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Procedure for Adoption and Publication of North Carolina State University Policies, Regulations and RulesSeptember 18, 2000 Archived version (Effective September 18, 2000 through September 16, 2001)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 18, 2000. 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: [insert statutory references, web site references or other related information] 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 procedures for the adoption and publication of policies and regulations at North Carolina State University. Policies and regulations adopted in substantial compliance with this regulation are valid and may not be grieved for procedural error. II. Definitions and Sources of Authority A. Terminology The following terminology is used to define and indicate the source of authority for the issuance of various policies, regulations, rules, and operating practices by which the institution governs itself. Policies, regulations, and rules directly or substantially affect procedural or substantive rights and duties of individuals that interact with the University. 1. Policy - A "policy" is any standard, statement or procedure of general applicability that is adopted by the Board of Trustees pursuant to authority delegated by the legislature or by the Board of Governors. 2. Regulation - A "regulation" is any standard, statement (which may include a policy statement) or procedure of general applicability that is adopted by the chancellor pursuant to authority delegated by the legislature, the Board of Governors, the Board of Trustees or the President. Regulations address the following matters:
a. procedures and reporting requirements related to implementation
or compliance with Board of Governors or Board of Trustees policies; c. matters addressing uniform compliance with fiscal, academic, research, human relations, or other management standards and requirements imposed by federal or state laws or governmental regulations. 3. Rule - A "rule" is a standard, statement or procedure adopted by an academic or administrative unit of the university that relates to the operation of the unit. 4. Standard Operating Practices - Standard operating practices are established by academic or administrative units to facilitate the day to day business operations of a particular unit and are distinguished from policies, regulations, and rules because they do not directly or substantially affect procedural or substantive rights or duties of those outside of the unit. B. Exceptions Policies and regulations are adopted, revised and published pursuant to the procedures set forth in these regulations. Rules and standard operating practices are not subject to Section III of these procedures. III. Procedure for Adoption of Policies and Regulations A. Origination New policies and regulations or changes to existing policies and regulations may originate with any standing or ad hoc committee of the university or any administrative or academic officer. B. New Policies and Regulations Proposed policies and regulations will be reviewed and issued by the following process: 1. Proposals will be submitted to the chancellor or appropriate vice chancellor for initial review. 2. If the chancellor or vice chancellor concurs with the proposal, the proposed policy or regulation will be forwarded to the Office of Legal Affairs for form and legal sufficiency review. The proposed policy or regulation should be in the standard format approved for University regulations at the time it is forwarded to the Office of Legal Affairs. 3. After legal review, the proposed policy or regulation will be forwarded to the executive officers and placed on the executive officers' meeting agenda for review. 4. Following executive officers review, the initiating executive officer will forward the proposal to the Chancellor to be placed on the University Council agenda for review. The proposal shall also be made accessible to the university community by placement on the electronic agenda of the University Council. Normally at least three (3) working days shall be provided prior to the University Council review to allow appropriate constituency review. 5. Following review by the University Council, the chancellor will act on the proposed policy or regulation. Proposed policies will be forwarded to the Board of Trustees for action. 6. Regulations approved by the chancellor and policies approved by the Board of Trustees will be electronically published by the University. C. Revisions to Existing Policies and Regulations Proposed revisions to policies and regulations will follow the same process set forth above. Revisions shall be proposed in a format that edits the existing regulation by striking language proposed for deletion and highlighting language which is new. Proposed revisions shall be electronically published at the time they are placed on the agenda of the University Council for review. 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 outlined above. D. Interim Regulations Interim Regulations may be issued by the chancellor without following the process outlined above when issuance is necessary to meet emergency deadlines or in other special circumstances. After issuance by the chancellor, the interim regulations will be forwarded promptly to the University Council for review. Following review the chancellor will issue the final regulation. IV. Assigned Responsibilities for Review, Revision and Publication of Regulations A. Executive Officers Each executive officer is responsible for initiating new and revised policies and regulations and overseeing the periodic review and revision of current policies and regulations related to their respective units and responsibilities. Policies and regulations shall be periodically reviewed and revised to remain current with federal and state law and University of North Carolina policies and administrative regulations. B. Office of Legal Affairs The Office of Legal Affairs reviews proposed new and revised policies and regulations for form and legal sufficiency before they are forwarded to the executive officers and the University Council for review. Responsibility for maintaining the official version of NC State policies and regulations is assigned to the Office of Legal Affairs. The Office of Legal Affairs will forward all policies and regulations approved by the Board of Trustees and/or the chancellor to the University Web Master for electronic publication on the Office of Legal Affairs web site. C. Administrative Officers Every administrator, at every unit level throughout the University, is responsible for ensuring that employees and students within their units have access to university's policies, regulations, rules, and other guidelines and operational procedures that are pertinent to the performance of their job functions or to their status as students and that they are appropriately informed and consulted regarding pending proposals for new and revised regulations. V. Content,
Format and Organization of Policies and Regulations Policies and regulations create administrative structures, set priorities, assign responsibility, delegate authority, establish accountability, and define reporting requirements. They should be concise, understandable and contain only essential material with minimal detail. University policies and regulations must be consistent with policies and regulations of the Board of Governors. University regulations must be consistent with policies of the Board of Governors and the Board of Trustees. University rules and standard operating practices must be consistent with policies of the Board of Governors and the Board of Trustees and regulations of the University. B. Organization 1. Policies of the Board of Trustees - Policies of the Board of Trustees shall be organized generally according to the following subject categories:
C. Format, Location and Access Policies and regulations shall be drafted in the approved policy or regulation format and have a history section that states the source of the policy, dates of initial issuance and revisions, related policies and regulations, and additional pertinent references. The Office of Legal Affairs will assign a number to each regulation that designates the major academic or administrative unit to which the regulation relates and any sub-categories that may be appropriate. Regulations that are university-wide or that affect two or more university units normally will be assigned to the chancellor's unit. Policies and regulations will be maintained on a university server accessible from the Internet. The host site for officially approved policies and regulations shall be the Office of Legal Affairs Web site. Any additional electronic publication must be by hyperlink to the Office of Legal Affairs web site.
Units may distribute handbooks, bulletins, brochures, and similar materials to provide information to faculty, employees, students and other constituent groups. To the extent that such materials reference Board of Governors or NC State University policies and regulations without including the text verbatim, there shall be a disclaimer which establishes the pre-eminent authority of the policy or regulation and a reference to the location of the official version. VI. Effective Date This regulation shall be effective for all policies and regulations proposed for approval and issuance subsequent to the date this regulation is issued by the chancellor. All Board of Trustee policies previously adopted and regulations adopted in 1999 and subsequent years appear in uniform format on the Office of Legal Affairs web site and remain effective. Regulations issued and published prior to 1999 remain effective and will eventually be reviewed, reformatted, re-issued and republished. In some cases they may be labeled as "rules", "procedures", "guidelines", or "policies" instead of regulations. 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 senior university administrator who has responsibility for the subject matter of the regulation. |
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