UPPS 01.01.01 - Policy and Procedure Statement System

POLICY STATEMENT

Texas State University is committed to maintaining university and divisional policies and procedures that provide guidance for the university community.

1. SCOPE

   1. The Policy and Procedure Statement (PPS) system provides:

      1. a standard form of communicating university (UPPS) and divisional (PPS) policies and procedures;

      2. a structure for regular interval reviews of UPPSs and PPSs;

      3. a means for reviewing UPPSs and PPSs on an as-needed basis to remain consistent with current practices; and

      4. a means for assuring agreement between current practices and applicable regulations and laws.

   2. UPPSs and PPSs impact all Texas State University staff, faculty, students, and guests by providing behavior guidelines and communicating responsibilities, rights, or regulations instituted on the San Marcos and Round Rock campuses. The Policy and Procedure Statements website includes all official UPPSs and PPSs and links to the Texas State University System (TSUS) policies. Recent updates to UPPSs and PPSs will also be posted on the Policies and Procedures Statements Recent Updates page.

2. DEFINITIONS

   1. Divisional Representative – the appropriate division’s representative, or designee, responsible for maintaining policies.

   2. Non-Substantive Change – a change that does not impact the policy or procedure outlined. Examples include typographical errors, grammatical errors, updated links, and title changes. Non-substantive changes do not require a full review by all divisions

   3. Pen and Ink Changes – any revisions where only specific sections of a policy are addressed without a review of the entire document, producing a “pen and ink” revision. If the entire document is reviewed, the review is not considered a pen and ink change. Pen and ink changes will be noted in a policy document by an asterisk beside the updated section and inclusion of a “Revised Date” in the header. Pen and ink changes will not move the issue number or next review date forward.

   4. Policy and Procedure Statements Website – the official website where all UPPSs and PPSs will be published and maintained and links to TSUS policies will be provided.

   5. Program Specialist for Policies and Procedures – the person responsible for maintaining and facilitating the review process and posting approved policies to the PPS website.

   6. Red-Line Draft – document containing mark-ups in which deletions are lined through and additions are underlined using the Microsoft Word editing format (Track Changes).

   7. Reduced Document – an official policy statement that was once a UPPS but has been reduced to the division level.

   8. Review Cycles – systematic process of periodically evaluating and updating a policy to ensure it remains relevant, effective, and aligned with current regulations, organizational goals, and industry best practices. The senior reviewer, as listed in the header and the reviewers’ section of each policy, will review policies routinely every five years (E5Y) but no longer than every 10 years (E10Y). Out-of-cycle reviews and pen and ink changes can be made within the five-year review cycle, as needed.

   9. Reviewer – a stakeholder in the policy or procedures being outlined and reviewed. Reviewers assist senior reviewers in reviewing proposed changes to policies and in the creation of new policies.

   10. Reviewers’ Approval Form – an electronic form signed by all reviewers indicating they concur with the proposed revision. In lieu of a Reviewers’ Approval form, confirmation emails may serve to indicate approval.

   11. Senior Reviewer – typically the person most knowledgeable about policy content. If the identity of the senior reviewer is not apparent, the President’s Cabinet will identify the appropriate individual for UPPSs and the division’s vice president will identify the appropriate individual for PPSs.

   12. Substantive Change – a change to policy that impacts the context of the policy or procedure outlined.

3. GENERAL INFORMATION

   1. Divisions responsible for PPSs are outlined as follows:

      1. Division of Academic Affairs – AA/PPS;

      2. Division of Finance and Support Services – FSS/PPS;

      3. Division of Information Technology – IT/PPS;

      4. Division of Student Success – SS/PPS;

      5. Division of University Advancement – UADV/PPS;

      6. Division of Research – R/PPS;

      7. Division of TXST Global – G/PPS;

      8. Division of Marketing and Communications – MC/PPS

      9. Athletics – A/PPS; and

      10. President’s Office – P/PPS.

   2. Any person within the university community may originate or recommend a new UPPS or request revisions to an existing one.

   3. Any person within a division can recommend to the division vice president a new PPS or request revisions to an existing one.

