===== PAGE 1 ===== POLICY TITLE: Policy on Policies VOLUME, SECTION & NUMBER: 5.1.0 ENTITIES AFFECTED: Employees Students Vendors Visitors ADMINISTRATIVE AUTHORITY: The Kentucky State University Board of Regents Office of General Counsel APPROVED BY: The Kentucky State University Board of Regents EFFECTIVE DATE: February 16, 2024 REVISED FROM: July 15, 2022, Version of Policy ## POLICY STATEMENT: Pursuant to KRS 164.350(2), each university's governing board has the power and duty to "adopt bylaws, rules, and regulations for the governance of" its institution. Similarly, Article II, Section 2(l) of The Gold Book states that "[t]he Board of Regents acts] as a policy-making body by adopting policy statements of governance and operations." As such, the Kentucky State University Board of Regents (“Board of Regents”) has declared that the University shall be governed by Board-adopted policies (“policies”) and University-adopted procedures (“procedures”). It is the expectation of the Board of Regents that the President and University Administration develop a system of procedures that either implements policies or aids in the management of the University’s routine operations. By way of this Policy on Policies, the Board of Regents hereby establishes the process for the development, adoption, and management of all policies. The Board retains full policy-making authority and delegates to the President the authority to approve internally developed procedures, as well as policies on an interim basis only. ===== PAGE 2 ===== Only those policies approved in accordance with this Policy on Policies will have the force and effect of a University policy. ## DEFINITIONS: ## Academic Policy A policy in which the scope of enforcement primarily affects faculty members. ## Administrative Procedures Operational guidelines requiring approval from the General Counsel and President that apply across the University. ## Interim Policy A provisional policy issued when a University-wide policy is needed before the standard policy creation process can be completed. ## Non-substantive Policy Revision A revision that, if implemented, would not have a material effect on employees or University operations. ## Policy Template A document setting the standard for how all policies shall be drafted and organized. ## President's Cabinet The executive body of the University's governance system and the advisory body to the President. ## Shared Governance As it relates to this Policy, a joint effort by the University's personnel on the development of University policies. ## Sponsoring Administrator A member of the President's Cabinet who is a direct report to the President. ## Substantive Policy Revision A revision that, if implemented, would result in a significant material effect on employees or University operations. ## University Policy A policy directly tied to the legal compliance of the University that applies across the institution. ## University Policies Committee The committee tasked with facilitating the development and accessibility of, and revisions to, policies and procedures. ## PROCEDURES FOR DEVELOPING AND IMPLEMENTING POLICIES: ## Policy Template All policies must adhere to the policy template found under Appendix A. The policy template includes the following components: ===== PAGE 3 ===== • Policy Title • Volume, Section & Number • Entities Affected Administrative Authority • Approved By • Effective Date • Revised From • Policy Statement • Definitions • Related Policies or Documents Statutory or Regulatory References ## Every policy must include the following components: • Policy Title • Volume, Section & Number • Entities Affected Administrative Authority • Approved By • Effective Date • Policy Statement The “Policy Statement” section should describe the purpose of the policy and/or provide a summary of the policy. A revised policy must include the “Revised From” section, which provides the date of the policy’s approval or last revision. Policies featuring uncommon words or phrases should include a “Definitions” section that provides detailed definitions of such words or phrases. If there are existing policies or documents that are related to a new policy, the policy must include a “Related Policies or Documents” section and list any such policies or documents. Likewise, if there are any statutes or regulations that relate to a new policy, the policy must include a “Statutory or Regulatory References” section and list any such statutes or regulations. If the “Revised From,” “Definitions,” “Related Policies or Documents,” or “Statutory or Regulatory References” components/sections are unnecessary, they may be deleted from a policy. Additional sections may be added to a policy as needed. Such sections must come after the “Policy Statement” and “Definitions” sections and before the “Related Policies or Documents” and “Statutory or Regulatory References” sections. Any additional sections of a policy must be formatted in the same manner as the template’s standard sections. ## Creation and Approval Each proposed policy or set of procedures must be sponsored by at least one (1) administrator who is a member of the President's Cabinet, including but not limited to, Vice Presidents and the General Counsel. ===== PAGE 4 ===== The sponsoring administrator, or his or her designee, is responsible for authoring a draft and circulating said draft throughout his or her respective unit for feedback, as appropriate. This process should include a consultation with colleagues and bodies (e.g., the Student Government Association, Faculty Senate, Staff Senate, etc.) whose perspectives are relevant to the proposed policy's substance and to the constituencies the proposed policy will affect. This engagement process should be interactive and iterative, with the sponsoring administrator, or his or her designee, circulating new policy drafts that incorporate the suggestions received. Sponsored draft policies that have completed the initial review process shall then be submitted to the University's Policies Committee ("Committee") for review. The members of the Committee shall be selected by the President, and the Committee's membership must provide representation for each of the University's department and divisions. The Committee will work with the sponsor to confirm the need for the new policy or procedures—or the revisions to an existing policy or set of procedures—and the appropriate categorization for the policy or procedures. The categories are as follows:
University Policy:An institution-wide policy that is tied directly to the legal compliance of the University.
