Procedure for Formatting, Adopting, and Publishing Policies, Regulations, and Rules (PRR Protocol)
REG 01.25.05
1. 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.
2. DEFINITIONS AND SOURCES OF AUTHORITY
2.1 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.
2.2 Regulation: A "Regulation" is any standard, statement or procedure of general applicability adopted by the chancellor or chancellor's delegee that addresses any of the following matters:
2.2.1 Compliance with fiscal, academic, research, human relations, or other management standards and requirements imposed by federal or state laws or implementing regulations.
2.2.2 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;
2.2.3 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;
2.3 Rule: A "Rule" is a standard, statement or procedure (a) adopted by an academic or administrative unit of NC State University pursuant to authority delegated by a NC State University Policy or Regulation or (b) adopted by a University Officer pursuant to authority delegated in section 6 of this regulation to address specific subject matters that are limited in scope to a particular unit's operational functions. A Rule may supplement but not conflict with policies and regulations.
2.4 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. Standard Operating Practices are not subject to this Regulation, must not conflict with PRRs, and should be clearly written and well communicated.
3. ADOPTION OF POLICIES, REGULATIONS AND RULES
3.1 Recommendations for New PRRs or Changes to Existing PRRs
Any of the university senates, any standing or ad hoc committee of NC State University or any administrative or academic officer may recommend new PRRs or changes to existing PRRs. Any member of the University community may forward recommendations for new or revised PRRs to any of the above entities/individuals.
3.2 Mandated Policies and Regulations
3.2.1 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 3.5 except as otherwise noted in section 3.2.2.
3.2.2 The procedures in section 3.5 need not be followed in the following circumstances:
a. The Chancellor or Chancellor's delegee may issue interim Regulations without following the procedures set forth in section 3.5 when it is necessary to meet emergency deadlines or in other special circumstances.
b. The Vice Chancellor and General Counsel is authorized to make non-substantive edits and substantive updates to Board of Trustees policies that are non-discretionary mandatory changes to accord with UNC policies and regulations or state or federal law. The Vice Chancellor and General Counsel is also authorized to make similar revisions to NC State regulations and rules. Non-substantive edits include but are not limited to updating titles or names that may have changed; correcting grammar, punctuation and typographical errors; editing for language consistency and format; and changing monetary rates that are the result of federal or state regulatory changes (e.g., mileage rate reimbursement).
3.3 Other Policies and Regulations
Policies and Regulations not within the scope of section 3.2 are not subject to the procedures in section 3.5. Such Policies and Regulations are reviewed and issued directly by the Board of Trustees, Chancellor or Chancellor's delegee. The Board of Trustees, Chancellor and executive officers with delegated authority may follow the procedures in section 3.5 but are not required to do so. All Policies and Regulations are subject to the requirements in section 4 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.
3.4 Rules
Rules are not within the scope of section 3.2. Academic or administrative units may adopt Rules after review and approval of the unit administrator with delegated authority and legal review and concurrence of the Vice Chancellor and General Counsel. Rules are subject to the requirements in section 4.
3.5 Procedure for Adoption of Mandated Policies and Regulations
3.5.1 Proposals are submitted for initial review to the Chancellor or an executive officer. Proposals should be submitted in the format set forth in section 4.
3.5.2 If the Chancellor or executive officer concurs with the proposal, the proposed Policy or Regulation is forwarded to the Office of Legal Affairs for review.
3.5.3 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 Office of Legal Affairs recommends changes, the executive officer and the Office of Legal Affairs will resolve the issue, or jointly seek resolution by the Chancellor.
3.5.4 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.
3.5.5 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.
4. CONTENT, FORMAT, AND PUBLICATION PRRS
4.1 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.
4.2 Format
4.2.1 New PRRs should be drafted in numerical outline format following the PRR template. Section titles and subtitles should be used where appropriate. Times New Roman font and left justified margin should also be used in the body of the PRR for formatting uniformity. Hyperlinks in the body of the regulation are limited to other NCSU PRRs and forms. All other references should be listed and hyperlinked in the informational section preceding the text of the PRR.
4.2.2 Proposed revisions to PRRs should edit the existing PRR by striking out language proposed for deletion and highlighting or underlining language that is new.
