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Handbook of Operating Procedures
Chapter 9 - General Provisions
Publication Date: September 30, 2014
Responsible Executive: President


9.03 Handbook of Operating Procedures Amendment Approval Process


I. POLICY STATEMENT


The University of Texas at San Antonio (UTSA) Handbook of Operating Procedures (HOP) contains official policies including rules and regulations for the governance of UTSA. The rules and regulations constituting the HOP must not conflict with any rule or regulation in the Regents' Rules and Regulations. Any HOP policy that is in conflict with the Regents' Rules and Regulations is void and has no effect and guidance will be taken from the Regents' Rules and Regulations until the HOP can be brought into compliance.

The chief legal officer is responsible for reviewing and approving the legal sufficiency of the rules and regulations constituting the HOP and for advising the President regarding proposed HOP policies and any proposed changes thereto.

The president of UTSA has the authority and responsibility to approve the rules and regulations constituting the HOP.  

The president also has the authority to appoint the Compliance Officer, or his/her designee, to be the HOP Policy Coordinator.

The Office of Institutional Compliance and Risk Services (OICRS) is responsible for coordination of policy development and review and to ensure institutional compliance with this policy.   

The HOP Committee has authority over the development and review processes of new and existing policy.


II. RATIONALE


This policy sets forth the procedure for amending UTSA's HOP including obtaining input from faculty, staff and student governance bodies that may be affected by change in policies and procedures.


III. SCOPE


This policy applies to any significant change to a HOP policy, including the addition, reformatting, modification, or deletion of policies and procedures.


IV. WEBSITE ADDRESS FOR THIS POLICY


http://www.utsa.edu/hop/chapter9/9-3.html


V. RELATED STATUTES, POLICIES, REQUIREMENTS OR STANDARDS


UTSA or UT System Policies or the Board of Regents' Rules & Regulations

  1. UT System Regents' Rule 20201, Presidents
  2. UT System Regents' Rule 10100, Rule on Rules and Regulations
  3. UT System Regents' Rule 40101, Faculty Role in Educational Policy Formation

VI. CONTACTS


If you have any questions about HOP policy 9.03, Handbook of Operating Procedures Amendment Approval Process, contact the following office:

The Office of Institutional Compliance and Risk Services
210-458-4992


VII. DEFINITIONS


Educational policy: HOP policies that pertain to the areas of faculty responsibility as set forth in Regents' Rule 40101.

Governance of the institution: Consists of the policies and procedures, except medical procedures or protocols, affecting the way UTSA directs, administers or controls the institution. This includes policies and procedures:

  1. Directing compliance with applicable state and federal laws and regulations, Regents' Rules and Regulations, and UT System policies and policies with System-wide application;
  2. Addressing or affecting the responsibility and/or authority of the various offices and bodies that make up the institution; and
  3. Addressing the relationships between administration, faculty, students, and staff and institutional values and/or goals.

HOP Committee: The committee appointed by the president to review and make recommendations to the president regarding the HOP. The HOP Committee membership includes the president or his or her designee, the vice presidents or their respective designees, the Faculty Senate chair, Staff Council chair, Student Government Association president, the policy coordinator, and other individuals as appointed by the president.

Policy coordinator: Person or office appointed by the institution's president to ensure institutional compliance with this policy.

Responsible executive: The 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.

Significant change: A change that results in a substantive change in the rule including changes to essential principle(s), scope or application of the HOP policy or procedure. Editorial changes, changes to reflect institutional organizational changes, paragraph and outline numbering, and reference citations are not significant changes.


VIII. RESPONSIBILITIES


  1. HOP Committee
    1. Reviews and makes recommendations to the president regarding changes to HOP policy.
  2. Policy coordinator
    1. Serves as chair of the HOP Committee
    2. Facilitates the process of approving new and significant changes to HOP policy.
    3. If requested by the President, facilitates the submission of policies to the UT System Vice Chancellor and General Counsel for approval.  
  3. Office of Legal Affairs
    1. Reviews the legal sufficiency of all new HOP policies and significant changes to existing HOP policies to ensure consistency and compliance with all applicable state and federal laws and regulations, Regents’ Rules and Regulations and UT System policies. 
    2. Based upon that review, directs specific revisions to resolve any inconsistency or noncompliance with the applicable laws, regulations, Regents’ Rules and Regulations or policies.  Also provides general advice and recommendations regarding the proposed policy.       
    3. Consults, as needed, with the UT System Office of General Counsel.
  4. Chief Legal Officer
    1. Approves the legal sufficiency of all policies.
    2. Advises the President regarding proposed HOP policies and proposed changes to HOP policies.  Also advises the president regarding policies that might benefit from review and approval by the UT System Vice Chancellor and General Counsel.
  5. President
    1. Approves a proposed policy,  , returns the proposed policy to the HOP Committee for further consideration, or requests approval of the proposed policy by the UT System Vice Chancellor and General Counsel.

