1 - POLICY ON POLICIES

The College of Dentistry is committed to ensuring that all policies and procedures are managed in compliance with legal and regulatory requirements and consistent with the College's mission, vision and purpose.

The policy and procedures in this section outline the process for development, approval, implementation, maintenance and retirement of College-specific policies and procedures. In so doing, the goal is to create a standard policy framework that:

• Creates clear and transparent ownership and accountability in the policy development and implementation porocess.
• Embraces the engagement of stakeholders in the development and review process.
• Requires review against University policies to ensure that there are no conflicts.
• Ensures that policies and procedures are kept up-to-date and compliance with applicable requirements. 
• Provides for retirement of policies that may no longer be needed due to changes in federal, state, regulatory or local laws; changes to University operations; or identification of a policy that is duplicates another policy.

Background: Readily accessible policies and procedures are necessary in an institutional environment to establish a consistent set of expectations across the organization, align operations, promote organizational effectiveness, and ensure compliance with pertinent local, state, and federal regulatory laws plus state and regional accreditation requirements.  To be effective, the process of writing, approving, issuing and maintaining such policies and procedures must be nimble enough to allow the institution to respond to change in a timely fashion. At the same time, the decision-making mechanisms surrounding development and implementation of policies and procedures must engage key stakeholders, adequately address cross-organizational impacts, and be transparent and sufficiently documented.

Purpose:  The purpose of this policy is to ensure that all members of the University of Oklahoma College of Dentistry (COD) community have ready access to well-developed policies and procedures. To achieve this goal, this “Policy on Policies” will outline a process for effective and consistent development, approval, publication and management of COD policies and procedures. It will also provide guidance on the elements of an effective policy while allowing for discussion and debate throughout the policy-making process in order to achieve optimal outcomes.

Policies and procedures that are easy to find, read and understand, and abide by will:

• Support the COD’s mission and strategic goals;
• Establish accountability by identifying individuals and councils/committees/ offices responsible for specific policies and procedures;
• Provide faculty, staff and students with clear and concise guidelines;
• Document how the COD conducts business;
• Promote organizational consistency, efficiency, and effectiveness;
• Alleviate or manage significant institutional risk; and,
• Derive from the authority of the Board of Regents’ Policies, including specific delegated authority to manage the institution, or comply with federal or state laws, rules or regulations.

To achieve the above-mentioned goals, all COD policies and procedures shall be:

• Presented in a common format;
• Capable of efficient implementation;
• Formally reviewed by the Dean’s Advisory Council (and/or Faculty Board, as appropriate) and approved by the Dean;
• Maintained centrally and accessible electronically to all interested persons;
• Linked electronically to procedures and necessary forms required for implementation; and,
• Systematically reviewed and kept current within the framework of an organized scheme of change control.

Policy Statement:  This “Policy on Policies” governs the development and oversight of all formal COD policies.  In so doing, this policy establishes the role of the Policy and Procedures Oversight Committee (PPOC) in the policy-making process, defines the elements of a policy, and introduces standardized templates for proposing and developing policies and procedures. It also outlines a uniform review and approval (or revision or repeal) work process for established COD policies, and delineates the relationship of procedures and forms to these policies.

Scope and Applicability:  This policy addresses the process for developing, issuing and maintaining all COD policies and procedures, and applies to all departments and divisions, faculty, staff, residents and students.

Internal policies that apply to the operation of individual departments, divisions or business units may not conflict with COD-wide policy; but, they may be more restrictive.

If there is a discrepancy between a COD policy and OUHSC policy, the OUHSC policy will prevail.

Definitions:

Policy: A governing principle (i.e., a statement of management philosophy and direction) that embraces general goals and mandates or constrains actions, which is established to provide guidance and assistance to the COD community in the conduct of College affairs.  By definition, policies should have broad application, change relatively infrequently, help ensure compliance with applicable laws and regulations, and mitigate against institutional risk.

Policy and Procedures Oversight Committee (PPOC):  The College of Dentistry standing committee responsible for supporting policy and procedure development, and review and revision (if appropriate) of established policies and procedures.

Policy Proposal Form: The standard form that is to be used to submit proposals for new policies and/or revisions to existing policies to the Policy and Procedures Oversight Committee (PPOC).

Proposal Sponsor(s): The individual, or individuals, who have an idea for a new policy and/or procedures, or who wish to recommend revision or repeal of established policies and procedures.

