SECTION:                  University Policy

SUBJECT:                 Establishing University Policies

EFFECTIVE DATE:   September 26, 1988

PAGE(S):                   4


      To outline the steps for the preparation, review, approval, and distribution of new University

      policies, or revisions to existing policies.


      This procedure is applicable to all University-wide policy statements, directives, and


      This procedure supersedes the existing method of release of policy through memoranda

      directed to deans, directors, department chairmen, and campus presidents.


      Level of Initiation: Policy proposals or revisions may be generated at any level within the


      Administrative Officers having jurisdiction and expertise in the area covered are responsible

      for the initial review of the proposal and should:

      -     Verify the need for the policy

      -     Provide complete rationale for the policy

      -     Consider the immediate and long-term effects of the policy

      -     Prepare the final proposal

      -     Ensure that the proposal is reviewed by the appropriate University constituencies

      The Senior Officers of the University are responsible for ensuring that proposed policies

      have undergone the appropriate review, and are consistent with:

      -     The Bylaws, Charter, and goals of the University

      -     Previously established University policies

      -     Established accounting, business, administrative, and/or educational principles

      -     Governmental regulations and legal concerns

      An Ad Hoc Policy Review Committee may be established by the senior officers.  The

      committee should be comprised of representatives from all offices affected by the

      proposed policy, and those who have expertise in that area.

      The President, with the advice of the executive staff, executes final review, and if required,

      forwards the proposed policy to the Board of Trustees for approval.

      The Director of Management Information and Policy Analysis manages the process of

      establishing or revising policy, determines the appropriate format, exercises editorial control,

      and officially announces and distributes approved “University Policy.”


      Policy: A policy is a statement of intent or commitment which reflects the basic principles,

      philosophies, or goals of the University.  They are designed to guide University personnel

      in achieving those goals and objectives by defining appropriate courses of action to follow

      and limits to be observed.

      Senior Officer: An administrative officer of the University with the title of President, Provost,

      Senior Vice President, or Executive Vice President.

      The following terms define the sections which may be required in policies:

      TERM                            DEFINITION                                                          USE 

      Scope                            A short description of the subject matter              All                                                 

                                            covered by the procedure.

      Policy                            Statements establishing or reaffirming                  All

                                            basic principles, philosophies, or goals

                                            of the University.

      References                   References to related policies and                       When

                                            procedures.                                                           Necessary

                                            References to policies issued by the                    When

                                            Board of Trustees, or based on the                      Necessary

                                            Pennsylvania Legislature or other such

                                            higher authority.


      Initiator                                       1.    Identify the need for a new policy or a revision

                                                                to an existing policy.

                                                         2.    Forward a proposal to the Director, Management

                                                                Information and Policy Analysis for review. Director,

                                                                Management Information and Policy Analysis.

                                                        3.     Verify that the proposed policy is new, and does not

                                                                duplicate existing policy.

                                                               a.    If no policy exists, assign a document number and

                                                                       draft a Policy Statement in the format consistent

                                                                       with the Policy Manual.

                                                               b.    If existing policy is to be revised, prepare a draft,

                                                                       and maintain original document number. 

                                                        4.    Review the draft with the initiator, and make any

                                                               necessary revisions.

                                                        5.    Submit the final draft to the initiator’s dean, director,

                                                               campus president or vice president for review.

      Dean, Director,

      Campus President,

      Vice President                          6.    Approve the policy for presentation to the senior officers.

      Director, Management

      Information and Policy

      Analysis                                     7.    Forward the final draft, together with FORM 0001 PITT

                                                               1173, Policy/Procedure Approval, (Exhibit A) to the

                                                               appropriate senior officers for review and approval.

      Senior Officers                          8.    Review the proposed or revised Policy Statement to

                                                                ensure that the policy is consistent with the goals of the


                                                         9.    If appropriate, constitute a Policy Review Committee.

                                                         10.  Make necessary revisions and return the policy to the

                                                                Director, Management Information and Policy Analysis. 

      Director, Management

      Information and Policy

      Analysis                                      11.   Forward the final Policy Statement draft to the President

                                                                  for review and approval, together with FORM 0001 PITT

                                                                  1173, Policy/Procedure Approval.

      President                                    12.   Review and approve the proposed policy, or request final

                                                                  approval from the Board of Trustees.

                                                          13.   Indicate approval by signing FORM 0001 PITT 1173,

                                                                  Policy/Procedure Approval, and return the policy and

                                                                  the form to the Director, Management Information and

                                                                  Policy Analysis.

      Director, Management

      Information and Policy

      Analysis                                       14.   Publish the policy for insertion in the Policy Manual,

                                                                  and distribute it in accordance with the established

                                                                  distribution list.

                                                           15.   Retain and file the signed FORM 0001 PITT 1173.


      Exhibit A - FORM 0001 PITT 1173, Policy/Procedure Approval

      FORM 0001 PITT 1173 Form Instruction Guide


      Policy 01-01-01, Establishing University Policies

      Policy 01-01-04, Distribution of University Policies