DH will distribute the proposed policy draft to the Stakeholders, and if necessary, convenes a meeting to review the proposed policy draft. 
    1. distribute the proposed policy draft to the Stakeholder group for review; this review process should be completed by the due date referenced in F.2(3)(b); 
    2. compile comments from stakeholders; and 
    3. submit the reviewed/revised policy to the HOP Committee for a second reading.
  6. After Approval by the HOP Committee the proposed policy will be sent through the HOP Coordinator to the President and Chief Legal Officer for review and approval. 
  7. After approval by the President and the Chief Legal Officer, the HOP Coordinator or the Coordinator's designee posts the policy to the Web, and the policy becomes official. 
  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. 

The procedures outlined in steps 2-5 may be modified to expedite approval of mandates from external entities which have authority over the university.

F.3 Policies with No Significant Change

Proposed changes that are non-substantive do not need to be approved in accordance with this policy or reviewed by the President or Chief Legal Officer.  All changes that are non-substantive will be presented to the HOP Committee.  If any member of the HOP committee believes that a change is substantive, 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. Vice President for Operations and Chief Operations Officer
  4. Vice President for Student Success 
  5. Vice President for University Advancement 
  6. Vice President for Technology
  7. Vice President for Budget and Finance and Chief Financial Officer  
  8. Vice President for Marketing and Chief Communications Officer 
  9. Chief Legal Officer (non-voting)
  10. Chief Compliance Officer (non-voting)
  11. Director of Human Resources (non-voting)
  12. Faculty Senate President 
  13. University Staff Advisory Council Chair 
  14. Student Government Association President15. Faculty Representatives

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

AMENDED 05/2020