Resources for Policy Writers

The Board of Trustees is the governing body of our universities, and as such, policy-making is one of its primary duties. Consistent with its Bylaws and Rules, and for the information, guidance, and convenience of the faculty, staff, students, and other members of our community, the Board has delegated certain policy-making authority to the Chancellor and Presidents.

Board Rule 108 exists to govern the policy-making process; to ensure that our policies are not in conflict with Board Bylaws, Rules, and pronouncements; and to ensure that they are consistent to the extent practicable.

Board Rule 108 applies to all “policies, handbooks, manuals, and other guides to their organizations and operations (collectively, "policies"),” including those related to particular divisions, academic units, and administrative or service components. The substance of the document rather than the title determines whether it is a policy subject to Board Rule 108.

Yes, handbooks, manuals, and guides are covered under the Rule if they are statements of policy that address the rights, responsibilities, or obligations of an individual. Again, the nature of the document determines whether it is subject to Board Rule 108. However, if the handbook, manual, or guide is merely an application or summary of Board Rules or policies previously approved and published, or if it only contains procedures or other resource information, it may not be covered under this Rule. When in doubt as to whether a document is subject to Board Rule 108, contact the Campus Designee.

UAH Policy on Policies was written to:

• standardize UAH policies
• establish procedures for the creation, format, review and approval process
• establish procedures for the implementation, publication, and renewal of policies
• establish procedures for the rescindment of policies

Policies are clear, written statements that include the standards or rules that regulate or guide organizational actions and individual conduct. Policies outline who has specific authority or assigned accountability, what is required, why, and the consequences of not meeting policy requirements. Policies follow a defined template and may include links to guidelines or procedures.

Policies generally fall into three categories:

1. Policies that enhance the mission of the University.
2. Policies that ensure compliance with applicable laws, rules and regulations.
3. Policies that promote operational effectiveness and efficiencies and reduce institutional risk.

• Policies should be clear and concise and written in third person.
• Keep the language simple and the sentences short. Since the audience can vary, the best practice is to write for an 8th grade reading level. This way, the audience can easily focus on the content and intention of the policy.
• Policies should be gender neutral. Avoid the use of “he”, “she”, or “he/she” references.
• Words need to be selected carefully. Words such as “should” and “may” imply choice, while “must” does not.
• Do not use information that may quickly become outdated, such as employee names or names of software products, unless such information is specifically required. For example, certain regulations require an individual to be named as the contact for reporting.
• When using acronyms, spell out the words the first time, then indicate the acronym in parenthesis, e.g. Office of Risk Management and Compliance (“ORMC”).

Procedures describe how the policy will be put into action by outlining the steps to be taken, defining roles and responsibilities, and listing forms or documents to use.

While policies have a defined template, the format for procedures can vary depending on the content. Sometimes required information can be covered with just a few bullet points, while other topics need detailed step-by-step instructions. Procedures can also be organized as forms, checklists, or flowcharts.

In some cases, it may be necessary to combine policy and procedures in the same document. However, in most cases, it is best to keep policies and procedures separate. This gives the department more flexibility to change or update internal procedures as needed and helps to not overwhelm the policy approval process, as procedures are generally excluded under Board Rule 108 because they simply state the “when,” “where,” or “how,” of compliance with policies.

Example A: A University policy might require employees to report suspected or known violations of rules, while a procedure might address how and to whom reports are made.

Example B: A University policy might provide appropriate leave time to employees, whereas a procedure would outline the steps for an employee to request time off.

The formatting for a UAH policy is outlined in the Policy on Policies.

UAH Policy Template

The standard font is Arial, 11pt.

Final policies are posted in PDF format. Policy PDFs must meet the accessibility standards for online content under the Americans with Disabilities Act (ADA) and conform to the Web Content Accessibility Guidelines (WCAG) version 2.1, Level AA or higher. Adobe software comes with a built-in Accessibility Checker and the software is available to active students, faculty, and staff at no cost.

Creating an Accessible PDF using Microsoft Word Instructions is helpful.

Any individual at UAH can propose a new policy by submitting the proposal through the appropriate division's administrative channels.

All new policies are subject to the policy development standards of Board Rule 108 and must go through both the campus and the system approval process.

Procedures

1. Divisional VP, CAO, or CFO submits to Executive Council for review and feedback.
2. Divisional VP, CAO, or CFO submits to Counsel for review and feedback.
3. Divisional VP, CAO, or CFO submits to Campus Designee for review and feedback.
4. Campus Designee forwards to the Chancellor’s Designee for review of Board Rule 108 consistency.
5. Divisional VP submits to the following for 90-day review and feedback to the following groups: Staff Senate, Faculty Senate, Student Government Association, and any other campus entities that may be impacted.
6. If substantive revisions are made to the draft, then a second review of the policy will be conducted beginning with step 1.
7. If no substantive revisions were made to the draft, the Divisional VP collects approval from the Campus Designee, Vice President, and the President.
8. Divisional VP submits clean PDF version of the new policy to the Campus Designee for posting on the website.

Any individual at UAH can propose changes to an existing policy by submitting the proposal through the appropriate division's administrative channels.

Substantive or significant updates to existing policies are subject to the policy development standards of Board Rule 108 and must go through both the campus and the system approval process.

