Faculty Manual
PART VI
GENERAL PERSONNEL POLICIES
PART VI
GENERAL PERSONNEL POLICIES
CONTENTS
I. Employment
Policies
A. Appointment
B. Collection of Money
C. Employee Involvement in Political Candidacy and Office Holding
D. Leaves of Absence
E. Orientation of New Faculty
F. Promotion
G. Resignation and Re-appointment
H. Phased Retirement
I. Retirement
J. Salary Policies
K. Tenure
L. Travel and Expense Allowances
II. Welfare and
Benefits
A. Hospitalization Insurance
B. Disability Income Plans
C. Mandatory Enrollment in Group Life Program
D. Group Insurance Plans
E. Social Security
F. Deferred Compensation Plan
G. Supplemental Retirement Income Plan of NC (401K)
H. Tax Deferred Annuity
I. US Savings Bonds
J. Unemployment Compensation Benefits
K. Vacation and Sick Leave
L. Workers’ Compensation
M. Flex Reimbursement Accounts
III. Institutional
Services Available to Faculty
A. Academic Apparel
B. Admission to Athletic Events
C. Cardiovascular Disease Risk Factor Identification/Reduction
Program
D. Central Ticket Office
E. Computing and
F. Continuing Education
G. Credit Union
H. Dining Services
I. Grants, Contract, and Cooperative Agreements
J. Housing
K.
L. Police Department
M. Post Office and Campus Mail Service
N. Radiation Safety
O. Recreational Services
P. Supplies, Equipment, and Contractual Services
Q. Telephone Service
R. Tuition Privileges for Faculty
IV. Employment of
Related Persons (Formerly Appendix H)
V. External
Professional Activities of Faculty and Other Professional Staff (Formerly Appendix Q)
VI. Equal Employment
Opportunity/Affirmative Action Policy (Formerly Appendix K)
VII. Other Policies
A. Substance Abuse Policy (Formerly Appendix T)
B. Weapons Policy
C. Serious Illness
and Disability Leave for Faculty Policy
VIII. Frequently Asked
Questions about Faculty Personnel Records
I. Employment
Policies
It is a policy of the university
throughout the campus and all its branches, divisions, departments, facilities,
and activities that firm and positive steps be taken by all supervisory and
management personnel to prevent any discriminatory employment practices; and
that affirmative action will be taken to ensure that applicants for employment
will be considered and employed based on actual job requirements; and that all
personnel matters pertaining to employment, placement, training, upgrading,
promotion, demotion, transfer, layoff, termination, and salary administration
will be conducted in a nondiscriminatory way without regard to race, color,
national origin, religion, veteran’s status, gender, age, sexual orientation,
political affiliation, or disability. (
The general faculty shall consist
of all full-time members of the teaching, research, or administrative staff who
hold a professorial rank, including those on special faculty appointment. Adjunct members of the faculty do not receive
benefits normally associated with full-time employment, nor does such service
count toward the attainment of a tenured position. Teaching fellows are not formal members of
the university faculty.
A. Appointment
See Appendix C,
Personnel Policies and Procedures for the Faculty of
B. Collection of Money
No individual or department of
the university may collect any money without being authorized to do so by the
business office, and reports of all such collections, when authorized, shall be
made on forms provided by the business office.
All money collected shall be turned in to the business office promptly
for deposit. All disbursements are to be
made by check drawn by the business office. The foregoing regulation by the
board of trustees applies to university funds and does not apply to civic and
charitable fund campaigns. Collections of funds for special instructional
materials, such as magazines, should be made by a designated student and not a
faculty member.
C. Employee Involvement In Political Candidacy and Officeholding
Policies adopted by the Board of
Governors in 1976 and conforming policies adopted by the Board of Trustees in
1994 establish processes for resolving, in advance, questions about possible
conflicts between a University employee's satisfactory performance of
employment responsibilities and his involvement in political candidacy and
officeholding. All University employees except those subject to the State
Personnel Act are covered by the policies. An employee who intends to become a
candidate for election or appointment to or to hold any public office is
responsible for knowing the terms of and complying with the requirements of these policies. A copy of the full text of
the policies along with instructions and forms to be used to comply with the
policies may be obtained from the University Attorney. The instructions include
deadlines which must be followed. Any petitions required by these instructions
should be submitted as early as possible, but no later than the following:
For affected academic Completed
petition to be Completed
Petition
periods beginning: received
by Chancellor: to
be received by board:
*January (e.g., for a October 15 of preceding
year November 1 of preceding
year
May primary contest)
*May/June (e.g., for fall March 15 April 1
elections affecting summer
employment)
*August/September (e.g., June 15 July 1
for fall general election)
*Other periods 90 days prior to 60 days
prior to
beginning
of period beginning
of period
Failure to comply with the
policies is a violation of the terms and conditions of University employment
and may result in disciplinary action. The following is a summary of the basic
provisions of the board policies. The full text of the policies
should be consulted by an
affected employee. Advice concerning the interpretation and application of the
policies may be obtained from the University Attorney.
1. Candidacy for election to public office
Becoming a candidate for election
to a full-time or major part-time office is presumed to create a conflict of
time that interferes with the employee's satisfactory performance of University
employment obligations. The conflict may be avoided by (1) resigning from
University employment, (2) seeking an appropriate unpaid leave of absence from
University employment, or (3) rebutting the presumption of conflict by
demonstrating that
there in fact will be no conflict
between campaign activity and University employment. An employee who intends to
become a candidate must follow prescribed procedures for resolving questions
about conflicts in advance of becoming a candidate.
2. Holding public office
Upon assuming an elective or
appointive full-time office, a University employee will be deemed to have
resigned his University employment, unless prior to assuming office he requests
and is granted a full leave of absence, without pay. Such a leave of absence
may not exceed two years.
Upon assuming an elective or
appointive major part-time office, a University employee will be presumed to
have a conflict of time that necessitates his resignation from University
employment; the resignation requirement may be avoided if (1) he requests and
is granted an appropriate leave of absence or (2) he rebuts the presumption of
conflict by demonstrating that there in fact will be no conflict between
officeholding and University employment. An employee who intends to occupy such
an office must follow prescribed procedures for resolving questions about
conflicts in advance of assuming the office.
D. Leaves of Absence
A faculty member may take a leave of absence for one or more
semesters (normally not more than two academic years or more often than once in
three years.) The leave can be with salary or without salary, depending on the
type of leave and the advance approval for the leave of absence.
A
faculty member who is requesting a professional leave of absence for one
semester (or appropriate period of time for the
There are generally 3 types of leaves of absence.
1. Professional leave. This type of leave
is granted to give a permanently
tenured faculty member opportunities for research, advanced study and/or
professional growth. For probationary-term faculty members, this type of leave allows faculty members to
accept competitive awards in programs such as the Board of Governors Doctoral Assignment
Fellowship, Fulbright Fellowship, or Fogarty Fellowship programs, allowing
research or
advanced
study opportunities.
2. Personal leave. Faculty members may
request personal leave for purposes such as illness, childbirth, and/or
child
care.
3. Public service leave. A faculty member
may run for political office, serve in appointed or elected public office,
or
serve in an appointed professional office and use this type of leave.
Policies governing this type of leave are explained in the
ECU Faculty Manual, Part VI., Section 1., Employee Involvement in Political
Candidacy and Officeholding. A leave of absence for the purpose of holding
public office may not exceed two years.
Any requests for leave of absence must be made in writing, in accordance
with unit codes and with ECU Faculty Manual, Appendix D. Tenure and Promotion
Policies and Procedures of ECU. Requests must accompany the personnel
recommendation form. Leaves of absence are subject to Appendix D., Section II.C.3. Extensions of the
Probationary Term. For faculty members
who do not have tenure, a period of leave might not count as a part of the
probationary period. The tenure decision might be postponed for a period as
specified in Appendix D., Section II.C.3.
Since leaves are often granted under circumstances that place an ethical
obligation on the
recipient of such leaves to return, the faculty member on
leave should observe the same rules regarding adequate notice of resignation as
found in Appendix D, II.A.5., Notice of Resignation. The returning faculty
member's pay will begin in the semester in which he or she returns from leave.
The contract between the faculty member on leave and the university will be
renewed. Raises and promotions awarded during the period of leave will be
placed into effect at the time that the faculty member returns from leave.
While on leave, the faculty member will have the opportunity to maintain group
life, health, and total disability insurance consistent with the policies of
the university. It should be noted that if the health insurance is not
continued while on leave of absence, the employee and dependents will be
subject to a preexisting clause for any medical condition, whether diagnosed or
not, for one year upon their re-enrollment in the plan. (
The University also has a Serious
Illness and Disability Leave for Faculty policy that is detailed in Section
VII.C. of this document.
E. Orientation of New Faculty
During the opening week of
school, new faculty attend an announced meeting for the purpose of acquainting
them with the chancellor and key administrative personnel and their
responsibilities and with the relationship between faculty and administration.
After this meeting, orientation of new faculty is continued throughout the year
by deans and chairpersons who assist the faculty in becoming acquainted with
the practices and procedures of the university. Orientation of new faculty who
are appointed on a part-time basis will take place within their respective
departments and will include receipt of and discussion of the departmental part-time
faculty information sheet, as well as access to the complete ECU Faculty Manual.
F. Promotion
See Appendix C, Personnel Policies and Procedures for the Faculty of
G. Resignation and Re-appointment
See Appendix D, Tenure and Promotion Policies and Procedures of ECU.
H. Phased Retirement September 2007 Update
Participation in
I. Retirement
1. Insurance
All full-time employees of the
university with a permanent appointment must participate in the North Carolina
Teachers' and State Employees' Retirement System with the exception that employees
who hold faculty rank are eligible to choose between the North Carolina
Teachers' and State Employees' Retirement System (TSERS) or the Optional
Retirement Program (ORP). When first employed or when given a permanent
appointment, all employees should contact the department of Human Resources to
be enrolled in the retirement system.
Once the eligible employee has made a choice and enrolled in the system
he or she selects, the decision will be irrevocable. It is not possible to change from one program
to the other during employment in an eligible position. All members of TSERS or ORP will contribute 6
percent of their earnings, including summer session salaries. All retirement contributions to either TSERS
or to ORP are tax sheltered from federal and state withholding taxes. For those
who teach a regular nine-month school term and who are active members of TSERS,
one year of creditable service is allowed for retirement purposes. The employee
in TSERS should apply for retirement benefits at least thirty days but not more
than ninety days prior to the effective date.
Arrangements for retirement should be made at the university department
of Human Resources. For those in ORP, individual
guidance from the ORP representatives is always available. A few months before retirement age, the
employee will receive information and specific figures for options in regard to
retirement benefits from ORP. (FS Resolution #07-26, December
2007)
Employees who retire under either
the optional retirement program (ORP) or the North Carolina Teachers' and State
Employees' Retirement System and who are eligible to receive benefits through
the NC Comprehensive Health Benefit Plan must complete an application in the
university department of Human Resources for transfer of health benefit
coverage from the active employee group to the retiree group. Transfer is
required for continuation of health insurance benefits upon retirement. Any premium due for coverage of dependents
may be deducted from the monthly retirement benefit check for those who are
members of the North Carolina Teachers' and State Employees’ Retirement System.
