Policy on Policies

Policy Author:
Cabinet

Responsible Office – Department:
Cabinet

Effective Date of Policy:
November 1, 2017

Introduction

Daemen University’s Policy on Policies is designed to establish a process for the development, issuance, revision, approval and maintenance of official University policies, with a consistent series of procedures and standard format.  This Policy will provide practical direction to the broad range of University operating units.

Both existing and new policies shall be maintained in a Digital Archive that provides an on-line repository of all existing and superseded University policies, and displays current policies on a newly established Policies and Procedures Website.  In tandem, these two requirements will facilitate the organization of and access to policies and procedures in “volumes” for students, faculty, staff, administrators, Trustees, and those considering Daemen University as their university of choice.  All faculty, staff, administrators and university leaders shall be expected to follow the policy development processes set forth within this Policy on Policies, in drafting, revising, withdrawing, approving and promulgating University policies.

A Policy Development Template to be used for proposing all policy changes or new policies is attached to this document as Appendix A.

Definitions

University-wide Policy: An official directive of broad and direct application across the spectrum of University Centers; operating and administrative units; and Departments and Offices on Daemen University’s campuses in Amherst, New York and Brooklyn, New York.  The purpose of a University-wide policy is to instill uniform, consistent procedures and standards; ensure compliance with applicable local, State and Federal law and regulations; promote operational efficiencies and accepted best practices; and enhance the Mission and reduction of institutional risks to the University.  Such policies normally have a broad scope of rules applying to all faculty, staff, students, and visitors to the University.

Administrative-Departmental Policy: A policy that applies primarily to an administrative unit or academic unit on campus that conducts the daily affairs of the University under the supervision of senior administrators, Department chairs, Divisional Deans, or other officers of the University.

Notwithstanding the possible broad impact of such policies, these policies pertain primarily to matters within the exclusive function of a particular administrative or academic unit on campus.  Examples of such units would include, but not be limited to, academic affairs and faculty with such policies promulgated through the Faculty Senate and published in the Faculty Handbook; policies affecting NCAA Division II student-athletes as set forth within the Athletics Policies and Procedures Manual; and various student affairs policies and procedures relevant to the Student Code of Conduct.

Policy Procedure: Sets forth identified, established methods and requirements for the orderly implementation of a University-wide or Administrative-Departmental Policy.

Employees: Individuals who are compensated by the University, including faculty, staff, administrators, and work study students and any other personnel who meet the definition of employee under New York State or Federal law and are working at Daemen University, either full-time or part-time.

Policy Author: An official or designated employee within a Department or Office who will take responsibility for the development of the content of a proposed policy and will be accountable for the sponsorship of the proposed policy throughout the policy development process set forth in this Policy on Policies.

Responsible Office-Department: The University Office or Department responsible for developing and administering a policy, which includes dissemination of the policy, development of procedures where appropriate and timely revision of such policy.

Once a policy has been developed and approved, the Policy Author or other Responsible Officer shall be designated by such Office or Department with the responsibility for the implementation of the policy; the reporting of the newly-approved policy to the Director of Web Communications for inclusion in the appropriate Volume on the Policy and Procedures Website and for incorporation into the Digital Archive of policies, as required under provisions of this Policy on Policies.

Policy Development Template: Standard format that governs the development, presentation and consideration of University policies.  The Template requires a short, descriptive title; a detailed statement of the purpose and scope of the policy; any applicable definitions and exclusions; the policy implementation plan; and contact information for questions or guidance on the proposed policy.

Digital Archive of Policies and Procedures: The official digital repository for all existing, new, revised, and superseded policies of the University.  This Digital Archive shall be maintained by the Director of Web Communications, with assistance from the Chief Information Officer and other appropriate staff and officials of the University.

Policy and Procedures Website: The official on-line policy website where the majority of University-wide and Administrative-Departmental policies shall be maintained in the appropriate “Volumes”, for ease of access and review by campus stakeholders.  This website shall be maintained by the Director of Web Communications, with assistance from the Chief Information Officer and other appropriate staff and officials of the University.

Volumes: The thirteen (13) institutional policy categories by which the University policies are organized and made available for review on the Policies and Procedures Website.

Scope of this Policy

Daemen University policies may be initiated by individual faculty, staff, administrators, or other campus officials; operating units; the Faculty Senate; members of the Cabinet; or the President or members of the Board of Trustees.

However, this Policy on Policies applies to all employees of Daemen University, including, visiting and/or full or part-time faculty; volunteers; fellows; students and others who are performing activities or providing services under the auspices of the University, including consultants, vendors and contractors.  Each proposed policy shall be submitted for consideration and approval within the processes and in the format required under this Policy on Policies.  The Policy Development Template contains the form that shall be utilized for all policy development proposals, and the Policy Author shall set forth in the “Scope of this Policy” section of the Template, among other things, the members of the Daemen University community who shall be subject to the proposed policy.

