UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL
POLICY ON POLICIES
To create a structure for consistency and clarity in Policies as well as their supporting Procedures and Standards at UNC-Chapel Hill.
SCOPE OF APPLICABILITY
This Policy applies to all units of the University of North Carolina at Chapel Hill.
[Policy effective the later of January 1, 2017 or upon the employment start date of an Associate Director of Policy Management in the Office of Ethics Education and Policy Management.]
Policies and their supporting Standards and Procedures must be developed, reviewed, and approved in a manner that ensures their consistency with the University Mission, and with applicable law and guidance from regulatory authority. Review and approval processes must be appropriate to the scope and impact of each Policy, Procedure, and Standard.
University Policies, Standards, and Procedures have applications beyond a single administrative unit. Processes for approval, review, publication, and decommissioning of University Policies, Standards, and Procedures shall follow the UNC-Chapel Hill Procedure for Policy Management and UNC-Chapel Hill Standard on Policy.
Oversight of all Policies at the University rests with the University Chancellor. In order to efficiently and effectively oversee Policies, Procedures, and Standards according to their scope of applicability, potential impact, and risk to the University, oversight is delegated by the Chancellor to three groups: The Policy Review Committee (PRC), the Executive Policy Approval Committee (EPAC), and the Cabinet.
University Policies – University Policies may be approved by one or more Issuing Officers, most directly responsible for oversight of the Policy area. Processes for required submission for review by the PRC, EPAC, or Cabinet are governed by the UNC-Chapel Hill Procedure for Policy Management.
University Procedures and Standards – These two optional types of documents may be approved by an Issuing Officer or their delegate. Review by the PRC is strongly encouraged, particularly when required or prohibited activities would involve substantial cost or other impact to the operations of other administrative units.
Substantive review of all governance documents covered by this Policy must occur at regular intervals appropriate to the type and nature of the document, and sufficient to comply with governing law and regulation.
All University Policies shall be published by the University Office of Ethics Education and Policy Management (Policy Office) in a central location accessible by all affiliates and other parties who must adhere to the Policies. Procedures and Standards with broad applicability should be published in the same location.
Policies, Procedures, and Standards governed by this Policy shall be decommissioned according to the Processes defined in the UNC-Chapel Hill Procedure for Policy Management.
Authority to establish Policies related to the educational activities of and the award of academic degrees by the University of North Carolina at Chapel Hill is governed by The Faculty Code of University Government. The process for developing and approving the Policies and related Procedures and Standards established under that authority are not intended to be changed by this Policy.
Policies, Standards, and Procedures applicable only to one administrative unit may be enacted and published in any manner determined by the head of that unit. Such governance documents may further limit or specify, but may not contradict a University Policy, Standard, or Procedure, and may not require or prohibit actions of any affiliate of the University outside of that unit. Unit Policies, Procedures, and Standards may be approved by the head of that unit according to processes established by the unit. This is not intended to alter any management decisions by administrators senior to a unit head regarding responsibility for Policy management and delegation of authority to enact Unit Policy.
Policy Officer: The Director of Ethics Education and Policy Management, head of the University Office of Ethics Education and Policy Management (“Policy Office”), the Policy Officer coordinates Policy organization, coordination, review, approval, and publication.
Policy Liaison: Representatives appointed by heads of administrative units designated by the Policy Officer to perform Policy administration functions both internally for the unit and collaboratively with the University Policy Office.
PRC: Policy Review Committee, composed of Policy Liaisons and representatives designated by the Policy Officer. This committee functions as a review step to ensure consistency, quality, and appropriateness of scope for submitted Policies, Procedures, and Standards. All new and material substantive-revisions of University Policies are submitted to the PRC for review. Administrative units may submit other Procedures, Standards, or Unit Policies for review at their discretion. The PRC does not function in an authorization capacity, it is intended to provide feedback and guidance to support effective policymaking.
EPAC: The Executive Policy Approval Committee, comprised of representative members of Cabinet designated by the Chancellor. Includes, at a minimum: Workforce Strategy, Equity, and Engagement Division; Finance and Administration; Office of University Counsel; and Provost representatives. Functions as an authorizing step when Policies are referred to the committee.
Issuing Officer: Those authorized to issue University Policy. As outlined in the University of North Carolina Standard on Policies, Issuing Officers include Vice Chancellors, Director of Athletics, Director of Internal Audit, Deans, and others.
Policy: A Policy at UNC-Chapel Hill is a written statement that mandates, specifies, or prohibits behavior in order to express basic values of the University, enhance the University’s mission, ensure coordinated compliance with applicable laws and regulations, promote operational efficiency, and/or reduce institutional risk. It includes criteria as mandated by the UNC-Chapel Hill Policy template. Clear ownership of the Policy is required—the owner should be a specific role within the Policy issuing unit. (Where used in this document, the term “Policy” refers to both University and Unit Policy.)
Standards: The minimum acceptable limits or rules that may be used to achieve Policy implementation. While Procedures provide specific instructions for units (e.g, how to use specific applications to encrypt data in the HR department), Standards set overarching minimum requirements that must be met by all (e.g., minimum encryption strength for use with sensitive information throughout the university). Standards are created at the unit level and changes are not required to go through the same review or approval process as Policies, but Standards that impact multiple units may need additional review or feedback before being implemented.
Procedures: The specific operational steps required to accomplish an action that necessitates specific instructions. Procedures often pertain to implementing Policy. Procedures may also provide guidance for behavior on issues that are not dictated by Policy. Procedures are created at the unit level and changes do not go through the same review or approval process as Policies, but Procedures that impact multiple units may need additional review or feedback before being implemented.
University Policy: Has application throughout the University, informs someone outside the issuing unit of rights and responsibilities, or regulates the actions of the unit as it interacts with other units on campus.
Unit Policy: Has application only within the issuing unit (e.g. applies only to unit employees, staff, students and others working for or studying at the unit). A Unit Policy can create additional specifications, requirements, or restrictions but cannot contradict a University Policy, Procedure, or Standard.
UNIVERSITY STANDARDS AND PROCEDURES
University Office of Ethics Education and Policy Management
134 E. Franklin Street, Campus Box 4110, Suite 110, Chapel Hill, NC 27599
Kim Strom-Gottfried, PhD January 07, 2017
Director, Office of Ethics Education and Policy Management