   4. The originating department will assess a policy based on its:

      1. necessity;

      2. ability to reflect the best practice;

      3. clarity and understandability; and

      4. effect on customers and stakeholders.

   5. Official versions of UPPSs and PPSs will be available on the PPS website. The Institutional Compliance and Ethics office is the official repository for all UPPS files, all past versions of UPPSs, and reduced or deleted UPPSs. Electronic UPPS archived files can be requested from the Institutional Compliance and Ethics office, and copies of PPSs can be requested from each division’s representative. A list of divisional representatives can be found on the Policy Resources page.

   6. If a conflict occurs between a UPPS and a policy reflected in documents of a higher authority (e.g., federal law, state law, Texas Higher Education Coordinating Board policy, TSUS Rules and Regulations), the policy as outlined in the document of higher authority will prevail.

   7. If a conflict occurs between a PPS and the policy outlined in a UPPS, the UPPS will prevail.

   8. All university employees will be responsible for staying current on official UPPS and PPS revisions and complying with procedures.

4. PROCEDURES FOR REVIEW OF EXISTING UPPS DOCUMENTS

   1. The senior reviewer, in consultation with listed reviewers, will update UPPS documents to include all necessary modifications.

      1. The divisional representative will receive a notice from the program specialist for Policies and Procedures to start UPPS review, three months prior to policy due date. This reminder must then be sent out to the senior reviewer for review of existing policy.

      2. The senior reviewer will prepare a red-line draft using the issue received from the divisional representative (see proper format for detailed instructions and refer to the Editorial Style Guide adopted by Texas State). All policies sent out for review must include a short justification statement explaining the reasons for any updates or confirming that the policy underwent a scheduled review but remains unchanged. This statement can be placed as a summary above Section 01. or justification statements can be inserted immediately after any major changes within the document. The location will be up to the discretion of the senior reviewer.

      3. The senior reviewer will route the revised draft and a Reviewers’ Approval Form to all listed reviewers for electronic signature.

         1. Multiple Reviewers – The revised UPPS will address comments from all reviewers. The senior reviewer will obtain a consensus from all reviewers regarding proposed changes. Signing the Reviewers’ Approval Form or submitting an email approval will demonstrate consensus.

         2. Lack of Approval – If a reviewer refuses to sign off on the Reviewers’ Approval Form after at least two notification attempts, the senior reviewer will notate on that reviewer’s signature line on the Reviewers’ Approval Form that the reviewer refuses to sign, and the decision can be made to remove that role as a reviewer of the UPPS.

         3. Lack of Consensus – If reviewers cannot come to consensus, the senior reviewer will determine which changes to recommend to the President’s Cabinet. The senior reviewer must make the views of the other reviewers known to the President’s Cabinet in the comment section of the Reviewers’ Approval Form.

      All changes and comments must be resolved and approved by listed reviewers before submission of the documents by the senior reviewer to the divisional representative. No internal comments must be left unresolved within the document when the policy is sent out for divisional review.

   2. The senior reviewer will email a copy of the revised draft UPPS (with live and accurate links, where appropriate) and the completed Reviewers’ Approval Form to the appropriate divisional representative. In cases where proposed changes are specific to only selected sections of the policy and not a complete review of the entire document, the senior reviewer will note in the email that the revision is “pen and ink.” As the owners of policy content, senior reviewers must ensure policies are submitted on time, content is up to date, and all links are and continue to be live and current.

   3. The divisional representative will be tasked with emailing the UPPS red-line draft and signed Reviewer’s Approval form to the program specialist for Policies and Procedures for tracking and filing. The program specialist for Policies and Procedures will then send out the UPPS red-line draft out for review and comment to all other divisions. In the email, the program specialist for Policies and Procedures will:

      1. notate whether the review is a full review or a “pen and ink” review;

      2. request that comments be submitted through the PPS comments submission page by a specified deadline, with a review period of no less than two to three weeks, depending on the extent of the changes to the document. One-week due dates for divisional comments will only be acceptable when the policies are being expedited due to unforeseen circumstances.