Additional information about the
two retirement systems is given below:
a. TSERS
The university is required to
contribute 10.83 percent of all employee salaries that are subject to
retirement deductions. A part of this
percentage is for accrued liability incurred by the retirement system's pension
fund, death benefit trust fund, and retirees' health care benefits. Some of the
key points for eligibility for certain benefits are as follows:
1) Monthly payments at retirement are based on
salary, age, and years of credit
2) Unreduced retirement benefit at age
sixty-five with five years of credit, or at age sixty with twenty-five years of
credit, or at any age with thirty years of credit; reduced benefit after age
fifty and twenty years of credit, or at age sixty with five years of credit
3) A right to a reduced benefit at age sixty
after five years of credit, regardless of whether the employee is working
4) In the event of the employee's death, the
beneficiary will receive a refund of the employee contributions with
interest. If the employee dies in active
service (while being paid salary or within 180 days after salary payments
cease) after completing twenty years of service credit regardless of age or
reaching age sixty with five years of service credit, the principal beneficiary
named to receive a refund of contributions and interest (provided only one
person is named) may choose to receive a monthly benefit for life instead of a
refund of contributions with interest.
This is known as the
survivor's alternate
benefit. If two or more persons or an
estate is named as beneficiary, the survivor's alternate benefit does not
apply.
5) If an employee dies while still in active
service (while being paid salary), after one year as a contributing member, the
beneficiary will receive a single lump sum payment known as the death benefit.
This payment equals the highest twelve months salary in a row during the twenty-four
months before death.
6) Coverage in the NC Disability Income Plan as
described in the state retirement book.
Employees should maintain a current record of designation of beneficiary
with the TSERS. Any changes regarding
the designated beneficiary may be made at the university department of Human
Resources. In the event that the employee terminates his or her services with
the university without qualifying for retirement benefits, he or she may with
draw the portion of accumulated retirement
contributions or may leave the
accumulated contributions on deposit with TSERS. After a refund has been made, the employee
forfeits all credit for years of service earned during past employment.
b. Optional Retirement Program (ORP)
The university will contribute
6.66 percent on all earnings paid the employee.
Both the employee's contribution and the university's portion will be
placed on deposit with ORP account.
Funds will be distributed as requested by the employee at the time he or
she is enrolled. Some of the key points of the Optional Retirement Program are
as follows:
1) Premiums are invested in fixed common stock
funds and variable accounts as decided by the employee.
2) Ownership of an ORP account is immediate for
the employee’s funds but require a five-year vesting period for the University
contributions. The annuities do not provide use for collateral on a loan. If an employee leaves the University before
completing the five-year vesting period and is employed with another University
or college that does not offer participation with one of the current Optional
Retirement Program carriers for ECU, the following options would be available:
a. The
employee could repurchase his/her investment.
b. The
employee could elect a 12-month delay option. If re-employed within 12 months from date of separation at ECU with a University or
college that offers participation with one of the ORP carriers, all funds contributed to the ORP carrier during
employment with ECU would be vested immediately.
c. The
employee could leave his funds in the ORP account and ECU would receive
reimbursement for its
contribution.
If an employee leaves the University
before completing the five-year vesting period and is employed by a University
or college that will allow him/her to participate with a like ORP carrier at
ECU, all funds are immediately vested.
3) ORP contracts do not contain a disability
benefits provision. A disabled
participant may wish to start annuity income payments with the amount of income
depending upon the same factors that determine the amount of income if benefits
began under normal circumstances.
4) In the event of death of the employee, the
full current value of ORP contract, including the portion bought by the
employers, is paid as an income to the designated beneficiary. There is no additional death benefit
provision under ORP.
5) There are several options provided by ORP to
the employee at retirement time.
6) Employees enrolled in ORP are provided
coverage under the NC Disability Income Plan as outlined in the state
retirement handbook. Participation is based upon the same factors as if the
employee enrolled in TSERS.
2. Privileges for Retired Faculty
a. The following privileges are awarded to retired faculty:
1) Use of campus addresses that include a post
box and electronic mail account for a period of at least one year, subject to
availability. After the initial one year
period, electronic mail accounts will be deactivated if they are not used for a
90-day period. If the retiree does not
request activation of the account within 90 days of deactivation, the
University will remove the account from the email system.
(University Administrative Policy
#1.902)
2) Right to be included in the University
catalogues and directories.
3) Continuance of eligibility to take one
course per semester without fees, subject to class availability.
(Prior to age 65, retired faculty are
not eligible to participate in the system-wide tuition waiver program. As stated in the university catalogs,
“persons 65 years of age or older who meet the requirements for in the in-state
rate of tuition and the university requirements for admission can have their
tuition and fees waived provided space is available in the requested
course{s}”.)
4) Access to library services under the same
conditions as active faculty, subject to space availability.
5) Continuance of eligibility to purchase
tickets to inter-collegiate athletic, cultural, and entertainment events under
the same conditions as active faculty.
6) Access to the University Employee Assistance
Program and Provider Directory when such services are available (Faculty Senate
Resolution #05-51)
(7) University identification card upon request.
8) Fully retired faculty may request a free B parking permit
and may also park in spaces designated "Retired Faculty." Faculty in
phased retirement and retired faculty who are re-employed by the university may
request a free B parking permit and may upgrade
the B permit to an A permit (by paying the price difference between an A and a
B permit) while bypassing the wait-list, but may not park in spaces designated
"Retired Faculty. (
b. Upon the recommendation of the unit
personnel committee, unit head, appropriate dean, and appropriate vice
chancellor, the chancellor may grant the faculty retiree emeritus status (as
defined in Appendix C.) which includes the items listed above under Section
I.I.2.a. and, in addition, the following privileges:
1) Access to recreational facilities under the
same conditions as active faculty.
2) Continuance of eligibility to march, wearing
appropriate regalia, in University commencement exercised and other University
formal processions, as active faculty.
(FS Resolution #07-26, December
2007)
J. Salary Policies
Faculty annual salaries are paid
semimonthly. New employees receive the first check on the last work day of
September. Checks are distributed to
each department by special messenger in the morning on the 15th. and last day
of each calendar month. When the 15th.
or last day of a month falls on a nonwork day for the business office,
distribution of checks will be made on the last work day prior to that
day. Arrangements may also be made with
the payroll office to have checks deposited in a local bank to the faculty’s
account. Salaries for summer term teaching are paid at the close of each
term. Federal income tax is withheld on
the basis of information furnished to the payroll office on US Treasury
Department Form W-4. It is the
responsibility of the employee to furnish the payroll office with a revised
Form W-4 if the number of withholding exemptions is changed due to deaths,
births, or other reasons. Since
withholding exemptions are
applied to the regular salary of the individual, the withholding tax on
supplemental salaries for summer term, extension teaching, etc., must be
calculated without benefit of exemptions.
In January of each year, each employee will receive from the payroll
office receipts, US Treasury Department Form W-2 and NC Department of Revenue
Form NC-2 for income taxes withheld for the previous calendar year.
State income tax is withheld on the basis of information furnished to the payroll office on North Carolina Department of Revenue Form NC-4. It is the responsibility of the employee to furnish the payroll office with a revised Form NC-4 if the number of withholding exemptions is changed due to deaths, birth, or other reasons. If supplemental wages such as bonuses, commissions, or overtime pay are paid at the same time as regular wages, the income tax to be withheld is determined as if the aggregate of the supplemental and regular wages were in a single wage payment for the regular payroll period.
For a
full-time member of the faculty or EPA professional staff, the salary approved
by the Board of Governors is the full compensation to be expected during the
period of employment. No additional payments may be made for university duties
that are generally related to the position to which the individual is
appointed. The period of appointment includes all formal holidays and
interludes during which no classes are scheduled.
Regardless
of the salary source, total compensation paid during the period of appointment
cannot exceed the salary amount authorized in the current academic salary
increase document, except for extraordinary situations that must be approved in
advance by the appropriate vice chancellor
Total Compensation: An individual’s total annual salary
compensation from all university sources may not exceed 133% of the annual
nine-month base salary or 100% for a twelve-month employee during the
twelve-month contract period without prior authorization from the appropriate
vice chancellor.
Bonus
amounts awarded to EPA or CSS employees as part of the Clinical Faculty
Compensation Plan or Management Flexibility Act are not be included in the
calculation of total annual salary compensation in the determination of the
above amounts.
Less Than
Full-time Employees: Upon appropriate approvals, individuals with appointments
of less than full-time during an academic year or fiscal year can increase
their commitment up to full-time with additional compensation. However, in no
event may the effort of an individual exceed full-time commitment unless
specifically approved in advance; additional compensation must be proportional
to the base salary rate and not exceed full-time equivalency unless
specifically approved in advance.
Research/Creative
Activity: It is expected that such other proposed duties or tasks may require
reduction in other planned responsibilities of the faculty or professional
staff member. For example, arrangements may be made for reassigned time or
research contract “buyouts” if faculty members are to conduct sponsored program
activities during the regular academic year. Sponsored program activity does
not normally constitute extraordinary or exceptional projects for consideration
for supplemental payment.
Overloads: Effective
August 1, 2002, overload stipends for any purpose should normally be limited to
one per academic year and only after the appropriate dean has granted prior
approval and notified their appropriate vice chancellor. Pay rates for
non-distance education overloads will be equated to the annual nine-month
salary rate; i.e., pay per credit hour for overloads may not exceed the per
credit hour nine-month rate based on a twelve credit hour per semester
full-time basis.
As per
Administrative Memorandum 407, a second overload stipend for distance education
purposes may be granted during an academic year, but only after prior approval
from the appropriate vice chancellor. Units must ensure that overloads are
necessary and should reduce reassignments for non-instructional purposes if at
all possible prior to authorizing an overload stipend. It is preferable that
overloads be kept to a minimum and be granted no more than once per academic
year. Pay rates for distance education overloads may not exceed the published
rates for summer school.
Summer
Overloads: No overloads will be permitted during summer school sessions except
in extraordinary circumstances and with prior approval. Compensation from any
and all salary sources for summer employment may be arranged not to exceed
three-ninths of the previous year’s nine-month annual salary base rate. The pay rate from summer school funds and
distance education summer school courses will be based on a percentage of the
nine-month rate up to a published annual maximum per session. The specific rates may be obtained through
the office of the Provost.
Work for
ECU Outside the Home Unit: Prior approval to teach or perform other duties
outside the faculty member’s home unit is required from all involved
administrative levels.
Salary
Conversion Rate for Faculty Holding Twelve-month Appointments: The salary of a
faculty member holding a twelve-month appointment will be converted back to a
nine-month faculty salary at the rate of 9/11ths of his/her twelve-month base
salary. Exceptions to this pattern may occur based on individual based
negotiations depending on the level of the position, experience, and other
factors. The approval of the Chancellor is required for such conversions to
occur.