Substantive or significant updates include changes that:

• alter the policy’s intent or overarching objective
• modify definitions
• modifications that impact persons covered or responsible units in significant ways
• changes to policy requirements, limitations, rights, or responsibilities

Procedures

1. Divisional VP, CAO, or CFO submits to Executive Council for review and feedback.
2. Divisional VP, CAO, or CFO submits to Counsel for review and feedback.
3. Divisional VP, CAO, or CFO submits to Campus Designee for review and feedback.
4. Campus Designee forwards to the Chancellor’s Designee for review of Board Rule 108 consistency.
5. Divisional VP submits to the following for 90-day review and feedback to the following groups: Staff Senate, Faculty Senate, Student Government Association, and any other campus entities that may be impacted.
6. If substantive revisions are made to the draft, then a second review of the policy will be conducted beginning with step 1.
7. If no substantive revisions were made to the draft, the Divisional VP collects approval from the Campus Designee, Vice President, and the President.
8. Divisional VP submits clean PDF version of the new policy to the Campus Designee for posting on the website.

Non-substantive or administrative updates to existing policies can be processed at the campus-level. However, if substantive revisions are made to the draft at any step during the review process, then the policy is subject to the policy development standards of Board Rule 108 and must also go through the system approval process.

Non-substantive or administrative updates are edits that do not materially change the purpose or effect of a policy, such as:

• clarifying, reformatting, or reorganizing existing content
• updating references to applicable laws, regulations, or Board pronouncements
• procedure-only updates
• changes that merely summarize existing Board Rules
• changes that merely summarize existing previously approved policies

Procedures

1. Divisional VP, CAO, or CFO submits to Executive Council for review and feedback.
2. Divisional VP, CAO, or CFO submits to Counsel for review and feedback.
3. Divisional VP, CAO, or CFO submits to Campus Designee for review and feedback.
4. As long as no substantive revisions were made to the draft, the Divisional VP collects applicable approval from the Campus Designee, Vice President, and the President.
5. Divisional VP submits clean PDF version of the new policy to the Campus Designee for posting on the website.

Email the Campus Designee for guidance.

Due to a change in the law, demands of regulators, rulings of a court, Board pronouncements, or other unanticipated events, a policy may need to be in place as soon as possible. Interim policies must adhere to the same Board rules as final policies and be labeled as “INTERIM.”

Procedures

1. Divisional VP, CAO, or CFO submits to President for review and feedback.
2. Divisional VP, CAO, or CFO submits to Counsel for review and feedback.
3. Divisional VP, CAO, or CFO submits to Campus Designee for review and feedback.
Campus Designee will forward new policies and substantive changes to existing policies to the Chancellor’s Designee for a Board Rule 108 consistency review.
4. Divisional VP, CAO, or CFO collects approval Campus Designee, Vice President, and President.
5. Divisional VP, CAO, or CFO submits clean version of the new policy designated as “INTERIM” to the Campus Designee for posting on the website.

Interim versions of policies are effective for six (6) months.

Area specific policies, to the extent practicable, should adhere to the same Board rules as university-wide policies. These policies generally do not require a 90-day campus wide review and are not posted on the University-wide Policies and Procedures page unless requested by the divisional VP, CAO, or CFO and/or President.

Should there be or should there occur at any time a conflict between a UAH policy and a document of a higher authority (e.g., applicable federal or Alabama law or regulations, or policies, with Bylaws and Rules of The Board of Trustees of The University of Alabama and with pronouncements of the Board and Chancellor of the System) the document of higher authority will prevail. Should there occur at any time a conflict among UAH policies, the most recently approved policy will prevail. Should there occur at any time a conflict between a UAH policy and any other written or oral statement developed by an operating unit at the university, the UAH policy will prevail.

The President’s Executive Council consists of the President, all Vice Presidents, Chief Administrative Officer, Chief Financial Officer, and Chief of Staff to the President. Review by the Council is important because policy changes may affect other divisions and some updates may warrant further discussion.

The Office of Counsel advises campus officials as needed in the drafting and adoption of policies. Review by the Office of Counsel is part of the approval process for each campus and campus attorneys should be appropriately involved in the drafting and adoption of policies, especially those that address legal or regulatory issues.

The Campus Designee is the main point of contact for questions surrounding compliance with the Rule. Other responsibilities in the process include:

• forwarding new policies or substantive changes to existing policies to the Chancellor’s Designee for a Board Rule 108 consistency review
• maintaining up-to-date records for each University-wide policy
• auditing compliance with the Policy on Policies
• ensuring a University-wide policy is posted to the website

The President may rescind policies following consultation with the Office of Counsel and the Campus Designee. Divisional VPs, the CAO, and the CFO should consider Board Rule 108 compliance when determining whether a policy should be rescinded.

Procedures

1. Divisional VP, CAO, or CFO submits to the President for review and feedback.
2. Divisional VP, CAO, or CFO submits to Counsel for review and feedback.
3. Divisional VP, CAO, or CFO submits to Campus Designee for review and feedback.
4. Divisional VP collects applicable approval from the Campus Designee, Vice President, and the President

A policy can be reviewed and/or revised any time circumstances require, but in order to maintain an up-to-date and relevant set of policies, the divisional Vice President, CAO, or CFO is responsible for ensuring all policies within their purview are formally reviewed within ninety (90) days of the policy’s five-year anniversary.

Keep in mind:

A revision can be made when needed without a full, formal policy review.

A full, formal five-year policy review may or may not have revisions.

The Campus Designee will forward the policy to the UAH Webmaster to be updated on the website. It is the responsibility of the division/unit to update their webpages to reflect changes.

The campus-level process is based on the requirements set forth in Board Rule 108. In general, all new policies and those undergoing substantive revisions should go through a full 90-day campus review before they are implemented—unless the changes are time-sensitive. In such cases, interim policies may be issued and remain in effect for up to six months while the full review process is carried out.

Policies that involve only non-substantive changes are usually not subject to the full campus review unless specifically requested by the responsible Vice President, CAO, CFO, or the President.