   4. The divisional representative for the President’s Office will circulate red-line drafts of UPPSs to:

      1. TSUS legal staff;

      2. the chief compliance officer for Institutional Compliance and the assistant vice president of Institutional Research; and

      3. Staff Council.

   5. By end of the day on the comments submission deadline, the program specialist for Policies and Procedures will remove the option to comment on policies from the website, and will then begin compiling the comments into a list. These will be sorted as either substantive or non-substantive. This comments list will be sent to the senior reviewer for consideration. The correspondence will include a one-week deadline for response.

   6. The senior reviewer must address each comment, noting whether to incorporate the change by stating “CONCUR” or by stating “DO NOT CONCUR” if the senior reviewer disagrees with the suggested comment. If they indicate agreement, senior reviewers must include the updated language they would like to be included. If they indicate disagreement, a short explanation of why must be included. Once completed, the senior reviewer will send the document to the program specialist for Policies and Procedures and copy the respective divisional representative. Senior reviewer responses will be made available to faculty and staff on the Policy and Procedure Statements website (login will be required).

   7. After the senior reviewer submits their responses to the program specialist for Policies and Procedures, the corresponding policy will be transitioned to the status of “Pending President’s Cabinet Approval.” The President’s Cabinet approval emails will be sent once a month, depending on the number of policies available for their review. No response by vice presidents within the two-week response period will constitute automatic approval.

      1. Electronic Approval – The program specialist for Policies and Procedures will send all red-line drafts and senior reviewer comment responses to the President’s Cabinet.

         1. In the event an electronic approval does not occur for a specific UPPS, the program specialist for Policies and Procedures will request the draft UPPS be reviewed at the next President’s Cabinet meeting. The President’s Cabinet will review challenges related to policy changes and make the final decision on how to proceed. The policy will be placed on HOLD until the President’s Cabinet decision is made.

         2. When UPPSs are approved electronically by the President’s Cabinet, the approvals will be reflected in the UPPS Review Minutes, which will then be sent to all divisional representatives and President Cabinet members. These official UPPS review minutes will note the effective date of the UPPS.

      2. Final Draft of Approved UPPSs

         1. Upon receipt of the President’s Cabinet minutes, the program specialist for Policies and Procedures will incorporate approved comments into the respective red-line draft for final processing and posting to the Policy and Procedure Statements website.

   8. Special procedures for the approval of a UPPS without prior review:

      1. The university will bypass the standard review protocol exclusively in instances where governmental mandates necessitate immediate action to ensure legal compliance. Such bypasses must be initiated by a member of President’s Cabinet, with all relevant documentation (e.g., emails, mandate links, etc.) submitted to the Policies and Procedures office for inclusion in the policy’s electronic files. Policies that adhere to this process will be documented in the upcoming President’s Cabinet minutes.

      2. If the president, or designee, determines that circumstances require the immediate implementation of a new UPPS, the president, or designee, may waive any or all steps outlined above and approve a UPPS without following the review cycle described above. The president, or designee, has approval authority of any waiver or exception to a UPPS not otherwise specified in the UPPS. Such presidential approval authorizes immediate implementation or dissemination of the policy, with a substantive review to follow.

5. PROCEDURES FOR REVIEW OF EXISTING DIVISION POLICY AND PROCEDURE STATEMENTS

   1. Senior reviewers will update PPSs to include all necessary modifications.

      1. The divisional representative will retrieve the official Word document from the Policy and Procedure Statements website and forward it to the senior reviewer for review.

      2. The senior reviewer will prepare a red-line draft using the issue received from the divisional representative (see proper format for detailed instructions and refer to the Editorial Style Guide adopted by Texas State).

      3. The senior reviewer will route the revised draft and a Reviewers’ Approval Form to all listed reviewers.

         1. Multiple Reviewers – The revised division’s policy and procedure statement will address comments from all reviewers. The senior reviewer will obtain a consensus from all reviewers regarding proposed changes. Signing the Reviewers’ Approval Form or an email approval demonstrates consensus.

         2. Lack of Approval – If a reviewer refuses to sign off on the Reviewers’ Approval Form after at least two notification attempts, the senior reviewer will notate on that reviewer’s signature line on the Reviewers’ Approval Form that the reviewer refuses to sign, and the decision can be made to remove that role as a reviewer of the division’s policy and procedure statement.