External Activities for Pay: The policies covering Faculty
and Professional Staff income derived from external activities for pay are governed
by Part VI. of the ECU Faculty Manual.
Individuals are expected to comply with these policies that include
seeking prior administrative permission to the commencement of the activity and
the filing of annual conflict of interest statements at the end of the academic
year. The External Activities for Pay forms and the Conflict of Interest Forms
are available at www.aa.ecmedu/forms. (
K. Tenure
See Appendix C, Personnel Policies and Procedures for the Faculty of
L. Travel and Expense Allowances
1. Statutory Provisions Governing Travel and
Expense Allowances
Under no circumstances may
duplicate reimbursement be made for that portion of an employee's expenses paid
or reimbursed by a nonstate source. All travel is contingent upon the
availability of funds in the proper budget subheads. Travel on official
business by employees of
a. For transportation by privately owned
automobile, the employee will receive actual cost of road, bridge, and ferry
tolls paid and a set amount per mile if a state car is not avail able and this
is the cheapest method of transportation.
b. For transportation by airline, bus,
railroad, actual tourist class fare will be allowed. Receipt for charges must be attached to
reimbursement form.
c. The use of a rental automobile will be
authorized only when it is the most economical method of travel or it is the
only feasible method of available transportation. Approval for rental must be obtained in
advance. Receipt is required for
reimbursement.
d. Except as otherwise provided by specific
law, each state officer and employee authorized to receive reimbursement from
the state treasury for travel and other expenses incurred incident to the
performance of official duties shall be reimbursed for such expenses only as
described in the ECU Business Manual.
e. The state regularly allows reimbursement
for registration fees. However, the
state will consider requests for reimbursement over the maximum limit set.
Requests, accompanied by a copy of brochures, fee schedules, or other material
listing the costs included in the fee, should be made on the petition to travel
and submitted according to the designated deadlines.
2. State Policies Regarding Travel
All travel must have written
authorization. Full documentation and
explanation are required for all travel out of state and out of country. All
reimbursement requests shall be filed for approval and payment made with thirty
days after the end of the travel period for which reimbursement is being
requested.
a. Private Cars
State employees may use their
private cars at a set reimbursement rate per mile if a state car is not
available and air coach is more expensive or not feasible and such use is to
the state's advantage. Reimbursement is limited to direct road map mileage
between the stops on the employees' itinerary. State employees on state
business may use their private cars for personal convenience at a set
reimbursement rate or air coach rate,
whichever is less, with
subsistence expense being reimbursable only for the period required for
airplane travel. Mileage rates include all charges incurred of any nature
except tolls. Receipts for tolls are
required for reimbursement.
Reimbursement may not be made for
commuting between an employee's home and his or her duty station. Any
designation of an employee's home as his or her "duty station" by a
unit head shall require prior approval
by the office of State Budget and Management on an annual basis, no later than
the second week of December each year. The state auditor shall in the routine
audit of a department determine compliance with this provision. Generally,
reimbursement of expense for airport parking is limited to 48 hours with
receipt required for any charges. Reimbursement can be claimed for two round
trips to the airport or one round trip and parking. However, the reimbursable
parking charge cannot exceed the cost of the second round trip.
b. Taxis and Limousines
The actual cost of taxi and
limousine fares is reimbursable when required for travel on state
business. Taxi fares are not
reimbursable for inter-city transportation, except in emergencies when no less
expensive mode of transportation will be available within a reasonable period.
c. Rental Cars
Use of a rental automobile will
be authorized only when it is the most economical method of available travel or
it is the only feasible method of transportation.
II. Welfare and Benefits
A. Hospitalization Insurance
Hospitalization insurance is
provided for full-time or half-time permanent employees through a statewide
self-insured program known as the State of
B. Disability Income Plans
1.
a. Short-term Benefits
A participant is not entitled to
receive any benefits from the plan for a period of sixty continuous calendar
days from the onset of disability. The
benefits are payable after the conclusion of the waiting period for a period of
365 calendar days provided the participant meets the following requirements:
1) at least one year of contributing membership
service in the retirement system earned within thirty-six calendar months
preceding the disability,
2) be found to be mentally or physically
disabled for the further performance of the usual occupation, and
3) disability must have been continuous and
incurred at the time of active employment. The monthly short-term benefit will
equal 50 percent of 1/12th of the annual base rate of compensation last payable
prior to the beginning of the short-term benefit period. The monthly benefit
will be reduced by any monthly payments received for workers' compensation
(excluding permanent partial workers' compensation awards).
b. Long-term Benefits
Payable after the conclusion of
short-term disability period or after salary continuation payments cease,
whichever is later, for as long as the participant is permanently disabled, but
not after the participant becomes eligible for an unreduced service retirement,
provided he or she meets the following requirements:
1) have at least one year of contributing membership
service in the retirement system earned within ninety-six calendar months
preceding the disability, prior to the end of the short-term disability period.
2) make application to receive long-term
benefits within 180 days after the conclusion of the short-term disability
period or after salary continuation payments cease, whichever is later,
3) be certified by the medical board to be
mentally or physically disabled for the further performance of usual
occupation,
4) disability must have been continuous, likely
to be permanent, and incurred at the time of active employment, and
5) not eligible to receive an unreduced
retirement benefit from the Teachers' and State Employees' Retirement System.
During the first thirty-six
months of the long-term disability period, the monthly long-term benefit will
equal 65 percent of 1/12th of the annual base rate of compensation that was
last payable prior to the beginning of the short-term benefit period. The monthly benefit will be reduced by any
monthly payments received for workers' compensation (excluding permanent
partial workers' compensation awards) and by any primary social security
benefits the participant may be receiving; however, the benefit payable will be
no less than ten dollars a month. Employees apply for benefits through the
university department of Human Resources.
When the employee terminates employment with the university or state,
membership in the plan automatically terminates.
2. TIAA Group Long-Term Disability Insurance Plan
The TIAA Group Long-Term
Disability Insurance Plan is offered only to employees with academic rank who
are members of the optional retirement program.
The employee may subscribe voluntarily and make payment of the premium
through payroll deduction. The
computation of premium will be based upon total monthly compensation used for
deduction of ORP retirement contributions to include summer school pay. Highlights of the plan are:
a. Pays a regular income when disabled and
cannot work after a 90 day waiting period.
b. Replaces up to 66 2/3% of your monthly wage
base, to a maximum of $10,000 per month.
c. Protects
retirement by providing a contribution equal to monthly contributions to the
ORP carrier for investment.
d. Reflects occupation in determining if
disabled, as well as paying benefits if working but unable to earn full wage
base as a result of disability.
e. Pays benefits for as long as disability
continues up to the age 65 or even longer if disabled after age 60.
f. Pays a benefit to dependent if participant
dies after receiving disability benefits.
g. Allows conversion to an individual policy if
participant terminates employment.
3.
Available
to members of the Teachers’ and State Employees’ Retirement System. This is a long and short-term disability
insurance plan. This is designed to fill
in the gaps of the State’s disability plan- for the first year of employment
(since there is no coverage available under the State’s plan); as a supplement
during the State’s short-term period before and after five
years of service; and, in the event your salary exceeds the covered maximum salary limit under the State’s short-term and
long-term benefit periods.
C. Mandatory Enrollment in Group Life Program
All
new permanent employees employed at least 75% are required to enroll in the ECU
Group Life Program which is based on age and salary at full cost to the
employee. Preexisting conditions are
waived upon initial enrollment. An
employee may request cancellation of the policy and receive a refund of all premiums
for his or her individual coverage if requested within 60 days of the effective
date of coverage. The policy may be
canceled after that date but no refund of premiums will be granted.
D. Group Insurance Plans
University employees who hold a
permanent appointment on a 50% basis or above may subscribe to various types of
group insurance by voluntary payment of premiums through payroll
deduction. The university department of
Human Resources is responsible for coordinating insurance plans offered to
university employees as underwritten by these companies. Anyone interested in any of these plans
should contact the university department of Human Resources for more
information. The various group plans are life insurance (such as level term,
decreasing term, permanent cash value, accidental death and dismemberment),
disability income insurance, dental insurance, cancer coverage insurance, and
intensive care insurance.
E. Social Security
All university employees, with
the exception of students, are subject to the provisions of the Federal Social
Security Act that requires a percentage contribution subject to the current
Social Security law. This is a separate
contribution from the state retirement that cannot be withdrawn. The amount paid by the employee will be
matched by the university. All
state-owned agencies and
institutions are considered one employer under the Social Security law;
therefore, if the employee receives earnings from more than one agency or
institution within the calendar year, it should be brought to the attention of
the university payroll department.
Social Security benefits may be claimed at the age of 62; however,
these benefits will be lower than
the benefits received at age 65, which is the age at which maximum benefits may
be claimed. Retirement benefits under the Social Security law will be based on
average earnings beginning with 1937, or beginning with 1951, whichever will
allow the higher benefit. There is also
provided a broad program of health insurance called Medicare for people 65
years of age and over. One part of Medicare is hospital insurance, which helps
pay for hospital care and certain follow-up services. The other part is
voluntary medical insurance, which helps pay physician's fees and other medical
bills. More detailed information may be obtained from the local Social Security
administration office.
F. Deferred Compensation Plan
The NC State Legislature approved
in 1971 the establishment of a deferred compensation for state employees
whereby a portion of earnings could be deferred by investment in the plan that
would result in a deferment of federal and state taxes. If any employee is
interested in the plan, he or she should contact the department of Human
Resources for additional information.
G. Supplemental Retirement Income Plan of NC (401K)
The State of
H. Tax Deferred Annuity
Section 403(b) of the United
States Internal Revenue Code provides that the employees of
I. US Savings Bonds
Government bonds may be purchased
through the payroll savings plan by employees who are paid bimonthly.
Applications may be acquired from the university department of Human Resources.
J. Unemployment Compensation Benefits
All university employees except
student help are insured against loss of work when it occurs due to lack of
work. The department of Human Resources will issue to the employee, upon
termination of employment, a separation notice that may be used to file a claim
at the North Carolina Employment Security Commission for any benefits due under
the law. Unemployment insurance is for unemployed workers who are qualified,
ready, and willing to work, and who are actively trying to find work. It is not for persons who are unwilling or
unable to work, or for those who are on vacation or those who are ill.
K. Vacation and Sick Leave
Personnel with professorial rank
who have twelve-month employment contracts may earn leave as authorized by the
vice chancellors and chancellor but under a different leave policy from that
provided for SPA employees. Teaching
faculty who have a nine-month employment contract do not earn any vacation or
sick leave. All full-time permanent SPA
employees who work one-half or more of the regularly scheduled workdays in any
month shall earn vacation and sick leave.
