Conditions and Terms of Employment - Non-Faculty EPA Professionals
POL 05.15.1
May 22, 2002 Archive Version (Effective May 22, 2002 through February 19, 2004)
Authority: Board of Trustees
History: First issued: May 22, 1981. Last Revised: May 22, 2002.
Additional History Information.
Additional References: UNC Admin. Manual, III-C-1. "Employees Exempt
from the State Personnel Act.", UNC Code, Appendix Section I.C.
1. SCOPE OF POLICY AND DEFINITIONS OF POSITIONS
1.1. Scope of Policy
1.1.1. Coverage
Positions Exempt from the State Personnel Act (EPA positions) are those
positions that are not subject to the State Personnel Act and are classified
in one of four categories: 1) EPA Professional, 2) Faculty, 3) Senior
Academic Administrative Officer Tier-I (SAAO Tier-I), or 4) Senior Academic
Administrative Officer Tier-II (SAAO Tier-II). University students who
receive stipends are not covered by this policy.
1.1.2. Scope
1.1.2.1. EPA Professional: This policy (22.01) applies to all permanent
EPA Professional employees and all Postdoctoral (Postdoc) employees.
1.1.2.2. Faculty: This policy does not apply to academic year (9-month)
or fiscal year (12-month) faculty, but for Section 2.4 which applies
to all faculty and Section 8 which applies to fiscal year (12-month)
faculty only. BOT 21.01 Tenure Policies and Regulations contains the
other applicable policies for faculty.
1.1.2.3. SAAO Tier-I: Sections 2.4, 8.2.1.2, 8.2.3, 8.2.4, and 8.3
of this policy (22.01) apply to SAAO Tier-I positions. In addition,
Chapter III-A of the Administrative Manual of The University of North
Carolina applies to SAAO Tier-I employees.
1.1.2.4. SAAO Tier-II: Sections 2.4, 3, 4, 5, 8.2.1, 8.2.3, 8.2.4,
and 8.3 of this policy (22.01) apply to SAAO Tier-II positions. In addition,
Chapter III-A of the Administrative Manual of The University of North
Carolina applies to SAAO Tier-II employees.
1.2. Definitions of Positions
1.2.1. EPA Professional:
1.2.1.1. Permanent EPA Professionals: Employees not subject to the
State Personnel Act (N.C.G.S. Chapter 126) and who are not: (1) faculty
subject to institutional tenure regulations; (2) employees within administrative
categories of employment subject to N.C.G.S. § 116-11(4), N.C.G.S.
§116-11(5), or N.C.G.S. § 116-14; (3) positions within the
"physicians or dentists" category under N.C.G.S. § 126-5;
and (4) University students who are employed incident to their status
as students, as in graduate teaching assistantships or work-study positions.
1.2.1.2. Postdoc: Employees in a Postdoc status include Research Associate
Postdocs, Resident Postdocs, Teaching Postdocs, and Postdoc Interns.
Postdocs may not be in such status for cumulative period of more than
three (3) years, do not contribute to a retirement system, and are defined
as temporary employees.
1.2.2. Faculty: Employees covered by the NC State Tenure Policies and
Regulations (BOT 21.01).
1.2.3. Senior Academic and Administrative Officer Tier-I: Chancellor
[N.C.G.S. 116-11(4)]; vice chancellors, provosts, deans, and directors
of major administrative, educational, research and public services activities
designated by the Board of Governors [N.C.G.S. 116-11(5)].
1.2.4. Senior Academic and Administrative Officer Tier-II: Administrative
positions that have been designated and approved by the president.
2. APPOINTMENT TO EPA POSITIONS
2.1. Method of Appointment
Every appointment to an EPA position shall be made by the chancellor or
chancellor's designee by means of a letter of appointment that fulfills
the requirements of Section 2.
