1. POLICYTECH Policies and Procedures
Document Owner/ Reviewer/ Proxy Training

2. POLICYTECH TRAINING TABLE OF CONTENTS
Description
Slide No.
Introduction 4
Document Creation Process 5
Policy Workflow(Non-clinical AUMC) 6
Policy Workflow(Clinical AUMC) 7
Policy Workflow(AU) 8
Policy Workflow (AUMA) 9
Policy Workflow (Roosevelt Warm Springs) 10
Role of the Document Owner 11
Part 1: Creating a Document
12-41
Task 1: Assigning New Properties
14-18
Task 2: Assigning Department and Category
19-21
Task 3: Assigning Reviewers
22-25
Task 4: Assigning Approvers 26
Task 5: Assign Readers
27-28
Adding Notes for Writers, Reviewers, and Approvers
29-32
Task 6: Writing the Document 33
Task 7: Inserting Links 34
Task 8: Creating Questionnaire, Quiz, or Attestation
35-38
Importing a Document
39-41
Part 2: Managing Through the Approval Process
42-51
Determining the Status of a Document
44-46
Reviewing Comments, Revisions, and Resubmitting Document for Review
47-51

3. POLICYTECH TRAINING TABLE OF CONTENTS
Part 3: Document Review/Revision
52-62
Periodic Review and Creating a New Version
53-58
No Revision Necessary 57
Archive 58
Updating the template
59-62
Part 4: Performing Tasks as a Reviewer
63-75
Accessing Documents From 65
Accessing Documents From Task List 66
Accepting a Document 67
Revising a Document
68-71
Starting a Discussion
72-75
Part 5: Proxy Author Role
76-77
Contact Information 78

4. INTRODUCTION
Document Workflow
Role of the Document Owner

5. DOCUMENT CREATION PROCESS
Including Review Groups such as Policy Committees
The document creation process consists of three major actions:
Creation of a draft document
Vetting/review
Approval
It is during the “Review” action that policies are submitted to the convened Policy Committees if warranted
Review may take place within PolicyTech or via outside PolicyTech.
May want someone to review for grammar, spelling, and punctuation outside the system.
If the reviewer has a vested interest in the policy (for example a unit /department that co-sponsor’s a policy may want to review within PolicyTech for the benefit of the audit trail.

6. Compliance & Enterprise Risk Management
POLICY WORKFLOWS
Medical Center policies that do NOT require MEC approval
To expedite review process forward to necessary reviewers by forwarding via for comment while document is in draft status.
Draft Policy
Review (Required in PolicyTech)
Executive Sponsor
Determines if policy meets compliance standards
Determines if policy should go to GRMC Policy Committee
Compliance & Enterprise Risk Management
Convened Meeting
Major revisions to existing policies
New policies
Electronic review for period reviews w/o substantive changes to content
GRMC Policy Committee
Final approval
CEO
Executive Sponsor is the VP level owner of the policy.
Note that GRMC Policy Committee Review may take place at a convened meeting or via an electronic review.
Red = Required Reviewers

7. Compliance & Enterprise Risk Management
POLICY WORKFLOW
Medical Center policies that DO require MEC approval
To expedite review process forward to necessary reviewers by forwarding via for comment
Draft Policy
Review (Required in PolicyTech)
Executive Sponsor
Determines if policy meets compliance standards
Determines if policy should go to GRMC Policy Committee
Compliance & Enterprise Risk Management
Final Approval
MEC/CEO
Policies that are vetted and approved via MEC do not come to the Policy Committee for approval however, major revisions and new policies are reported to the convened policy committee for comment and for note

8. POLICY WORKFLOW UNIVERSITY
Vett policy content with stakeholders
Draft Policy
Executive sponsor reviews draft prior to submission to CERM
Executive Sponsor
Determines if policy meets compliance standards
Determines if policy should go to Policy Committee
Determines that appropriate vetting has occured
Compliance & Enterprise Risk Management
New policies or existing policies with major revisions are reviewed
If endorsed policies are submitted for approval
Policies that are not endorsed are sent back to policy owner with recommendations
AU Policy Management Group
Final approval
Approved policies are automatically published upon approval
Provost & President
Only the President’s endorsement appears on the body of the document however, the policy does not go to the president without the Provost’s endorsement.

9. POLICY WORKFLOW Medical Associates To be determined.
Document import is pending.

10. POLICY WORKFLOW Roosevelt Warm Springs To be determined.
Document import is pending.

11. ROLE OF THE DOCUMENT OWNER
Primarily responsible for content of the policy
Manages the document through the policy management approval process
Conducts periodic reviews of the document and creates new versions when necessary
Executes the Policy Communication Plan
Determines when attestation is required

12. PART 1: CREATING A DOCUMENT
Assigning document properties
Writing document content
Submitting document for review
Importing a document

13. NEW DOCUMENT
To begin a new document, click the New Document sub-tab. Choose the link Then select “Word Document”.

14. TASK 1: ASSIGNING DOCUMENT PROPERTIES
1. Policy Title
2. Document Ownership
3. Document Template
Ensure that you select the appropriate document template as it will determine the workflow associated with your document.

