NC State University

Procedure for Adoption and Publication of North Carolina State University Policies, Regulations and Rules

January 21, 2004 Archived Version (Effective January 21, 2004 through April 20, 2004)

Authority:  Issued by the Chancellor. Changes or exceptions to administrative regulations issued by the Chancellor may only be made by the Chancellor.

History:  First issued: March 16, 2000; Last Revised: January 21, 2004. Additional History Information.

Related Policies: UNC Code, Appendix; Article IV section 4 of the General Faculty Bylaws; Article II section 4 of the Faculty Senate Bylaws

Additional References:
Guidelines For Drafting Policies, Regulations And Rules (PRRs)
PRR Approval Process (flowchart)
PRR Template

Contact Info: Vice Chancellor and General Counsel (919-515-3071) Office of Legal Affairs

  1. Introduction

    2. The University of North Carolina has delegated various powers and duties to the Boards of Trustees and chancellors of its constituent institutions, including the authority to establish policies and regulations for the efficient and orderly administration of the institution. This regulation addresses the sources of authority for policies, regulations, and rules (PRRs) at North Carolina State University and the procedures for their adoption and publication. PRRs adopted in substantial compliance with this regulation are valid and may not be grieved for procedural error.

  2. Definitions and Sources of Authority

    1. Policy: A "policy" is any standard, statement, or procedure of general applicability adopted by the Board of Trustees pursuant to authority delegated by law or the Board of Governors.

    2. Regulation: A "regulation" is any standard, statement (which may include a policy statement), or procedure of general applicability adopted by the chancellor or chancellor's delegee that addresses any of the following matters:

      1. Compliance with fiscal, academic, research, human relations, or other management standards and requirements imposed by federal or state laws or implementing regulations.

      2. Procedures and reporting requirements related to implementation or compliance with policies of the Board of Governors or Board of Trustees, or regulations of the Office of the President;

      3. Matters not specifically addressed in Board of Governors or Board of Trustees policies or regulations of the Office of the President that are within the general nature of the chancellor’s delegated responsibilities to administer the institution;

    3. Rule: A "rule" is a standard, statement or procedure, other than a policy or regulation, adopted by an academic or administrative unit of NC State University pursuant to specific authority granted in an NC State University policy or regulation. A rule that is adopted by a unit must be approved by the executive officer to whom the unit reports.

  3. Adoption of Policies and Regulations

    1. Policies and regulations specifically mandated by federal or state law or regulation, or direction of the Board of Governors or Office of the President: Policies and regulations that NC State University is specifically directed to adopt by federal or state law or regulation, or action of the Board of Governors or Office of the President are adopted pursuant to the procedures in section III.C.

    2. Policies and regulations not specifically mandated by federal or state law or regulations or direction of the Board of Governors or Office of the President: Policies and regulations not specifically mandated by federal or state law or regulation, or direction of the Board of Governors or Office of the President are not subject to the procedures in section III. C..

    3. Procedure for Adoption of Proposed Policies and Regulations

      1. New policies and regulations or changes to existing policies and regulations may be initiated by any of the university senates, any standing or ad hoc committee of NC State University or any administrative or academic officer. Recommendations for new or revised PRR's may be proposed to any of the above entities/individuals by any member of the University community.

      2. Proposed policies and regulations (including revisions to such policies and regulations) that are subject to section III.A are reviewed and issued according to the following process:

        1. Proposals are submitted for initial review to the Chancellor or the executive officer to whom the sponsor reports in the format set forth in section V.B.

        2. If the Chancellor or executive officer concurs with the proposal, the proposed policy or regulation set forth in section V.A and V.B is forwarded to the Office of Legal Affairs for form and legal sufficiency review.

        3. After legal review, if no changes are recommended, the proposed policy or regulation is forwarded to the chancellor's office for review by the executive officers. If changes are recommended by the legal office, the executive officer and the legal office will resolve the issue, or jointly seek resolution by the chancellor.

        4. Following executive officers' review, the proposal is placed on the University Council agenda for review. Normally at least five (5) business days are provided prior to the University Council review.

        5. Following review by the University Council, the chancellor acts on the proposed policy or regulation. Proposed policies will be forwarded to the Board of Trustees for action.

        6. Reformatting, editorial or minor changes that do not substantially affect the substance of a regulation may be issued by the chancellor without following the process in III.C.2.a-e.

        7. Interim regulations may be issued without following the procedures in section III.C when it is necessary to meet emergency deadlines or in other special circumstances.

      3. Proposed policies and regulations (including revisions to such policies and regulations) that are not subject to section III.A are reviewed and issued by the Board of Trustees and Chancellor or Chancellor's delegee. The Board of Trustees, chancellor and executive officers with delegated authority may follow the procedures in section III.C. but are not required to do so. All policies and regulations are subject to the requirements in sections V.

  4. Adoption of Rules

    5. Academic or administrative units may adopt rules pursuant to specific authority granted in NC State University policies or regulations after review and approval of the unit administrator and the executive officer to whom the unit reports. Rules are subject to the requirements in section V.