IX. PROCEDURES


  1. Designations and Responsibilities    
    1. The policy coordinator will chair the HOP Committee. The HOP Committee wil review all HOP sections and for each policy is responsible for designating a responsible executive; determining a periodic review schedule; designating, with the concurrence of the Faculty Senate, whether it pertains to the areas of faculty reponsibility in educational policy formulation; and documenting and facilitating appropriate consultation and stakeholder review.
  2. HOP Review Process
    1. Policies Not Related to Educational Matters
      1. A University administrator proposing a new HOP policy will draft the policy, in prescribed HOP policy template format, and prepare a statement of background and rationale for the new policy. (The policy coordinator will provide assistance upon request.) A University administrator proposing an amendment to an existing HOP policy will prepare a draft with annotated changes along with a statement of background and rationale for the amendment. The proposing administrator will route the documents through the appropriate responsible executive(s) or their designees.
      2. The responsible executive (vice president or president), after review and preliminary approval, will submit the proposal to the policy coordinator who will distribute it to the HOP Committee. The HOP Committee will determine the appropriate stakeholder review and comment period. Policies unrelated to educational matters will normally be reviewed within 60 calendar days.
      3. The policy coordinator will distribute the proposed HOP policy to affected stakeholders with a timeline for comment and review.
      4. Timely advisory input from stakeholders will be provided to the policy coordinator who will coordinate with the responsible executive or their designee for consideration of the comments and response, if appropriate.
      5. The responsible executive will resubmit the proposed HOP policy with any necessary changes to the HOP committee. The committee will determine whether additional stakeholder review is necessary given the substance of the revisions.
      6. Once a majority of the HOP committee has approved the proposed HOP policy, it will be submitted to the Office of Legal Affairs (OLA) for a legal sufficiency review. OLA will direct the OICRS to revise any provisions that are inconsistent or in conflict with applicable state and federal laws and regulations, Regents’ Rules and Regulations or UT System policies.  OLA also may provide the OICRS with advice and recommendations for any additional changes. Such advice and recommendations, which should be treated as confidential in accordance with Section IV D, below, may be submitted to the HOP Committee for their further review.
      7. Once the proposed policy has been reviewed by OLA and any changes have been incorporated, OICRS will submit the policy to the chief legal officer for his/her final approval of the policy’s legal sufficiency or for recommendation to the President to submit the policy for approval to the UT System Vice Chancellor and General Counsel.
      8. The president will then approve the policy, return the proposed policy to the HOP Committee for further consideration or ask the policy coordinator to submit the policy to the UT System Vice Chancellor and General Council for approval.
    2. Educational Policy
      1. New or amended educational policies will be reviewed in accordance with Section IX.B.1. (a.-h.)
      2. Review by the Faculty Senate is requested within 60 calendar days. Special circumstances for time extension may be considered by the HOP Committee.
    3. HOP Policies with No Significant Changes
      1. Proposed changes to HOP policies that are not significant as determined by the policy coordinator and majority of the HOP committee do not need require approval in accordance with this policy.
  3. Each HOP policy will be reviewd in accordance with the review schedule and timelines using the applicable process in Section IX.B above.
  4. If the president determines a policy should be approved by the UT System Vice Chancellor and General Counsel, the submission should include any changes with annotated changes and include a brief background and rationale for the proposed policy.
  5. After the policy is approved, the policy coordinator will update the web online HOP and notify the University community via email.

X. SPECIAL INSTRUCTIONS FOR INITIAL IMPLEMENTATION


None


XI. FORMS AND TOOLS/ONLINE PROCESSES


None


XII. APPENDIX


None