Formatting, Adopting, Decommissioning, and Publishing Policies, Regulations, and Rules (PRR Protocol)

1. PURPOSE:

The North Carolina General Assembly, the Board of Governors and the President of the University of North Carolina have delegated various powers and duties to the boards of trustees and chancellors of the UNC constituent institutions, including the authority to establish policies and regulations for the efficient and orderly administration of the institution. This Regulation describes and establishes processes and standards for developing, reviewing, approving, amending, and decommissioning University Policies, Regulations, and Rules. By adopting this Regulation, East Carolina University seeks to enhance ethics and integrity, operational efficiencies, best practices, effective decision making and compliance with laws and regulations across the University. This Regulation also helps ensure that the University’s governing documents are easily accessible and understandable, widely disseminated, consistent and standardized to the extent reasonable, and approved in an appropriate way.

East Carolina University aspires to maintain a policy framework that best serves its mission and represents and supports excellence, ethics, and compliance in all of its activities. This Regulation is not intended to confer legal rights on anyone, and Policies, Rules, and Regulations adopted in substantial compliance with this regulation are valid and may not be challenged for procedural error.

In the event of a conflict between an adopted Policy, Regulation, or Rule and the contents of any other campus material addressing the same subject matter, the Policy, Regulation, or Rule shall control. In the event of a conflict between an adopted Policy, Regulation, or Rule and an adopted Policy, Regulation, or Guideline in the UNC Policy Manual addressing the same subject matter, the Policy, Regulation, or Guideline in the UNC Policy Manual shall control.

2. SCOPE: This Regulation is effective throughout East Carolina University.

• 2.1 This Regulation does not apply to the Bylaws of the ECU Board of Trustees or the adoption of Policies, as defined below, by the Board.
• 2.2 This Regulation does not apply to the procedures of the ECU Faculty Senate or the ECU Staff Senate.

3. DEFINITIONS AND SOURCES OF AUTHORITY:

For the purpose of this regulation, these terms have the following meanings:

• 3.1. Policy: A University “Policy” is a statement with broad application throughout the University which enhances the University’s mission, promotes operational efficiencies, reduces institutional risk, helps ensure compliance with applicable laws and regulations, promotes ethical standards and integrity, and is approved in accordance with the procedures of the Board of Trustees pursuant to authority delegated by law or the UNC Board of Governors. Only the Board of Trustees acting as a body may approve a Policy. Appendix 1 of the UNC Code states the delegations of duty and authority to the Boards of Trustees and delegates to the Boards, in part, authority to approve personnel policies and campus traffic and parking regulations.
• 3.2. Regulation: A “Regulation” is a statement with broad application throughout the University which enhances the University’s mission, promotes operational
  efficiencies, reduces institutional risk, helps ensure compliance with applicable laws and regulations, promotes ethical standards and integrity, and is approved by the Chancellor in accordance with this Regulation and pursuant to authority delegated by law or the UNC Board of Governors or UNC President procedures. The Chancellor may delegate authority to adopt Regulations. Only a Responsible Official, as defined below, may approve a Regulation.
• 3.3. Rule: A “Rule” is a statement adopted by an academic or administrative unit to address specific subject matters that are limited in scope to a particular unit’s administrative functions, and which enhances the University’s mission, promotes operational efficiencies, reduces institutional risk, helps ensure compliance with applicable laws and regulations, promotes ethical standards and integrity, and is approved in accordance with the procedures set forth herein. A Rule may supplement but not conflict with Policies and/or Regulations. Only a Responsible Official, as defined below, may delegate development of a Rule and/or the adoption of a Rule.
• 3.4. Standard Operating Procedures: “Standard Operating Procedures” are established by academic or administrative units to facilitate the day-to-day business operations of a particular unit. Standard Operating Procedures are solely procedural in nature and are limited to processes by which a unit operates. Standard Operating Procedures are not subject to this Regulation, must not conflict with approved Policies, Regulations, and/or Rules, and should be clearly written and well communicated. Standard Operating Procedures adopted in conflict with these requirements may be immediately revoked or revised by the Responsible Official, as defined below. For context, a standard operating procedure could be a procedure by which a department answers phone calls or complies with the State of North Carolina’s record retention requirements. Only the head of an academic or administrative unit may adopt a Standard Operating Procedure.
• 3.5. Responsible Official: “Responsible Official” includes the Chancellor, Vice Chancellors, the Chief of Staff, and other administrators specifically delegated by such individuals to develop and approve a University Regulation or Rule with regard to the functions assigned to said Responsible Official. For example, the Chancellor may designate the Vice Chancellor of Student Affairs as the Responsible Official for all Regulations and Rules relating to Student Conduct.

