General Policies
University Policy Number 1101
Subject: Writing, Issuing and Maintaining Responsibility for University Policies
Responsible Parties: Internal Audit and Management Services
Procedures: Not Applicable
Related University Policies: Not Applicable
I. SCOPE
This policy applies to the development, issuance and maintenance of all
George Mason University policies applicable to all University units, faculty,
staff and students.
II. POLICY STATEMENT
The purpose of this policy is to ensure that the George Mason University
community has ready access to well-articulated and understandable University
policies. Policies that are easy to find, read and understand will:
1. Help the university accomplish its mission
2. Maintain accountability
3. Provide faculty, staff and students with clear, concise guidelines
4. Clarify how the university conducts business
University Policies will be:
1. Presented in a common format
2. Formally approved
3. Maintained centrally and accessible to all interested parties
4. Linked electronically to procedures for implementing the policy
5. Kept current within the framework of an organized system of change
control
Policies will be clearly distinguished from related procedures according
to the definitions in section III below. Individuals who are responsible
for writing, updating and distributing University-wide policies must comply
with this policy.
Internal policies that apply to the operations of individual units or
departments may not conflict with University-wide policy, but may be more
restrictive.
III. DEFINITIONS
Policy: A policy is a statement of management philosophy and
direction, established to provide guidance and assistance to the University
community in the conduct of University affairs. A University Policy is
defined using all of the following criteria:
1. It is a governing principle that mandates or constrains actions.
2. It has institution-wide application.
3. It will change infrequently and sets a course for the foreseeable future.
4. It helps ensure compliance, enhances the University’s mission
or reduces institutional risk.
5. It is approved at the senior levels of the University.
Procedure: A procedure is a series of interrelated steps that
are taken to help implement the policy. Procedures are defined using the
following guidelines:
1. Procedures are statements that prescribe specific actions to be taken
to comply with established policies.
2. Procedures should identify and link to the applicable University policy.
3. Procedures should be written in a format that is easy to follow, using
numbers or bullets to delineate steps to be followed.
4. Procedures should be reviewed and updated as necessary to ensure agreement
with the most recent revision to the policy.
5. Procedures generally do not require formal approval by senior University
officials.
IV. RESPONSIBILITIES
Policy Administrator: The Director of Internal Audit and Management
Services is responsible for administering this policy. Policy Administrator
will review proposed and revised policies for compliance with the provisions
of this policy. He will forward a copy of proposed and revised policies
to the Associate Vice President for Legal Affairs for review before submission
to the Senior Vice President and Provost for approval. The original, signed
University policies and policy revisions will be maintained by the Policy
Administrator. The electronic copy of approved and revised policies are
submitted by the Policy Administrator to the Internal Audit Secretary
for placement on the University’s web site. Policy Administrator
issues announcements to the University community when new or revised University
policies are issued and notifies responsible parties when particular policies
are scheduled for review and revision.
Responsible Parties: The heads of responsible offices named in
the policy recommend, formulate and submit new University policies to
Policy Administrator for review. Depending on the type of policy, other
individuals or groups may need to be involved in formulating and approving
proposed policies and revisions. For example, some academic policies require
review and/or approval by the Executive Committee of the Faculty Senate.
Senate: Others may require review and/or approval by the Vice President for University Life. Once a policy is approved, these parties monitor compliance and facilitate remedies for noncompliance as directed by the policy. These parties initiate policy review and updates as mandated by the particular policies for which they are responsible.
Senior Vice President and Provost: The Senior Vice President and the
Provost approve University policies and subsequent revisions.
Associate Vice President for Legal Affairs: The Associate Vice President
for Legal Affairs reviews proposed policies and revisions for compliance with
applicable laws and regulations.
Internal Audit Secretary: The Internal Audit Secretary maintains
the University Policies web site to ensure that it contains the current
version of all University policies.
V. POLICY FORMAT
A standard policy format ensures consistency from one policy to another. University
policies will be written and maintained in the following format:
1. Header information:
a) University policy number
b) Subject
c) Responsible Parties
d) Procedures link(s), if applicable
e) Related University Policy link(s), if applicable
2. Scope: Identification of parties governed by the policy.
3. Policy Statement: Purpose of the policy and the statement
of philosophy, position, rule, regulation or direction.
4. Definitions: Meaning and interpretation of terms used
in the policy.
5. Responsibilities: Description of duties assigned to
responsible parties and other parties as necessary.
6. Other information: Information specific to a particular
policy subject as needed.
7. Compliance: Description of the compliance review process
and specific authority to impose penalties or other remedies when noncompliance
occurs, if applicable.
8. Effective Date(s): Initial effective date of policy,
and latest revision date, if applicable.
9. Frequency of review and update: Measure of time period
during which policy must be reviewed and updated as required.
10. Signature, title, and date of approval: Required
for initial approvals and all subsequent reviews and updates.
VI. LOCATION OF POLICIES
To ensure ready access to University policies, the George Mason University web
site (http://www.gmu.edu) will contain an official
University Policies web page with the most current approved version of all University
policies, with links to applicable procedures and forms. The web page will be
maintained in a standard electronic format and will follow the structure described
in section VII below. The documents on the University Policies web page will constitute
the only official university-wide policies for George Mason University.
To maintain an organized system of change control, and to ensure consistency throughout
the university, individual departmental web sites may not contain separate copies
or versions of University policies or applicable procedures. Instead, departmental
web sites that reference University policies and procedures must use hyperlinks
to the documents on the official University Policies web page. This does not preclude
departments from maintaining internal departmental policies and procedures on
their web sites, provided the internal departmental policies and procedures are
not identified as official University policies and procedures, and do not conflict
with official University policies.
VII. STRUCTURE AND ORGANIZATION OF UNIVERSITY POLICIES AND PROCEDURES
In order to maintain policies and procedures that are easy to locate,
policies will be assigned a four-digit number in the applicable series
as described below. Related procedures will be assigned a six-digit number,
where the first four digits represent the applicable policy. The University
Policies web site will list all policies by name and number and will provide
links to the related procedures. Policies will be assigned a number according
to the following system:
1000 General University Policies
Policies of a general nature affecting faculty, staff and students.
1100 General
1200 Equity
1300 Computing
1400 Safety
2000 Administrative Policies
Policies governing use of financial resources and personnel.
2100 Financial
2200 Human Resources and Payroll
3000 Academic Policies
Policies that pertain to academics and academic administration.
4000 Research Policies
Policies governing research activities.
5000 Facilities Policies
Policies that pertain to use of the campuses and their facilities.
6000 Student Policies
Policies governing university life for students.
VIII. EFFECTIVE DATE AND APPROVAL
The policies herein are effective June 1, 2002 and were revised August
19, 2003. This policy shall be reviewed and revised, if necessary, annually
to become effective at the beginning of the University's fiscal year,
unless otherwise noted.
Approved:
_______________________
Maurice W. Scherrens
Senior Vice President
________________________
Peter N. Stearns
Provost
Date approved: August 29, 2003