Part-time, permanent SPA employees who are employed on a continuing
basis for a fixed number of hours each week in a permanent budgeted position
for as much as half-time shall earn vacation and sick leave on a pro-rata basis
if work is performed for one-half or more of the scheduled workdays in a
month. Some administrative personnel
who are exempt from the State Personnel Act (EPA) may also earn vacation and
sick leave under the same leave policy as applied to SPA employees. This is limited to certain full-time
administrative and professional personnel, such as the chancellor, vice
chancellors, deans, and their associates.
The amount of leave that may be earned each month and the conditions for
its use are described in the ECU Business
Manual
L. Workers' Compensation
All university employees,
including paid student help, are covered by workers' compensation that provides
for certain benefits in the event there is an on-the-job accident, causing
injury. If and when an on-the-job accident causing injury should occur, it
should be reported immediately to the university safety and health office.
Responsibility for claiming compensation is on the injured employee. Any claim filed by the employee must be made
through the university health and safety office with the North Carolina
Industrial Commission within two years from date of injury; otherwise, the
claim will be barred by law. The
university is considered a self-insured employer and will be responsible for
all claims
as approved by the NC Industrial
Commission. The employee should not pay for
drugs and treatment received or charge it against personal hospitalization
insurance coverage. Although the
university will pay for prescribed drugs,
physician's fees, and hospital
charges as approved, there will be a waiting period of seven calendar days from
date of injury before any weekly worker's compensation can begin for loss of
work. Faculty members are required to report to the administration any hazards
to safety and any accidents or other unusual occurrences or emergencies that
may be of general concern.
M. Flex Reimbursement Accounts
Employees
may set aside money before taxes (Federal, State, and FICA) from their salary
to be used for medical and dependent care expenses. This is a reimbursement account for use by
employees.
III. Institutional Services Available to Faculty
A. Academic Apparel
Faculty members have the
following options for ordering academic apparel:
1. A quality, tailor-made outfit may be
purchased through the Student Store.
Samples of materials and information concerning the styles of academic
apparel are available. The cost of an
outfit depends on the type of materials selected.
2 Academic apparel may also be rented
through the Student Store. If an order
is placed with the Student Store, faculty members are responsible for the
rental fee whether or not the gown is picked up. The rental fee is based on the
degree held by the faculty member.
B. Admission to Athletic Events
Football and basketball season
tickets are offered to faculty at a reduced price. Single game tickets are the same as charged
to the public.
C. Cardiovascular Disease Risk Factor Identification/Reduction
Program
The Human Performance Laboratory
in the
D. Central Ticket Office
The Central Ticket office,
located in the
E. Computing and Information Systems
The Computing and
F. Continuing Education
The Division of Continuing
Education and Summer School organizes extension courses in almost all
professional and academic areas. The
Division of Continuing Education and Summer School also renders assistance to
the public schools through educational workshops, educational clinics in
special fields, speakers for special occasions, assistance in educational
surveys and curriculum studies, and consultation on special problems.
G. Credit Union
University employees maintain a
credit union, organized under the
regulations stipulated by the State of
H. Dining Services
Faculty are invited to eat at any
of the restaurants on campus. A
declining balance card is offered to faculty.
This card is a pre-paid account that can be used as cash in any of the
dining locations. For more information
faculty may call Dining Services.
I. Grants, Contracts, and Cooperative Agreements
The office of Sponsored Programs
is the university office with responsibility for pre-award activities involved
in the submission of proposals to external sponsors for support of projects in
research, creative activity, training, and public service. The staff will provide information,
assistance, review, and endorsement. The
office of Sponsored Programs serves as the clearinghouse for information on
public and private funding opportunities. Staff members welcome requests for
assistance in locating funding sources and developing proposals and budgets.
They will review proposals for completeness and compliance with university and
sponsor administrative requirements. In
addition, they will provide guidance for development of contractual agreements
for activities such as clinical drug trials. All proposals for grants,
contracts, and cooperative agreements prepared by faculty to request outside
funds must be reviewed and signed in the office of Sponsored Programs before
submission to sponsors. See Part VII, Research Information.
J. Housing
The off-campus housing office
provides publications to aid those searching for rental housing in
K.
Monday through Thursday 8:00 A.M. - 11:00 P.M.
Friday 8:00 A.M. - 12:00 Midnight
Saturday 12:00 Noon - 12:00 Midnight
Sunday 1:00 P.M. - 11:00 P.M.
L. Police Department
The ECU Police Department
consists of two divisions: Police Services and Medical School Security. The Police division is a full-service law
enforcement agency providing services such as uniformed patrol, (bicycle, vehicle,
foot), criminal investigations, traffic enforcement and other services. The Medical School Security division handles
security at the Brody Medical Complex.
Crime prevention specialists are available to give lectures concerning
campus safety.
M. Post Office and Campus Mail Service
handled by the Campus Mail Service. Each
department, college, or school has a box at this post office to which
intra-campus mail is delivered, and faculty members may receive their
individual intra-campus mail in their respective unit. Intra-campus mail is free of postage.
N. Radiation Safety
Many radiation sources are used
at
must undergo a review by the
office of Radiation and Biological Safety and gain approval by the
Administrative Radiation Safety Committee. For further information consult the
university radiation safety manual and contact the office of Radiation and
Biological Safety.
O. Recreational Services
Faculty are invited to
participate in all programs and services offered through the department of
Recreational Services. The
to-day basis. A valid ECU ID/membership card is required
for entry into the facility. For more
information, please call the department of Recreational Services.
P. Supplies, Equipment, and Contractual Services
The university department of
Materials Management has the responsibility for making all purchase contracts
for the university (rental or purchase of real property excepted). This
authority covers all supplies, materials, equipment, and contractual services
as required by the university and any of its schools, departments, agencies, or
divisions. Purchases are initiated by submittal of a purchase requisition to
the department of Materials Management by departmental chairpersons, deans, or
agency heads through their respective vice chancellors. See ECU
Business Manual.
Q. Telephone Service
The university switchboard is
open each school day from 8:00 A.M. - 5:00 P.M. primarily for information and
for reporting interruptions in service.
All necessary long distance telephone calls should be made through the
DAIN system to take advantage of the more favorable rates. It is not permissible to charge personal
calls to a university telephone and then reimburse the university for the
cost. If it should be necessary to place
a personal long distance
call from a university telephone,
the call should be made collect or charged to the individual's home phone or to
a credit card. If these methods of
charging are not possible, the call should be made from a nonuniversity phone.
R. Tuition Privileges for Faculty
Subject to the University of
North Carolina Board of Governors’ policy, full-time faculty who are eligible
for membership in a state-supported retirement plan will be allowed free
tuition for one course per school term for classes attended outside of the
required work hours. See ECU Business Manual.
IV. Employment of Related Persons
(Formerly Appendix H)
A. Basic Principles
Consistent with the
principle that university employees and prospective employees shall be
evaluated on the basis of individual merit, without reference to considerations
of race, sex, religion or national origin, or any other factors not
involving personal
professional qualifications and performance, the following restrictions,
designed to avoid the possibility of favoritism based on family or personal
relationship, shall be observed with respect to institutional personnel who are
not subject to the State Personnel Act:
1. Related persons shall not serve
concurrently within the institution in any case where one such related person
would occupy a position having responsibility for the direct supervision of the
other related person.
2.
With respect
to proposed employment decisions which would result in the concurrent service
of related persons within the same academic department (or other comparable
institutional subdivision of employment), a person
related
to an incumbent employee may not be employed if the professional qualifications
of other candidates for the available position are demonstrably superior to
those of the related person.
3. With respect to the concurrent service of
related persons within the same academic department (or other comparable
institutional subdivision of employment), neither related person shall be
permitted, either individually or as a member of a faculty, or as a member of a
committee of a faculty, to participate in the evaluation of the other related
person.
B. Definition of "Related Persons"
The following
relationships are sufficiently immediate to invoke the prohibitions against
concurrent service of related persons:
1)
Parent and
child; 2) Brothers and sisters; 3) Grandparent and grandchild; 4) Aunt and/or
uncle and niece and/or
nephew: 5) First cousins; 6) Step‑parent and
step‑child: 7) Step‑brothers and step‑sisters; 8) Husband and
wife;
9) Parents‑in‑law
and children‑in‑law; 10) Brothers‑in‑law and sisters‑in‑law;
11) Guardian and ward; 12) Persons engaged in amorous relationships; an amorous
relationship exists when, without the benefit of marriage, two persons
voluntarily have a sexual union or are engaged in a romantic courtship (e.g.
dating or engaged to be married) that may or may not have been consummated
sexually.
C. Effective Date
The provisions of this policy shall be
applicable prospectively only, with reference to appointments made after the adoption date of the policy.
D. Employees Subject to the State Personnel Act
With respect to
university employees who are subject to the State Personnel Act (SPA),
applicable restrictions concerning the concurrent service of related persons
shall be those adopted by the state personnel board.
E. Each chancellor shall report annually to the
board of trustees, at the regular meeting falling closest to the date of
commencement, concerning all specific cases during the preceding year in which
the terms of this policy were applied.
(Administrative Memorandum #360,
18 March 1996, UNC Board of Governors)
V. External
Professional Activities of Faculty and Other Professional Staff (Formerly Appendix Q)
A. University Policy
The
Because of their specialized
knowledge and experience, such persons have opportunities to apply their
professional expertise to activities outside of their university employment,
including secondary employment consisting of paid consultation with or other
service to various public and private entities 35. Through such practical,
compensated applications of their professional qualifications, university
employees enhance their own capabilities in teaching and research. Thus,
participation of faculty and other professional staff members in external
professional activities for pay, typically in the form of consulting, is an
important characteristic of academic employment that often leads to significant
societal benefits, including economic development through technology transfer.
However, such external professional activities for pay are to be undertaken
only if they do not:
1. create a conflict
of commitment by interfering with the obligation of the individual to carry out
all primary university duties in a
timely and effective manner; or
2. create a
conflict of interest vis-à-vis the individual's status as an employee of the
university; or
3. involve any inappropriate use or exploitation
of university resources; or
4. make any use of the name of The University of
North Carolina or any of its constituent institutions for any purpose other
than professional identification; or
5. claim, explicitly or implicitly, any university
or institutional responsibility for the conduct or outcome of such activities.
B. Definitions
1. "External professional activities for pay" means any
activity that:
a. is not included within one's university
employment responsibilities;
b. is performed for any entity, public or
private, other than the university employer;
c. is undertaken for compensation; and
d. is based upon the professional knowledge,
experience, and abilities of the faculty or other professional staff member.
Activities for pay not involving
such professional knowledge, experience, and abilities are not subject to the
advance disclosure and approval requirements of section C. of this policy,
although they are subject to the basic requirement that outside activities of
any type not result in neglect of primary university duties, conflicts of
interest, inappropriate uses of the university name, or claims of university
responsibility for the activity.