2.2. Letter of Appointment
Reference the Administrative Manual of the University of North Carolina
Chapter III-B-1 Section II. B http://www.ga.unc.edu/publications/admin_manual/chapter_iii.pdf
2.3. Contingent Appointments
When an EPA position is funded in whole or substantial part from sources
other than continuing State budget funds or permanent trust accounts, the
letter of
appointment shall state 1) continuation of the employee's service in that
position is contingent upon the continuing availability of funds from such
other sources
to support that position, 2) specify the source of such funds, and 3) that
the effect of such contingency may apply without the additional notice otherwise
required by Section 3.1, 3.2, and 3.3 provided that the affected employee
shall be informed at the earliest practicable date of the occurrence of
such a funding contingency.
2.4. Individuals Covered by More than One Employment Policy
2.4.1. When an employee is to serve simultaneously in more than one type
of EPA position as defined in Section 1.2, one position shall be designated
in writing as the base that governs the conditions of employment and the
rights and responsibilities of the employee. If appointment to an additional
type of EPA position occurs subsequent to the initial appointment, the letter
of appointment to the additional position shall embody the required designation
of base employment. The designation of base employment shall specifically
describe the different rights, duties, and compensation for each position
and the relationship, if any, between/among the positions.
2.4.2. Any funding contingency of the type referred to in section 2.3
shall be set forth separately for the covered position and for the other
position(s), since
the operation of any such contingencies may be independent.
2.5. Terms of Appointment and Reappointment
2.5.1. An initial appointment and any reappointment(s) for a permanent
EPA Professional position may be either "fixed-term" or "at
will". All Postdoc
appointments and any reappointments are made fixed-term.
2.5.1.1. Fixed-term appointment: An initial fixed-term appointment and
any fixed-term reappointment(s) for a permanent EPA Professional may be
for a period of no more than five years. Postdocs may not be in such status
for cumulative period of more than three years.
2.5.1.2. "At will" appointment: An appointment may be designated
as "employment at will" subject to continuation or discontinuation
at the discretion of the chancellor or chancellor's designee. Such an
appointment is for an indefinite term.
2.5.1.3. A fixed-term appointment may be converted to an "at will"
appointment at the end of a fixed-term. An "at will" appointment
may be converted to a fixed-term appointment at any time.
2.5.2. Visiting Appointments
An appointment and any subsequent reappointment(s) in a visiting EPA position
shall be for a period(s) of no more than five years. If the visiting
appointment is funded in whole or substantial part from sources other than
continuing State budget funds or permanent trust accounts, the letter of
appointment shall state that: 1) continuation of the employee's service
in that position is contingent upon the continuing availability of funds
from such other sources to support that position, 2) specify the source
of such funds, and 3) state that the effect of such contingency may apply
without the additional notice otherwise required by Sections 3.1, 3.2 and
3.3. Any subsequently proposed change from a visiting appointment to a regular
appointment is subject to this policy (22.01).
2.6 Rank/Title, Appointment, Reappointment, and Promotion
Where applicable, a university unit may develop procedures and criteria
regarding rank/title, appointment, reappointment, and promotion. Such procedures
and
criteria must be in accordance with the provisions of section 2.5 and approved
by the executive officer to whom the unit reports.
3. DISCONTINUATIONS OF
EMPLOYMENT
3.1. Discontinuation of Appointment with Notice
Employment within an EPA position that is established by the letter of
appointment to be an employment "at will" is subject to discontinuation
at any time at the discretion of the chancellor or chancellor's designee;
provided, that such a discontinuation (as distinguished from discharge for
cause, Section 3.4) shall be subject to advance timely notice of discontinuation,
as follows: 1) during the first year of service, not less than 30 days notice
prior to discontinuation of
employment; 2) during the second and all subsequent years of continuous
service, not less than 90 days notice prior to discontinuation of employment.
