Policy Governance Resources
Emory University
Policy Preparation Guidelines
The Office of Ethics and Compliance (OEC) is establishing a standardized process for policy development to foster uniformity and consistency in an effective compliance program. This initiative is designed to ensure that all stakeholders within Emory University (Emory) are aligned and informed, thereby facilitating coherence across the organization.
How does it affect you, others, and the University?
The goal of this process is to enhance the review procedure and reduce any confusion regarding policy approvals. OEC will streamline the process and ensure transparency throughout. To increase efficiency, we will schedule regular meetings for the policy steering committee and align the organization as a cohesive entity, benefiting all stakeholders collectively.
During the policy creation/ revision stage, it is helpful for the policy owner to consider the following questions:
- Is this policy necessary for reaching our institutional goals?
- Is there a way to combine this policy with another to improve overall coherence and efficiency?
- Is this policy clear enough so that the Emory community can follow?
Emory University – Policy v Procedures Guide
Policies serve as essential guidelines or frameworks that help Emory's faculty and staff understand the principles that guide the University. These policies provide a structured approach, directing individuals or groups toward shared goals while allowing for flexibility in execution. The goal of these documents is to be concise and clear, ensuring that all essential details are communicated effectively and efficiently.
Alternatively, procedures (the “how” policies are executed) provide specific instructions that outline what is required in order to accomplish compliance with policy. This is detailed guidance. Procedures often change when technology, systems, and University processes change. OEC suggests documenting procedures on a website or other location, and adding link(s) in Related Links for more specific information. For policy notes, if any information can be easily changed—such as administrative details, processes, system specifics, or other finer points that may require timely updates—please direct these to a website with a link and do not add them to the policy.
Emory Policy Governance
**OEC**
It is necessary to notify OEC whenever a policy is being revised, created, or submitted to the subcommittees. By receiving notifications at each stage, OEC can effectively monitor the progress of these policies and assist where necessary. This collaborative approach enhances transparency in the process and ensures that OEC guidelines are followed, facilitating a smoother and more efficient policy development.
**Sub-Committee**
Any submissions received after the 20th will defer to the following month for review. Once the Sub-Committee has evaluated the policy, they will either send it back for further revisions or approve to proceed with the policy process.
Emory Subcommittees
- Executive Vice President, Business Administration
- Human Resources
- Provost Office & Research
- Information Technology Infrastructure & Policy
- Other (President’s Direct Reports)
**Steering Committee**
The Steering Committee consists of Senior Leadership from appropriate campus stakeholders. By the time it reaches the Steering Committee, they will conduct a detailed review to ensure alignment with the University's standards and that the communication plan is sufficient. The policy will remain with this committee for a designated period, although this may be extended if required. For administrative policy changes and non-major substantive changes, this is the final approval.
Representatives from:
- Business Administration
- Human Resources
- General Counsel
- Institutional Equity & Compliance
- Provost & Research
- Information Technology
- Campus Life
- Emory Healthcare
**Executive Leadership Review/ Presidential Approval**
Emory policies that are required to move forward for this approval include significant substantive changes and new policies. The policy will remain at this level for approximately 15 business days unless special circumstances arise.
Other policy information to note:
- 3-year review cycle unless required by other means to be updated earlier
- More streamlined approval process
Emory's Policy website - you will find the templates under the "Policy Governance Process" dropdown.
We request that the templates remain unchanged. Thank you for your understanding.
- Formatting – The documents’ current format is in Times New Roman. The Title and Policy Number are both set to a font size of 18, while the main text is size 12.
- Consistency in Wording - Example: the use of "Emory University (Emory)" consistently throughout the document. Another example could be employees. This can mean just staff, staff and faculty, or even student workers. Make sure you add clarification.
- Applicability- This section identifies the individuals or groups to whom the policy applies, ensuring its relevance and appropriateness. This section should not be left blank or filled in as “n/a”.
- Definitions - Highlight the first occurrence of any term within the policy in bold. Additionally, refrain from defining terms that are not present in the policy.
- Related Links – Please test all links to confirm they work before submitting the policy for review. If there's an associated FAQ page, make sure it is properly linked as well.
- Contact Information - It is advised to include a general title, phone number, and email address. If your unit requires a specific person to be named, please be sure that contact information is kept up to date with any changes.
- Revision History – The current revision date will not be listed here. This information is available at the top of the document.