  5. Content, Format, and Publication PRRs

    1. Content

      PRRs create administrative structures, set priorities, assign responsibility, delegate authority, establish accountability, and define reporting requirements. PRRs directly or substantially affect procedural or substantive rights and duties. PRRs should be concise, understandable and contain only material essential to the PRR. PRRs must be consistent with all applicable governing authority.

    2. Format

      1. New PRRs must be drafted in outline format with a title and introductory section.

      2. Proposed revisions to PRRs must edit the existing PRR by striking out language proposed for deletion and highlighting or underlining language which is new.

      3. New PRRs or proposed revisions to PRRs must be accompanied by a memorandum, from the sponsor to the executive officer to whom the unit reports, that addresses the purpose of the new or revised PRR, a summary of its contents, a proposed effective date, if other than date of issuance, the source of authority for the PRR, and any relevant history and related PRRs. Sponsors should obtain legal review prior to submitting the proposed PRR to the executive officer. Executive Officers are responsible for ensuring legal review of PRRs and communication with other executive officers and the Chancellor prior to adoption of PRRs.

    3. Publication of PRRs

      1. The official site for approved PRRs is NC State University's PRR web site. Upon adoption, PRRs are forwarded to the Office of Legal Affairs for electronic publication on the University's PRR web page by the PRR webmaster.

      2. Any electronic republication of a PRR by any university unit must be by hyperlink to the PRR on the NC State PRR web site. Units may publish web pages, handbooks, bulletins, brochures, and similar materials to provide information to faculty, staff, students and other constituent groups. To the extent that such materials reference Board of Governors or NC State University PRRs with or without including the text verbatim, there must be a disclaimer which establishes the pre-eminent authority of the PRR and a reference to the location of the official PRR.

  6. Delegation of Authority

    1. The chancellor delegates final approval authority for regulations not specifically mandated by federal or state law or regulation or direction of the Board of Governors and which fall within the areas specified below to the following university officers:

      1. Provost and Vice Chancellor for Academic Affairs

        1. Degree eligibility for undergraduate students

        2. Undergraduate admissions to the university

        3. Scholarships and other forms of financial aid excluding graduate assistantships and fellowships

        4. Academic registration and records

        5. Academic standards and curricula matters for undergraduate students

        6. Faculty personnel procedures relating to appointment, reappointment, promotion, tenure, leaves of absence, the phased retirement program, and retirement/re-employment agreements

        7. Faculty ranks and titles

        8. International programs

        9. Distance education and learning technologies

        10. Libraries

      2. Vice Chancellor for Finance and Business

        1. Facilities

        2. Financial and business operations, excluding student fees

        3. Campus police

        4. Human resources of the university not otherwise specifically the responsibility of the Chancellor, Provost and Vice Chancellor for Academic Affairs.

      3. Vice Chancellor for Research and Graduate Studies

        1. Sponsored research and other sponsored projects

        2. Technology transfer activities involving university-owned intellectual property, excluding trademark matters and any matters assigned to the Provost under the NCSU Administrative Regulations "Copyright Implementation Pursuant to Copyright Use and Ownership Policy of the University of North Carolina"

        3. Development and use of GAMS and other electronic research administration tools.

        4. Administration of inter-institutional centers, institutes, and laboratories

      4. Vice Chancellor for Student Affairs

        1. Student activities

        2. Student services

        3. Student conduct

        4. Student health, wellness and fitness

        5. Arts programs and activities

        6. ROTC programs

        7. Talley Student Center

        8. The Departments of Physical Education and Music, except for academic standards and curricula which are delegated to the Provost and Vice Chancellor for Academic Affairs

        9. State residency appeals

      5. Dean of the Graduate School

        1. Degree eligibility for graduate students

        2. Graduate admissions

        3. Graduate assistantships, fellowships

        4. Academic standards and curricula matters for graduate students

    2. The chancellor delegates to the Vice Chancellor and General Counsel final authority to revise PRR's as follows:

      1. Non-substantive changes. The Vice Chancellor and General Counsel is authorized to make non-substantive editorial changes to PRRs without seeking prior EO consultation and EO or University Council approval for the following types of changes: updating titles or names that may have changed; correcting grammar, punctuation and typographical errors; editing for language consistency and format; or changing monetary rates that are the result of federal or state regulatory changes (e.g., mileage rate reimbursement).

      2. Substantive changes and Non-substantive changes other than those listed in VI.B.1. The Vice Chancellor and General Counsel, upon consultation and approval of the Executive Officer with delegated final approval authority for subject matter covered by the PRR, is authorized to make the following changes:

        1. substantive changes to PRRs to comply with federal and state laws and regulations and policies of the Board of Governors and the Board of Trustees and

        2. non-substantive changes other than those listed in (1) above.

        This authority may be exercised without consultation of other EOs' as set forth in Section V.B. 3.

      3. If the Vice Chancellor and General Counsel determines that a requested change is substantive in nature and not within the authority set forth in subsection B.2, above, the Vice Chancellor and General Counsel will notify the administrator recommending the change to bring the matter to the appropriate EO for consultation, approval and processing under the PRR protocol.

  7. Effective Date of PRRs

    8. Policies are effective when adopted by the Board of Trustees unless the policy otherwise specifies. Regulations and rules are effective when adopted by the Chancellor or Chancellor's delegee and published on the University's PRR web site, unless the regulation or rule otherwise specifies.