15. TASK 1: ASSIGNING DOCUMENT PROPERTIES (cont.)
Policy Title: The policy title should be designated in the field designated “1”.
The document title indicated in the field will automatically be indicated on the face of the document. If a document title is changed, it should be changed in the indicated field and not on the face of the document.
Naming convention. Document title should indicated the document type. (i.e. Annual Education Policy vs. Aspirin Desensitization Protocol for Adults)
Document Ownership: Document ownership is indicated in the referenced field.
Documented ownership can be changed by a DCA after the document is submitted.
Document Template: There are several document templates in the system. The document creator should ensure that the correct document template is selected. The template does determine the workflow through which the document will be vetted and approved.

16. TASK1: CONT. 1. Document Review Interval 3. Publication Date
2. Warning Period
4. Assigned Proxy
5. Document Keywords
6. Original Creation Date

17. TASK1: CONT.
Document Review Interval: Field allows the document owner to determine when the policy should be reviewed by the indicated workflow. This should occur at least triennially.
Warning Period: Indicates when the system will generate reminders to the document owner that the document is due for review.
Publication Date: System allows for the document to be published on a specific date as opposed to when the document is approved by the final approver.
Assigned Proxy Author: Proxies maybe assigned to a document to assist a document owner in the management of a document. Proxies will need to be designated those rights by the DCA.
Document Keywords
Original Creation Date

18. TASK 1: CONT.
University policies must contain in the keywords the section # and title of the category to which they will be assigned in the exact format indicated. Other keywords may be added by listing utilizing a comma to separate them.
For University policies please be sure to indicate the appropriate document category in the keywords sections.

19. TASK 2: DEPARTMENTS AND CATEGORIES
Choose which site the document belongs to.
Departments will be determined by the association of the Document Owner to their department of record. This information is fed through the HR file upload.
Please do select an appropriate category, This will determine how the policy is located.

20. TASK 2: DEPARTMENTS AND CATEGORIES
2. Ensure that the appropriate department is indicated. If the document is a medical center document ensure that a medical center department is indicated if the document owner has a dual appointment.
3. Select from the drop-down list of departments.

21. TASK 2: DEPARTMENTS AND CATEGORIES

22. TASK 3: CHOOSE REVIEWERS
May want to give consideration to the required reviewers versus the non-required. Consider if an objection by that reviewer should stop the review cycle.
Also, determine the order of the reviewers. Reviewers in the same level will get their assignments to review the document at the sametime.
1. Choose reviewers from dropdown list of available reviewers. Reviewers must be granted those rights by DCA.

23. TASK 3A: ADDING ADDITIONAL REVIEWERS
Reviewers that a Document Owner selects in addition to the required reviewers should be added to “Level 1”.
Select “New Level” and move all required reviewers down so that required reviewers are in the last two levels.

24. TIME CONSIDERATION
1. Number of individuals in the level that must review the document in order for it to progress to the next level of review.
2. Note: You may control the duration that designated reviewers are allocated to review a document.

25. SETTING DUE DATES Due on a specific date Due on a Date interval
When you select this option you are given two options to limit the time a document will remain in a particular level.

26. TASK 4: CHOOSE APPROVERS
To select Approvers:
In the Site-drop list select the site that containing the users you need to assign.
In the Approver box, select the checkbox next to the users you select. Select as many users as necessary.
Approvers are determined by the template chosen.
Document owners rarely need to add an approver to a document.
Only the President’s endorsement appears on the document.

27. TASK 5: ASSIGN READERS
You may require users to read a document. When the document is approved, the designated required Readers receive an notification that the document is available and that they are required to read it.
The designated required Readers will receive a Task when the document is approved. The Task will remain until they complete a Mark as Read action.

28. TASK 5: ASSIGN READERS cont.
Readers can be designated by Departments, Job Titles, and or individually.
You may specify an interval of how often the required reader must read this document.

29. ADDING NOTES FOR WRITERS, REVIEWERS, AND APPROVERS
When assigning writers, reviewers, approvers, and readers in the Properties Wizard, you can include a note with instructions or other information concerning the writing, reviewing, approving, or reading of the document.
Any note you write is included in the task notification sent to assignees as soon as the document moves to the stage for which the note was written. For example, if you include a note while working on step 4. Reviewers, that note will be sent as soon as the document goes to review. An assignee can also access a note from within the document (see Reviewing Notes for details).