2. "University employment
responsibilities" include both "primary duties and "secondary
duties.” Primary duties consist of assigned teaching, scholarship, and all
other institutional service requirements. Secondary duties consist of
Professional affiliations and activities traditionally undertaken by faculty
and other professional staff members outside of the immediate university
employment context that redound to the benefit of the profession and to higher
education in general. Such endeavors, which may or may not entail the receipt
of honoraria or the reimbursement of expenses, include membership in and
service to professional associations and learned societies; membership on
professional review or advisory panels; presentation of lectures, papers,
concerts or exhibits; participation in seminars and conferences; reviewing or
editing scholarly publications and books, and service to accreditation bodies.
Such integral manifestations of one's membership in a profession are
encouraged, as extensions of university employment, so long as they do not
conflict or interfere with the timely and effective performance of the
individual's primary university duties.
3. "Faculty or other professional staff
member" means any person who is employed full-time by The University of
North Carolina or a constituent institution or other agency or unit of The
University of North Carolina and who is not subject to the State Personnel Act.
4. "Department" means an academic
department, a professional school without formally established departments, or
any other administrative unit designated
by the chancellor of an institution or by the president for the office of
General Administration, for the purposes
of implementing this policy.
5. "Inappropriate use or exploitation of
university resources" means using any services, facilities, equipment,
supplies, or personnel which members of the general public may not freely use.
A person engaged in external professional activities for pay may use, in that
connection, his or her office and publicly accessible facilities such as university
libraries; however, an office shall not be used as the site for compensated
appointments with clients, e.g., for counseling or instruction. Under no
circumstances may a supervisory employee use the services of a supervised
employee during university employment time to advance the supervisor's external
professional activities for pay.
6. "Conflict of interest" relates
to situations in which financial or other personal considerations may
compromise, may have the potential for compromising, or may have the appearance
of compromising an employee's objectivity in meeting university duties or
responsibilities, including research activities.
C. Procedures Governing External Professional Activity for Pay
1. A faculty or other professional staff
member who plans to engage in external professional activity for pay shall
complete the "Notice of Intent to Engage in External Professional Activity
for Pay" (hereinafter referred to as "Notice of Intent,"), which
shall be filed with the head of the department in which the individual is
employed. A separate “Notice of Intent" shall be filed for each such
activity in which an employee proposes to engage. Unless
there are exceptional
circumstances, the "Notice of Intent" shall be filed not less than
ten calendar days before the date the proposed external professional activity
for pay is to begin.
2. Approval of a "Notice of Intent” may
be granted for a period not to exceed the balance of either 1) the fiscal year
(in the case of twelve-month employees and employees with contract service
periods that include the summer session) or 2)the academic year (in the case of
nine-month employees with no summer session contract period)
remaining as of the date of
approval; if the approved activity will continue beyond the end of the relevant
fiscal or academic year in which it was begun, an additional "Notice of
Intent” must be filed at least ten days before engaging in such activity in the
succeeding relevant year.
3. Except as set out in paragraph d., below,
the “Notice of Intent” shall be considered as follows: If, after a review of
the “Notice of Intent" and consultation with the faculty or other
professional staff member, the unit head determines that the proposed activity
is not consistent with this policy statement of the board of governors, the
faculty or other professional staff member shall be notified of that
determination within ten calendar days of the date the "Notice of
Intent" is filed. In the event of such notification by the unit head, the
faculty or other professional staff member shall not proceed with the proposed
activity but may appeal that decision to the next higher administrator and then
to the chancellor (or, in the General Administration, to the president). A
decision on any such appeal shall be given to the faculty or other professional
staff member within ten calendar days of the date on which the appeal is
received. The decision of the
chancellor (or of the president) shall be final. Appeals shall be made in
writing on the "Notice of Intent” form
4. If question 8., question 9.a., or question
9.b. on the "Notice of Intent” is answered in the affirmative, the
procedure set out in paragraph 3.c., above, shall be modified as follows: The
decision of the unit head to approve the activity shall be reviewed promptly
and approved or disapproved within ten days of receipt by the next higher
administrator, and appeal of a disapproval by that officer shall be to the
chancellor (or, in the General Administration, to the president).
5. Departmental summaries of all "Notices
of Intent" filed and of actions taken in response to such "Notices of
Intent" during the preceding fiscal year shall be submitted by unit heads
to the chancellor (or, in the General Administration, to the president) each
July. The chancellors shall provide annual summary reports to the president by
September 1 of each year.
6. University employees not complying with
these procedures will be subject to disciplinary action. Unit heads are held
responsible for proper reporting.
D. Special Provisions
1. External professional activities for pay
performed for another institution or agency of the State of
2. The procedures in section 5 shall not be
required of faculty and other professional staff members serving on academic
year contracts if the external professional activity for pay is wholly
performed and completed between the day following spring commencement and the
first day of registration for the fall semester, provided that the activity
does not conflict with this policy statement of the board of governors and is
not conducted concurrently with a contract service period for teaching,
research, or other services to the institution during a summer session
E. Effective Date
This policy statement shall
become effective on 1 July 1993.
F. Sample Form for Notice of Intent to Engage in External
Professional Activities for Pay
Date: (Name) - Intends to engage
in external professional activity for pay under the following Conditions
1. Name and address of contracting organization:
2. Nature of proposed activity:
3. Beginning date and anticipated duration of activity:
4. On average, how many hours per week will be devoted to this
activity?
a. For twelve-month employees, for the
anticipated duration of the activity, within the current fiscal year ending
June 30:
b. For nine-month employees, for each
component part of the academic year, as applicable, within the current fiscal
year ending June 30
1) Second summer session (post July 1)
2) Fall semester
3) Spring semester
4) First summer session (pre July 1)
5. Total number of hours to be devoted to
activity:
6. Identify any classes, meetings, or other
university duties that will be missed because of involvement in the proposed
activity (respond separately for each applicable component part of the academic
calendar if nine-month employee) and state what arrangements have been made to
cover any such duties:
Duties
Missed Arrangements
to Cover
7. Use of university resources in connection with proposed
activity:
a. Will the activity entail the use of any university resources? _
Yes _ No
b. If yes, describe what resources will be used.
8. To your knowledge, does the contracting
organization above provide funding which directly supports
any of your university duties or
activities? _ Yes _ No
9. To be completed if the contracting organization is a private
firm:
a. Do you or any member of your immediate family own an equity
interest in the contracting organization?
_
Yes _ No
b. Do you hold an office in the contracting organization? _ Yes _
No
10. Performance of the above described activity is consistent with the board of governors policy on external professional activities. (Signatures Follow)
G. Sample Form for Activity During Past Fiscal Year
Provide the following information
for each external professional activity for pay in which you engaged during the
last fiscal year preceding the date of filing of this "Notice of
Intent"
1. Contracting organization:
2. Beginning and ending date of activity (if completed):
3. Average hours per week devoted to this activity.
4. Total number of hours devoted to this activity:
5. Nature of professional activity:
6. Date Notice of Intent was filed:
H. Sample Form for Administrative Action on Notice of Intent
1. Reviewed; activity determined to be consistent with university
policy.
Date: Unit Head:
Other action (as required):
Date: Dean or Other Administrative Officer*
*Approval by dean or next higher
administrator is required if question 8., 9.a., or 9,b. is answered in the
affirmative.
2. Reviewed; activity determined not to be consistent with
university policy
Date: Unit Head:
Action on appeal (if any):
Date: Action Taken:
Dean or Next Higher
Administrator:
Date: Action Taken:
Chancellor:
Any administrative action
approving a "Notice of Intent” shall be effective only for the remaining
balance of the fiscal year (in the case of twelve-month employees) or for the
balance of the academic year (for nine-month employees).
VI. Equal Employment Opportunity/Affirmative Action Policy (Formerly Appendix K)
The university's policy is
consistent with North Carolina General Statutes 126‑16: "All
state...agencies...of North Carolina shall give equal opportunity for employment,
without regard to race, religion, color, creed, national origin, sex, age, or
physical disability to all
persons qualified, except where specific age, sex, or physical requirements
constitute bona fide occupational qualifications necessary to proper and
efficient administration. This section
with respect to equal opportunity as to age shall be limited to individuals who
are at least 40 years of age but less than 70 years of age." It is also consistent with The Code of The University of North Carolina,
Section 103: "Admission to, employment by, and promotion in The University
of North Carolina and all of its constituent institutions shall be on the basis
of merit, and there shall be no discrimination on the basis of race, color,
creed, religion, sex or national origin...."
In addition,
which employees realize their
maximum potential in the workplace and students can engage fully in the
learning process. Accordingly, sexual harassment by and of both employees and
students is prohibited by this policy.
1. It is illegal and against the policies of
a. making unwelcomed sexual advances or
requests for sexual favors or other verbal or physical conduct of a sexual
nature a condition of an employee's continued employment, or
b. making submissions to or rejections of such
conduct the basis for employment decisions affecting the employee, or
c. creating an intimidating, hostile, or
offensive working environment by such conduct.
2. It is against the policies of
a. making unwelcomed sexual advances or
requests for sexual favors or other verbal or physical conduct of a sexual
nature a condition of a student's grade, progress, or recommendation or
b. creating an intimidating, hostile, or
offensive learning environment by such conduct.
Sexual harassment shall
hereinafter be deemed a form of discrimination based on sex as prohibited by
Section 703 of Title VII of the Civil Rights Act, by North Carolina General
Statute 126‑16 (employees), and by Title IX of the Education Amendments
Act of 1972 (students).
A. Responsibilities
Responsibility for implementation
of these policies rests with the chancellor.
The vice chancellors, the dean of the
The chancellor has also appointed
the director of Equal Opportunity Programs to coordinate all aspects of the
Affirmative Action Plan, initiate programs to assist in reaching the goals of
the Affirmative Action Plan, maintain a record system, identify problem areas,
and assist faculty and staff and students to resolve problems. This individual is assisted by the associate
director of Equal Opportunity Programs.
B. Grievances
Any student of
(Approved: 30 June 1983,
VII. Other Personnel Policies
A. Substance Abuse Policy (Formerly Appendix T)
Accordingly, the
·
prevent
substance abuse through a strong educational effort;
·
encourage and
facilitate the use of counseling services and rehabilitation programs by those
members of the academic community who require their assistance in stopping
substance abuse; and
·
discipline
appropriately those members of the academic community who engage in illegal
drug or alcohol related behaviors.
1. Educational Efforts to Prevent Substance
Abuse
In keeping with its primary
mission of education,
illegal drug or alcohol use; the
incompatibility of substance abuse with the maximum achievement of educational,
career, and other personal goals; and the potential legal consequences of
involvement with illegal drugs or alcohol.
2. Counseling and Rehabilitation Services to
Prevent Substance Abuse
Those faculty, staff, or students
who seek assistance with a substance abuse related problem shall be provided
with information about drug counseling and rehabilitation services available
through
3. Disciplinary Actions to Prevent Substance Abuse
Students, faculty members,
administrators, and other employees are responsible, as citizens, for knowing
about and complying with the provisions of North Carolina law that make it a
crime to possess, sell, deliver, or
manufacture those drugs
designated collectively as "controlled substances" in Article 5 of
Chapter 90 of the North Carolina General Statutes. Any member of the university community who
violates that law is subject both to prosecution and punishment by the civil
authorities and to disciplinary proceedings by the university.
