These procedures apply to University Policies, which have broad application across the University and meet the requirements listed in the Interim Policy on University Policy Making.
These procedures are not required for:
- Unit Policies, which only apply within a particular unit or to operations or transactions that are overseen by a particular unit. Unit Policies may not conflict with University or ABOR policies, state or federal laws, or other regulations. Units are strongly encouraged to consult with the Office of the General Counsel (OGC) if there is any uncertainty about potential conflicts. Units should also develop a process to receive input from relevant stakeholders and to obtain approval from College, Division, or other leadership before finalizing changes.
- Procedures, which describe the steps taken to implement or meet the requirements of a policy.
- Secure a Policy Sponsor. When an individual identifies a need for a new or revised policy, the individual secures a Policy Sponsor. A Policy Sponsor may be an Administrator or compliance professional who oversees the Unit responsible for the policy. Policy Sponsors may delegate the steps of these procedures, but are ultimately responsible for moving proposed policies or revisions through these procedures.
- Develop and Draft Policy Language. Policy Sponsors are encouraged to involve relevant stakeholders and obtain support from unit or University leadership (if applicable) early in the process. Stakeholders may include administrators, University units, shared governance organizations, or community groups. Policy Sponsors should also consult with OGC at this initial stage and throughout these steps to ensure the proposed policy or revisions comport with University and ABOR policies, state and federal laws, and other regulations. The Compliance Office is also available as a resource for policy development and navigating these procedures.
Policy Sponsors must use the University’s Policy Template to create the draft policy or revision (including for interim policies). For a revised policy, Policy Sponsors must create a redline version of the current policy to highlight the proposed changes. In addition, Policy Sponsors must complete a University Policy Impact and Tracking Statement.
- Request Senior Leadership Team Review. Before broader community feedback is sought, the Policy must be reviewed by the Senior Leadership Team (SLT). The Policy Sponsor should submit the Policy Template (including a redline version of the current policy, if applicable) and the Policy Impact and Tracking Statement to the Compliance Office, which will coordinate review by the SLT. The SLT will determine if the policy or revision will move forward in this process or if additional revisions are necessary. Alternatively, a member of the SLT may choose to coordinate the SLT review independently.
- Gather Stakeholder Feedback. Feedback is collected for a period of no fewer than 30 calendar days from the initial date of publication. The Policy Sponsor solicits feedback from the potential stakeholders and the University community by
- Forwarding the Policy Impact and Tracking Statement and the draft or revised policy to the University Policies Website Coordinator, who will publish the proposed or revised policy in the “Policies Under Consideration” section of the University Policies website. The draft or revised policy will remain posted until approved by the President or retracted by the Policy Sponsor;
- Inviting comments via UAnnounce and any other relevant institutional communication channels to notify potential University stakeholders, using the Form Notice of Proposed Policy Creation or Revision (Internal).
- Consider Revisions Based on Feedback. The Policy Sponsor collects feedback on the proposed or revised policy and discusses it with OGC. If OGC determines that significant substantive changes to the policy language are warranted, the revised policy language must be re-published per Step 4, above.
- Obtain SLT Endorsement: The Policy Sponsor submits the final draft or revised policy and updated Policy Impact and Tracking Statement to the Compliance Office, which coordinates with the SLT for review and endorsement. Alternatively, a member of the SLT may coordinate the SLT review independently.
- Obtain the President's Approval. If the SLT endorses the policy, the Senior Vice President for Legal Affairs and General Counsel presents the final policy to the President for review, approval, and signature. If the President approves the final policy, OGC informs the Policy Sponsor of the approved policy.
- Post the New or Revised Policy. Upon receipt of the signed policy, the Compliance Office forwards the signed policy and the Policy Impact and Tracking Statement to the Policies Website Coordinator. The Policies Website Coordinator:
- Posts the new or revised policy on the University Policies Website. Notice of the new or revised policy will be posted on the University Policies Website for 30 calendar days;
- Publishes the approved policy in UAnnounce and through other institutional communication channels, as requested;
- Forwards the signed policy and the Policy Impact and Tracking Statement to Human Resources to be maintained as a record of the policy creation or revision; and
- Adds the new or revised policy to the list of policies updated in the last year.
- Conduct Ongoing Policy Review. All policies should be reviewed on a regular basis by the Policy Sponsor or designee to ensure accuracy and relevancy, at minimum, every 5 years.
For information about this procedure, contact:
Compliance Office
(520) 621-4192
Compliance@email.arizona.edu
Kirsteen Anderson, Policies Website Coordinator
(520) 621-0466
keanderson@email.arizona.edu
Effective Date: February 15, 2019
