Policy Development, Approval, and Review Procedures
Initially approved: August 15, 2011
Revised: September 17, 2012
Revised: November 18, 2013
Policy Topic: Governance and Administration
Administering Office: Legal Counsel Office
I. POLICY STATEMENT
As chief executive officer of Western Carolina University (the “University”), the
Chancellor is ultimately responsible for the University's Policies, with the exception
of those policy matters reserved by statute or University of North Carolina ("UNC")
Code or Policy Manual to other authorities. The purpose of this policy is to: set
forth the required elements of a University Policy; to describe the manner in which
University Policies are proposed, developed, approved, and reviewed; and to promote
the regular review of University Policies.
II. SCOPE AND APPLICATION OF POLICY
This policy does not apply to policies pertaining to (i) faculty instructional responsibilities;
(ii) tenure, promotion, and reappointment; or (iii) curriculum development and revision,
which are within the exclusive purview of the faculty pursuant to the Faculty Handbook,
subject to any external approval requirements.
This policy does not apply to the development and administration of Unit Specific
This policy does not apply to the development and administration of Standard Operating
Procedures and Regulations.
“Administering Office” is the University office charged with overseeing the implementation, administration,
and review of designated policies.
“Divisional Manager” means the Chancellor, Provost, the Vice Chancellor for Administration and Finance,
the Vice Chancellor for Student Affairs, the Chief of Staff, the Chief Information
Officer or the Athletic Director.
“Procedures” are statements that provide for the orderly implementation of policies through detailed,
prescribed actions. Responsibility for the implementation of policies and the routine
administration of policies thereafter rests with the Administering Office.
“Standard Operating Procedures and Regulations” are prescribed instructions pertaining to common business practices and activities
for the University, including the policies and regulations applicable to State agencies.
Standard Operating Procedures and Regulations generally pertain to broad categories
of University business operations such as property management, fiscal regulations,
travel regulations, purchasing and contracting regulations, information technology
regulations, and personnel/payroll management.
“University Policy” is defined as a policy that:
- has broad applicability beyond the internal operating procedures of a single office,
department or division;
- requires the Chancellor’s review and approval for adoption and revision;
- ensures compliance with applicable federal and state laws and regulations;
- ensures compliance with the Code of the Board of Governors of the University of North
Carolina as well as applicable policies adopted by the Board of Governors;
- promotes operational effectiveness and efficiencies and reduces institutional risks;
- supersedes other institutional policies or regulations adopted by offices, departments
or divisions in the event of conflicts or inconsistencies between or among the policies.
“Unit Specific Policy” is a policy that pertains only to the internal operating procedures of a single academic
or administrative office, department or division (e.g., Academic Policies and Regulations).
IV. REQUIRED ELEMENTS OF A UNIVERSITY POLICY
University Policies shall include the following information:
- University Policy number;
- University Policy name;
- Date of initial approval and revision history thereafter;
- Policy topic;
- Administering Office;
- Policy statement;
- Detailed implementing procedures if necessary;
- Schedule for regular and periodic review by the Administering Office; and
- Related policies and resources.
The University Policy Topic Index is located at http://www.wcu.edu/about-wcu/leadership/office-of-the-chancellor/university-policies/topic-index.asp. Policy topics include: governance and administration; academic affairs; advancement
and public relations; University facilities and state property; personnel; educational
outreach, conferences and events; business administration and auxiliary services;
information technology; research and sponsored activities; and student activities
V. UNIVERSITY POLICY DEVELOPMENT AND APPROVAL PROCESS
A. Policy Proposals
Proposals for new University Policies or revisions to existing University Policies
may be initiated by any member of the University community. Proposals from SPA and
EPA non-faculty employees normally proceed through administrative levels to their
Divisional Manager, with review at each level.
Consistent with Section 3.01 of the Faculty Handbook, a faculty member may initiate
proposals for new University Policies or revisions to existing University Policies
through the appropriate council of the Faculty Senate, through departmental, college
or General Faculty committees, through individual members of the Faculty Senate, through
the Chair of the Faculty, or through appropriate administrative channels. Recommendations
pertaining to University Policies must be forwarded to the Chancellor by the Faculty
Senate, which is the chief policy-recommending body of the General Faculty.
