Submission Guidelines for Manual Revisionsfor Manual Coordinators and Departments
In accordance with institutional directives, the ASU system of administrative manuals is available on the ASU Web to allow easier access by the university community. In addition, the conversion to an electronic medium means that university departments can revise policies more often (three times a year vs. once a year), which provides the opportunity to keep the manuals accurate and current.
Records retention requirements
The policies of ASU, a state agency, are considered public records. In accordance with Arizona public records laws and requirements, a printout of the online text kept at ASU Libraries, University Archives serves as the official record, and is available for public inspection.
Publication procedure for manual revisions
Publication by University Policy Manuals Group (UPMG) involves the following:
|Note:||Manual coordinators must supply accurate URL addresses to sites outside the UPMG Web space and notify us of changes in such addresses. UPMG is not responsible for the accuracy of links to nor the content of sites outside our departmental control.|
The manual revision schedule is fixed in accordance with an archiving schedule developed for the State of Arizona, Department of Library Archives and Public Records. There are three revision cycles each year posted on:
The ideal deadline for submitting revisions is ten working days after the previous posting (approximately two calendar weeks).
As a guideline, manual coordinators should request revisions in their departments in timely fashion. The manual coordinator should notify department heads and other persons responsible for maintaining or revising policies no later than two months before each deadline. Whenever a change in policy is foreseen, the manual coordinator is well advised to request the responsible departmental designee to begin writing the revision as soon as possible, so that departmental review and responsible executive approval can be achieved and rewrites can occur before the submission deadline.
|Note:||UPMG makes every effort to accommodate policy updates regardless of when submitted and to work with manual coordinators to ensure that manuals are as up-to-date as possible. However, policy updates submitted too close to the next posting date may not be processed on time as all policies must also go through a review and approval process. For urgent needs, refer to the interim posting process and/or contact UPMG for assistance.|
Ideally, updates to all policies for a particular manual should be submitted simultaneously to expedite review. Additional policies submitted after an initial review draft has been created and sent out for review may not be reviewed before the next posting date.
Manual revisions submitted on time will be posted to the manual Web site according to schedule, although delays may occur on occasion. Common causes of delays include failing to return the review draft to UPMG by its due date or making extensive changes to the review draft in a constricted time frame or too close to the posting. Revisions submitted after the deadline will be processed in the next revision period, unless previous arrangements have been agreed upon or work on all previously submitted revisions is complete and sufficient time remains to complete the publication procedure for an earlier posting.
The following directions for the preparation of revisions for new or revised policies and exhibits represent experience gained over years. They are designed to make publication as efficient and accurate as possible. For more information about how policies should be structured or formatted, refer to the information on the policy template and/or contact UPMG for guidance.
Effective and Revised Dates
The manual coordinator must ensure that the correct effective and revised dates (months, days, and years) are indicated on every policy submitted to UPMG. Every policy has an effective date, the date on which the first policy/procedure on this subject became effective, and is not necessarily the posting date or publication date of the policy. Once a policy takes effect, this date never changes; it remains the same throughout the life of the policy, no matter how many revisions are made.
The revised date indicates the date on which the policy/procedure was most recently updated. It is always different from the effective date, and is not necessarily the posting date or publication date of the policy. Therefore, it may occur earlier than the posting date, but it is never earlier than the effective date.
Revising Posted Policies
|Note:||Documents that are improperly prepared or unreadable will be returned to the manual coordinator for correction, and will be placed at the end of the queue when resubmitted for editing and production.|
Developing the Manual Revision Notice (MRN)
Each submission must be accompanied by a manual revision notice (MRN). For revisions to posted policies and exhibits, describe the change and the reason it was made. For new policies, include a statement of why the new policy is being included in the manual. In addition, UPMG will edit/update the submitted MRN text to match the style of the manuals and the content of the policy updates. For example, refer to a sample MRN.
|Note:||The MRN always has an effective date equal to the posting date; it never has a revision date, because each MRN is created specifically for each posting.|
If you need assistance with creating entries for the MRN, contact UPMG for guidance.
Revising or Creating Exhibits
“Exhibits” are often charts that illustrate departmental organization or flowcharts showing how some action proceeds through different steps. Exhibits are also useful to show how to complete a form by filling out a sample with hypothetical information. All exhibits that are forms have the word “Sample” printed across them.
Exhibits are not blank forms intended for downloading. Forms for downloading should be accessed from a departmental Web site. By putting such forms on the departments Web site, the department can change the forms as necessary. The manual coordinator should indicate where a link to the form should be inserted in the policy text and UPMG will format the links according to the manual standards.
Ideally, updated or new exhibits, in electronic formats, such as Word or PowerPoint documents, which can be converted to PDF (or other appropriate format) by UPMG, should be submitted.
If exhibits are not available in electronic formats, provide a clean hard copy on white paper (an original, with no hole punches or staple holes). High quality originals produce better quality scans.
UPMG does not prepare or correct art for exhibits. The manual coordinator must submit copy suitable for posting.
In order to address those instances when it is absolutely necessary to post new or changed policies and procedures or to delete policies and procedures outside the review cycle, the following policy and procedure has been approved. It is intended for issues of a magnitude that necessitate posting as soon as possible. The responsible executive for the manual in which the change will occur will make the exception based on the following criteria:
The responsible executive with authority for the manual in which the update is to be posted determines whether the policy change meets the foregoing criteria. If so, and if all appropriate approvals for the change have been acquired, the manual coordinator forwards an electronic copy of the policy (ideally, in Word with track changes activated showing edits), including exhibits if necessary, to the University Policy Manuals Group via e-mail. The manual coordinator should also indicate that appropriate approvals have been given for this posting as interim. If desired by the manual coordinator, hard-copy print outs can also be submitted as supporting documentation through campus mail. The interim posting will be edited for style, format, or links at that time, and include an “Interim Posting Notice” on the manual’s table of contents, an “Interim Posting Alert” on the main manuals page (at http://www.asu.edu/aad/manuals), and a statement about the interim posting at the beginning of the policy, all of which will be removed at the time of the next scheduled posting. To view how interim posting notices should be formatted, refer to the policy template information.
|Note:||The effective date (if a new policy) or the revised date must be included in the policy text.|
UPMG will provide a printed copy of the newly updated policy (included as a part of the manual) to University Archives with the next scheduled posting, in compliance with the records retention schedule established with the State of Arizona. In other words, any policies posted as interim become a part of that manual’s official updates at the next scheduled posting.
The ASU system of academic and administrative manuals is maintained by UPMG, a part of OGC. Contact us.