The format and procedures contained in this Policy on Policies shall also be applied to efforts to revise an existing University policy or withdraw a current University policy.  Any superseded policies shall be retained in the Digital Archive for no fewer than four (4) years after they are superseded by a new or revised policy.

Only those University policies that are approved by the Board or a duly authorized committee of the Board, as authorized by the Daemen University Charter and/or Bylaws, can be applicable to the Board and/or its Trustee members.

Nothing in this Policy on Policies limits or circumscribes in any way the powers or authority of the Board of Trustees or the President, as set forth in the Bylaws of the Board, to issue, amend, or revoke University-wide or Administrative-Departmental policies, if deemed necessary for the effective management and administration of the affairs of the University.

Policy Development, Review and Approval Process

General.  The purpose of the procedures set forth in this Policy on Policies is to document the basic development, review, approval and promulgation processes for new or revised policies.

The procedures for formulating and reviewing University policies may vary depending on the primary constituency affected directly by the policy.  For example, as set forth below, for academic affairs and/or faculty governance policies that would normally be published in the Faculty Handbook, the process for initiation, review and approval of policies will be different than the process established for policies affecting non-academic policy matters.  However, all policies, regardless of origin, that have broad University-wide applicability that transcend the initial focus of the policy proposed, shall undergo additional review by the Cabinet, the President and/or the Board of Trustees where appropriate.

All proposed policies or changes thereto, shall be requested and considered only in the proposed format set forth in Policy Development Template under Appendix A of this Policy on Policies and under the procedures outlined herein.

No policy or implementing procedure, regardless of origin or subject matter, may be adopted that is inconsistent with or expands the obligations of the University under official University-wide policies without the written approval of the President or, in the case of policies that would fall within the powers and authorities of the Board of Trustees, without the written approval of the Board of Trustees.

Furthermore, in the event of a conflict between a University-wide policy and an Administrative/Departmental policy, the University-wide policy will take precedence.

Non-academic University-wide policies can originate in the Cabinet and be approved by the President, following close consultation and collaboration with the appropriate Department, Office, or non-Cabinet administrator or officer.

Academic Affairs and Faculty Governance Policy Development

1. Policy proposals related to academic and faculty governance matters are reviewed and provisionally approved by the Faculty Senate, subject to final approval by the Vice President for Academic Affairs and the President and, when appropriate, the Board of Trustees.
2. An academic affairs or faculty governance policy proposal shall be submitted, utilizing the Policy Development Template format, by the Policy Author, to his or her Department Chair and then to the Divisional Dean for analysis and review prior to submission to the Faculty Senate for provisional approval.  During the analysis and review period prior to submission to the Faculty Senate, the Policy Author, Department Chair and Divisional Dean shall ensure that such proposed new policy or modification of existing policy will be reviewed with appropriate other policy stakeholders, decision-makers, and academic and faculty constituencies involved in the policy issue under examination.
3. After such review by the Department Chair and Divisional Dean, the policy proposal, with any amendments from the original proposal affixed thereto, shall be submitted to the Faculty Senate to be placed on the agenda of the Senate for review, discussion and approval.
4. The policy approved by the Faculty Senate shall then be reviewed by the Vice President for Academic Affairs and Dean of the University, in consultation with the President of the University, and then approved by the Vice President for Academic Affairs.
5. Once a new policy or modification of an existing policy has been approved by the Faculty Senate and the Vice President for Academic Affairs and Dean of the University, if the proposed policy or policy change has campus-wide applicability beyond academic affairs and faculty governance subject matter, or if the policy would fall within the authorities and jurisdiction of the Board of Trustees of the University, then additional review and approvals may be required by the President of the University and/or the Board of Trustees.
6. Once a new policy or policy modification has been approved by the Faculty Senate and Vice President for Academic Affairs, and no further approvals are required under this Policy on Policies, the approved policy shall be incorporated into the Faculty Handbook; added to the Digital Archive; and posted in the Academic Affairs and Faculty Volume on the Policy and Procedures Website, through the Office of the Director of Web Communications.
7. The Vice President for Academic Affairs and Dean of the University, or a Responsible Office-Department Officer designated by the Vice President for Academic Affairs, in consultation with the Faculty Senate, shall be responsible for the coordination, implementation and maintenance of the approved policy.  The Responsible Officer shall also be responsible for ensuring that the new policy is reviewed periodically, as necessary, to assure that the policy reflects obligations imposed by law, regulation, best practices or other factors.

