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Home :: Policies :: Policy and Procedure Guidelines-Revision

Policy and Procedure Guidelines-Revision

Responsible Department
University Wide
Effective Date
04/11/2014
  1. .

    Purpose

    To ensure efficiency, compliance and accountability, it is essential that University policies be thoroughly reviewed, maintained, and made available to the University community.

  2. .

    Definitions

    1. Existing Policy: A policy that predates the implementation of the requirements outlined herein. Existing policies remain official University policy and, in time, are expected to be revised following the requirements outlined herein.

    2. Interim Policy: Provisional policy issued when a University policy is needed within a time period too short to complete the process described herein. An Interim Policy may be implemented immediately with the approval of the President and will remain in effect for no longer than six (6) months. The Interim Policy may remain effective for one additional six (6) month period with the approval of the President. Interim policies automatically expire when a permanent University Policy covering the same subject matter is implemented.

    3. Routine Changes: Routine Changes include only items that do not affect the substance of the policy, including but not limited to new contact names, position titles, and contact information.

    4. Unit-level Policy: Policies, procedures or practices of colleges, departments or operating units that do not meet all characteristics of a University Policy.

    5. University Policy: Official University directive that:
      1. Has broad application throughout the University and is intended to govern the actions of all employees, all faculty, all students, all contractors and/or all visitors;

      2. Contains guidelines for activities and sets limits within which people are expected to operate;

      3. Enhances the University’s mission, reduces institutional risk, helps achieve compliance with applicable laws and regulations, and/or promotes operational efficiency;

      4. Has been reviewed by the President’s Cabinet and approved by the President; and

      5. Is sponsored by at least one Vice President or by the President.

    6. Procedure: A defined course of proceeding – often composed of steps, using established forms or methods – to carry out a particular policy.

    7. Responsible Party: The individual(s) or position(s) with ultimate or delegated authority over and/or responsibility for a given policy. This individual may also act as subject matter expert.
  3. .

    Statement

    1. The University has developed a formal process to develop, approve, issue and maintain all policies in a consistent format in a central electronic library. Individuals developing, maintaining or revising policies must follow the requirements outlined herein in order for a policy or revision to become effective.

    2. University policies may elaborate on Board of Regents policy where necessary. Where the Board of Regents policy is silent, the University may develop its own policies.

    3. Departments are responsible for formulating and reviewing any related procedures for any policy and should provide copies of those procedures to the Policy and Procedure Coordinator.

    4. All University personnel shall have access to policy documents.

    5. Responsible Parties will endeavor to update or revise Existing Policies as quickly as possible.
  4. .

    Support Info

  5. .

    Procedures

    1. Proposing And Developing A Policy

      1. Any individual or unit may identify the need for a policy and draft language for the policy.

      2. The drafting individual or unit must use the policy template provided by the Policy and Procedure Coordinator and available on the policy website.

      3. Draft policies must be submitted to the Vice President for the area from which the proposed policy has emerged by one of his/her direct reports. If the unit or department does not report, directly or indirectly, to a Vice President, drafts must be submitted directly to the President in accordance with Board of Regents policy. Policies submitted for consideration should be accompanied by the “Policy Proposal Form” found in the “Forms” section of the policy website. The President or Vice President will determine which proposed policies are carried forward for further consideration.

      4. If the President or Vice President decides to carry the new draft policy forward, the draft will be forwarded to the Policy and Procedure Coordinator who will review the proposed policy for redundancy, duplication, impact on other departments, and legal review. The Policy and Procedure Coordinator will provide recommendations from this review to the President or Vice President who submitted draft policy.

    2. Reviewing And Approving A Policy

      1. If the President or Vice President determines that a policy should be considered for implementation after review by the Policy and Procedure Coordinator and General Counsel the policy will be distributed as follows:

        1. For Unit-level policies that impact operations of departments that report to other Vice Presidents, a draft will be distributed by the Policy and Procedure Coordinator to the appropriate Vice Presidents for review.

        2. For University-wide policies, a draft will distributed by the Policy and Procedure Coordinator to the President’s Cabinet and General Counsel for review.