Policy & Procedure Template: The standard format, or template, in which all newly crafted and amended college policies and associated procedures must submitted to the Dean’s Advisory Council for review and to the Dean for approval/signature.

Policy Approval:  This policy was reviewed by the Dean’s Advisory Council and signed by the Dean on {month, day, year}. It will go into effect on the date it is formally communicated across the College, and be reviewed every three years. 

Corresponding Procedures

• 1.1.1(a) Policy Proposal Process (including recommendations for new policies and/or revision or repeal of established policies)
• 1.1.1(b) Policy and Procedure Development (and/or revision of established policies and procedures)

Related OUHSC Policies

• Regents Policy Manual for the University of Oklahoma
• OUHSC Faculty Handbook
• OUHSC Staff Handbook

Related OUCOD Policies

• OUCOD Bylaws
• OUCOD Standing Rules of Committees

Introduction:  Recommendations for potential new policies or revision or repeal of established policies and procedures, hereinafter referred to as “policy proposals,” may originate at any level within the COD community.

This procedure outlines the process for writing and submitting policy proposals so that they may be brought to the attention of COD leadership. Adherence to a consistent process and use of a standard Policy Proposal Submission Form are intended to create a structured yet vibrant operating environment that is conducive to identifying issues and capturing ideas for solutions from across the COD while promoting timely and well-informed decisions as to whether development of full-fledged COD policies and associated procedure(s) is warranted.

Prerequisites: None. Prior to submitting a proposal, however, the proposal sponsors are expected to have made a good faith effort to ascertain whether the concerns underlying the policy proposal are not already addressed in whole or in part by established OUHSC and/or OUCOD policy. 

Procedure: The Policy and Procedures Oversight Committee (PPOC) is responsible for coordinating the review and approval of all policy proposals, and communicating findings to the policy proposal sponsor(s). In partnership with the Dean for Administration and Finance, this committee has the authority to make recommendations to the Dean’s Advisory Council, assemble subcommittees or working groups, and/or refer matters to the Dean’s Advisory Council as appropriate.

Step 1: The proposal sponsor(s) submit an idea for a new policy, or suggest revision or repeal of an existing policy, by completing the Policy Proposal Form and forwarding it to the PPOC Committee Chair. Proposals that are not submitted using this template shall not be considered.

Step 2: Upon receipt, the PPOC Committee Chair will publish the proposal on the COD’s policy and procedure comment page, so that all interested members of the COD community may be afforded an opportunity to provide feedback on the proposal. The deadline for submitting comments will also be specified on the comment page.

Step 3: The PPOC shall meet monthly to consider the merits of the policy proposals that have been submitted for consideration and review the status of policies in process since its last meeting. The PPOC chair shall forward the proposals that are to be discussed and debated to the committee members as far in advance of each of these meetings as possible. This is intended to allow each PPOC member to familiarize themselves with the proposals and conduct such preliminary research as they deem necessary in advance, so that they are prepared to render an informed opinion at the meeting. Committee members will also be encouraged to review any comments concerning the proposal that have been posted on the policy and procedure comment page.

Step 4: The PPOC shall provide copies of policy proposal documents, comments and initial recommendations to the Dean for Administration & Finance following its monthly meeting. At his or her discretion, the Dean for Administration & Finance may a) affirm the recommendation of the PPOC, b) refer the policy proposal back to the PPOC with an explanation of additional information required for decision-making, or c) forward the proposal and related documents to the Dean’s Advisory Council for review.  

Step 5:  The PPOC Committee Chair shall notify the individual(s) who sponsored the policy proposal, in writing, as to the approval or denial of the policy proposal upon receipt of notification from the Dean for Administration & Finance (or Dean’s Advisory Council). Although decisions communicated by the PPOC shall be final, they shall in no way preclude submission of future policy proposals.

Procedure Approval: This procedure was reviewed by the Dean’s Advisory Council and signed by the Dean on {month, day, year}. It will go into effect on the date it is formally communicated across the College, and be reviewed every three years. 

To propose a new policy, or suggest that we edit or delete a current policy, please download and submit the attached proposal form. Be sure to include the names of the sponsors of your proposal.

Policy Proposal Form

Introduction:  This procedure outlines the process by which proposals for new policies and procedures, or revision or repeal of established policies and procedures, shall be developed, submitted and considered for potential adoption.