3.2. Expiration of a Fixed-Term Appointment
Employment within an EPA position that is established by the letter of
appointment to be for a stated definite term expires automatically at the
conclusion of the stated term; such an appointment may be renewed or extended
at the option of the employer, by a new appointment as required by Section
2. If the employer intends not to renew or extend the term contract: 1)
with respect to an appointment of one year or less, no notice of intent
not to renew shall be required; the letter of appointment is considered
to be adequate notice of the expiration of the term; 2) with respect to
an appointment of more than one year, notice of intent not to renew shall
be transmitted in writing at least 90 days prior to the expiration date
of the term. Failure to provide 90 days written notice shall result in the
automatic extension of employment for a period that would equal the 90 day
notice requirement.
3.3. Termination of Employment Because of Financial Exigency or Program Curtailment
or Elimination
Employment within an EPA position that is established by the letter of
appointment to be for a stated definite term may be terminated prior to
expiration of the stated term because of: 1) demonstrable, bona fide institutional
financial exigency, or 2) major curtailment or elimination of a program.
"Financial
exigency" is defined to mean a significant decline in financial resources
of the University that compels a reduction in the institution's budget.
The determination of whether a condition of financial exigency exists or
whether there shall be a major curtailment or an elimination of a program
shall be made by the chancellor, with advance notice to and approval by
the president and the Board of Governors. If the financial exigency or curtailment
or elimination of a program is such that the contractual obligation to an
employee within an EPA position cannot be met, the employment of the individual
may be terminated, subject to the following notice requirements; 1) during
the first year of service, not less than 30 days notice prior to termination;
2) during the second and third years of employment, not less than 60 days
notice prior to termination; and, 3) during the fourth and all subsequent
years of service, not less than 90 days notice prior to termination.
3.4. Discharge for Cause
Any employee occupying an EPA position may be discharged for stated cause.
Discharge for cause is to be distinguished from discontinuation of appointment
with notice (Section 3.1.), expiration of a fixed-term appointment (Section
3.2.) and termination of employment because of financial exigency or program
curtailment or elimination (Section 3.3.). Stated causes for discharge shall
include, but not necessarily be limited to, incompetence, unsatisfactory
performance, neglect of duty, or misconduct that interferes with the capacity
of the employee to perform effectively the requirements of his or her employment.
Discharge for cause is to be preceded by written notice of intent to discharge
and is subject to Section 4 of this policy. When an employee occupying an
EPA position has been notified of the intention to discharge the employee
for cause, the chancellor may suspend the employee's employment at any time
and continue the suspension until a final decision concerning discharge
has been reached by the chancellor. The power to suspend shall be invoked
only in exceptional circumstances and such suspension shall be with full
pay.
4. PROCEDURES FOR DISCHARGE FOR CAUSE
4.1. The penalties of discharge or suspension may be imposed only in accordance
with the procedures set forth in this section. For purposes of this policy,
an individual serving a stated term should be regarded as having the protection
of these procedures until the end of the term. These discharge procedures
shall not apply to cases of non-reappointment, discontinuation, or termination
of employment.
4.2. The executive officer of the employee's division shall send the individual
by certified mail, return receipt requested, a written statement of intention
to discharge or suspend the individual. The statement shall include notice
of the individual's rights, upon request, to both written specification of
the reasons for the intended action and a hearing.
4.3. If, within five days* after receiving the notice referred to in Section
4.2 above, the individual makes no written request for either a specification
of reasons or a hearing, the individual may be discharged without recourse
to any University grievance or appellate procedure.
* The word "day" shall mean any day except Saturday, Sunday, or
an institutional holiday. In computing any period of time, the day in which
notice is received is not counted but the last day of the period being computed
is to be counted.
4.4. If, within five days after receiving the notice referred to in Section
4.2 above, the individual makes written request, by certified mail, return
receipt requested, for a specification of reasons, the executive officer shall
supply such specification in writing by certified mail, return receipt requested,
within five days after receiving the request. If the individual makes no written
request for a hearing within five days after receiving the specification,
the individual may be discharged without recourse to any University appellate
procedure.
