The text of Board Rule 106.2 and Board Rule 108 can be found in the 100 Series section of the Board Manual.
Board Rule 106.2
Board Rule 106.2 is part of the Board’s continuing efforts to strengthen and support ethical, compliant, and risk-aware practices among UA System institutions. The full Board Rule can be found below along with additional informational items related to the Rule.
Board Rule 106.2 FAQ
- When was Board Rule 106.2 approved?
Board Rule 106.2 was approved by the Board of Trustees on November 7, 2014.
- Where can I find the full text of Board Rule 106.2?
You can find the full text of Board Rule 106.2 in the Board Manual on the UA System website.
- What is the purpose of Board Rule 106.2?
- To endorse an organizational culture that encourages effective consideration and management of risks.
- To promote ethical conduct and the appearance of ethical conduct.
- To whom does Board Rule 106.2 apply?
- The Board of Trustees and Senior Staff
- University community members
- Others providing services to or on behalf of The University of Alabama System and/or its three campuses (UA, UAB, UAH), including the Health System
- When should I report unethical or threatening behavior?
If you learn of a significant occurrence or threat which has caused or poses an imminent risk of substantial injury or harm to persons, property, the surrounding community, or reputational harm to The University of Alabama System or its institutions, you should report this through appropriate channels.
- What resources are available for reporting or for more information?
- Your supervisor and chain of command
- Campus risk and compliance officials
- UA Office of Risk Management Opens in a new window
- UAB Office of Compliance Opens in a new window
- UAB Office of Risk Management: (205) 934-5577
- UAH Office of Risk Management
- The University of Alabama System Department of Risk Management
- The University of Alabama System Anonymous Reporting Hotline
- What is the UA System Code of Conduct?
- The University Of Alabama System Code Of Conduct supplements campus-specific policies, codes and rules, e.g.the UAB Enterprise Code of Conduct.
- This Code of Conduct is aspirational in nature and encourages good judgment and wise discretion of all members of the University Community.
- Who can I contact for more information regarding Board Rule 106.2?
Board Rule 108
The Board of Trustees adopted Board Rule 108 in November 2017, replacing and updating former Rule 306. It applies to all “policies, handbooks, manuals, and other guides to their organizations and operations” adopted by the System Office and campuses.
In developing policies, appropriate constituencies and sister campus policies should be consulted. Each campus should seek consistency to the extent practicable, and shall work with their campus Office of Counsel. It is recognized that campus policies may differ to reflect appropriate differences in campus roles or missions.
Proposed new policies and revisions should be sent to the appropriate Campus Designee for consideration by the Chancellor’s Designee.
Institutional Compliance Coordinator
The University of Alabama
Phone: (205) 348-2304
Courtney Champion, J.D.
University Compliance Coordinator
The University of Alabama at Birmingham
Phone: (205) 975-4979
Brandie Roberts, CDP
Coordinator of Compliance & Risk Management
The University of Alabama in Huntsville
Phone: (256) 824-6899
Lauren Montgomery, CCEP
UA System Office
Phone: (205) 348-0568
For More Information
The Office of Risk and Compliance
Board Rule 108 FAQ
- What is the purpose of Board Rule 108?
The Board of Trustees is the governing body of our universities, and policy-making is one of its primary duties. Consistent with its Bylaws and Rules, and for the information, guidance, and convenience of the faculty, staff, students, and other members of our community, the Board has delegated certain policy-making authority to the Chancellor and Presidents. Board Rule 108 exists to govern the policy-making process; to ensure that our policies are not in conflict with Board Bylaws, Rules, and pronouncements; to ensure that they are consistent to the extent practicable; and to promote fairness, equitable treatment, safety, security, and other Board goals.
- What documents are covered by the Rule?
Board Rule 108 applies to all “policies, handbooks, manuals, and other guides to ... organizations and operations,” including those related to particular divisions, academic units, and administrative or service components. The substance of the document rather than the title determines whether it is a policy subject to Board Rule 108.
Policies are generally understood in the higher education context to be written decisions by those in authority to:
- Express fundamental institutional values and commitments;
- Mandate or constrain actions within the University community;
- Ensure coordinated compliance with applicable laws or regulations;
- Promote operational efficiencies; or
- Mitigate and manage institutional risk. See acupa.org Opens in a new window.
Policies generally describe “what” is expected of “whom” and “why.” Policies are typically differentiated from procedures, which describe “when,” “where,” and “how” those policy expectations are to be achieved. For example, a University policy might require employees to report suspected or known violations of rules, while a procedure might address how and to whom reports are made. Or, a University policy might provide appropriate leave time to employees, whereas a procedure would outline the steps for an employee to request time off from his or her supervisor.
Often, a single document may contain both policies and procedures. When in doubt as to whether a document is subject to Board Rule 108, contact the appropriate Campus Designee.
- Does the Rule also apply to handbooks and manuals?
Yes, handbooks and manuals are covered under the Rule if they are statements of policy. Again, the nature of the document determines whether it is subject to Board Rule 108. However, if the handbook or manual is merely an application or summary of Board Rules or policies previously approved and published, or only contains procedures or other resource information, it may not be included. (See "What does the Rule not cover?" below.)
