Date Established: 2/19/2007
Date Last Updated: 6/17/2020
Administration and Governance
Policy, Compliance and Internal Controls
Vice President for Finance and Administration
The revision allows for an interim policy or policy revision to be implemented in an expedited timeframe.
This revision will be made permanent and the policy is currently following the established process to revise a policy.
University policies must be reviewed, approved, and published in the web-based UB Policy Library to promote awareness, compliance, and accountability.
The University at Buffalo (UB, university) is committed to supporting and promoting a culture of compliance and accountability in which members of the university community act in an ethical, honest, and lawful manner. The university establishes policies to set behavior expectations, align operations, and communicate responsibilities. University policies:
The university follows a consistent and transparent policy development, review, and approval process detailed in the procedures to Develop and Maintain a UB Policy and maintains university policies in a central policy library.
When a policy or policy revision is needed in a timeframe that does not allow for the full feedback and approval process as a result of regulatory, accreditation, or other urgent needs, an interim policy may be implemented. The interim policy or policy revision must undergo the complete policy process if the interim policy is to be made permanent.
Policies that are easy to find and understand help the university accomplish its mission, maintain accountability, and clarify how we do business. Faculty, staff, students, and other members of the university community need access to clear and concise tools to assist them in their day-to-day operations. University policies must be:
This policy applies to all university policies.
This policy does not apply to:
Interim Policy or Interim Policy Revision
A provisional policy or policy revision that fulfills an emergent need and requires implementation pending the prescribed review and approval process. An interim policy or interim revision to an existing policy is subject to approval by the responsible executive and Policy, Compliance and Internal Controls and has full authority during its interim status.
Policy, Compliance and Internal Controls
The office charged with defining, implementing, and overseeing the policy development process and maintaining a central repository of university policies.
Policy Review Group (PRG)
A standing advisory, working group comprised of campus administrators who thoroughly review proposed policies and substantial revisions to existing policies. The PRG provides advice and recommendations as well as a university-wide perspective. PRG meetings are scheduled every other month.
Policy Writing Group
An ad hoc group comprised of subject matter and process experts, policy users, stakeholders, and others as appropriate that is formed to write and revise a university policy on a given subject. Members are selected by the responsible office.
The provost, vice provost, or vice president with jurisdiction over the activity that encompasses a policy, and through whom a proposed or revised policy is developed. Depending on the scope of the subject matter, a policy may have more than one responsible executive.
The office designated by the responsible executive to develop and administer a policy, communicate with and train the university community in its requirements, and maintain the accuracy of policy content. Depending on the scope of the subject matter, a policy may have more than one responsible office.
UB Policy Library
A web-based system containing the most current version of a university policy.
A directive that states the university’s official position on a particular issue and:
• Mandates actions or constraints for members of the UB community
• Has broad application throughout the university
• Helps achieve compliance with laws and regulations
• Supports the university's mission
• Promotes quality and operational efficiency
• Helps manage institutional risks
• Supports equity and integrity in practices across the university
• Requires presidential review and approval
A policy that does not meet all of the above criteria is a departmental, office, or unit policy. A departmental, office, or unit policy may be more restrictive, but not less restrictive, than a university policy.
University policies must not be independently published or republished on departmental websites; departmental websites must link to the UB Policy Library.
University Policy Proposal
A document that describes the need, evaluates risk, and documents initial legal review of a proposed university policy.
University Policy Template
A standard format for drafting university policies that facilitates consistency, clarity, and conciseness.
|June 2020||Interim revision. Updated the policy to: |
• Add language in the policy statement to:
• Affirm the university's commitment to supporting and promoting a culture of compliance and accountability
• Allow for implementation of an interim policy or interim revision to an existing policy
• Clarify the applicability section to state that the policy does not apply to academic policies that directly affect the educational mission of the university
• Add a definition for interim policy or interim policy revision
• Add a responsibility for Policy, Compliance and Internal Controls and the responsible executive to approve an interim policy or interim revision to an existing policy
|July 2016||Full review. Updated the policy to: |
• Change the title of the policy from Development and Issuance of University Policies to Developing University Policies
• Require completion of the University Policy Proposal to assess risk and request university legal review
• Revise the policy template
• Change responsibilities
|November 2010||Updated the policy development process after the Institutional Policy and Compliance Advisory Group was dissolved.|