Management Flexibility to Appoint and Fix Compensation

1. Management Flexibility to Appoint and Fix Compensation

2. Granting of Management Flexibility • ECU was granted management flexibility to appoint personnel & fix compensation by the UNC Board of Governors on November 8, 2002.

3. Special Responsibility Constituent Institutions • N.C.G.S. § 116-30.1 - 116-30.6 establishes provisions for Special Responsibility Constituent Institution. • Designation provides ECU with flexibility to more effectively manage financial resources, without seeking approval from offices such OSBM, OSP, or OP. Specifically, this designation allows ECU to: ● carry forward any fiscal year-end credit balance – up to maximum of 2 ½%; ● transfer budgets within institutional codes; ● expend funds, as approved by the Chancellor, in manner that best supports ECU’s mission and goals; and ● establish & abolish positions.

4. Management Flexibility is: An administrative mechanism through which ECU’s Board of Trustees has been granted the authority to act on certain personnel actions, upon recommendation of the Chancellor, without Board of Governors review. It is governed by BOG Policy 600.3.4.

5. Provisions of BOG Policy 600.3.4 Institutional plans must include: 1. Recruitment and selection policies and procedures for SAAOs; 2. Promotion and tenure policy with a schedule for pre- and post-tenure review – must include clear requirements for promotion and & conferral of tenure; 3. Schedule and process for review and/or revision of P&T policies; • Salary ranges for Senior Academic and Administrative Officers, based on relevant data, and that are not set by the Board of Governors; • Evidence of comprehensive Faculty Salary Studies within different disciplines;

6. Additional Elements in the Plan: 6. Policies on compensation of faculty and EPA non-faculty from non-state sources; 7. Policies governing non-salary compensation; 8. Documentation of a clean audit; and 9. Evidence of appropriate accountability/oversight

7. ApprovalAuthority for EPA Personnel Actions under Management Flexibility

8. Beginning the Standard Search Please refer to: EPA Recruitment Procedures (attached)

9. Appointments Terms & Conditions of Employment • Types of Appointments • Contracts • Non-salary Compensation • Retreat Rights • Salary Ranges • Stipends • Salary Increase • Review and Certification

10. Non-Teaching EPA Administrator Appointments • SENIOR ADMINISTRATIVE & ACADEMIC OFFICERS • Senior officers of the University of North Carolina who are subject to the provisions of Section II of these regulations are: • the chancellors of the constituent institutions [N.C.G.S. 116-11(4)]; • the vice chancellors, provosts, and deans of the constituent institutions, and • the directors of major administrative, educational, research and public services activities of the constituent institutions designated by the Board of Governors [N.C.G.S. 116-11(5)].

11. Non-Teaching EPA Administrator Appointments • SENIOR ADMINISTRATIVE & ACADEMIC OFFICERS • Other senior officers of the University of North Carolina who are subject these regulations are: • associate and assistant vice chancellors/associate and assistant provosts; • associate and assistant deans; and • other administrative positions within the constituent institutions, other than those identified in the previous slide, that have been designated by the president and approved by the Board of Governors [N.C.G.S. 116- 11(5)].

12. EPA Non-Faculty Instructional & Research Appointments • Defined under N.C.G.S. 126-5(c1)(8) as those positions that are instructional and research staff whose salaries are fixed under the authority vested in the Board of Governors.  (See UNC Policy #300.2.1.)  • EPA Instructional and Research position appointments can be permanent (full-time or part-time) & at ECU are typically stated definite term appointments.

13. Faculty Appointmentswith Permanent Tenure • Appointments with permanent tenure are continuous until retirement, resignation, or removal according to the provisions of Section VI or VII of the Faculty Manual.  • Appointments with permanent tenure may be made at the professorial ranks of assistant professor, associate professor, or professor.  • Appointments with permanent tenure are permanent full-time.

14. Probationary Appointments(Tenure Track) • Probationary appointments – professorial ranks of instructor, assistant professor, associate professor, or professor.  • Probationary appointees are entitled to reappointment reviews throughout probationary period. • Contracts for probationary faculty are for specified intervals, depending on rank. • Probationary appointments are permanent full-time. • See Appendix C & D of Faculty Manual for more information. 

15. Fixed-Term Appointments • Do not hold professorial ranks • Titles must have modifier – “visiting” assistant professor, “adjunct” associate professor or “clinical” professor – except lecturer • Are without permanent tenure & do not entitle the faculty member to consideration for reappointment or conferral of permanent tenure • Contracts have a specific beginning and ending date • No limit to the number of renewals on fixed term contracts • Appointment may be permanent or temporary

16. EPA Non-faculty Letter of AppointmentMust Include: ● Title of position ● Initial salary ● Provision for periodic review of compensation ● Annual leave entitlement ● Notice that appointment is for a stated definite term (Applicable only to Instructional & Research) or ● Appointment is “employment at will” subject to continuation or discontinuation at discretion of Chancellor

17. Letter of appointment Must Include: • Notice that employment is subject to appropriate policy as originally adopted and periodically revised (copy of policy enclosed with letter of appointment) • Anti-fraudulent statement, 300.2.3 [R] • Criminal Background Check Disclosure statement and form

18. Additional Reference in Letter of Appointment ● If the SAAO appointee also holds a faculty appointment, letter must designate which of the appointments (SAAO or faculty) is primary, that the faculty appointment is governed by relevant provisions of the Faculty Manual, and that salary level as a faculty member is governed by UNC Retreat Policy.