- What does the Rule not cover?
The Rule is intended to broadly cover all policies, regardless of the title. However, numerous categories of documents generated on our campuses are not covered by the Rule. For example:
- Procedures are generally excluded, i.e., documents that simply state the“when,” “where,” or “how,” of compliance with policies.
- Summaries, i.e. documents that merely summarize existing Board Rules or previously approved policies.
- Decisions or documents subject to Board approval under other Rules, e.g., campus master plans, budgets, or annual capital development plans.
As stated above, exclusions may not always be apparent simply from the title of the document. Your Campus Designee and the Chancellor’s Designee can provide guidance on those questions.
- Must all changes to a policy go through the Board Rule 108 approval process?
New policies and substantive or significant updates to existing policies are subject to the policy development standards of Board Rule 108 and must go through its approval process. Substantive or significant updates would include changes that alter the policy’s intent or overarching objective, modify definitions, persons covered, or responsible units in significant ways, and other significant changes to policy requirements, limitations, rights, or responsibilities. Administrative or minor updates to policies may be processed at the campus level. Examples of administrative or minor updates would be edits that do not materially change the purpose or effect of a policy, such as clarifying, reformatting, or reorganizing existing content, updating references to applicable laws or regulations, updating names, and fixing broken web links. If you have questions about what constitutes a substantive or significant change, please contact your Campus Designee, who will consult with the Chancellor’s Designee. Please see "Should existing policies be reviewed?" below regarding review of existing policies.
- What does the Board Rule require of those responsible for drafting policies?
Drafters of a policy must comply with the substance and procedures of the Rule, including:
- Consulting with affected constituencies in the development and formulation of the policy
- Transparently publicizing the policy after adoption, by hosting it on a website or other electronic collection
- Ensuring compliance with superseding Board Bylaws, Rules, or Chancellor requirements, chiefly by consulting with the Campus Designee on those issues
- Seeking consistency with sister campus policies to the extent practicable, including benchmarking against available policies
- Adopting the policy in accordance with campus and Rule procedures by working with the Campus Designee and Chancellor’s Designee
- Does Board Rule 108 change the campus process for adoption of new policies?
No. Campus policies are adopted “according to campus requirements and procedures, provided the provisions of this Rule are satisfied.”
- Who can answer my questions?
Contact your Campus Designee or the Chancellor’s Designee with questions.
The Campus Designee is the main point of contact for questions surrounding the Rule, your campus policies, and compliance with the Rule. The Campus Designee:
- Acts as the primary resource to help you consider whether the proposed policy is consistent with superseding laws, regulations, Bylaws, Rules, minutes, and other pronouncements of The Board of Trustees and Chancellor
- Acts as the primary resource to help you consider whether the proposed policy is consistent, to the extent practicable, with sister campus policies
- Consults with you and the Chancellor’s Designee on these questions
- Gives the specific assurance required under the Rule of compliance
- Answers your questions about such measures and provides assistance
Campus designees are listed above.
The Chancellor’s Designee is the main point of contact for the Campus Designees. Under the Rule, the Chancellor’s Designee:
- Discusses questions related to Board compliance and/or System consistency
- Consults with the Campus Designee on questions about the goals and purpose of the Rule and proposed policies
- Receives the draft policy and specific assurance of compliance from the Campus Designee prior to policy adoption
- Consults with any subject matter experts in the System Office regarding policies specific to certain functions, e.g., the Designee refers academic and student policies to the Vice Chancellor for Academic and Student Affairs for review
- Approves proposed policies that are compliant with the Rule
- Answers questions and provides assistance about such issues
The Chancellor’s Designee is listed above.
- What is the role of the attorneys in the Office of Counsel?
The Office of Counsel advises campus officials in the drafting and adoption of policies, as well as the Campus Designee and Chancellor’s Designee. The Office of Counsel should be appropriately involved in the drafting and adoption of campus and System Office policies, especially those that address legal or regulatory issues.
- What if our campus needs to adopt a policy immediately, due to a change in the law, demands of regulators, rulings of a court, or other unanticipated events?
The Rule provides that expediency may sometimes demand waiver of the procedural requirements. Examples include when a legal mandate or emergency intervenes. Questions should be directed to the Office of Counsel, Campus Designee, and/or Chancellor’s Designee. The Campus Designee and Chancellor’s Designee must be informed of any policies that require expediency.
- What are the guidelines for consistency among sister campuses?
It is understood that the processes, needs, missions, roles, scope, and goals of each campus vary and thus complete consistency may not be applicable under all circumstances. Each campus and the System Office must consider the policies of its sister institutions during policy development, seek consistency to the extent practicable, and work with the Office of Counsel in furtherance of these goals.
- Should existing policies be reviewed?
The Rule has a prospective effect, applying to new policies and substantive or significant revisions of existing policies. However, the campuses and System Office are expected to review existing policies on a routine basis to ensure the same are up-to-date.
- Are policies the same as contracts?
No. Policies do not create a contract or quasi-contract among the Board, a campus, and any employee, individual, or entity affected thereby. Further, policies are not intended to limit the appropriate exercise of discretion by officials, as called for in particular circumstances.