1.1 - Policy on Policies

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