19. Non-Salary Compensation Provided to some SAAOs and medical school faculty & may include negotiated arrangements for: ● Relocation expenses ● Housing/housing allowance ● Auto Allowance ● Club memberships ● Increased benefits

20. Policy on Administrative Separation & Retreat Rights ● Provisions for both voluntary & involuntary relinquishment ● Where appropriate, retreat to faculty position; salary must be comparable to other similarly situated faculty ● Provisions for a reasonable transition period with full administrative pay, where warranted ● Trustee approval for paid transition periods longer than 1 year ● Provisions for reappointment/reassignment for administrators without faculty retreat rights (at the discretion of the Chancellor) ● Trustee approval for continuation of full administrative salary or paid leave when reassigned to lower paying administrative position ● Provisions for severance pay and/or timely notice ● Trustee approval of severance pay in excess of 90 days ● Nothing in policy can prevent administrator from retiring or, where applicable, participating in phased retirement

21. Establishing EPA Salary Levels ● Salary ranges for Senior Academic and Administrative Officers, based on relevant data, and that are not set by the Board of Governors – Attachment F ● Evidence of comprehensive Faculty Salary Studies within different disciplines: Peer Study Groups – Attachment G AACSB AAUP CUPA-HR IPRE ● Compensation from Non-state sources – Attachments H & I

22. Role of the Trustees Upon recommendation by the Chancellor, approve items which cannot be delegated -- without further review from the Board of Governors Delegation to lower levels per BOT/BOG authority

23. Non-Delegated Personnel Decisions UPON RECOMMENDATION OF THE CHANCELLOR: ● appoint and fix the salary and non-salary compensation for vice chancellors, provost, & other SAAOs, where BOG determines salary ranges ● establish salary ranges for deans and other similarly situated administrators, for which BOG does NOT set salary ranges

24. Board of Trustees Board of Governors • Faculty • EPA Non-Faculty • Deans, Directors & other similarly situated administrators • Chancellor • Vice Chancellors & Provost • Health Affairs Faculty (ceilings) Trustees/Governors Responsibilities Responsibility for Establishing Salary Ranges

25. Salary Range Considerations ● Where is the salary within the range? ● Does the salary create an inequity even though it falls within range set by BOG?

26. Board of Trustees <10K & <15/% Board of Governors ≥ $10K & ≥ 15% • May not be delegated to Chancellor • Provost and Vice Chancellors • May be delegated to Chancellor • Faculty • Deans, Directors & similarly situated administrators • Chancellor (regardless of salary increase amt) • ALL others Trustees/Governors Responsibilities Compensation Adjustments

27. Mid-Year Salary Adjustments • Allowable under Management Flexibility, but not the “norm” • Must be for compelling circumstances such as: equity adjustments retention of superlative faculty

28. Items to Consider regardingSalary Recommendations ● Budgetary ● Is salary appropriate to position? ● Does salary adequately compensate individual? ● Is salary in line with market? ● Identifying “outliers” ● Competitive offers – at risk of losing experienced individual

29. Stipends ● May not be used to “permanently” increase salary base; ● Temporary salary adjustments usually for additional & higher level duties & responsibilities; ● Contract letter specifies discontinuation when additional duties relinquished ● Stipends delegated to Chancellor by BOT; Chancellor, in turn, has delegated faculty stipends to VC’s (approval of SAAO stipends remains with Chancellor (or designee); VC may NOT delegate further.

30. Review of Checks & BalancesExpanded Role for Human Resources inManagement Flexibility • Assurance of proper procedures for advertising and filling vacant positions • Dual approval for EEO Compliance • Review of contract contents • Review of salary & other conditions of employment prior to official offer being extended • Development of procedures/delegation for altering terms & conditions of employment • Implementation of Accountability Measures

31. Employee Conduct Policies

32. Employee Conduct Policies

33. Employee Conduct Policies

34. Understanding Sexual Harassment Sexual harassment and discrimination are illegal & endanger the environment of tolerance, civility, & mutual respect that must prevail if the University is to fulfill its mission. ECU is committed to providing and promoting an atmosphere in which employees can realize their maximum potential in the workplace and students can engage fully in the learning process. Furthermore, amorous relations between a student and a University employee who is responsible for supervising or evaluating the student, or between an employee and the person supervising that employee are against the UNC system policy and may derogate the merit principle of supervision and evaluation.