         3. Lack of Consensus – If reviewers cannot come to consensus, the senior reviewer will determine which changes to recommend to the divisional vice president. The senior reviewer must make the views of the other reviewers known to the divisional vice president in the comment section of the Reviewers’ Approval Form.

   2. The senior reviewer will email a copy of the red-line draft PPS (with live and accurate links, where appropriate) and the completed Reviewers’ Approval Form to the appropriate divisional representative for tracking. As the owners of policy content, senior reviewers must ensure policies are submitted on time, content is up to date, and all links are live and current.

   3. The divisional representative will send the red-line draft to the divisional vice president for final approval.

   4. Once approved by the divisional vice president, the divisional representative will incorporate all agreed-upon changes in the policy and email the policy to the program specialist for Policies and Procedures for final processing and posting to the Policy and Procedure Statements website. It is the responsibility of each division to maintain documentation regarding updates to divisional policies in case of TSUS audit.

6. PROCEDURES FOR INTRODUCING A NEW UNIVERSITY POLICY AND PROCEDURE STATEMENT

   1. The appropriate vice president will identify reviewers when a new UPPS has been proposed. As necessary, the President’s Cabinet will select a senior reviewer in cases of more than one candidate.

      1. Senior reviewers will develop a draft UPPS that addresses the identified needs (see proper format for detailed instructions and the Editorial Style Guide adopted by Texas State).

      2. Key stakeholders must have an opportunity to comment.

      3. Reviewers must consider legal ramifications.

      4. Reviewers must address conflicting issues with existing UPPS and across divisions.

   2. The senior reviewer will forward the completed UPPS draft with live and accurate links, where appropriate, along with the signed Reviewers’ Approval Form, to the appropriate divisional representative.

   3. The divisional representative will email the proposed UPPS to the program specialist for Policies and Procedures for an assigned UPPS number.

   4. Once the red-line draft is finalized and all reviewers have signed off on the Reviewers’ Approval Form, the divisional representative will follow steps outlined in Sections 04.03-04.08.

   5. Special procedures for introducing a new UPPS without prior review:

      1. If the president, or designee, determines that circumstances require the immediate implementation of a new UPPS, the president may waive any or all steps outlined above and approve a UPPS without following the review cycle described above. The president has approval authority of any waiver or exception to a UPPS not otherwise specified in this UPPS.

      2. Documentation for the reason the policy is bypassing regular review must still be submitted to the program specialist for Policies and Procedures to be included in the policy’s file folder. Policies that adhere to this process will be documented in the upcoming President’s Cabinet minutes.

      3. Such presidential approval authorizes immediate implementation of the policy, with a substantive review to follow.

7. PROCEDURES FOR INTRODUCING NEW DIVISIONAL POLICY AND PROCEDURE STATEMENTS

   1. PPSs specify policies and procedures that guide each division in executing areas of responsibility.

   2. The appropriate vice president will identify reviewers when a new division policy and procedure statement has been proposed and will select a senior reviewer in cases of more than one assigned reviewer. In order to avoid conflicts among PPSs, each vice president will assure consultations between appropriate stakeholders in other divisions.

      1. Senior reviewers, with feedback from other assigned reviewers, will develop a draft PPS addressing the identified needs (see proper format for detailed instructions and The Editorial Style Guide adopted by Texas State).

      2. Key stakeholders must have an opportunity to comment.

      3. Reviewers must consider legal ramifications.

      4. Reviewers must address conflicting issues with existing UPPS and other PPSs.

   3. The senior reviewer will forward the completed PPS with live and accurate links, where appropriate, along with the signed Reviewers’ Approval Form, to the appropriate divisional representative.

   4. The divisional representative will email the proposed PPS to the program specialist for Policies and Procedures for an assigned PPS number.

   5. The divisional representative will send the draft PPS to the appropriate vice president for review and approval.

   6. The divisional representative will send the final PPS to the program specialist for Policies and Procedures for processing and posting to the Policy and Procedure Statements website.

