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Policy Information

Date Established: 2/19/2007
Date Last Updated: 7/6/16
Category: 

Administration and Governance
Responsible Office: 
Policy and Operational Excellence
Responsible Executive:

Vice President for Finance and Administration

Policy Contents

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Developing University Policies

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) establishes policies to align operations, set behavior expectations, and communicate roles and responsibilities. University policies:

  • endure across time and administrations
  • 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 has established a standard policy document and review process to achieve consistency and appropriateness, and formally approves, issues, and maintains university policies in a central policy library. 

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 at Buffalo 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 level policies. This policy does not apply to departmental, office, or unit specific policies; these policies may not contradict, undermine, or relax the standards of university policies.

Definitions

Policy and Operational Excellence Office

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. The PRG meets 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, centrally located system containing the most current version of all university policies.

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 and Operational Excellence Office

  • 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.
  • 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.
  • 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 including 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. Include Policy and Operational Excellence on the response.
  • Review final draft policy as appropriate.

Contact Information

Policy and Operational Excellence
Pamela Lojacono
420 Crofts Hall
Buffalo, NY  14260
Phone:  716-645-6070
Email:  plojacon@buffalo.edu

Related Information

Procedures

University Links

Forms

History

July 2016 Full review. Revisions include:
•  a change in the title of the policy from Development and Issuance of University Policies to Developing University Policies
•  a requirement to complete the University Policy Proposal to assess risk and request university legal review
  an updated policy template
•  changes in responsibilities
February 2015 Updated the policy to reflect the department name change from Policy and Internal Control to Policy and Operational Excellence.
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

John B. Simpson, President

7/6/2016

Date