It is expected that
A person whose conduct is outside
these parameters will be subject to the judicial rules and procedures of the
university.
It is not "double
jeopardy" for both the civil authorities and the university to proceed
against and punish a person for the same specified conduct. The university will initiate its own
disciplinary proceedings against a student, faculty member, administrator, or
other employee when the alleged conduct is deemed to affect the interests of
the university.
Penalties will be imposed by the
university in accordance with procedural safeguards applicable to disciplinary
actions against students, faculty members, administrators, and other employees,
as required by Appendix D, Tenure and
Promotion Policies and Procedures of ECU, by board of governors' policies
applicable to the employees exempt from the State Personnel Act, by the
The penalties to be imposed by
the university may range from written warnings with probationary status to
expulsions from enrollment and discharges from employment. [1]However,
the following minimum penalties shall be imposed for the particular offenses
described.
a. Trafficking in Illegal Drugs
(1) For the illegal manufacture, sale or
delivery, or possession with intent to manufacture, sell or deliver, of any
controlled substance identified in Schedule I, NC General Statutes 90‑89,
or Schedule II, NC General Statutes 90‑90 (including, but not limited to,
heroin, mescaline, lysergic acid diethylamide, opium, cocaine, amphetamine,
methaqualone), any student shall be expelled and any faculty member,
administrator, or other employee shall be discharged.
(2) For a first offense involving the illegal
manufacture, sale or delivery, or possession with intent to manufacture, sell
or deliver, of any controlled substance identified in Schedules III through VI,
NC General Statutes 90‑91 through 90‑94, (including but not limited
to, marijuana, pentobarbital, codeine) the minimum penalty shall be suspension
from enrollment or from employment for a period of at least one semester or its
equivalent. For a second offense, any
student shall be expelled and any faculty member, administrator, or other
employee shall be discharged.
b. Illegal Possession of Drugs
(1) For a first offense involving the illegal
possession of any controlled substance identified in Schedule I, NC General
Statutes 90‑89, or Schedule II, NC General Statutes 90‑90, the
minimum penalty shall be suspension from enrollment or from employment for a
period of at least one semester or its equivalent.
(2) For a first offense involving the illegal
possession of any controlled substance identified in Schedules III through VI,
NC General Statutes 90‑91 through 90‑94, the minimum penalty shall
be probation, for a period to be determined on a case‑by‑case
basis. A person on probation must agree
to participate in a drug education and counseling program, consent to regular
drug testing, and accept such other conditions and restrictions, including a
program of community service, as the chancellor or the chancellor's designee
deems appropriate. Refusal or failure to abide by the terms of
probation shall result in suspension from enrollment or from employment for any
unexpired balance of the prescribed period of probation.
(3) For second or other subsequent offenses involving
the illegal possession of controlled substances, progressively more severe
penalties shall be imposed, including expulsion of students and discharge of
faculty members, administrators, or other employees.
c. Possession and Use of Alcohol
(1) For offenses involving the illegal
possession, use, sale, and/or distribution of alcohol in violation of NC
General Statutes 18B‑300 & 12B‑301 & 302; 18B‑1006(a);
or Greenville Ordinance No. 812‑1‑2, a student will be subjected to
a progressive penalty system based on the type of infraction and the
circumstances involved. Penalties may be
warning, probation, fine, volunteer community service, and/or removal from the
residence system or the university.
(2) In
certain circumstances, involvement in an alcohol education and/or counseling
program may be offered to a student in lieu of being referred to the Honor
Board with a recommendation for suspension.
Specifically, a student given this option will be required to participate
in a program of assessment, education, and counseling; pay a fee of sixty
dollars, and be placed on university probation.
A student may participate in this program only once in lieu of
disciplinary action.
(3) University employees subject to the State
Personnel Act may be disciplined in accordance with the rules and regulations
for personal misconduct, i.e., final written warning, which may include a three
day suspension without pay, or dismissal.
When a student, faculty member,
administrator, or other employee has been charged by the university with a
violation of policies concerning illegal drugs or alcohol, he or she may be
suspended from enrollment or employment before initiation or completion of
regular disciplinary proceedings if, assuming the truth of the charges, the
chancellor or, in the chancellor's absence, the chancellor's designee concludes
that the person's continued presence within the university community would
constitute a clear and immediate danger to the health or welfare of other
members of the university community, provided, that if such a suspension is
imposed, an appropriate hearing of the charges against the suspended person
shall be held as promptly as possible thereafter.
In the case of employees, anyone
convicted of a criminal drug statute violation occurring in the work place
shall notify the university no later than five days after such a
conviction. The university will commence
disciplinary action against such an individual within thirty days of notice of
the conviction.
4. Responsibilities Under This Policy
Authority to implement the policy
shall reside in the chancellor. The
chancellor shall designate a coordinator of drug and alcohol education who
shall, acting under the authority of the chancellor, be responsible for overseeing
all actions and programs relating to this policy. All employees and students shall be
responsible for abiding by the provisions of this policy. In the case of employees, adherence with the
provisions of the policy shall be a condition of employment. The chancellor will render an annual report
to the board of trustees on the effectiveness of this policy.
5. Dissemination of This Policy
A copy of this policy shall be
given annually to each employee and to all new employees at the beginning of
their employment. Each student shall
receive a copy and new students shall be given a copy during orientation. The policy shall be printed in appropriate
student documents and posted on official bulletin boards of the university.
(Approved:
October 5, 1990,
B. Weapons Policy
The possession and/or use of a
weapon on any university owned or controlled property is incompatible with the
academic mission and programs of the university. In addition, any threat to
commit bodily harm, either by the use of a weapon or physical force is also
inappropriate in an academic community. All university constituents, including
students, faculty, staff, and visitors should respect the institutional mission
and help to insure that a safe and secure environment, which is conducive to
learning, is present at all times. Therefore, each constituent should respect
and obey the following rules and regulations pertaining to weapons on
university property. This policy does not apply to an individual’s legal right
to possess or own a weapon off campus. Any member of the university community
who violates North Carolina General Statute 14-269.2 pertaining to weapons on
campus is subject both to prosecution and punishment in accordance with state
criminal law and criminal procedures and to disciplinary proceedings by the
university.
G.S. 14-269.2 makes it unlawful
and in some circumstances, felonious conduct "for any person to possess or
carry, whether openly or concealed, any gun, rifle, pistol, or other firearm of
any kind, or any dynamite cartridge, bomb, grenade, mine or powerful explosive
on educational property." The statute makes it a misdemeanor "for any
person to
possess or carry, whether openly
or concealed, any BB gun, air rifle, air pistol, bowie knife, dirk, dagger,
slingshot, leaded cane, switchblade knife, blackjack, metallic knuckles, razors
and razor blades (except solely for personal shaving), and any sharp pointed or
edged instrument except instructional supplies, unaltered nail files, and clips
and tools used solely for the preparation of food, instruction, and
maintenance, on educational property.
The statute does not apply to:
1. A weapon used solely for educational or
school-sanctioned ceremonial purposes, or used in a school-approved program
conducted under the supervision of an adult whose supervision has been approved
by the school authority; and
2. Armed forces personnel, officers and
soldiers of the militia and national guard, law enforcement personnel, and any
private police employed by an educational institution. when acting in the
discharge of the official duties.
The Director of Public Safety is
responsible for authorizing weapons on campus which meets either of these two
criteria.
It is not "double
jeopardy" for both the criminal law enforcement authorities and the
university to proceed against and punish a person for the same specified
conduct. The university will initiate its own disciplinary proceedings against
a
student, faculty member,
administrator, or other employee when the alleged conduct is deemed to affect
the interest of the university. A resident student should also understand that
he/she may be removed from his/her residence hall for violating the housing
contract regulation pertaining to the possession or use of a weapon in the
residence halls. See ECU Housing and Dining Agreement.
Penalties will be imposed by the
university in accordance with procedural safeguards applicable to disciplinary
actions against students, faculty members, administrators, and other employees.
These safeguards are found in the
1. Persons who possess or use a gun, rifle,
pistol, or other firearm of any kind, or powerful explosive will be suspended
for a period of not less than one year (student), or discharged (faculty
member, administrator, or other employee). For a second offense, the student
will be expelled.
2. Persons who possess or use a BB gun, air
rifle, air pistol, bowie knife, dirk, dagger, slingshot, leaded cane,
switchblade knife, blackjack, metallic knuckles, razors and razor blades
(except solely for personal shaving), and any sharp pointed or edged instrument
except instructional supplies, unaltered nail files and clips and tools used
solely for the preparation of food, instruction, and maintenance will be
suspended from enrollment for a minimum period of at least one semester or its
equivalent (student), or discharged (faculty member, administrator, or other
employee). For a second offense, any student will be expelled.
In certain instances, established
penalties may be reduced due to mitigating circumstances e.g. the weapon has
not been removed from a motor vehicle and if it has not been brandished,
exhibited or displayed in any careless, angry or reckless manner. The
established penalty however, may not be reduced if the violation involves use
of a weapon in a manner where bodily harm or injury occurs or where the weapon
was involved in another violation of university regulations. In cases where the
penalty is reduced, the person should expect some penalty which may include
probation, counseling, community service, or loss of certain privileges. A
subsequent violation of this policy will result in a progressively more severe
penalty which includes suspension or expulsion of students and discharge of a
faculty member, administrator or other employee.
(Approved: July 6,
1995,
C. Serious Illness and Disability Leave for
Faculty Policy
The purpose of this policy is to provide permanent
faculty who do not currently earn sick leave with paid leave for cases of a
serious health condition, maternity leave, or parental leave as defined under
the Family and Medical Leave Act (FMLA).
The purpose of this policy is also to coordinate leaves granted under
federal and state acts such as the FMLA [29 U.S.C. § 2601, et seq.], the North
Carolina Family Illness Act (NCFIA) [SB1115, Section 28.3B], and the UNC Policy
on Serious Illness and Disability Leave for Faculty [UNC Policy
300.2.11(G)]. All three policies cover
the same serious health conditions, maternity leave or parental leave. This policy supplements the FMLA and NCFIA to
provide for a period of paid leave rather than such leave being unpaid.
This policy does not apply to brief absences of 14
calendar days or less that are usually accommodated informally. This policy is
intended to apply to short-term and intermediate-term disability of up to one
year. Exceptional cases may be considered by the University.
All eligible
Granting or
denial of a request for a leave under this policy shall be made without regard
to the faculty member's race, color, national origin, religion, gender, age, sexual
orientation, political affiliation, disability, or personal malice.
I. Definitions
For
purposes of this policy a brief absence is defined as fourteen (14) calendar
days or less.
