As we advance Rice’s journey to implement Momentous, our strategic plan, it is key to formalize processes that mitigate risk and safeguard the university. Moving forward in innovation, research, teaching, and collaboration, policies are a valuable tool that ensure our commitment to compliance and ethics. These policies help govern our actions and position us for positive outcomes. Well-drafted policies provide clear guidance, ensure compliance, and promote consistency.
Rice University Policy 101 governs the administration of policies designating Omar Syed, Vice President and General Counsel, as the Responsible Official for this policy and Chetna Koshy, Associate Vice President, Ethics, Compliance and Enterprise Risk & Chief Compliance Officer, as the policy manager for the university.
Some frequently asked questions about policy management are below:
Who is considered the owner of a Rice policy?
The responsible official is listed at the bottom of the policy page and is the policy owner. There may be other key offices that are involved in or connected to the operationalization of the policy that are detailed in the policy. However, the responsible official is considered the policy owner, thereby making them responsible for the administration, adherence, and maintenance of the policy.
What changes can be made to a policy?
Both clerical and substantive changes can be made to our policies.
What is the difference between clerical and substantive changes?
Clerical changes are minor edits that do not affect the meaning, intent, or application of the policy. On the other hand, substantive changes are modifications that alter the meaning, requirements, or scope of the policy.
What are some examples of clerical changes?
- Fixing typos, grammar, or formatting errors
- Updating names, job titles, or department names due to organizational changes
- Correcting broken links or references to external documents
- Rewording for clarity without altering the intent
What are some examples of substantive changes?
- Adding, removing, or changing rules, procedures, or compliance requirements
- Adjusting policy scope to include/exclude different groups or situations
- Changing enforcement mechanisms or penalties
- Revising definitions that impact how the policy is interpreted
How are different types of changes approved?
Substantive changes typically require review and approval from leadership, legal, or governance committees, including the Executive Compliance Committee (ECC), whereas clerical changes may only need administrative approval from the Office of Ethics, Compliance and Enterprise Risk (OECE).
What is the process for making changes?
It depends on the change. The first step is to reach out to OECE and communicate the request to change your policy via email.
How often should I review my policy and make changes?
Trick question - Policy 101 states that policies should be reviewed every five years. This doesn’t mean that a change has to be made as a result of the review. Nevertheless, a policy can and should be revised as much as it needs to be to avoid confusing language, to remain in compliance with regulatory requirements, and to ensure operational excellence.