4. DEVELOPMENT AND REVIEW OF UNIVERSITY POLICIES, REGULATIONS, AND RULES:

• 4.1 A University Policy may be initiated by the ECU Board of Trustees.
• 4.2 A University Regulation or Rule may be initiated by a Responsible Official with authority and responsibility for the subject area addressed. The Responsible Official should oversee the drafting and development process and may designate and authorize others to assist.
• 4.3 At least every three years beginning from the original date of adoption, Responsible Officials should review and update policies, regulations, and rules under their authority to ensure compliance with best practices, laws and regulations and seek approval of any material changes.
• 4.4 In developing or amending a University Regulation or Rule, the Responsible Official should communicate with departments, units, or constituencies that may be affected, and seek advice from appropriate others in the University who the Responsible Official determines to have relevant subject-matter expertise and/or administrative responsibility for administration of the Regulation or Rule. The Responsible Official will use appropriate means to seek advice from the University community, including, but not limited to, use of an open comment period for members of the University community, referring a Regulation or Rule to a University body or committee for advice, or any other consultative means as directed by applicable authority. In seeking advice, the Responsible Official shall establish a deadline by which advice and feedback should be provided, and other appropriate guidance so that the process may move forward with appropriate expediency. (See Section 4.5 and 5.2.6 for additional information pertaining to faculty advice.) The Responsible Official shall consider other relevant factors, such as personnel, funding, and other resource requirements to implement the Regulation or Rule.
• 4.5 Faculty Advice. The Chancellor hereby acknowledges the obligation stated in Chapter V, Section 502(D) of the UNC Code to ensure the establishment of appropriate procedures within the institution to provide members of the faculty the means to give advice with respect to questions of academic policy and institutional governance, with particular emphasis upon matters of curriculum, degree requirements, instructional standards, and grading criteria.
• 4.6 Responsible Officials may consult with the General Counsel and Vice Chancellor for Legal Affairs (see 5.2.5 for additional responsibilities) at any stage in the development process to ensure legal sufficiency and policy compliance regarding Policies, Regulations, and Rules that have been adopted.
• 4.7. Advice for New PRRs or Changes to Existing PRRs – Any ECU employee or student may provide advice at any time to a Responsible Official who is charged with administration of a Regulation or Rule for changes to, or decommissioning of, the same, or for a new Regulation or Rule. The Responsible Official will review such advice and may or may not act upon such advice as the Responsible Official deems to be in the best interest of the University, consistent with the goals of this Regulation as stated in Article 1, above.
• 4.8 In deciding whether a particular statement should be a Policy, Regulation, or Rule, individuals may consult with the General Counsel and Vice Chancellor for Legal Affairs and the Chief of Staff.