The
following definitions are applicable to the Family and Medical Leave Act
(FMLA), the North Carolina Family Illness Act (NCFIA) and ECU's Policy on
Serious Illness and Disability Leave for faculty:
A serious health condition is defined as (a) an illness, injury,
impairment, or physical or mental condition that involves either inpatient care
in a hospital, hospice, or residential medical care facility, or that involves
continuing treatment by a health care provider; (b) any period of incapacity
requiring an absence from work of more than fourteen calendar days that also involves
continuing treatment by a health care provider; or (c) continuing treatment by
a health care provider for conditions so serious that, if not treated, would
likely result in an absence of more than ten workdays. Prenatal care is also
included. The period of actual physical
disability associated with childbirth is considered a serious health condition
and must be taken as family/medical leave, whether as paid or unpaid leave.
Immediate
Family - spouse, parents, children (including step relationships), or other
legal dependents who require the faculty member's care.
Parent - a
biological or adoptive parent or an individual who stood in loco parentis
(a person who is in the position or place of a parent) to an employee when the
employee was a child.
Child - a
son or daughter who is under 18 years of age or is 18 years of age or older and
incapable of self-care because of a mental or physical disability. Child would
include: (a) biological, (b) adopted, (c) foster, (d) step-child, (e) legal
ward, and (f) child of an employee standing in loco parentis as defined
above.
Immediate
Supervisor - Normally, the immediate supervisor is the individual who is the
head of the code unit. However, in code units that describe department
structures, the immediate supervisor is the department head/chair.
FMLA
provides for a period of up to 12 weeks of unpaid leave for a serious health
condition, maternity leave, or parental leave.
NCFIA provides for up to 52 weeks of unpaid leave in a five-year period
in cases of serious illness of a child, spouse, or parent.
Applicable
vice chancellor - The applicable vice chancellor is the Provost/Vice Chancellor
for Academic Affairs or the Vice Chancellor for Health Sciences, whoever is
appropriate for the particular faculty member.
Start Date
- The period of paid leave under this policy begins with the first day of the
absence from University contractual duties resulting from such illness or
disability. If a leave begins as a brief illness, then
results in a more serious condition that warrants use of the Serious Illness
Leave policy, the period of paid leave under this policy will revert back to
the first day of absence.
II. Eligibility
This policy
applies to persons holding regular full-time faculty appointments who are
eligible for participation in either the North Carolina Teachers and State
Employees Retirement System or the Optional Retirement Program, and who are not
eligible to earn sick leave under any other state or institutional leave
policy. If a faculty member has been in a previous leave-earning position and
has an accumulated sick leave balance, the faculty member must exhaust any
previous sick leave balance prior to requesting coverage under this policy.
Part-time permanent faculty holding appointments of at least 75% are also
covered under this policy.
III. Benefit
(A) In all cases, leave granted under this policy
shall be in increments that are appropriate to the facts and circumstances
surrounding the illness or disability, the academic calendar, the needs of the
unit, and the responsibilities of the faculty member. Leave taken under this
Serious Illness policy shall run concurrently with FMLA leave and/or with the
statutory provisions of the North Carolina Family Illness Act. Any leave under this policy will count as part
of the 52 week allowable total under the NCFIA and/or as part of the 12 week
allowable total under the FMLA.
(B) A faculty member who has a medically
verifiable illness or disability, with proper medical documentation, as defined
under FMLA, or whose immediate family member has a medically documented,
verifiable illness, may elect to request a paid leave of absence for up to 15
calendar weeks in accordance with Section V.
Such a request must be reviewed by the immediate supervisor and the dean
with notification of the action taken submitted to the appropriate vice
chancellor and the Office of Human Resources.
(C) If the illness or disability requires an
absence from faculty duties in excess of the 15 calendar weeks, the faculty
member may elect to petition for an extension of paid leave (see (E) below) or
for a leave of absence without pay under procedures described in the
(D) The faculty member should consult with the
Office of Human Resources regarding existing benefits through the Disability
Income Plan or through other disability programs that may be offered to
University employees on an optional basis.
(E) A faculty member who provides the appropriate
additional medical documentation and whose illness or disability, or that of
the family member, extends beyond the 15 weeks provided for under this Policy,
may elect to submit a written request to the immediate supervisor for an
extension of leave with pay up to a maximum of one year (determined by counting
forward 12 months from the date the leave begins) at the discretion of the
University. More than one serious illness or disability leave may be granted in
a 12-month period, but the total maximum allowable paid leave for all such
serious illnesses may not exceed one year in length. Such requests must be reviewed by the
appropriate dean, vice chancellor, and the Associate Vice Chancellor for Human
Resources. Additional leave with pay in excess of the limits may be granted in
exceptional cases at the discretion of the university.
(F) Additional leave requires leave of absence
without pay.
(G) The immediate supervisor may require such
medical documentation or certifications, second or third medical opinions (at
the university's expense) or other documentation of the need for leave,
probable length of absence from normal duties, ability to return to work, or
intent to return to work as it may deem necessary.
(H) When the request is to care for a member of
the faculty member's immediate family, the University will also require
satisfactory evidence that the faculty member will exercise primary
responsibility for the care of those who would qualify the faculty member for
leave under this policy.
(I) Leave offered under this policy is not
allowable as terminal leave payment when the faculty member leaves the
employment of the University. Unused leave shall not accumulate nor be carried
forward from one academic year or calendar year to the next. It may not be used to extend years of
creditable state service for retirement benefits. However, it may be exhausted
prior to participation in the Disability Income Plan of North Carolina that is
provided to eligible state employees.
(J) It is the intent of this Policy that faculty
members receive the benefits defined herein during the period(s) in which they
have a contractual commitment to the University.
IV. Use
of Leave
The period
of leave provided under this policy may be used for medically verifiable
sickness or injury as defined under the FMLA.
Use of such leave includes the birth of a child and to care for the
newborn child after birth or for temporary disability connected with
childbearing and recovery, which prevents the faculty member from performing
usual duties. Leave also may be used for the placement of or to care for a
child placed with the employee for adoption or foster care, and/or for a
serious health condition of the employee that prevents the employee from
performing the essential functions of his/her job. In accordance with ECU's policy on leave
granted under the Family and Medical Leave Act, a faculty member may seek leave
needed as a consequence of a medically verifiable illness/disability of a
member of the immediate family, as defined in
A faculty
member who anticipates the need for a temporary leave shall notify his or her
immediate supervisor in writing as soon as possible.
If the
faculty member's request is for the purpose of caring for an immediate family
member, the immediate supervisor may request medical verification of the
illness or disability of that person and may also inquire about the
circumstances which make it impossible or difficult for the faculty member to
carry on with normal duties.
When the
request is for the care of the faculty member’s family member or dependent, the
immediate supervisor may base the recommendation on other factors, including
the needs of the unit, timing within the academic year, effect on students,
ability of the unit to compensate for the absence, etc.
Female
faculty shall not be penalized because they require time away from work caused
by or contributed to by pregnancy, miscarriage, abortion, childbirth or
recovery. Disabilities resulting from pregnancy shall be treated the same as
any other temporary disability. The type and nature of the faculty member’s
duties during pregnancy shall be determined by the faculty member's immediate
supervisor in consultation with the faculty member and upon advice she receives
from her physician.
V. Administration
of Benefit
It is the
responsibility of the faculty member to request the use of leave provided by
this policy as soon as possible upon learning of the need for the leave. This
request will be made to the faculty member's immediate supervisor. The request for leave shall include an
estimate of the amount of time the faculty member is expected to be on
leave. The faculty member will notify
his or her immediate supervisor if the estimate materially changes.
Such
requests must be in writing, but there may be instances where the employee is
unable to make the request by completing the necessary forms at the Office of
Human Resources web site or via a letter.
All conditions covered by this serious illness and disability leave
policy cannot be anticipated. The policy
provided herein is expected to be appropriate in most situations. However, in unusual cases, the faculty member
or other responsible party may be unable to provide the necessary
notification. In those rare instances
where the employee or a member of the employee's family is unable to make the
necessary request, it is the responsibility of the immediate supervisor to
consult with a Human Resources benefits counselor for direction.
The
immediate supervisor will review the request and forward the documentation to
the dean. The dean is responsible for reviewing the documentation and
consulting with the Office of Human Resources. The dean will provide written
notification of the decision to the immediate supervisor, who will then advise
the faculty member. The dean will provide a copy of the notice to the
appropriate vice chancellor and to the Office of Human Resources. If leave is
denied, the written notification will include the grounds for denial.
In the case
of a request for leave beyond the initial 15 week period, the request must also
be reviewed by the appropriate vice chancellor and the Associate Vice
Chancellor for Human Resources. The
person responsible for notifying the faculty member is the Associate Vice
Chancellor for Human Resources. If leave
is denied, the written notification will include the grounds for denial.
The
immediate supervisor is responsible for securing, to the extent possible,
substitute personnel for the duration of the faculty member’s leave. Any adjustments in work schedules within the
unit are at the discretion of the immediate supervisor with the approval of the
dean and are subject to departmental and institutional needs and resources. In recommending approval of a leave, the
immediate supervisor will develop a written plan to cover the responsibilities
of the faculty member for the duration of the leave. Funding of substitute personnel is the
responsibility of the appropriate vice chancellor.
Nothing in
this policy shall prohibit other faculty members from “covering” for the
faculty member on leave but only so long as the faculty member on leave
complies with this leave policy.
VI. Appeals
A decision
not to grant a request for leave under this policy may be appealed to the
appropriate vice chancellor. The vice
chancellor's decision may be appealed to the chancellor. Appeals of a negative decision must be made
by the faculty member to the next higher level within ten (10) business days of
receipt of the negative decision. The vice chancellor and chancellor must
respond to an appeal within ten (10) business days of receipt of the appeal.
VII. Confidentiality
Communications
concerning leave requested or granted under this policy are subject to the same
confidentiality requirements as other personnel records in accordance with
VIII. Record-Keeping
Because
this policy provides an important financial benefit, accurate records on all
requests for leave, whether or not the request is granted, must be
maintained. The immediate supervisor
shall be responsible for forwarding all records pertaining to the use of this
policy to the Office of Human Resources.
The Office of Human Resources will maintain the official records
concerning requests for leave under this Policy, and may, from time to time, be
required to make general reports on its use to other University administrators
and to the
IX. Coordination
with Other Policies
ECU's
A
permanently tenured faculty member granted leave under this policy may have his
or her five-year cumulative review delayed by a period agreed upon by the
faculty member, the faculty member's immediate supervisor, the dean, and the
appropriate vice chancellor.
The terms
of this policy pertain only to a leave for a specified period because of
illness or disability. This policy has no effect on provisions for other types
of leave as described in the
The leave
provided for under this policy shall have no effect on the faculty member’s
other employment benefits.
X. Effective Date
This policy shall become effective immediately upon approval
by the Board of Trustees of
(Approved: May 6, 2005,
VIII. Frequently Asked Questions
About Faculty Personnel Records
1.
What is the
definition of a “personnel file?”