30. ADDING NOTES FOR WRITERS, REVIEWERS, AND APPROVERS

31. ADDING NOTES FOR WRITERS, REVIEWERS, AND APPROVERS

32. ADDING NOTES FOR WRITERS, REVIEWERS, AND APPROVERS

33. TASK 6: WRITING A DOCUMENT
Provide the necessary content to each section of the template.
When the content is complete and you are ready to initiate the review process, click Submit for Review.
If you need to close the document and complete at a later time, click Options and then Save & Close.

34. TASK 7: INSERTING LINKS To insert a link to an open document,
Click in the document to place your cursor at the point where you want a link to be inserted.
In the Edit Document tab at the top of the page, click Insert Links.

35. TASK 8: CREATING A QUESTIONNAIRE, QUIZ, OR ATTESTATION
Initiate creation of quiz/questionnaire by clicking the “Edit Questionnaire “ tab

36. CREATING A QUIZ (cont.)

37. CREATING QUIZ QUESTIONS

38. QUIZ SETTINGS
Save and Submit

39. IMPORTING A DOCUMENT
To import a document created outside PolicyTech and apply the appropriate template.
Document must be in “Draft” status
Must be sure that you have correct template
Consider workflow changes
Changes in the “face” of the document
Please be aware that some changes to workflow are not apparent by looking

40. IMPORTING (CONT.)
Under “Editor Tools”, select “Import/Overwrite”

41. IMPORTING (CONT.)

42. PART 2: MANAGING THROUGH THE APPROVAL PROCESS
Reconciling Reviewer Feedback
Monitoring Progress

43. WORKFLOW

44. DETERMINING STATUS OF DOCUMENT2 3 1
Document owners can view documents that they own in every status.
Documents Returned to Draft from Review or Approval
Whenever one or more reviewers or approvers revises or declines a document that you own, it is sent back to you and placed again in Documents in Draft so you can make needed changes.
Policy & Procedure Manager sends an message (#5), alerting you that the document has been returned.
The message also contains the comments of the Reviewers or Approvers who revised or declined the document. These comments are also stored in document properties, which you can view by opening the document.

45. DETERMINGING STATUS OF DOCUMENT (cont.)

46. DETERMING STATUS OF DOCUMENT (cont.)

47. REVIEWING COMMENTS, REVISIONS, AND RESUBMITTING FOR REVIEW
To open a document returned to draft from review or approval, do one of the following:
Click the link to the document in the notification .
Click the Documents tab, then click in Draft.
Find the document, then click the document title.

48. REVIEWING COMMENTS, REVISIONS, AND RESUBMITTING FOR REVIEW
Click the Reviewers Status or Approvers Status links (depending on where the document was when it was sent back to draft).

49. REVIEWING COMMENTS, REVISIONS, AND RESUBMITTING FOR REVIEW
You should see one or more Reviewers listed whose names have a green check mark (meaning they accepted the document) or a red x (meaning they revised or declined the document). Notice in the above example, that the second review cycle appears to have not yet started.
Click on a Reviewer or Approver whose user name has a red x to view that user’s comments as to why they declined or revised the document.
Click the Edit Document tab to display the document.
Depending on whether the document was revised or simply declined, there may or may not be marked changes in the document (declining does not allow Track Changes to appear on the document). If there are marked changes, you need to display and work with, the Reviewing toolbar.
Click Review tab

50. REVIEWING COMMENTS, REVISIONS, AND RESUBMITTING FOR REVIEW
Track Changes Feature
The Track Changes feature in Word is used to track Reviewers’ and Approvers’ changes, which appear in a different color for each Reviewer or Approver.
Added text is underlined and displayed in the Reviewer's color.
Deleted text is marked with a line from the deletion point to a balloon in the margin that contains the deleted text.
And a vertical line in the margin marks any line of text that has been modified.
You can see who made a specific change, and when that change was made, by resting the cursor on that change.

51. REVIEWING COMMENTS, REVISIONS, AND RESUBMITTING FOR REVIEW
The Document Owner should do one of the following:
To accept or reject each change individually, click Next or Previous on the Reviewing toolbar, then click Accept Change or Reject Change/Delete Comment .
To accept or reject all changes in the document at once, on the Reviewing toolbar click the arrow next to Accept Change, then click Accept All Changes in Document, or click the arrow next to Reject Change/Delete Comment, then click Reject All Changes in Document.
After accepting or rejecting all marked changes and making any other necessary changes, click Done, click Submit document for review, click Next, then click Close.

52. PART 3: DOCUMENT REVIEW/REVISION
Periodic Review
Converting to New Template
You have been assigned as a “Reviewer”

53. PERIODIC REVIEW & CREATING A NEW VERSION
As document owner you will be notified when a document you own is due for periodic review.
1. Click the document link contained in the task notification .

