Original Issuance Date: October 23, 2015
Last Revision Date: December 14, 2018

1. Policy Purpose

The purpose of this policy is to establish a process for the development, revision, review and approval of all UW System Finance and General Administration Policies and Procedures.

2. Responsible UW System Officer(s)

Vice President for Administration
Vice President for Finance

3. Scope

As required under UW System Administrative Policy 1 (SYS 1), Development, Revision, and Approval of UW System Administrative Policies & Procedures, this policy governs the development, revision, and approval of all Finance and General Administration Policies and Procedures.

UW System Administrative Policy 2 (SYS 2), Development, Revision, and Approval of Academic and Student Affairs Policies governs the development, revision, and approval of Academic and Student Affairs Policies and Procedures.

4. Background

The Board of Regents approves Regent Policy Documents (RPDs) that form the governing framework for the UW System. A UW System administrative policy is an implementation policy focusing on specific operational details, while RPDs focus on broad governance issues and policy guidance. Administrative policies provide the necessary management framework to implement the priorities and strategic vision of the Board of Regents. Administrative policies are also designed to achieve compliance with applicable laws, regulations, Regent policies and other UW System policies.

Within this framework, Finance and General Administration policies govern and ensure consistent management of many UW System operations, including financial administration, capital planning and budget, information technology, procurement and risk management, tuition and fees, human resources, payroll and staff benefits, ownership of intellectual property, and travel. Additionally, administrative procedures may accompany policies and contain specific instructions, forms, or steps that foster compliance with a particular policy.

5. Definitions

Finance and General Administration Policy Committee (FGAPC): The committee established to coordinate the approval, revision, and regular review of Finance and General Administration Policies and Procedures. The FGAPC is created with broad representation to lead integrated policy development, analysis, and review. The FGAPC shall be composed of one representative from the following areas:

  • Office of the Vice President for Administration (Co-chair)
  • Office of the Vice President for Finance (Co-chair)
  • Office of Administrative Services
  • Office of Financial Administration
  • Office of Academic and Student Affairs
  • Office of Budget and Planning
  • Office of Capital Budget & Planning
  • Office of Learning and Information Technology Services
  • Office of Human Resources
  • Office of General Counsel
  • Office of University Relations
  • Office of the Board of Regents
  • Office of Information Security

Responsible UW System Administration (UWSA) Officer: The officer that has primary responsibility over a Finance and General Administration Policy or Procedure based on its content.

6. Policy Statement

A. Role of the Finance and General Administration Policy Committee (FGAPC)

The approval, revision, and regular review of Finance and General Administration Policies and Procedures will be coordinated by the FGAPC. Policies should be established or revised to promote operational effectiveness; to increase efficiency; and, to achieve compliance with applicable laws, regulations, Regent Policy Documents and other UW System policies.

The FGAPC shall actively evaluate the implementation of policies to ensure that they continue to serve the purpose for which they are intended. The FGAPC shall also develop and maintain a meaningful classification system by which to order, number and track Finance and General Administration Policies and Procedures.