4.5. If the individual makes a written request for a hearing within five
days, the chancellor shall appoint a hearing committee consisting of three
persons who occupy EPA positions and who are not supervisors of the individual.
The chancellor shall designate one of the three members of the hearing committee
as chairperson. The hearing shall be on the written specification of reasons
for the intended discharge. The hearing committee shall accord the individual
twenty days from the time it receives a written request for a hearing to prepare
a defense. The hearing committee may, upon the individual's written request
and for good cause, extend this time by written notice to the individual and
to the chancellor.
4.6. The hearing shall be closed to the public. The individual shall have
the right to counsel, to present the testimony of witnesses and other evidence,
to confront and cross-examine adverse witnesses and to examine all documents
and other adverse demonstrative evidence. Formal rules of evidence shall not
apply; relevancy of evidence shall be determined by the chairperson of the
hearing committee. All proceedings shall be recorded; upon request, a copy
thereof shall be furnished to the individual for a reasonable charge not to
exceed the cost of producing the copy.
4.7. The burden of proof shall be on the Executive Officer, or the Executive
Officer's designee of the employee's division, and they, with their counsel,
may participate in the hearing to present evidence, cross-examine witnesses
and make argument.
4.8. In reaching decisions on which its written recommendations to the chancellor
shall be based, the committee shall consider only the evidence presented at
the hearing and such written or oral arguments as the committee, in its discretion,
may allow. The committee shall make its written recommendations to the chancellor
within ten days after its hearing concludes.
4.9. If the chancellor concurs in a recommendation of the committee that
is favorable to the individual, the chancellor's decision shall be final.
If the chancellor declines to accept a committee recommendation that is favorable
to the individual or concurs in a recommendation that is unfavorable to the
individual, the individual may petition the chancellor to review the decision
within ten days after receipt of notice of the chancellor's decision. Upon
receipt of the petition for review, the chancellor shall meet with the individual
and hear any argument that the appropriate procedures were not followed or
that the individual was denied any opportunity to submit relevant evidence.
Upon conclusion of this review, the chancellor may remand the matter to the
hearing committee for further hearings or affirm the chancellor's prior decision.
The affirmation of a decision is final. An individual may petition for a subsequent
review of a decision pursuant to Section 501 C (4) of the UNC Code. Such petition
must be transmitted to the president by the chancellor.
4.10. When an individual has been notified of the University's intention
to discharge the employee, the chancellor may suspend the employee at any
time and continue the suspension until a final decision concerning discharge
has been reached by the chancellor. Suspension shall be with full pay.
5. REVIEW OF DISCONTINUATIONS OR NON-REAPPOINTMENTS AND OTHER EMPLOYMENT
GRIEVANCES
Individuals occupying EPA positions shall have access to the NC State University
Grievance Procedure for Faculty and EPA Professional Employees adopted by
the
Board of Trustees (Policy 24.01). Grievances concerning discontinuation of
employment with notice pursuant to Section 3.1 or non-reappointment pursuant
to Section 3.2 may be brought only upon allegations of violations of applicable
notice requirements of Section 3.1 or 3.2 or violations of any provision of
Sections 6 or 7 of this policy.
6. EQUAL EMPLOYMENT OPPORTUNITY
It is the policy and intention of North Carolina State University that there
be equal employment opportunity and freedom from unlawful discrimination in
all employment within the University. There shall be no discrimination in
covered positions on the basis of race, color, national origin, sex, religion,
creed, disability, veteran status or age.* Employment in covered positions
shall be conducted in accordance with all provisions of state or federal law
or regulation prohibiting any such discrimination, and in accordance with
the University's affirmative action policy.
* Bona fide occupational qualifications or other exceptions to those general
prohibitions, specifically provided for by State or Federal law are applicable
to EPA positions.