Academic Policy:A policy applying specifically to the University's academic matters that requires the approval of the Faculty Senate and the Provost before it may be submitted to the Committee.
Administrative Procedures: Institution-wide operational guidelines that require approval only from the President and the General Counsel. Once it has been reviewed and approved by the Committee, a proposed policy or set of procedures shall be submitted to the General Counsel for legal review to ensure best practice and compliance with applicable laws, regulations, and existing policies. If approved by the General Counsel, the proposed policy or set of procedures shall be forwarded to the President, who may: Submit the proposed policy or set of procedures to the President's Cabinet for advisement and input; Submit the proposed policy or set of procedures to other stakeholders for feedback; • Refuse to recommend the proposed policy or revisions to a policy to the Board of Regents; - Refuse to approve the proposed set of procedures or revisions to procedures; Recommend approval of the proposed policy and submit the policy to the Board of Regents for adoption; - Approve the set of procedures; or Take any other actions he or she deems appropriate. Once a policy or set of procedures is formally adopted, it shall be posted on the University's policy webpage and all other appropriate University webpages. ## Periodic Review of Policies Policies shall be reviewed at least once every three years by the department or division of the original sponsoring administrator. Policies shall be reviewed for the following: ===== PAGE 5 ===== • Continued relevance to the University's mission and values; Consistency with other University policies; • Accordance with laws, regulations, accreditation standards, University practices, and educational practices; • Errors in fact or language; and • Any other potential errors If changes to a policy are deemed necessary, the policy shall be revised or repealed. ## Revisions Substantive policy revisions may arise by necessity or as a result of the regular three-year review. Substantive revisions must follow the procedures set forth in the “Creation and Approval” subsection of this Policy on Policies. Non-substantive revisions to a policy do not require any review beyond the department or division of the original sponsoring administrator. Non-substantive changes include, but are not limited to, grammar or spelling corrections; technical revisions; updated names of employees, departments, or offices; or re-organized policy sections. ## Repeals If a policy is identified as no longer relevant or necessary, the policy may be repealed using the same procedures set forth in the “Creation and Approval” subsection of this Policy on Policies. ## Interim Policies Under extenuating circumstances, a policy sponsor may request that an interim policy be established when a new policy is required within a time period much shorter than the period normally required to complete the procedures set forth in the “Creation and Approval” subsection of this Policy on Policies. Extenuating circumstances include external compliance deadlines and issues relating to the potential safety or wellbeing of the University community. An interim policy may also be established when a policy is quickly needed to facilitate orderly and efficient University operations. The sponsoring administrator, or his or her designee, may draft a policy and seek approval from the President on an interim basis after review by the General Counsel. Interim policies must expire no later than six (6) months from the President's approval, and they must include an expiration date under the "Effective Date" section. An interim policy will terminate on its expiration date without additional action. Alternatively, it may be extended for an additional six (6) months upon approval by the President, or it may be replaced by a Board-approved policy. If an interim policy has not received negative feedback from at least two (2) University divisions or departments within thirty (30) days of its effective date, the policy may be sent directly to the Board of Regents for approval at any time before its expiration date. However, if the interim policy has received negative feedback from at least two (2) University divisions or departments within that time period, the policy must be vetted through the “Creation and Approval” subsection of this Policy on Policies before it can be submitted to the Board of Regents for approval. Feedback on any policy should be sent to the KSU email address of the Policies Committee’s chair. ===== PAGE 6 ===== RELATED POLICIES OR DOCUMENTS: Policy Template STATUTORY OR REGULATORY REFERENCES: KRS 164.350 KRS 164.330 ===== PAGE 7 ===== ## POLICY TITLE: VOLUME, SECTION & NUMBER: ENTITIES AFFECTED: ADMINISTRATIVE AUTHORITY: APPROVED BY: EFFECTIVE DATE: REVISED FROM: ## POLICY STATEMENT: DEFINITIONS: RELATED POLICIES OR DOCUMENTS: STATUTORY OR REGULATORY REFERENCES: