NC State University

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

REG 01.25.5

September 17, 2001 Archived version (Effective September 17, 2001 through November 13, 2002)

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: September 17, 2001. 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;. NCSU Policy Project Proposed Classification System.

Additional References: [insert statutory references, web site references or other related information]

  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 designee pursuant to authority delegated by law, the Board of Governors, the Board of Trustees, or the UNC President. Regulations address 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 Board of Governors or Board of Trustees policies;

      3. Matters not specifically addressed in Board of Governors or Board of Trustees policies 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 to implement a policy or regulation or address matters affecting the operation of the unit. A rule that is adopted by a unit must be approved by the executive officer to whom the unit reports.

  3. Procedure for 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:

      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 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:

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

    3. Proposed Policies and Regulations

      1. New policies and regulations or changes to existing policies and regulations may originate with any of the university senates, any standing or ad hoc committee of NC State University or any administrative or academic officer.

      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, the proposed policy or regulation is forwarded to the executive officers and placed on the executive officers' meeting agenda for review.

        4. Following executive officers' review, the proposal is placed on the University Council agenda for review. Normally at least three (3) business days are provided prior to the University Council review to allow for campus-wide 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.

    4. Interim Regulations

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

  4. Procedure for Adoption of Rules

    5. Academic or administrative units may adopt rules for the efficient functioning of the unit, pursuant to 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 Official Site of Policies, Regulations and Rules

    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

      New PRRs must be drafted in outline format with a title and introductory section. Proposed revisions to PRRs must edit the existing PRR by striking out language proposed for deletion and highlighting or underlining language which is new. 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.

    3. Official Site and References

      The official site for approved PRRs is the Office of Legal Affairs PRR web page. Any additional electronic publication must be by hyperlink to the host site. Units may distribute 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. Assigned Responsibilities for Review, Revision and Publication of Regulations

    1. Executive Officers

      2. Each executive officer is responsible for initiating new and revised policies and regulations and overseeing the periodic review and revision of current PRRs related to their respective unit(s) and responsibilities.

    2. Office of Legal Affairs

      3. The Office of Legal Affairs reviews proposed and revised PRRs for form and legal sufficiency. Responsibility for maintaining the official version of NC State PRRs is assigned to the Office of Legal Affairs.

  7. Effective Date

    1. This regulation is effective for all PRRs proposed for approval and issuance subsequent to the date this regulation is issued by the chancellor.

    2. All Board of Trustee policies previously adopted and regulations adopted in 1999 or after appear in uniform format on the Office of Legal Affairs web site and remain effective.

    3. Regulations issued and published prior to 1999 remain effective and will be reviewed, reformatted, re-issued and republished. Until these pre-1999 regulations can be reviewed, reformatted and re-issued and republished, persons desiring a copy of any pre-1999 regulations should contact the executive officer who has responsibility for the subject matter of the regulation.