2.
Where can I
find the state laws that pertain to personnel records?
You will find the
statutes that relate to personnel records for state employees in the General
Statues of
You can also access
the statutes on the Internet at:
www.ncga.state.nc.us/Statutes/Statutes.html or
www.allaw.com/state_law_search/north_carolina/
PLEASE NOTE THAT THE STATUTES REPORTED ON THE INTERNET MAY
NOT BE ACCURATE AND MAY NOT BE UPDATED IN A TIMELY MANNER TO REFLECT THE LATEST
SUPPLEMENTS.
Section 126-5 of the
General Statutes of
3.
What does
“wherever located and in whatever form” mean?
It means that your
personnel records may be located in different offices on campus. Documents that meet the statutory definition
will be considered personnel records.
4.
Where is my
personnel file located?
Faculty will have a
primary personnel file located in his/her Code Unit Administrator’s
Office. In addition, there may be other
files containing personnel records that are located in approved University
offices. The Department of Human
Resources will have only documents about faculty employment that reflect basic
employment and benefits information.
Please consult the Personnel File Checklist that has been attached to
the inside cover of your primary personnel file to confirm the offices where
your personnel records are located. (
5.
Are there
other files that may contain information about me?
Records related to
your employment may be found in the offices identified in FAQ # 4 and FAQ #5.
However, if you have filed a grievance, an appeal of non-reappointment or
non-conferral of tenure; or a complaint was filed by you or against you with
the ECU EEO Office alleging sexual harassment, discrimination based on age,
race, religion, or disability, or a violation or the amorous relations policy;
or you are subject to a disciplinary action, records from your personnel file
may be included in an appeal hearing file or investigative file prepared by the
EEO Office or by the University Attorney’s Office.
Please note that
those personnel records in the EEO Office or
the University Attorney’s
Office remain confidential, but the documents collected and/or created in those offices
would be part of an investigative/preparation file and would not be considered part of your personnel
file. Disclosure of documents in those
files would be subject to the applicable University policies and state
laws. Additionally, the University would
formally notify you in accordance with the relevant policy, if a complaint or
grievance was filed against you, and would follow the procedures prescribed for
due process. In most cases, personnel
documents maintained in those files would be duplicates of documents in your
primary personnel file.
If you have any
questions about University policies that are referenced above, you may wish to
review these sections of the ECU Faculty
Manual:
Appendix D. Procedures
for Appeal of Notice of Non-Reappointment or Non-Conferral of Permanent
Tenure
Appendix J. Informal Faculty Grievance Procedure for
Grievances Involving Sex Discrimination and Other
Equal Employment
Appendix V. Sexual Harassment, Discrimination, and
Conflicts of Interest Policies
Appendix W. Racial
and Ethnic Harassment Policies
Appendix X. Grievance
Procedures for Complaints of Sexual or Racial Harassment or Discrimination or
Conflicts of Interest Brought Against
Administrators Holding Faculty Status
Appendix Y. Grievance
Policies and Procedures of
6.
Is there any
truth to rumor about the existence of secret files?
No. Personnel files should only be kept in
University offices and should always be accessible to you during regular
business hours with reasonable advance notice.
Administrators shall not keep secret files and shall not include
anonymous material in personnel files, except student opinion surveys. See Frequently Asked Question #4 for the file
locations. (
7.
When can I
review my personnel file?
Although your
personnel file is about you, it is University property. You have complete access to your personnel
records during regular business hours with advance notice to the custodian of
the records. Advance notice is required
so that your file can be gathered from other offices, if necessary, and so that
confidential documents, like references for initial employment or certain
medical information, can be removed.
Additionally, the custodian of records will need to make arrangements to
have office staff available to oversee the review process to ensure the
integrity and safekeeping of the records and to assist in making copies, if
necessary. While reasonable efforts will
be made to provide you with quick access to your file, it may take some time to
make the necessary arrangements.
Please note that
documents can not be added to or removed from the personnel file at this
time. The University reserves the right
to limit the number of copies and to make only one complete copy of the
PAD.
8.
Is any
information in my personnel file considered public information?
Yes. State law requires that the University permit
the public to have access to the following information about your personnel
records: name, age, date of original state employment, current position or
title, current salary, date and amount of most recent salary change, date of
most recent status change (promotion, resignation, termination, etc.), and
current office assignment.
9.
What
information is considered confidential personnel information?
As stated above in
FAQ #8, Section 126- 23 of the General Statutes of
All other information
contained in the personnel file is confidential and shall not be open for
inspection and examination except to the following persons:
1)
The employee,
applicant for employment, former employee, or his/her properly authorized
agent, who may examine his/her own personnel file in its entirety except for
(i) letters of reference solicited prior to the employment, or (ii) information
concerning a medical disability, mental, or physical, that a prudent physician
would not divulge to a patient. An
employee’s medical record may be disclosed to a licensed physician designated
in writing by the employee;
2)
The supervisor
of the employee;
3)
Members of the
General Assembly who may inspect and examine personnel records under the
authority of G.S. 120-19;
4)
A party by authority
of a proper court order may inspect and examine a particular confidential
portion of a State employee’s personnel file;
5)
An official of
an agency of the federal government, State government or any political
subdivision thereof.
10.
Is there any information in my personnel file
that I do not have access to?
As mentioned in FAQ # 9, reference letters solicited prior
to employment and medical records that a prudent physician would not disclose
to his/her patient shall not be disclosed to the faculty member.
11.
Does anyone,
other than me, have access to my confidential personnel records?
Yes. Anyone that you properly authorize (in a
written release) may have access to your records. Your supervisor(s), members of the General
Assembly, anyone with a proper court order, and officials of federal and state
agencies may also inspect and examine your personnel records. In accordance with Appendix D of the ECU Faculty Manual, the Personnel Action
Dossier is compiled by candidates for reappointment, promotion, and/or
permanent tenure in consultation with the unit administrator and the Unit
Personnel Committee. The Code Unit
Administrator and the Unit Personnel Committee have access to your personnel
records.
12.
What can I do
if I consider material in my personnel file to be inaccurate or misleading?
Section 126-25 of the
General Statutes of
13.
How long does
the University keep my personnel file?
Personnel records are
kept in accordance with the Record Retention and Disposition Schedule approved
by the University Archivist, the Director of the Division of Archives and
History, the Chancellor, and the Secretary of Cultural Resources. Although it depends on the type of document,
most personnel records are stored, and transferred to the
14.
If I have
other questions about my personnel file, where should I look or whom should I
contact for more information?
For more specific
information, you may refer to the General Statutes of
FACULTY
PERSONNEL FILE CHECKLIST
(Division of
Academic Affairs)
Your primary personnel file is located in the office
of your Code Unit Administrator, Dr./Dean__________, and may be reviewed at any
time during regular business hours with advance notice to the custodian of
records or his/her designee. Advance
notice is required so that your files can be gathered from other offices, if
necessary, and so that confidential documents, like references for initial
employment or certain medical information, as described in the General Statutes
of
Please note that you cannot add to or remove
documents from your personnel files at the time you review your files. If you have concerns about documents in your
files, please bring them to the attention of the custodian of records. You can object to inaccurate or misleading
information in your files by putting your objections in a written statement to
your Code Unit Administrator, who will add your statement to the file(s) you
are concerned about. Removal of
offensive materials may be sought in accordance with the procedures in Appendix
Y of the ECU Faculty Manual.
Location of Records Related to Employment:
_____ Code
Unit Administrator’s Office
_____ Dean’s
Office
_____ Academic
Department Chair’s Office in Professional Schools
_____ Vice
Chancellor for Academic Affairs’ Office
_____ Department
of Human Resources
Other Files Containing Personnel Records May be
Located:
_____ Equal
Employment Opportunity/Affirmative Action Office
_____ University
Attorney’s Office
_____
Please note
that reference letters solicited prior to employment and medical records that a
prudent physician would not disclose to his/her patient shall not be disclosed
to you and should be kept in a sealed envelope that can be easily removed from
your file. Additionally, medical records
related to a medical condition or disability should be maintained in a separate
envelope. Questions about your personnel records should be directed to the
FACULTY
PERSONNEL FILE CHECKLIST
(Division of
Health Sciences)
Your
primary personnel file is located in the office of your Code Unit
Administrator, Dr./Dean ____, and may be reviewed at any time during regular
business hours with advance notice to the custodian of records or his/her
designee. Advance notice is required so
that your files can be gathered from other offices, if necessary, and so that
confidential documents, like references for initial employment or certain
medical information, as described in the General Statutes of
Please note that you cannot add to
or remove documents from your personnel files at the time you review your
files. If you have concerns about
documents in your files, please bring them to the attention of the custodian of
records. You can object to inaccurate or
misleading information in your files by putting your objections in a written
statement to your Code Unit Administrator, who will add your statement to the
file(s) which concern(s) you. Removal of
inaccurate or misleading materials may be sought in accordance with the
procedures in Appendix Y of the ECU
Faculty Manual.
Location of Records Related to Employment:
_____ Code
Unit Administrator’s Office
_____ Dean’s
Office
_____ Academic
Department Chair’s Office
_____ Center
Administrator’s Office (
_____ Department
Section Head’s Office
_____ Vice
Chancellor for Health Sciences’ Office
_____ Department
of Human Resources
Other Files Containing Personnel Records May be Located:
_____ Equal
Employment Opportunity/Affirmative Action Office
_____ University
Attorney’s Office
_____
Additional Records for Physician
Faculty - located at Brody SOM and
_____ Medical Faculty Practice Plan Benefits Office
_____ Managed Care Office
_____ ECU Physicians Credentialing Office
_____ PCMH Credentials Verification Office (Medical Staff Support)
This
notifies you that certain Brody School of Medicine or other ECU offices
(including, but not limited to, University Attorney, Equal Employment
Opportunity, Compliance, BSOM Risk Management, CME, etc.) may maintain records
(including, but not limited to, attendance records for mandatory training
sessions, orientation, and CME programs; routine audits of medical records and
billing documentation; Quality Assurance; malpractice; etc.) related to your
employment and which may constitute personnel records. Should you wish to
verify whether such offices maintain records related to your employment, you
may contact the specific office for further information regarding your records
and/or _________ within the Office of the Vice Chancellor for Health Sciences.
Please note
that reference letters solicited prior to employment and medical records that a
prudent physician would not disclose to his/her patient shall not be disclosed
to you and should be kept in a sealed envelope that can be easily removed from
your file. Additionally, medical records
governed by General Statute, if any, would be maintained in a separate
envelope. Questions about your personnel
records should be directed to the Faculty senate office or to the University
Attorney’s office.
Approved:
April 5, 2000
Amended:
[1]State personnel policy
provides that employees subject to the State Personnel Act may not be suspended
from employment for punitive reasons for more than three days. Whenever this policy mandates “suspension” of
an employee subject to the State Personnel Act as a minimum penalty, that
employee must instead be terminated in accordance with the state personnel
policy.