Procedure for Formatting, Adopting, and Publishing Policies, Regulations, and Rules
July 25, 2005 Archived Version (Effective July 25, 2005 through November 7, 2005)
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: July 25, 2005. 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
I. Introduction
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.
II. Definitions
and Sources of Authority
- 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.
- 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:
- Compliance with fiscal,
academic, research, human relations, or other management standards and
requirements imposed by federal or state laws or implementing
regulations.
- 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;
- 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;
- 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.
III. Adoption of Policies and Regulations
A. 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.
B. 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.
C. 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:
a. Proposals are submitted for initial review to the
Chancellor or the executive officer to whom the sponsor reports. Proposals
should be submitted in the format set forth in section V.B.
b. 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 review.
c. 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.
d. 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.
e. Following review by the University Council, the chancellor
acts on the proposed policy or regulation. The Chancellor may take any
action on a University Council recommendation, including but not limited
to, action to
table, adopt, not adopt, or adopt with revisions. The Chancellor may use
any advisory process deemed helpful by the Chancellor. Proposed policies
will be forwarded
to the Board of Trustees for action.
3. Reformatting, editorial
or minor changes that do not substantially affect the substance of a
regulation may be made by the chancellor without following the process
in III.C.2.a-e.
4. Non-discretionary
revisions to regulations based on federal or state laws and regulations,
Board of Governors or Board of Trustees policies, or regulations issued by
the Office
of the President may be made by the Vice Chancellor and General Counsel after
consultation with the appropriate executive officer without following the
process in III.2.a-e.
5.
The Chancellor or Chancellor's delegee may issue interim regulations
without following the procedures in section III.C when it is necessary to meet
emergency deadlines or in other special circumstances.
6. 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 and executive
officers are responsible for ensuring legal review of PRRs. Communication with other executive officers
and the Chancellor prior to adoption of a PRR is expected unless the executive officer and the Vice Chancellor and General Counsel
concur in the issuance of the PRR.
IV. Adoption of Rules
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.
V.Content, Format, and Publication PRRs
a. 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.
b. Format
i. New PRRs must be drafted in outline format with a title and
introductory section.
ii. Proposed revisions to PRRs must edit the existing PRR by
striking out language proposed for deletion and highlighting or underlining
language which is new.
iii. 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.
c. Publication
of PRRs
i. 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.
ii. 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.
VI. Delegation of Authority
a. 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:
i. Provost and Executive 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
11.
Implementation of the Copyright Use and Ownership Policy of the University of North Carolina
ii. 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.
iii. 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
iv. 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
v. 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
b. The
chancellor delegates to the Vice Chancellor and General Counsel final authority
to revise PRR's as follows:
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).
VII.Effective Date of PRRs
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