7. PROTECTED ACTIVITY
Employment in EPA positions shall not be adversely affected by the exercise
of rights guaranteed by the First Amendment to the United States Constitution
or by Article I of the North Carolina Constitution; provided, that employees
in EPA positions shall be subject to any limitations on political activity
established by Article 5 of N.C.G.S. Chapter 126. The Board of Governors'
policy in this regard, as adopted on January 16, 1976, and as it may be revised
from time to time, shall apply to EPA positions.
8. HOLIDAY AND LEAVE ENTITLEMENT
8.1. Holidays
EPA employees shall be subject to the same number of days as given to
employees subject to the State Personnel Act.
8.2. Annual Leave (effective July 1, 2001)
8.2.1. Basic Leave Policy
8.2.1.1. Annual Leave: Annual leave is accrued at a monthly rate and
is adjusted proportionately for a part-time employee who works halftime
or more (0.50 - 0.99 FTE). The monthly earnings amount is equal to one-twelfth
of the annual rate for each month the employee works or is on approved
leave with pay. Monthly leave is earned when an employee works or is on
approved leave with pay at least half the working days of a month.
8.2.1.1.1. Permanent EPA Employees: The amount of annual leave to
which a permanent full-time (1.00 FTE) EPA employee shall be entitled
to accrue is twenty-four (24) workdays per year.
8.2.1.1.2. Postdoc Employees: A Postdoc employee is entitled to earn
annual leave based on years of aggregate state service as a Postdoc
employee. The amount of annual leave entitlement shall be as follows:
Years as a Days of Annual Leave
Postdoctoral Employee Earned Per Year
Employee Per Year
Less than 2 years 12
2 but less than 3 years 14
8.2.1.2. Definition of Year: NC State defines a year as the "calendar
year" (January 1 - December 31). The scheduling of an employee's
annual leave shall be subject to the approval of the employee's supervisor.
With respect to an incumbent employee who is earning more than 24 days
per year as of the date this policy becomes effective, such employee shall
be entitled to continue to earn leave at that rate.
8.2.1.3. Leave Carry Forward and Conversion: The maximum number of unused
days of annual leave that an EPA employee may accrue and carry forward
from one calendar year to the next shall be thirty (30) days. Annual leave
in excess of 30 days will be automatically converted to sick leave at
the end of the calendar year.
8.2.2. Transfer of Accrued Annual Leave
NC State does not accept the transfer of annual leave. This includes
any leave from a UNC constituent institution or State of North Carolina
agency or local North Carolina government.
8.2.3. Advancement of Annual Leave
Subject to approval by the employee's supervisor, an EPA employee may
be advanced an amount of annual leave and/or sick leave up to a combined
maximum deficit balance of twenty (20) days. Appropriate uses for sick
leave are prescribed in the State Personnel Manual, Section 5, http://www.osp.state.nc.us/manuals/man5.html.
A supervisor may approve a deficit balance of annual and/or sick leave,
for extenuating circumstance or exceptional need. The permissible negative
balance is adjusted proportionately for a permanent part-time employee
who works halftime or more (0.50 - 0.99 FTE). If an employee separates
from NC State and has taken more annual and/or sick leave than has been
accrued, then NC State will determine the amount of annual and/or sick
leave the employee must repay to NC State and make deductions from the
employee's final salary check accordingly. However, if the employee has
been advanced more leave than can be repaid in the employee's final paycheck,
the employee will be billed accordingly.
8.2.4. Payout of Accrued Annual Leave
8.2.4.1. An EPA employee (excluding Postdoc employees) who has accrued
unused annual leave upon discontinuation of employment from NC State and
who either does not elect or is not eligible to transfer such accrued
leave to another State or local governmental agency, shall be paid for
such unused annual leave. A Postdoc employee with unused accrued annual
leave as of the effective date of discontinuation or non-reappointment
of employment shall be required to take the unused annual leave prior
to the effective date of discontinuation or non-reappointment of employment.
