Syracuse University Policy Creation, Revision and Retirement Policy and Process

Definitions

• “Academic Policy” – An Academic Policy is a policy that is created by the Office of Academic Affairs and that governs areas including student academic status and progress, student and faculty leaves, academic grounds for student dismissals, transcripts, advising, teaching, classroom assignments, enrollment, faculty (re)appointments, promotions, roles, and responsibilities, dean and department chair/school director selection and review, and policies governing the conduct of research. These policies are found in the Academic Rules section of the Undergraduate and Graduate Course Catalogs and n the website(s) of the Office of Academic Affairs. Although Academic Policies may set standards for schools and colleges on educational or academic matters related to students or faculty, nothing in this definition or in these procedures is meant to interfere with the rights and duties conferred on individual schools or colleges and the University Senate by the Syracuse University Bylaws.   
• “Chancellor’s Executive Team” – The Chancellor’s direct reports. Membership is listed on the Chancellor’s website.
• “Executive Policy Owner” – Member of the Chancellor’s Executive Team who ultimately oversees the Responsible Office.
• “Implementing Procedures” – The written process accompanying a University Policy that specifies how the policy will be implemented and enforced. Effective procedures describe how to complete a specific task or goal that may be required by a University Policy or program. Procedures should be standardized, clear, and repeatable and should lead to consistent outcomes.
• “Interim Policy” – A temporary University Policy that is implemented due to a pressing legal, regulatory, operational, or business need.
• “Policy Administrator” – A University administrator who oversees the policy adoption and revision process set forth in the Policy Creation, Revision and Retirement Policy and Procedures.
• “Policy Advisory Group” – A group of 5-7 administrators, faculty, and/or staff who would be most directly impacted by a University Policy and who serve as the primary review committee for policy changes or additions. Policy Advisory Groups are convened by the Responsible Office and are responsible for developing, reviewing, and finalizing draft policies and recommending revisions and/or review by additional stakeholders. Depending on the policy topic, a representative from the Office of General Counsel and/or the Office of Compliance may be asked to serve as advisors to the Policy Advisory Group.
• “Responsible Office” – The University department, office, or unit responsible for implementing, administrating, and enforcing a University Policy.
• “University Policy” – University Policy is a governance document that enhances the University’s mission by clarifying the institution’s expectations of its individual community members, mitigating institutional risk, enhancing efficiencies, and supporting the University’s compliance with laws and regulations. It applies to the institution as a whole or to a broad population of University faculty, staff and/or students.
• “Unit”– An individual school, college, or administrative unit (e.g., Human Resources; Advancement and External Affairs; Athletics Department; Student Experience).
• “Unit Policy” – A written rule, mandate, or prohibition that furthers the University’s mission and mitigates risk but that applies to only a specific or narrow group of students, faculty, or staff. Examples include policies that apply to a single school/college; small population of students (e.g., club sports participants).
• “Written Program” – A publicly shared document that establishes how the expectations set forth in a policy will be accomplished and tracked. It is a transparent, written document which includes a guiding set of activities that specify business objectives, business metrics, scope, roles, and responsibilities, procedures, training requirements, and document controls and provides links to references and resources.

Policy on Creating, Revising and Retiring University Policies

A University Policy can only be created, substantively revised, or retired with approval from the Chancellor’s Executive Team. To create, revise, or retire a University Policy, members of the University community must follow the Procedures to Create, Revise, or Retire a University Policy, set forth below.

An Academic Policy can only be created, revised, or retired with approval from the Provost. The Provost has authority to set the process for creating, revising, or retiring Academic Policies. A Unit Policy can only be approved by the member of the Chancellor’s Executive Team who ultimately supervises the Unit. Individual Units have discretion to set the process for approving Unit Policies, so long as the final approval step involves the relevant Executive Team member(s).

If there is a question or dispute about whether a certain set of rules or requirements is a University Policy, Academic Policy, Unit Policy or other type of document, the Policy Administrator has the authority to make the final determination as to classification. The University’s Charter, Bylaws, and Board policies take precedence over University Policies. University Policies take precedence over Academic or Unit Policies.

Responsible Offices and Units must review policies within their portfolio at least every five years, or sooner as needed to address changes in law, regulation, campus events, or community needs.

Final Approval Authority for Policies and Procedures

Type	Approving Body/Official
Academic Policy	Provost
University Policy	Chancellor’s Executive Team
Implementing Procedures for University Policy	Member of Chancellor’s Executive Team who ultimately supervises the Responsible Office
Unit Policy	Member of Chancellor’s Executive Team who ultimately supervises the Unit

 Procedures to Create, Revise, or Retire a University Policy

Any effort to create, make substantive changes to, or retire a University Policy must follow the steps below. Non-substantive edits (e.g., changes that do not revise the meaning, duties, or obligations of a policy) can be approved using the process described in the “Non-Substantive Changes to University Policies” section below. Changes to Implementing Procedures are discussed in the “Implementing Procedures” section.