B. Policy Development
A complete draft of a proposed new or revised University Policy and its related procedures
should be developed through an integrative and cooperative process by which all appropriate
and impacted individuals, offices, departments, and divisions are involved in the
development of the draft. The drafters should ensure the following: (1) all stakeholders
have been involved in the development of the draft; (2) consistency in format and
presentation; (3) that there are no conflicts between the proposed University Policy
and other University Policies; (4) consistency with laws or other external policies
or regulations germane to the policy; and (5) consistency with the mission of the
Drafters shall submit a complete draft of the University Policy to their Divisional
Manager through appropriate supervisory levels. Drafters shall also submit a development
history with the draft that should include a description of the individuals, offices,
departments or divisions involved in the development.
C. Policy Approval Process
All University Policies ultimately must be approved by the Chancellor through the
process described in this section. Some policies may require additional approval of
the University Board of Trustees, the UNC President, and/or the UNC Board of Governors
pursuant to North Carolina law, the Code of the Board of Governors of the University
of North Carolina or the Bylaws of the Board of Trustees of the University.
1. Executive Council Review
After proposed policies are developed in accordance with Section V.B above, Divisional
Managers will submit proposed new or revised University Policies to the Chancellor’s
Executive Council (“EC”) for its review and approval through the Assistant to the
Chancellor/ Assistant Secretary to the Board of Trustees. A University Policy will
be effective upon the review and approval of EC and final approval by the Chancellor,
unless it requires the review of the Chancellor’s Leadership Council (“CLC”) in accordance
with Section V.C.2. below. A summary of the approved University Policy will be provided
to the campus community when the policy is posted.
2. Chancellor's Leadership Council Review
Following the initial review and approval by EC and the Chancellor, the Chancellor,
in his/her discretion, may submit certain University Policies to the Chancellor's
Leadership Council ("CLC") for review and comment. A University Policy reviewed by
CLC pursuant to this Section V.C.2 will be effective upon review by CLC, approval
by the EC, and final approval by the Chancellor. A summary of the approved University
Policy will be provided to the campus community when the policy is posted.
3. Interim University Policies
In the event a change in law, regulation or UNC policy necessitates the immediate
development of a new University Policy or the revision of an existing University Policy,
such policy will be developed or revised as expeditiously as possible by General Counsel
and posted as an interim University Policy following approval by the Chancellor. Interim
University Policies shall be effective and enforceable upon posting. Interim University
Policies will become permanent policies upon review and approval in accordance with
the applicable procedures described in this Section V.C.
VI. ROLE OF ADMINISTERING OFFICE: MANAGER'S ENFORCEMENT RESPONSIBILITIES
The Chancellor will appoint an Administering Office for all approved University Policies.
The manager of the Administering Office will be responsible for policy implementation,
administration, and review/revision. Responsibility for interpretation of policies
that are the subject of this policy ultimately rests with the Legal Counsel Office.
It is the responsibility of all University managers to ensure that their employees
are familiar with and comply with applicable policies. For purposes of this policy,
the term "manager" includes vice chancellors, associate and assistant vice chancellors,
deans, associate and assistant deans, directors, department heads, and supervisors.
VII. REVIEW AND REVISION OF POLICIES
Administering Offices shall formalize a procedure and schedule for a periodic review
of its designated policies in order to ensure that policies reflect current operational
imperatives and compliance with applicable law and external policies and regulations.
The period of review shall be appropriate to the subject matter, and shall be included
in each University Policy.
VIII. POLICY TEMPLATE
The policy standard template, which is available in Section XI below, must be used
for all University Policies.
IX. ARCHIVING POLICIES
The Legal Counsel's Office will maintain the University Policies website, and keep,
to the extent reasonably practicable, an archive of University policies, including
their effective dates and revision history. A searchable archive of University Policies
shall be published and maintained on the University’s website.
X. POLICY REVIEW
This policy shall be reviewed and revised as necessary every four (4) years.
XI. RELATED POLICIES AND RESOURCES
UNC Policy Manual: http://www.northcarolina.edu/policy/index.php
University Policy Standard Template: Appendix A