8.2.4.2. The amount paid to an EPA employee (excluding Postdocs) who
has been employed an aggregate of 24 months or less by one or more State
or local governmental agencies is equal to one day for each month worked
less the number of days of annual leave taken during the employment period.
An employee who has been employed for more than 24 months shall be paid
subject to a maximum of 30 such days.
8.2.4.3. If an EPA employee (excluding Postdocs) changes contract status
from 12 months to 9 months, then the employee's annual leave balance as
of the effective date of the contract change will be paid out at the time
of the appointment conversion. An EPA employee who transfers inside NC
State to an SPA position shall have the annual and sick leave balances
transferred to that position.
8.3. Sick Leave, Family and Medical Leave, Civil Leave, Military Leave,
and Community Service Leave
8.3.1. Sick Leave
8.3.1.1. A permanent EPA employee and a Postdoc employee shall be subject
to the same policies concerning sick leave as may be prescribed for employees
subject to the State Personnel Act.
8.3.1.2. Subject to approval by the employee's supervisor, a permanent
"at-will" EPA employee may be advanced an amount of annual and/or
sick leave up to a combined maximum deficit balance of twenty (20) days.
A permanent fixed-term EPA employee or Postdoc employee may be advanced
an amount of annual and/or sick leave up to the amount that can be earned
through the appointment end date or a maximum of twenty (20) days, whichever
is less. Appropriate uses for sick leave are prescribed in the State Personnel
Manual, Section 5, http://www.osp.state.nc.us/manuals/man5.html.
A supervisor may approve a deficit balance of annual and/or sick leave,
for extenuating circumstance or exceptional need. The permissible negative
balance is adjusted proportionately for a permanent part-time employee
who work halftime or more (0.50 - 0.99 FTE). If an employee separates
from NC State and has taken more annual and/or sick leave than has been
accrued, NC State will determine the amount of annual and/or sick leave
the employee must repay to the institution and make deductions from the
employee's final salary check accordingly. However, if the employee has
been advanced more leave then can be repaid in the employee's final paycheck,
the employee will be billed accordingly.
8.3.2. Family and Medical Leave, Civil Leave, Military Leave, and Community
Service Leave
A permanent EPA employee and a Postdoc employee shall be subject to
the same policies concerning family and medical leave, civil leave, military
leave, and community service leave as may be prescribed for employees
subject to the State Personnel Act.
8.4. Leave of Absence without Pay
A permanent EPA employee and a Postdoc employee may request a leave of
absence without pay, subject to approval of such leave by the chancellor
or chancellor's designee, as applicable.
8.5. Voluntary Shared Leave
A permanent EPA employee and a Postdoc employee shall be subject to the
same provisions concerning shared leave as are applicable to employees subject
to the State Personnel Act with the exception that the donation and acceptance
of such leave shall be computed on the basis of days rather than hours.
8.6. Educational Entitlement
A permanent EPA employee is entitled to the same opportunities as other
University employees to invoke the privilege of tuition waiver conferred
by N.C.G.S. § 116-143. Educational entitlement does not apply to Postdoc
employees.
9. STATUTORY AND OTHER RULES OF EMPLOYMENT
9.1. Privacy of Personnel Records
An EPA employee has the protections of and is subject to the provisions
of Article 7 of N.C.G.S.126, entitled "The Privacy of State Employee
Personnel Records."
9.2. Employment Preference for Veterans
An EPA employee has the protections of and is subject to the provisions
of N.C.G.S.128-15 and 128-15.1, which provide for preference in employment
for
veterans of United States military service and their spouses and widows
or widowers.
9.3. Employment of Related Persons
An EPA employee is subject to the policy concerning employment of related
persons as adopted by the Board of Governors on April 13, 1973, and as it
may be revised from time to time.
9.4. Retirement
An EPA employee may retire in accordance with the provisions of Chapter
135 of the North Carolina General Statutes ("Retirement System of Teachers
and
State Employees").
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