4.2.3 New PRRs or proposed revisions to PRRs should be accompanied by information, from the sponsor to the executive officer to whom the unit reports, that, summarizes the content of the new PRR or proposed revisions, suggests a proposed effective date, if other than the date of issuance, and lists related PRRs or other relevant information such as forms that the reader of the regulation might find useful. Sponsors should follow instructions at the beginning of the PRR template and obtain legal review prior to submitting the proposed PRR to the executive officer.
4.3 Publication of PRRs
4.3.1 The official site for approved PRRs is NC State University's PRR web site. When approved by the authorized university officer, PRRs are to be forwarded to the Office of Legal Affairs for electronic publication on the University's PRR web page. The Office of Legal Affairs will assign a number to the PRR, edit the title for location and subject matter clarification, insert the effective date (which will be the date the PRR is published unless otherwise specified by the approving executive official or the Board of Trustees), and edit the informational section preceding the PRR to include related PRRs, forms, and additional relevant information. The Office of Legal Affairs will also add the PRR to the table of contents and site map and provide search terms for the web site search function.
4.3.2 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 that establishes the pre-eminent authority of the PRR and a reference to the location of the official PRR.
5. DELEGATION OF AUTHORITY FOR REGULATIONS
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 that fall within the areas specified below to the following university officers:
5.1 Provost and Executive Vice Chancellor
5.1.1 Degree eligibility for undergraduate students
5.1.2 Undergraduate admissions to the university
5.1.3 Scholarships and other forms of financial aid excluding graduate assistantships and fellowships
5.1.4 Academic registration and records
5.1.5 Academic standards and curricula matters for undergraduate students
5.1.6 Faculty personnel procedures relating to appointment, reappointment, promotion, tenure, leaves of absence, the phased retirement program, and retirement/re-employment agreements
5.1.7 Faculty ranks and titles
5.1.8 International programs
5.1.9 Distance education and learning technologies
5.1.10 Libraries
5.1.11 Implementation of the Copyright Use and Ownership Policy of the University of North Carolina
5.2 Vice Chancellor for Finance and Business
5.2.1 Facilities
5.2.2 Financial and business operations, excluding student fees
5.2.3 Campus police
5.2.4 Human resources of the university not otherwise specifically the responsibility of the Chancellor, Provost and Executive Vice Chancellor.
5.3 Vice Chancellor for Research and Graduate Studies
5.3.1 Sponsored research and other sponsored projects
5.3.2 Technology transfer activities involving university-owned intellectual property, excluding trademark matters and any matters assigned to the Provost and Executive Vice Chancellor under the NCSU Administrative Regulations "Copyright Implementation Pursuant to Copyright Use and Ownership Policy of the University of North Carolina. "Development and use of GAMS and other electronic research administration tools.
5.3.3 Administration of inter-institutional centers, institutes, and laboratories
5.4 Vice Chancellor for Student Affairs
5.4.1 Student activities
5.4.2 Student services
5.4.3 Student conduct
5.4.4 Student health, wellness and fitness
5.4.5 Arts programs and activities
5.4.6 ROTC programs
5.4.7 Talley Student Center
5.4.8 The Departments of Physical Education and Music, except for academic standards and curricula which are delegated to the Provost and Executive Vice Chancellor.
5.4.9 State residency appeals
5.5 Dean of the Graduate School
5.5.1 Degree eligibility for graduate students
5.5.2 Graduate admissions
5.5.3 Graduate assistantships, fellowships
5.5.4 Academic standards and curricula matters for graduate students
5.6 Vice Chancellor for University Advancement
5.6.1 Criteria and Procedures for Acceptance of Gifts
5.6.2 University Development
5.6.3 Alumni Relations
5.6.4 Advancement Services
5.6.5 Public Affairs
6. DELEGATION OF AUTHORITY FOR RULES
The following University officers are delegated authority to issue rules that fall within the subject areas specified below:
6.1 International Programs – The Vice Provost for International Affairs
6.2 Distance Education and Learning Technologies – Vice Provost for Distance Education and Learning Technology Applications
6.3 Library Operations – Vice Provost and Director of Libraries
7. EFFECTIVE DATE OF PRRS
Policies are effective when adopted by the Board of Trustees unless the policy or Board action otherwise specifies. Regulations and rules are effective when approved by the Chancellor. Regulations and rules delegated to University Officers are effective upon approval of the University Officer and the Vice Chancellor for Legal Affairs unless the regulation or rule otherwise specifies.