B. Development of a new Finance and General Administration Policy

  1. Proposals for a new Finance and General Administration Policy should be submitted to the FGAPC Co-chairs from the responsible UWSA Officer. Other individuals wishing to propose a new Finance and General Administration Policy should consult with the Responsible UWSA Officer. Consideration should be given to whether the same policy objectives can be accomplished through the revision of existing policies.
  2. If the new policy is not part of the comprehensive plan developed under Section 6.G, the FGAPC Co-Chairs will consult with either the Vice President for Administration or the Vice President for Finance, depending on whether the policy proposal is predominantly administrative or financial in nature, to obtain approval to proceed with policy development.
  3. If approved, the FGAPC shall collaborate with the Responsible UWSA Officer to consult with relevant stakeholders in the development of a policy draft. Members of the FGAPC representing the offices with purview over the proposed policy shall assume primary responsibility for this process.
    • Consultation about the development of a new Finance and General Administration Policy may include, but is not limited to, chancellors, chief business officers, external relations, and relevant governance groups, as well as institutional subject-matter experts.
  4. After consultation with relevant stakeholder groups and endorsement by the FGAPC, the FGAPC Co-Chairs and the Responsible UWSA Officer shall submit the policy to the Vice President consulted with under B.II for review.
  5. Upon review of the proposed Finance and General Administration Policy by the appropriate Vice President, the proposed policy shall be presented to the UW System President for final review and approval. If the UW System President approves the final version of the Finance and General Administration Policy, the President shall provide an approved copy of the policy to the appropriate Vice President, the Responsible UWSA Officer and the FGAPC Co-Chairs. The FGAPC Co-Chairs shall distribute the new policy to relevant stakeholder groups and ensure the publication of the new policy onto the website.
  6. A new Finance and General Administration Policy shall be given a policy number as designated by the FGAPC Co-chairs and shall include an indication as to the initial date upon which the UW System President approved the policy.

C. Substantive revisions to an existing Finance and General Administration Policy

  1. If not part of the comprehensive plan developed under Section 6.G, proposed revisions to an existing Finance and General Administration Policy shall be submitted to the FGAPC Co-chairs by the Responsible UWSA Officer. Other individuals wishing to propose amendments to an existing Finance and General Administration Policy should consult with the Responsible UWSA Officer.
  2. The FGAPC Co-Chairs will consult with the either the Vice President for Administration or the Vice President for Finance, depending on whether the policy proposal is predominantly administrative or financial in nature, to obtain approval to proceed with proposed revision(s).
  3. If approved, the FGAPC shall collaborate with the Responsible UWSA Officer to consult with relevant stakeholders in the development of draft revisions to the Finance and General
    Administration Policy. Members of the FGAPC from the offices with purview over the policy shall assume responsibility for this process.

    • Consultation about the substantive revision of a Finance and General Administration Policy may include, but is not limited to, chancellors, chief business officers, external relations, and relevant governance groups, as well as institutional subject-matter experts.
  4. After consultation with relevant stakeholder groups and endorsement by the FGAPC, the FGAPC Co-chairs and the Responsible UWSA Officer designated in the revised Finance and General Administration Policy shall submit the revised policy to the Vice President consulted with under C.II for review.
  5. Upon review of a revised Finance and General Administration Policy, the appropriate Vice President shall present the revised policy to the UW System President for final review and approval. If the UW System President approves the revised Finance and General Administration Policy, the President shall provide an approved copy of the policy to the appropriate Vice President, the Responsible UWSA Officer and the FGAPC Co-Chairs. The FGAPC Co-Chairs shall distribute the revised policy to the affected stakeholder groups and ensure publication of the revised Finance and General Administration Policy to the website.
  6. A revised Finance and General Administration Policy shall maintain its initial policy number, but the UW System President’s approval date of the revision shall be indicated in the policy.

D. Technical Amendments to an existing Finance and General Administration Policy

Technical amendments to a Finance and General Administration Policy may be proposed by the Responsible UWSA Officer whenever necessary to comply with routine changes in legal standards or business practices. Examples of technical amendments include, but are not limited to: updates to contact information, changes in office names, cross-references to additional information, and rate changes.

  1. The responsible UWSA Officer shall send proposed technical amendments to the FGAPC for review.
  2. If there is no objection to the proposed technical amendments within 10 days, the FGAPC Co-Chairs will inform the Vice President for Administration or the Vice President for Finance, depending on whether the policy proposal is predominantly administrative or financial in nature, and the UW System President of the technical amendment. The 10-day rule may be waived or shortened by the UWSA Officer with the approval of the FGAPC Co-Chairs.
  3. If there is no objection from either the Vice President informed under D.II and the UW System President reviews and approves the policy, the FGAPC Co-Chairs will update the Finance and General Administration Policy. The FGAPC Co-Chairs shall communicate the new policy to relevant stakeholder groups and ensure publication of the revised Finance and General Administration Policy.
  4. The amended Finance and General Administration Policy shall maintain its original policy number and the date the UW System President approved the policy revision.