University-wide Policy Development

1. Any member of the faculty, staff, administration, Office or Department may propose revisions to an existing University-wide policy or may identify the need for a new University-wide policy that meets one or more of the following criteria:
   1. Has broad applicability to all or the majority of all Departments, Offices, or other constituencies throughout the University;
   2. Is consistent with the University’s Mission Statement, reduces institutional risk or if implemented would enhance organization effectiveness and efficiency; and
   3. Is consistent with local, State or Federal law or regulatory requirements that apply to the University.
2. In proposing a policy change, Policy Authors are expected to seek policy guidance and advice from the appropriate Department or Office leadership and/or the Vice President or other Senior Administrator with jurisdiction over the policy issue proposed; to request input from affected constituencies across the University campuses; and carry out research on current policies, relevant statutory and regulatory factors, and do other analysis that will thoroughly examine the effects and benefits of the proposed University-wide policy.
3. Policy Authors, and those with whom they may be collaborating in the formulation of any University-wide policy, are expected to use the Policy Development Template under Appendix A of this Policy on Policies, in presenting such policy for consideration and review.
4. Policy Authors shall first seek and obtain the approval of a proposed new or modified policy from the appropriate Director of the Office or Department that would have primary jurisdiction over the implementation and administration of such policy (ex. a broad policy regarding facilities would first be cleared with the Director of Facilities; a broad policy governing parking would first be cleared with the Director of Campus Safety) and then seek and obtain the approval of the appropriate Vice President; the Athletic Director; the Chief Information Officer, or other Senior Administrator with authority over such issues.
5. Final approval of University-wide policies rests with the President of the University, or with the Board of Trustees, if such policy proposal would require such Board approval, under their authorities contained in the Bylaws.  The President is expected to review such University-wide policy proposals with Members of the Cabinet before approving a policy.
6. Once a new policy or policy modification has been granted final approval under this Section, the approved policy shall be incorporated into the Digital Archive; and posted in the appropriate Volume(s) on the Policy and Procedures Website, through the Office of the Director of Web Communications.
7. The same process contained under this Section shall be used for the proposed decommissioning of an existing University-wide policy.
8. The President and the Cabinet are expected to establish and maintain a regular review cycle for University-wide policies, to ensure they are regularly reviewed and, if necessary, proposed for revision.

Administrative-Departmental Policy Development

1. Any member of the faculty, staff, administration, Office or Department may propose revisions to an existing Administrative-Departmental policy or may identify the need for a new policy that meets one or more of the following criteria:
   1. Has a more narrow focus on a particular Office, Department or administrative issue at the University or has a more targeted applicability than the University-wide Policy addressed under Section IV.B of this Policy on Policies;
   2. Is consistent with the University’s Mission Statement, reduces institutional risk or if implemented would enhance organization effectiveness and efficiency; and
   3. Is consistent with local, State or Federal law requirements that apply to the University.
2. Policy proposals under this Section related to administrative or single Departmental, non-campus wide matters shall be reviewed by the affected Department or Office and its leadership, and, following approval, shall be forwarded to the appropriate Vice President with jurisdiction over the Responsible Office; the Athletic Director; the Chief Information Officer, or other appropriate Senior Administrator for final approval, subject to final approval by the President or Board of Trustees, if required under the authoritis set forth in the Bylaws.
3. Once a new policy or policy modification has been granted final approval under this Section, the approved policy shall be incorporated into the Digital Archive; and posted in the appropriate Volume(s) on the Policy and Procedures Website, through the Office of the Director of Web Communications.
4. The Vice Presidents, Athletic Director, Chief Information Officer or other appropriate Senior Administrator, are expected to establish and maintain a regular review cycle for Administrative-Departmental policies under their purview and jurisdiction, to ensure they are regularly reviewed and, if necessary, proposed for revision.

Policy Development for Policies Proposed by Vice Presidents Athletic Director, Chief Information Officer or other Senior Administrator.  

1. If a Vice President, the Athletic Director, Chief Information Officer, or other Senior Administrator (Policy Authors) proposes a new policy or policy modification he or she shall consult with the appropriate Department, Office, and/or campus leaders for initial consideration and review of such policy.
2. After concluding the initial policy review required under Section D.1, the Policy Author shall submit the proposed policy to the Cabinet for its consideration and further review.  The President shall make the final approval of such policies submitted under this Section.
3. The Policy Author under this Section shall utilize the format and Policy Development Template under Appendix A, in preparing the policy narrative and justification.
4. Once a new policy or policy modification has been granted final approval under this Section, the approved policy shall be incorporated into the Digital Archive; and posted in the appropriate Volume(s) on the Policy and Procedures Website, through the Office of the Director of Web Communications.

Review and Updating of Policies

The Responsible Office shall establish a process and schedule for the periodic review and updating of its policies, particularly those policies when there are changes in applicable local, State or Federal law and/or regulations or other circumstances that may affect provisions of the policies under review.  Proposed revisions or retirement of such policies shall be subject to the same processes set forth in this Policy on Policies, for the drafting, formatting, review and approval of proposed policy development.

Training

When necessary and appropriate, the Director of Employee Engagement shall work with the Responsible Office-Department to develop and provide any training to assist with the effective implementation of a policy approved under this Policy on Policies.

Policy on Policies approved on 11/1/17
Edited 9/30/21 – title change only
Edited 8/16/22 – college to university