UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL
STANDARD ON POLICIES
To create a structure for consistency and clarity in Policies as well as their supporting Procedures and Standards at UNC-Chapel Hill. This Standard defines the constituency and authority of Policy committees and roles, as well as the minimum acceptable baseline for the approval, review, publication, and decommissioning of Policies, Procedures, and Standards governed by the UNC-Chapel Hill Policy on Policies.
SCOPE OF APPLICABILITY
This Standard applies to all units of the University of North Carolina at Chapel Hill.
The University Policy Officer will designate units requiring a Policy Liaison, maintain a list of those units and liaisons, and will coordinate with the administrative unit head to facilitate selection of an appropriate staff or faculty member to serve in that capacity.
If designated by the University Policy Officer as a unit requiring a Policy Liaison, the Administrative Unit Head must appoint an individual from the unit to that role.
Policy Liaisons (or their designate) perform three primary responsibilities:
- Involvement in the drafting of Policies put forth by their unit (both University Policies and unit Policies)
- Communication of new/changed Policies affecting their unit to the unit more broadly
- Serving on the Policy Review Committee, a committee intended to ensure effective vetting and review of University Policies
It is the responsibility of the Policy Liaison to coordinate with the Office of Policy regarding management of Policies, Standards, and Procedures, including timing of changes, ensuring adequate review, incorporation of feedback, and maintenance of documents.
Units requiring Policy liaisons include the following:
|Athletics Department||Scholarships & Student Aid|
|Communications & Public Affairs||School of Dentistry|
|College of Arts and Sciences||School of Education|
|Eshelman School of Pharmacy||School of Government|
|Finance & Administration||School of Information and Library Sciences|
|Friday Center||School of Law|
|Gillings School of Global Public Health||School of Media & Journalism|
|Workforce Strategy, Equity, and Engagement Division||School of Medicine|
|Information Technology Services||School of Nursing|
|Internal Audit||School of Social Work|
|Kenan-Flagler Business School||Student Affairs|
|Office of the Provost||Summer School|
|Office of the Registrar||The Graduate School|
|Vice Chancellor for Sponsored Research||University Development|
|Office of Undergraduate Admission||University Libraries|
|Office of University Counsel|
In addition, the Employee Forum, Faculty Council, and Student Government are invited to provide Policy Liaisons.
POLICY REVIEW COMMITTEE
The Policy Review Committee (PRC) shall be composed of Policy liaisons (or their delegates) from designated units assigned by each unit head, and others designated by the University Policy Officer.
All proposed University Policies will be submitted to the PRC for a review and comment period defined by the University of North Carolina Procedure for Policy Management.
Unit Policies, as well as University or Unit Procedures or Standards, may be submitted to the PRC for review at the discretion of the unit head.
The function of the PRC is to ensure coordination between units, and bring multifaceted review to governance documents to ensure their effectiveness and quality through the use of expert review and feedback. The PRC does not have authority to approve or refuse approval of Policy. The majority of Policies will receive only review by the PRC.
EXECUTIVE POLICY APPROVAL COMMITTEE
The Executive Policy Approval Committee (EPAC) shall be composed of a subset of the Cabinet, including: Workforce Strategy, Equity, and Engagement Division; Finance and Administration; Office of University Counsel; Office of the Provost and other representatives as designated by the Chancellor.
For the limited number of Policies with substantial complexity or risk to the University if not enacted or followed properly, the EPAC may be called-upon as an authorization step.
This group would authorize the approval of Policy if appropriate.
Policies (including University and Unit Policies) may be referred to the EPAC by the Issuing Officer responsible for the Policy.
The EPAC may choose to elevate Policies to the Cabinet for authorization or review.
Documents governed by the UNC-Chapel Hill Policy on Policies shall be reviewed at an interval appropriate to the Policy. Regulatory or other requirements may require more frequent review of specific documents. The issuing units must perform review and initiate revision processes when necessary for all Policies, Procedures, and Standards for which they are responsible.
Material substantive revisions (changes which alter the purpose or effect of the document) must undergo the same review and approval processes required of new documents.
The University Policy Officer may recommend that any Policy, Procedure, or Standard (University or Unit level) undergo review or revision at any time.
University Policies, Procedures, and Standards must adhere to the University templates supplied by the Office of Integrity and Policy and contain all required sections. Units are encouraged to follow similar templates for Unit Policies, Procedures, and Standards, taking care to distinguish them from University-level documents.
University units making reference to Policy, Procedure, or Standard should link to the original document in the official repository for that document. In order to avoid having out of date versions of these documents in use, copies of these documents should not be posted.
Each administrative unit with responsibility for any University or Unit Policy, Standard, or Procedure must ensure that such documents are maintained with correct contact information, links to related documents or information, names of administrative units, and related non-substantive content. It is not necessary for a formal review or revision process to occur to make non-substantive changes (changes which do not alter the purpose or effect of the document) to the text.
The responsibility for managing University Policy documents to ensure accessibility, compliance with the General Records Retention and Disposition Schedule, and integrity of the documents rests with the University Office of Integrity and Policy, and with the issuing administrative units for all other documents.
University Policies – University Policies may be decommissioned by different documents if approved by the authorizing bodies appropriate to the scope of the original document (or greater.) Published documents that have been decommissioned or superseded must be replaced with placeholders or references for an appropriate duration to reduce confusion.
University Procedures and Standards – These documents may be decommissioned by different documents at the discretion of the administrative Issuing Officer, in collaboration with the University Policy Office.
Published documents that have been decommissioned or superseded must be replaced with placeholders or references for an appropriate duration to reduce confusion.
Unit Policies, Procedures, and Standards – Unit documents may be decommissioned by different documents at the discretion of the administrative unit head with responsibility for the document and following any process acceptable to the unit.
SCOPE OF AUTHORITY
Additional Processes – Above and beyond the minimum Standards and processes defined here and in the UNC-Chapel Hill Procedure for Policy Management, the University Policy Office and Policy Liaisons may opt to add reviewers, public meetings, or other ad-hoc processes as they deem appropriate to ensure that all Policies, Procedures, and Standards adopted are well-considered and reflect the aspirations and mission of the University of North Carolina at Chapel Hill.
Unrepresented Units – University units with no designated Policy Liaison may designate any full-time staff member responsible for Policy management to work with the University Policy Office. The Policy Office and Policy Review Committee shall facilitate and assist these units as needed to ensure access to the Policy process and coordination with University Policy activities.
Issuing Officers – In keeping with the University of North Carolina Policy on Policies, Vice Chancellors, Director of Athletics, director of Internal Audit, Deans and their delegates may be the signing authority for Policies, Procedures or Standards within the context of their authority which apply university-wide.
Ad-hoc review – Policy Liaisons may consult with the University Policy Office, request courtesy review from other Liaisons, or request full review of unit document drafts in order to improve quality, efficiency, or coordination.
Interpretation Guidance – At all times, the Office of Integrity and Policy is directed to bring clarity, accessibility, and common-sense to Policy management processes. Interpretation by the University Policy Officer, Policy Liaisons, and Issuing Officers of the Policy on Policies, this Standard, and related Procedures should be made in any reasonable way that results in pragmatic, common-sense outcomes, and does not result in change in document purpose or effect without appropriate consideration and approval by officers of the University within the scope of their responsibilities.
The Chancellor – The Chancellor holds ultimate responsibility for Policy and may determine exceptions, appoint permanent or ad-hoc committees for review or approval, or otherwise take action to ensure that Policies are in keeping with the mission of the University.
Please refer to the University of North Carolina Chapel Hill Policy on Policies for definitions.
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