E. Rescission of an existing Finance and General Administration Policy

  1. If not in the comprehensive plan developed under Section 6.G, a request to rescind a Finance and General Administration Policy may be communicated to the FGAPC Co-Chairs by the Responsible UWSA Officer. The request should include detailed reasoning as to why the policy should be rescinded.
  2. The FGAPC and the Responsible UWSA Officer shall consult with all relevant stakeholder groups as part of the request to rescind a policy.
  3. After recommending the rescission of a Finance and General Administration Policy, the FGAPC Co-Chairs will inform either the Vice President for Administration or the Vice President for Finance, depending on the nature of the policy, of the recommendation. Upon review of the recommendation, the appropriate Vice President shall present the recommendation to the UW System President for final review and approval.
  4. If the UW System President has no objection, the removal/rescission shall be approved. The President shall communicate his or her approval of the rescission/removal to the appropriate Vice President, the Responsible UWSA Officer and the FGAPC Co-Chairs. The FGAPC CoChairs shall ensure that notice of the removal or rescission is communicated to relevant stakeholder groups.

F. Development, revision, or rescission of a Finance and General Administration Procedure

  1. The Responsible UWSA Officer shall consult with the FGAPC Co-Chairs when developing or revising a Finance and General Administration Procedure. Such procedures may contain a sequence of action steps related to an administrative policy that specifies how a particular policy should be implemented. Procedures may include specific instructions and forms that foster compliance with the associated policy. Examples of such procedures include, but are not limited to, technical manuals and detailed processes used to establish compliance with a policy. The Responsible UWSA Officer and FGAPC Co-chairs shall ensure that appropriate consultation occurs when developing or revising procedural documents.
  2. Finance and General Administration Procedures shall be approved by either the Vice President for Administration or the Vice President for Finance, depending on the nature of the procedures. After such approval occurs, the FGPAC Co-Chairs shall communicate the new or revised procedures to relevant stakeholder groups and ensure publication of a revised Finance and General Administration Procedure. The FGAPC Co-Chairs shall ensure classification of a new or revised Finance and General Administration Procedure within the FGAPC-designated numbering scheme.
  3. Finance and General Administration Procedures may be rescinded using the process defined in Section 6.E of this policy except that approval to rescind a Finance and General Administration Procedure shall be made by the Vice President for Finance or the Vice President for Administration.

G. Review schedule for existing Finance and General Administration Policies and Procedures

The FGAPC is charged with the development and maintenance of a comprehensive review plan for all Finance and General Administration Policies and Procedures. The FGAPC shall request the assistance of UW System offices to conduct reviews of Finance and General Administration Policies and Procedures. Reviews should be conducted in collaboration with all relevant stakeholders.

Each new and existing Finance and General Administration Policy or Procedure should be assigned a review date. At a minimum, policies should be reviewed every five years. Existing UW System administrative policies or procedures related to finance or general administration that do not follow current numbering conventions developed by the FGAPC should be renumbered during the review and converted into the standardized template.

The FGAPC may delay a scheduled review with approval from either the Vice President for Administration or the Vice President for Finance. If approved, the new scheduled review date should be added to the Finance and General Administration Policy or Procedure.

The modification or removal of a Finance and General Administration Policy or Procedure resulting from a review should follow the relevant policy process described above.

7. Related Documents

UW System Administrative Policy 1, Development, Revision, and Approval of UW System Administrative Policies & Procedures
UW System Administrative Policy 1.A, UW System Administrative Policy Template
UW System Administrative Policy 1.B, UW System Administrative Procedure Template
UW System Administrative Policy 2, Development, Revision, and Approval of Academic and Student Affairs Policies

8. Policy History

Revision 2:         December 14, 2018
Revision 1:         March 29, 2016
First approved: October 23, 2015

9. Scheduled Review

December 2023