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University Policy Program

Policy
Purpose: 

To align operations and set expectations across the institution regarding the development and promulgation of policies.

Applies to: 

To all units that develop and promulgate policy at the University of Kansas.

Campus: 
Lawrence
Edwards
Parsons
Juniper Gardens
Yoder
Topeka
Contents: 
Policy Statement: 

It is anticipated and encouraged that all policies ultimately reside in the policy library.

Criteria for Establishment of Policy
Units may initiate the development of policies when warranted in order to (a) implement Board of Regents policy; (b) achieve compliance with laws, rules, or regulations; or (c) appropriately address institutional interests and promote efficiency and effectiveness.

Campuses, schools, academic departments and programs, and non-academic units may develop policies to govern their operations in response to their unique needs so long as they do not conflict with policies of superordinate bodies. Units may not develop policies that are inconsistent with, or less restrictive than, policies of a superordinate body.

Campus-specific or unit-specific policies may be developed and adopted whether or not a superordinate policy exists, except where a Board of Regents or University-wide policy specifically prohibits units from establishing policies that differ from the corresponding superordinate policy.

University-wide Policies
University-wide policies mandate or prohibit specific actions of faculty, staff, and/or students, as well as the actions of affiliated corporations or individuals who visit campus or otherwise use university resources or services.

The chancellor has final authority to establish university-wide policies. University-wide policies apply to all campuses and locations that report to campuses in the KU system.

Campus-specific Policies
Campus-specific policies mandate or prohibit specific actions of faculty, staff, and/or students on a specific campus, as well as the actions of affiliated corporations or individuals who visit that campus or otherwise use its resources or services.

The appropriate provost or executive vice chancellor, or designee, has final authority to establish campus-specific policies. Depending on the nature of the policy, the chancellor’s approval may be sought.

Unit-specific Policies
Unit-specific policies mandate or prohibit specific actions by members of the unit including faculty, staff, and/or students.

The appropriate provost or executive vice chancellor, dean, or designee, has final authority to establish unit-specific policies. Depending on the nature of the policy, approval from higher-levels may be sought.

Policy Hierarchy
Policies of subordinate bodies must not be inconsistent with, or less restrictive than, the policies developed by higher bodies.

The Board of Regents promulgates administrative regulations and sets umbrella policies and procedures that apply to all schools within their system. The Board’s regulations are found in the Kansas Administrative Regulations and the Board’s policies are made available via the Board of Regents Policy Manual.

Responsibilities
Primary policy contacts must consult with representatives from target audiences during the development phase of both new and significantly revised policies.

Primary policy contacts are responsible for all activities and communications relevant during the implementation of a new or substantially revised policy. Primary policy contacts must periodically review and monitor their policies and procedures for accuracy, efficiency, and effectiveness. Primary policy contacts are responsible for communicating with relevant stakeholders when policies are created, revised, or retired; they are also responsible for policy interpretation, with support from appropriate stakeholders and functional experts. Primary policy contacts must also ensure that all monitoring, enforcement, and compliance activities are appropriate for the level of risk managed. The subject matter expertise of the Policy Office is on the policy program at KU. Thus, it is not appropriate for the Policy Office to be the primary policy contact for policies outside of those that are necessary for the establishment and operations of the policy program.

The Policy Office consults with the responsible unit (primary policy contact) during the process of policy development and shepherds policies through the approval process. The Policy Office ensures that the final approver of the policy is aware of its development and, when appropriate, seeks advice from the Office of the General Counsel. The Policy Office is available to assist units in determining the appropriate stakeholder groups and contacts who should be consulted during the creation or revision process (click the following to view the policy development and approval process for the Lawrence campus and all reporting units). The Policy Office is responsible for maintenance and oversight of the Policy Library, the university’s official repository for policy.

Contact: 
Approved by: 
Chancellor
Approved on: 
Tuesday, July 1, 2014
Effective on: 
Tuesday, July 1, 2014
Review Cycle: 
Annual (As Needed)
Definitions: 

Administrative regulation: Implements and supplements federal or state laws and has precedence over policies, guidelines, and procedures.
Policy: Mandates what one must do or what one is prohibited from doing.
Guidelines: Outlines best practices that individuals are encouraged to comply with, also an index-type document that outlines other policies or laws in place for a particular topic/issue.
Procedures: Operational processes necessary to implement institutional policy or carry out specific institutional functions, provide details of who performs specific steps, when and how they should be performed.
Unit-specific policy: A policy developed by a university unit for members of that unit.
Campus-specific: A policy developed by a university unit that applies to members beyond the unit.
Primary Policy Contact: The unit with primary subject matter responsibility for interpretation, review, and compliance with the policy.

Keywords: 
policy, development, approval, hierarchy
Review, Approval & Change History: 

10/03/2016: Relocated/updated clarification of terms to definitions section and modified formatting.
08/26/2015: Corrected typos in final paragraph of policy statement.
04/03/2015: Fixed broken link to Board of Regents Policy Manual.
12/17/2014: Updated link to Board of Regents Policy Manual.
11/24/2014: Updated link to Board of Regents Policy Manual.

Prior to the Chancellor granting final approval to this policy, it was reviewed and endorsed by the Office of Institutional Compliance, the Office of the General Counsel, Vice Provosts and Vice Chancellors on the KU Lawrence and KUMC campuses, and the Executive Vice Chancellors on both campuses.


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