8. GUIDELINES FOR ACCEPTABLE LINKS WITHIN POLICIES

   1. Official UPPSs and PPSs may include links but will not include “attachments” to other documents (e.g., templates), as the Policy and Procedure Statements website will not maintain or publish such files. Senior reviewers and divisional representatives are responsible for the maintenance of links and linked documents found within policies.

   2. If a senior reviewer would like to include or reference files, these should be maintained on the department’s own website and a web address link (i.e., a URL) should be provided within the policy. To enhance the longevity and reliability of policy links, it is recommended that they be used sparingly throughout the policy text. Instead, a dedicated section for frequently referenced links could be included. This approach would minimize the occurrence of broken links and ensure that all references remain easily accessible and up to date.

   3. It is never acceptable to include links to “unofficial” or “unapproved” policies or procedures within an officially approved UPPS or PPS. Policies or procedures that are maintained on an individual department website and that are subject to update or revision without following the formal policy review and approval process, could potentially impact the integrity of the officially approved policy.

   4. Acceptable links within a policy include:

      1. forms and templates:

         1. include a “latest revised” date at the bottom of each page (e.g., “office name – date”); and

         2. include an ownership identifier at the bottom of each page (e.g., “office name – date”);

      2. links to other referenced policies;

      3. links to state or federal laws or mandates;

      4. other referenced official departmental and external websites (e.g., Texas Education Code, TSUS Office of the General Counsel); and

      5. links to figures, tables, or resource manuals in support of the policy, if they do not include actual policies and procedures that have not been formally approved by the appropriate division vice president (for PPSs) or the President’s Cabinet (for UPPSs).

9. RESPONSIBILITIES OF THE PROGRAM SPECIALIST FOR POLICIES AND PROCEDURES

   1. The program specialist for Policies and Procedures will ensure the effective and timely review and publication of all UPPSs and PPSs. Key responsibilities will include:

      1. sending a monthly email to divisional representatives containing a list of UPPSs scheduled for review three months in advance;

      2. ensuring review processes are initiated in a timely manner to avoids delinquency;

      3. updating Policies and Procedures website to allow for comments;

      4. ensuring divisions respond to comment requests in a timely manner;

      5. collecting comments and creating senior reviewer’s comments list;

      6. guiding the UPPS and PPS review processes in accordance with this policy;

      7. facilitating the UPPS electronic approval process and record and distributing President’s Cabinet approval minutes;

      8. editing final UPPSs and PPSs for style and voice consistency;

      9. routing a final copy of approved UPPSs along with a routing slip for signature approval. The senior reviewer and their chain of command will endorse the attached final copy, indicating approval for publication;

      10. posting official versions of all UPPS and PPSs on the Policy and Procedure Statements website;

          1. posting all UPPSs senior reviewer’s responses to comments received on the Policy and Procedure Statements website (login will be required).

      11. maintaining an index of all UPPSs and PPSs, including the most recent review date, names of reviewers, and all other pertinent information to facilitate the review process;

      12. providing delinquency reminders to divisional representatives, as needed;

          1. Delinquency reminder for delinquent UPPS review will be emailed after a month of delinquency and every month thereafter until policy is submitted for review. Vice presidents will be included in email communications after second month of delinquency.

      13. maintain and organize an up-to-date repository of all UPPS and PPS documents; and

      14. act as the primary point of contact for auditors when they request UPPS and PPS documents. This involves quickly locating and providing the requested materials, as well as facilitating any follow-up questions and additional documentation needs.

10. PRESIDENT’S CABINET RESPONSIBILITY

    1. The President’s Cabinet will ensure the timely review and approval of all official UPPS documents.

11. REVIEWERS OF THIS UPPS

    1. Reviewer of this UPPS includes the following:

       Position	Date
       Program Specialist for Policies and Procedures	April 1 E5Y

12. CERTIFICATION STATEMENT

    This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedure from the date of this document until superseded.

    Program Specialist for Policies and Procedures; senior reviewer of this UPPS

    Associate Vice President for Institutional Compliance and Chief Compliance Officer

    Chief of Staff and Vice President

    President