5. DEVELOPMENT AND APPROVAL OF POLICIES, REGULATIONS, AND RULES:

• 5.1 Policies. Policies will be adopted by the Board of Trustees acting as a body in a manner as decided upon by the Board and in accordance with its Bylaws.
• 5.2 Regulations and Rules
  • 5.2.1 The process stated in this section applies to the adoption of new University Regulations and Rules and significant amendments to existing University Regulations and Rules.
  • 5.2.2 The Responsible Official for the subject matter addressed by the Regulation and/or Rule has the authority to approve the Regulation and/or Rule. The University will develop and make available with this Regulation a list of the Responsible Officials for each category of University Regulations and Rules. This list is not intended to be all-inclusive. The determination of the appropriate Responsible Official for categories not specifically listed will be determined by the Chancellor, in consultation with the Vice Chancellors and Chief of Staff. See table Regulation and Rule Responsible Officials at the end of this section.
  • 5.2.3 A Responsible Official shall take all University Regulations or Rules, or proposed amendments thereto, to the Chancellor’s Executive Council for review and advice. The Responsible Official shall make available to the Chancellor’s Executive Council substantive feedback received during the development process.
  • 5.2.4 The Chancellor will serve as the Responsible Official for any University Regulation or Rule where the Chancellor’s approval is required by any applicable external directive, such as a requirement included in policies approved by the UNC Board of Governors, regulations and guidelines approved by the UNC President, or Policies approved by the ECU Board of Trustees.
  • 5.2.5 All proposed Regulations and Rules, and amendments thereto, must be reviewed and approved as to form to ensure legal sufficiency and policy compliance by the General Counsel and Vice Chancellor for Legal Affairs and the Chief of Staff prior to final approval by the Responsible Official.
  • 5.2.6 If a University Regulation or Rule is deemed by the Provost and Senior Vice Chancellor for Academic Affairs to implicate the Chancellor’s obligations under Section 502(D)(2) of the UNC Code, the applicable Responsible Official must provide a means by which the General Faculty and/or Faculty Senate is able to provide advice to the Responsible Official as required by that Section. Section 502(D)(2) of the Code requires the Chancellor to ensure there are procedures within the institution to provide members of the faculty the means to give advice with respect to questions of academic policy and institutional governance, with particular emphasis upon matters of curriculum, degree requirements, instructional standards, and grading criteria.

Regulation and Rule Responsible Officials

Regulation and Rule Category	Responsible Official
Academic Affairs and Faculty Personnel Regulations	Provost and Senior Vice Chancellor for Academic Affairs
Governance and Administration	Chancellor
Advancement	Vice Chancellor for University Advancement
Campus Environment, Personnel, Finance, Operations, and Auxiliary Services, and Information Technology	Vice Chancellor for Administration and Finance
Intercollegiate Athletics	Chancellor
Research, Graduate Studies, and Intellectual Property	Provost and Senior Vice Chancellor for Academic Affairs
Student Affairs	Vice Chancellor for Student Affairs

Return to section 5.2.2

6. DECOMMISSIONING OF POLICIES, REGULATIONS, AND RULES:

• 6.1 Policies – If a member of the Chancellor’s Executive Council believes that a University Policy is no longer useful, applicable, or is more effective if combined with another University Policy, they may recommend the decommissioning of the Policy. Responsible Officials should confer with the Chancellor, Chief of Staff, and Vice Chancellor for Legal Affairs and General Counsel regarding whether decommissioning should be proposed to the Board.
• 6.2 Regulations and Rules – If a Responsible Official believes that a University Regulation or Rule they oversee is no longer useful, applicable, or is more effective if combined with another University Regulation and/or Rule, they may choose to decommission the University Regulation or Rule. Responsible Officials should confer with the Chancellor, Vice Chancellors, and Chief of Staff and other subject matter experts as appropriate to ensure overall impact of decommissioning the Regulation or Rule is considered. Responsible Officials shall work with the Chief of Staff to seek formal decommissioning approval by the Chancellor.

7. COMMUNICATION AND AVAILABILITY:

All approved University Policies, Regulations, and Rules will be posted as part of the University Policy Manual. The Chancellor hereby adopts the University Policy Manual as the official repository of University, Policies, Regulations and Rules.

Additional non-policy information pertaining to certain academic and faculty matters may reside in the ECU Faculty Manual.

8. FURTHER INFORMATION:

For questions, additional detail, or to request changes to this Regulation, please contact the General Counsel and Vice Chancellor for Legal Affairs and the Chief of Staff.