35. What Constitutes Sexual Harassment ? • Making verbal remarks or committing physical actions that propose to people of either sex that they engage in or tolerate activities of a sexual nature in order to avoid some punishment or to receive some reward; • Singling out people of either sex and creating or attempting to create a hostile university or working environment or otherwise attempting to harm or harming people because of their sex; and/or • Continuing verbal or physical conduct of a sexual nature when the person or persons conduct is directed toward has indicated clearly, by word or action, that this conduct is unwanted.

36. Unlawful Workplace Harassment Unlawful Workplace Harassment is unwelcome or unsolicited speech or conduct based upon race, sex, creed, religion, national origin, age, color, or handicapping condition as defined by G.S. 168A-3 that creates a hostile work environment or circumstances involving quid pro quo.

37. Quid Pro Quo “This for That” Quid Pro Quo harassment consists of unwelcome sexual advances, requests for sexual favors, or other verbal or physical conduct when (1) submission to such conduct is made either explicitly or implicitly a term or condition of an individuals employment, or (2) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting such individual.

38. Racial and Ethnic Harassment Policy ●Racial and/or ethnic harassment endangers the environment of tolerance, civility, and mutual respect that must prevail if the university is to fulfill its mission. Such harassment will not be condoned by members of the university community. ● It is against the policies of East Carolina University for its employees or students to single out employees or students of the university because of their race or ethnic affiliation and subject them to unequal or unfair treatment. ● It is against the policies of East Carolina University for its employees or students to single out employees or students of the university or visitors to the university because of their race or ethnic affiliation and subject them to conduct which causes severe emotional disturbance.

39. What Constitutes Racial and/or Ethnic Harassment? ● Singling out people because of their race or ethnic affiliation and subjecting them to unequal or unfair treatment. ● Harming, attempting to harm, or threatening to harm people because of their race and/or ethnic affiliation.

40. Grievance Reporting Procedures • An employee who believes he or she has been the victim of unlawful workplace harassment is encouraged, though not required, to attempt to resolve the matter initially with the administrative official most directly concerned, excluding the person accused of unlawful workplace harassment. • An employee alleging unlawful workplace harassment should report the alleged harassment directly to East Carolina University's Equal Employment Opportunity Officer.  An employee should file a report of unlawful workplace harassment within 30 calendar days of the alleged harassing action.  Written complaints outlining the nature of the alleged harassment should be submitted to: Mrs. Taffye Benson Clayton Assistant to the Chancellor & EEO/ADA Compliance OfficerEast Carolina University Whichard 107 Greenville, NC 27858 (252) 328-6804

41. Grievance Report • Once a written complaint is received, the Equal Employment Opportunity Officer will investigate the complaint.  A determination based on the findings from the investigation of the allegations will be communicated in writing to the employee who filed the complaint and the Assistant to the Chancellor and EEO/ADA Compliance Officer within sixty (60) calendar days from receipt of the written complaint. 

42. Grievance Reporting Form

43. Employee Conduct Topics • Employment of Related Persons • Improper Relationships between Students and Faculty • External Professional Activities for Pay • Conflicts of Interest and Commitment • Leave Policies • Misconduct of Employees • Prohibition of Retaliation

44. Employment of Related PersonsSection IV of Part VIECU Faculty Manual • Direct supervision • Proposed employment decisions • Concurrent employment

45. Employment of Related PersonsSection IV of Part VIECU Faculty Manual (cont.) Definition of "Related Persons" • Parent and child; step-parent and step-child; • Brothers and sisters; step-brothers and step-sisters; • Grandparent and grandchild; • Aunt and/or uncle and niece and/or nephew; • First cousins; • Husband and wife; • Parents‑in‑law and children‑in‑law; and brothers‑in‑law and sisters‑in‑law; • Guardian and ward; and • Persons engaged in amorous relationships.

46. Improper Relationships between Students and Faculty – Appendix U ECU Faculty Manual It is misconduct: • To evaluate or supervise any enrolled student of the institution with whom one has an amorous relationship or to whom one is related by blood, law, or marriage. • For a University employee to engage in sexual activity with any enrolled student of the institution, other than his or her spouse, who is a minor below the age of 18.

47. Improper Relationships between Students and Faculty - Appendix U ECU Faculty Manual (cont.) • Amorous relationship • Related by blood, law or marriage • Evaluate or supervise

48. External Professional Activities for PaySection V of Part VIECU Faculty Manual By virtue of the fact that ECU wishes to attract and retain the most highly qualified faculty and professional staff members as employees, these employees are likely to have other professional opportunities. These professional opportunities should only be undertaken under certain circumstances.

49. External Professional Activities for Pay Section V of Part VIECU Faculty Manual (cont.) • External Professional Activities for Pay • University Employment Responsibilities • Inappropriate Use of University Resources

50. External Professional Activities for PaySection V of Part VIECU Faculty Manual (cont.) • Complete and file a “Notice of Intent to Engage in External Professional Activities for Pay” (“Notice”) for Administrative Officer’s Review. • All notices must be submitted to the Chancellor annually. • University employees not complying with these procedures will be subject to disciplinary action. • Notices of Intent to Engage in External Professional Activities for Pay can be found at Example Form E. in Appendix I, ECU Faculty Manual.