University at Buffalo Crest.

Policy Information

Date Established: 2/19/2007
Date Last Updated: 6/17/2020 
Category:
Administration and Governance
Responsible Office:
Policy, Compliance and Internal Controls
Responsible Executive:
Vice President for Finance and Administration

Policy Contents

Developing University Policies

Interim Policy Revision - June 2020

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.

Summary

University policies must be reviewed, approved, and published in the web-based UB Policy Library to promote awareness, compliance, and accountability.

Policy Statement

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:

  • Endure across time and administrations and set a course for the foreseeable future
  • Connect the university’s mission to individual conduct
  • Clarify institutional expectations
  • Support compliance with laws and regulations
  • Manage institutional risk
  • Enhance productivity and efficiency in university operations

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.

Background

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:

  • Clear and understandable
  • Presented in a consistent format
  • Vetted by the Policy Review Group (PRG) and university legal counsel
  • Formally approved by the president
  • Maintained centrally and accessible to all interested parties
  • Reviewed regularly and kept current

Applicability

This policy applies to all university policies.

This policy does not apply to:

  • Academic policies that directly affect the educational mission of the university; academic policies are reviewed and approved via the process specified by the delegated authority
  • Departmental, office, or unit specific policies; these policies may not contradict, undermine, or relax the standards of a university or academic policy

 

Definitions

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.

Responsible Executive

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.

Responsible Office

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.

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.

Responsibility

Policy, Compliance and Internal Controls

  • Design and implement a process for developing, reviewing, issuing, storing, and revising university policies.
  • Guide the responsible executive and responsible office through the policy development and revision process.
  • Provide feedback on the structure, formatting, expression, and other editorial aspects of policies and related documents for clarity and coherence.
  • Approve an interim policy or interim policy revisions.
  • Arrange and chair PRG meetings.   
  • Issue an announcement to promulgate or withdraw a university policy.
  • Maintain the UB Policy Library.

Policy Review Group (PRG)

  • Review proposed policies and substantial revisions to existing policies resulting in understandable, implementable, auditable, and cost effective policies within the context of UB operations.  
  • Suggest changes and request clarification of draft policies.
  • Recommend approval of draft policies.

Policy Writing Group

  • Provide input on policy and procedure content.
  • Draft the new or revised university policy using the University Policy Template.  

Responsible Executive

  • Designate the responsible office to develop and administer university policies.
  • Review and approve the University Policy Proposal.
  • Review and approve an interim policy or policy revision.
  • Forward the approved draft policy to the president for approval.

Responsible Office

  • Prepare the University Policy Proposal and forward to university legal counsel.
  • Assemble a policy writing group to research and write a university policy. Include subject matter and process experts, policy users, stakeholders, and others as appropriate.
  • Work with the policy writing group to draft the new or revised university policy using the University Policy Template.
  • Seek and consider stakeholder input during the policy development process.
  • Attend the PRG meeting to present a new or revised policy and respond to questions, obtain feedback, and consider changes.
  • Establish and implement any system or process necessary to achieve compliance with a policy.
  • Train the university community on policy requirements.
  • Review and update policies on a timely basis.

University Legal Counsel

  • Review the University Policy Proposal and provide guidance and feedback to the responsible office.
  • Review and approve the final draft policy.

Contact Information

Contact An Expert
Contact Phone Email
Pamela Lojacono 716-645-6070 plojacon@buffalo.edu

Related Information

University Links

Forms

History

Policy Revision History
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.

Presidential Approval

Signed by President Satish K. Tripathi

Satish K. Tripathi, President

7/6/2016

Date