          At this stage, changes may be suggested to enhance clarity, consistency or compliance. Suggested changes shall be provided to Policy and Procedure Coordinator for aggregation and delivery to the drafting Vice President or unit responsible for proposing the policy for his/her consideration and approval before the policy is carried forward.

      2. After receiving suggested changes from other affected Vice Presidents or members of the Cabinet, the Vice President that submitted the policy for approval shall:

        1. For Unit-level policies that incorporate the suggested changes, sign and approve the Unit-level policy. No Unit-level policy shall become effective until approved by a Vice President.

        2. b. For Unit-level policies where the involved Vice Presidents cannot reach agreement on suggested changes, the draft policy will be submitted to the Cabinet for review and follow the procedure for a University-wide policy approval.

        3. For University-wide policies, determine which suggestions from Cabinet members to incorporate into the proposed policy.

      3. Once the draft is in final form, the President or appropriate Vice President, with assistance from others as deemed appropriate in his or her sole discretion, will present the policy for consideration by the President’s Cabinet. The President’s Cabinet shall make a recommendation to the President for approval or rejection of the policy.

      4. Following the recommendation of the President’s Cabinet, the President shall make a final decision approving or rejecting all University-wide the policies. No University-wide policy shall become effective until approved by the President. In the event that a policy is rejected by the President, it shall be returned to the drafting individual or unit with an explanation of why the policy is being rejected.

      5. Once the policy has been approved by the President or Vice-President, the Policy and Procedure Coordinator will note the date of approval in the “Effective Date” section of the policy heading, upload the policy to the electronic repository, and issue an electronic announcement to the campus community.

      6. The President or Vice President for the area from which a policy has emerged will be responsible for ensuring periodic review of each policy as appropriate. In the case of policies emanating from the Faculty Senate, the Faculty Senate shall be responsible for such periodic review. Changes may or may not be made to a policy upon review. Upon notification by the President, appropriate Vice President, or Faculty Senate that the policy has been reviewed, the Policy and Procedure Coordinator will note the date of review in the “Reviewed” section of the policy.

    3. Updating A Policy

      1. As needed, the office or unit responsible for a policy may request Routine Changes to a policy. Routine Changes may also be made upon review of the policy repository for updating. Routine Changes include only items that do not affect the substance of the policy, including but not limited to new contact names, position titles, and contact information.

      2. Routine Changes should be directed to the Policy and Procedure Coordinator.

      3. Routine Changes may be made upon request. These changes do not require the review of the President’s Cabinet and are effective immediately upon their appearance in the official version of the policy within the repository. The Policy and Procedure Coordinator will note the date of the change in the “Revision Date” section of the policy heading.

    4. Revising A Policy

      1. Proposals for revision to a policy’s substance must be submitted to the President or appropriate Vice President and should be accompanied by the “Policy Proposal Form.”

      2. If the President or Vice President determines that the policy should be considered for revision, he or she will forward the proposed revision to the President’s Cabinet and General Counsel for review. The President’s Cabinet shall make a recommendation to the President for approval or rejection of the revision.

      3. Following the recommendation of the President’s Cabinet, the President shall make a final decision approving or rejecting the revision. No revision shall become effective until approved by the President. In the event that a revision is rejected by the President, it shall be returned to the drafting individual or unit with an explanation of why the revision is being rejected.

      4. Once the revision has been approved, the Policy and Procedure Coordinator will note the date of revision in the “Revised” section of the policy heading and issue an electronic announcement to the campus community.

    5. Communicating, Promulgating And Training

      1. The Policy and Procedure Coordinator will issue an electronic announcement to the campus community containing information about interim, new or revised policies, which will constitute the promulgation of the policy or revision.

      2. Additional communication or training on a policy will be provided by the unit listed as the “Responsible Party” in the “Review and Responsibility” section of the document.

      3. The Policy and Procedure Coordinator will provide the Cabinet and President a list of all Routine Changes, Substantive Changes and new policies adopted on a quarterly basis.