54. PERIODIC REVIEW OF A DOCUMENT
2. Click MY TASKS, and then in the Periodic Review area, click the document title.
3. Review the document and take one of the following actions:
If the document needs to be revised, click Create New Version to make a copy of the approved document and place it in draft status. Make revisions and submit to the approval process as you normally would.
If the document does not require revision, click Options, and then click No Review Necessary.

55. PERIODIC REVIEW OPTIONS4. 5.

56. PERIODIC REVIEW OPTIONS
4. Periodic review of the document may result in several actions. The first option is to create a new version of the document. Creating a new version of the document will create a copy of the document and open in “draft” status. The document owner or his/her proxy can then make necessary changes and updates to the document. The document will undergo the approval process and when the document is published, the current version of the document will automatically archive.

57. PERIODIC REVIEW OPTIONS
5. If no revision of the document is necessary, click:
Document owner will be asked to justify action.

58. PERIODIC REVIEW OPTIONS
6. Document owner may also determine that the document is no longer valid and choose to archive the document.

59. UPDATING THE TEMPLATE
The Policy Template is indicated in the Properties Wizard, in the Settings Tab.
To update the Policy Template click Reapply, next to the Document Template drop-down.

60. UPDATING THE TEMPLATE
PolicyTech will ask you to confirm which aspect of the template you would like to update.
You can update the Document Content by selecting Document.
You can update the Workflow and Document Settings by selecting Properties.
If you intend to change the “look” of the document chose “Document”.
If your document is on the most recent version of the template except the “header” still reads “Georgia Regents University” you may chose “Headers” and the headers will be updated with the correct nomenclature.
If you only intend to update the workflow to the most recent approved workflow, then chose “properties”.

61. UPDATING DOCUMENT PROPERTIES
Review the properties for the document to ensure that they are appropriate:
Is the appropriate review period indicated?
Are there any new keywords that need to be indicated?
Are the appropriate Reviewers selected?
Are the appropriate Approvers indicated?
Should this policy be directed to specific readers for attestation?

62. UPDATING CONTENT
Open Source Document either inside PolicyTech or outside PolicyTech
Copy information from source document into the appropriate sections in the New Template.
Upon completion, Submit for Review or Save and Close.

63. PART 4: PERFORMING TASKS AS A REVIEWER
Accessing the Document
Performing Reviewer Task

64. REVIEWERS
You will receive an that states: “[document owner’s name] submitted “[document title]” for your review [due date text]. Click the document title above to pen and edit the document.

65. ACCESSING DOCUMENTS
ACCESSING FROM

66. ACCESSING DOCUMENTS
ACCESING FROM TASK LIST

67. ACCEPTING A DOCUMENT
After reviewing the document and all of the associated attachments it is determined that the document is appropriate for approval without revision, select Accept.
Indicate where to click to review the attachments (arrow #2).

68. REVISING A DOCUMENT
After reviewing the document attachments it is determined that revision of the document is necessary, select Revise.
Indicate where to click to review the attachments (arrow #2).

69. REVISING A WORD DOCUMENT
Important: Revising a document sends it back to draft status where the document owner must restart the review and approval process. You may want to consider starting a discussion thread first to avoid unnecessary process delays.
Emphasize that all reviewers preceding the current review will need to re-approve the document.

70. TO REVISE THE CONTENT
To change the content of the document click Revise and then click Revise again to confirm.

71. The document is reloaded in edit mode
The document is reloaded in edit mode. If this is a Word document, Track Changes is turned on automatically. Use any available PolicyTech and Word or Excel features to revise the document.
Upon completing the revision, select Options. And select the appropriate response (Submit for Review or Save & Close).

72. STARTING A DISCUSSION
In an open document, click the discussion (speech balloon) icon in the upper right corner.
Reviewer may want to consider initiating a discussion rather than revising the document.
Reviewers must decide if the issue is significant enough to stop to review cycle at this point in the process.

73. Click Create New Discussion.
You will see the following window if you are an assigned writer, reviewer, or approver, and the document is in the draft, collaboration, review, or approval status.

74. Decide who needs to see the discussion.

75. Click the group that you will be directing your discussion and then add your discussion.
There will be no names here if no one is assigned that role in the particular document you are reviewing.

76. PART 5: PROXY AUTHOR
Permissions

77. PROXY AUTHOR Tasks that Proxy Author can perform include:
Can create documents for assigned document owners only
Can access and edit all draft documents for assigned document owners regardless of whether the documents were created by the proxy author or the document owner
Cannot submit a document for review or approval but can request that the document owner do so
Can view assigned document owners' documents through the review and approval process

78. QUESTIONS REGARING THE POLICY APPROVAL PROCESS PLEASE DIRECT CALLS TO COMPLIANCE AND ENTERPRISE RISK MANAGEMENT AT (706) QUESTIONS REGARDING SPECIFIC POLICIES SHOULD BE DIRECTED TO POLICY OWNERS