In order to be eligible for adoption by the COD, all policies and procedures must be drafted in accordance with the standard Policy & Procedure Template. Policies and procedures that do not adhere to this template cannot be considered.

The PPOC will review policy drafts and provide support and feedback to policy sponsors as needed to ensure that policies and procedures are concise, easy to understand and capable of being implemented prior to forwarding them to the Dean’s Advisory Council for consideration.

With prior approval of the Dean for Administration & Finance, the PPOC will also reserve the right to assemble subcommittees and/or working groups, and consult outside experts at any point in the development process, to make certain that proposed policies and procedures adequately address cross-organizational impacts, are consistent with pertinent local, state and regulatory law, and are in accordance with state and regional accreditation requirements.

Unless otherwise specified, new and/or amended policies (and/or repeal of established policies) that have been approved shall take effect on the first day of the month immediately following their approval.

Once adopted, the Policy and Procedures Oversight Committee (PPOC) will routinely confer with policy owners to review and update established policies and procedures as needed at a frequency established at the time of policy adoption.  The purpose of this review is intended to ensure that policies and procedures remain relevant and aligned with the COD vision, mission and goals.  

Prerequisites: Receipt of formal, written approval of the initial proposal for a new policy or approval to revise an established policy or procedure from the Policy and Procedures Oversight Committee (PPOC).

Procedure: The Policy and Procedures Oversight Committee (PPOC) is responsible for supporting the development of all approved policy proposals, and maintaining open lines of communication between policy sponsors and stakeholders. Although the PPOC is responsible for leading this process, the authors of the initial proposal must engage fully. In addition, depending on the complexity of the policy initiative, with prior approval of the Dean for Administration and Finance, the PPOC may establish subcommittees and/or working groups, and/or seek counsel from outside experts, to facilitate creation of draft policies that adequately address cross-organization impacts and stakeholder concerns.  Ultimately, however, the decision to approve and implement any given policy or procedure is contingent upon an affirmative recommendation of the Dean’s Advisory Council and approval by the Dean of the College of Dentistry.

Step 1: The Policy and Procedures Oversight Committee (PPOC) notifies the individuals who submitted a new policy proposal (or recommendation for revision) of its approval.

Step 2: The PPOC establishes a self-directed policy working group that shall be responsible for creating the policy draft. At a minimum, the “policy working group” shall consist of the proposal sponsor(s). In order to acquire needed expertise, additional members may be added at any point during the policy development process at the discretion of the working group.

Step 3: The PPOC hosts an initial meeting of the working group, which includes an introduction of the Policy Template. At this meeting, the working group members appoint a “chair” who shall be responsible for leading its activities. A member of the PPOC is also designated to serve as a liaison to the working group.  

Step 4: The working group submits the completed Policy Template to the PPOC. Upon receipt, the PPOC reviews the draft policy document for clarity and consistency. (Note: The PPOC may return templates to working groups for further development if they are deemed incomplete by a majority vote of its members.)

Step 5:  If the policy draft meets with the approval of the PPOC, it shall be forwarded to the Dean for Administration and Finance. The Dean for Administration and Finance may a) approve the policy on behalf of the Dean’s Advisory Council, b) return the policy with comments to the PPOC for further development, or c) forward the policy to the Dean’s Advisory Council for consideration at their next meeting.

Step 6: The Dean’s Advisory Council reviews the draft policy and may a) recommend approval of the policy “as is” by forwarding it to the Dean for signature, or b) direct the proposal to the Faculty Board.

Step 7: At its discretion, the Faculty Board may a) approve the policy “as is” by forwarding it to the Dean for signature, or b) forward the policy to the Faculty Assembly with the request that it be added as an agenda item to be discussed at their next meeting. 

Step 8:The Faculty Assembly shall submit minutes pertaining to the discussion of the policy to the Dean’s Advisory Council, which will resume the policy development process starting with Step 6.

Step 9: Once policies and their related procedures are signed by the Dean, they will take effect on the date they are communicated across College by the chair of the PPOC. The PPOC Chair shall also maintain copies of all approved policies and their related procedures and post them to the COD’s Web site at that time.

Procedure-Specific Forms

• Policy & Procedure Template

Policy Reference

• 1.1.1: Policy on Policies

Related Procedures

• 1.1.1(a): Policy Proposal Submission Process
   

Revision History