    6. Establishing An Interim Policy

      1. In the event that a new policy or substantive revision to an existing policy is needed within a time period that will not allow for the full drafting and review process outlined herein, a drafting individual or unit may make a request for an Interim Policy to the President or appropriate Vice President. The proposed policy or revision shall enter the full drafting and review process simultaneously with the process for establishing an Interim Policy.

      2. If a Vice President determines that an Interim Policy is needed, he or she must secure the written approval of the President to implement the policy. Written approval may be given electronically.

      3. Once the Interim Policy has been approved by the President, the Policy and Procedure Coordinator will note the date of the President’s approval in the “Issued” section of the policy heading, upload the policy to the electronic repository with a notation in the title that the policy is “Interim,” and issue an electronic announcement to the campus community.

      4. Interim policies are in effect for an initial period of six (6) months. The interim Policy may remain effective for one additional six (6) month period with the approval of the President.

      5. Interim policies automatically expire upon the approval of a permanent policy covering the same subject matter by the process described herein.

    7. Withdrawing A Policy

      1. Any individual or unit may make a request to withdraw an existing policy or to consolidate one policy into another. Such a request should be made to the President or appropriate Vice President and must include an explanation of the reasoning behind the request.

      2. If the President or Vice President agrees with the proposed withdrawal or consolidation, he or she will present the proposal to the President’s Cabinet for review.

      3. The President’s Cabinet shall make a recommendation to the President for approval or rejection of the proposal.

      4. Following the recommendation of the President’s Cabinet, the President shall make a final decision approving or rejecting the withdrawal or consolidation. No change to any policy shall become effective until approved by the President. In the event that a proposal for withdrawal or consolidation is rejected by the President, it shall be returned to the drafting individual or unit with an explanation of why the proposal is being rejected.

      5. The Policy and Procedure Coordinator will remove withdrawn policies from the electronic repository and will issue an electronic statement to the campus. The Responsible Party is responsible for any additional information or communication regarding the withdrawal or consolidation.

    8. Compliance And Conflicts

      1. The Responsible Party assists compliance through the establishment of normal business practices, some of which may be outlined within a policy, and which support implementation of the policy. Routine Human Resources procedures also assist with compliance. The Internal Auditor uses policies as a measurement tool in regular assessments of University operations. In addition, communication with and training of the campus community regarding current policy will facilitate compliance.

      2. In the event of a conflict between a University Policy and a Unit Level Policy, the University Policy will control.

      3. No college, department or operating unit may adopt a policy, procedure, or practice that is inconsistent with University Policy or any policy of the Board of Regents of the University System of Georgia.

    9. Retention

      Superseded and withdrawn versions of University Policies will be maintained in the electronic repository for ten (10) years from the date of the revision or withdrawal, and will be available through the Policy and Procedure Coordinator’s Office.

    10. Responsibility for Policy and Procedures

      The President delegates to the Senior Vice President for Business and Finance the responsibility and authority for establishing the policy and procedure structures for indexing, publishing, cataloging, and maintaining all official policies.

    11. Format

      University policy shall be developed and published in the format indicated by this policy, generally consisting of the following key elements:
      1. Header (first page): University Logo; Subject – A clear and concise title describing the subject of the policy; Section – The administrative area responsible for the policy; Effective Date; Revision Date (if applicable).

      2. Footer (every page): Section, subject, page number and total number of pages of the policy.

      3. Statement of Purpose: Statement of the rationale for the document, including reference to related higher regulations or policies, if applicable. A statement of the particular scope of applicability should be included where appropriate.

      4. Definitions: Definitions of critical terms used in the policy document.

      5. Policy Statement: Concise statement(s) of the principle(s) which form(s) the basis of the policy.

      6. Support Information: Additional statements outlining the reason for and/or details of the policy, as required.

      7. Procedures: Link(s) to additional documents outlining the details of the policy, as required. Procedures will outline steps to be followed for implementing the given policy. Procedures will reside on the website of the appropriate department and may vary from campus to campus.

      8. Review and Responsibility: Assignment of oversight responsibility for the policy.

      9. Approval: Signature and date lines for formal approval. Written approval may be given electronically.

      10. Revision Log: A table with information documenting the revision history of the policy.

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