Conceptualizing and Drafting

1. A Responsible Office or a member of the campus community (student, faculty, or staff) identifies a need to create, revise, or retire a University Policy. Members of the community must consult with the Office of Compliance (“Compliance”), who will connect them with the Responsible Office. If the Responsible Office supports the new policy, policy revision, or policy retirement, they must consult with Compliance regarding next steps.
2. If Compliance determines that the proposed policy is appropriate for a University Policy, they will notify the Responsible Office. The Responsible Office will then obtain approval to advance the proposed policy by the member of the Chancellor’s Executive Team that has ultimate supervisory authority for the Responsible Office. The approving member of the Executive Team will brief the rest of the Executive Team as necessary and appropriate.
3. The Responsible Office will draft a new or revised policy or a rationale for retiring an existing policy. New policies or revisions must be completed using the accessible University Policy Template.

Stakeholder Review

4. The Responsible Office will convene a Policy Advisory Group and circulate the draft policy or rationale for retiring a policy to the Policy Advisory Group for comment. The membership of each Policy Advisory Group will depend on who will be most significantly impacted by the policy. The Policy Advisory Group will also recommend any additional University stakeholders who should review the policy or changes. These additional stakeholders may include University Senate committees or student groups. For certain policies, such as those that impact academic freedom or free speech or other core rights and responsibilities of students, faculty or staff, the Policy Advisory Group may recommend a public comment period. Ultimately, the Responsible Office, in conjunction with its representative on the Executive Team, will determine whether a public comment period is necessary and will consult with Compliance and Communications regarding any potential public comment period.
5. The Responsible Office will track feedback and comments and incorporate as appropriate into the policy draft.
6. The Responsible Office will send an updated draft to Compliance for review.
7. Compliance will request legal review by the Office of University Counsel.

Final Approval, Rejection, or Revision by Executive Team

8. The Responsible Office will share the final proposed draft with the Executive Team member who approved the concept and work with the Executive Team member to schedule review of the policy by the full Executive Team.
9. Before consideration by the Executive Team, the Executive Team member shall determine whether the policy requires review by the Chancellor and brief the Chancellor as necessary and appropriate.
10. The Responsible Office and sponsoring Executive Team member will submit the final policy to the Executive Team by e-mail at least one week prior to the Executive Team meeting at which the policy will be considered.
11. The Executive Team has authority to approve, reject, or revise any University Policy, subject to any limitations imposed by the University’s Bylaws or existing policies that were originally approved by the Board of Trustees (policies approved by the Board of Trustees can only be revised by the Board of Trustees). The Executive Team must approve policies or policy changes by general consensus. If the Executive Team cannot reach a general consensus, they must take a vote, and new policies or policy changes can only be approved by a 2/3 majority.

Publication and Communication

12. The Policy Administrator will publish the policy on University’s policies website.
13. The Responsible Office will work with Communications regarding a communication plan as necessary and appropriate.

Special Policies, Policy Documents or Procedures

1. Non-Substantive Changes to University Policies

The Policy Administrator has authority to approve non-substantive changes to a University Policy (e.g., typographical error corrections; updates to contact information or employee titles).

2. Implementing Procedures

Implementing Procedures and any changes to such procedures must be approved by the relevant Executive Team member who ultimately supervises the Responsible Office.

3. Interim Policies

The Chancellor’s Executive Team, upon a recommendation by University Counsel, may approve Interim Policies without strictly adhering to the University Policy process described above when there is a legal, business, or operational need for immediate implementation of a policy. The relevant Responsible Office or Unit should strive to create a final University Policy or Unit Policy within six months of the Chancellor’s Executive Team approving any Interim Policy.

4. Board of Trustees Policies (governing Board conduct)

Any policies governing the behavior/conduct of Trustees must be approved by the Board of Trustees pursuant to their regular processes.

5. Faculty Manual

Any substantive changes to the Faculty Manual must be vetted by at least one committee of the University Senate, as assigned by the Chair of the Agenda Committee. The Provost shall have final authority to approve, reject, or revise any proposed changes to the Faculty Manual but will give appropriate weight to the vote/recommendation of the University Senate.

6. Student Conduct Code and Statement of Community Standards

Changes to the Student Conduct Code or Statement of Student Rights and Responsibilities must be approved by the Senior Vice President and Chief Student Experience Officer, who will solicit feedback from student leaders and other appropriate stakeholders prior to adopting any changes.

7. Tuition and Fee Policies

Policies and procedures governing payment of tuition and fees are not subject to the Syracuse University Policy Creation, Revision, and Retirement Process. Tuition and fee policies and procedures are approved by the Chief Financial Officer, in consultation with other appropriate senior leaders.

8. Health and Safety Requirements

The Executive Director of the University’s health and wellness center has authority to set routine Health and Safety Requirements for students, consistent with applicable laws, regulations or orders, including student immunization requirements. The Chief Human Resources Officer has authority to set routine Health and Safety Requirements for faculty and staff. The Chancellor (or a designee) has authority to set emergency Health and Safety Requirements for students, faculty and staff, in consultation with appropriate medical professionals and in accordance with applicable laws, regulations or orders.

9. Syracuse University Policy Creation, Revision, and Retirement Policy and Procedures

This Policy Creation, Revision and Retirement Policy and Procedures must be approved by the Chancellor’s Executive Team.