East Carolina University Management Flexibility to Appoint and Fix Compensation

East Carolina University

Management Flexibility to Appoint and Fix Compensation

Management Flexibility to Appoint and Fix Compensation

Granting of Management Flexibility

Granting of Management Flexibility

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

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

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Special Responsibility Constituent InstitutionsSpecial 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.

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. 3

Management Flexibility is: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.

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.

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Provisions of BOG Policy 600.3.4

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;

4. Salary ranges for Senior Academic and Administrative Officers, based on relevant data, and that are not set by the Board of Governors;

5. Evidence of comprehensive Faculty Salary Studies within different disciplines;

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;

4. Salary ranges for Senior Academic and Administrative Officers, based on relevant data, and that are not set by the Board of Governors;

5. Evidence of comprehensive Faculty Salary Studies within different disciplines;

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Additional Elements in the Plan:

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

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

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Approval Authority for EPA Personnel Actions under Management

Flexibility

Approval Authority for EPA Personnel Actions under Management

Flexibility

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Beginning the Standard Search

Beginning the Standard Search

Please refer to:EPA Recruitment Procedures

(attached)

Please refer to:EPA Recruitment Procedures

(attached)

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Appointments Terms & Conditions of

Employment

Appointments Terms & Conditions of

Employment

Types of Appointments Contracts Non-salary Compensation Retreat Rights Salary Ranges Stipends Salary Increase Review and Certification

Types of Appointments Contracts Non-salary Compensation Retreat Rights Salary Ranges Stipends Salary Increase Review and Certification

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Non-Teaching EPA Administrator Appointments


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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)].



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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)].

EPA Non-Faculty Instructional & Research Appointments

EPA Non-Faculty Instructional & Research Appointments

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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.

Faculty Appointmentswith Permanent TenureFaculty Appointments

with Permanent Tenure

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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.

Probationary Appointments(Tenure Track)

Probationary Appointments(Tenure Track)

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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.

Fixed-Term AppointmentsFixed-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

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

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EPA Non-faculty Letter of AppointmentMust Include:

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

● 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

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Letter of appointment Must Include:

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

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

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Additional Reference in Letter of Appointment

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.

● 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.

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Non-Salary CompensationNon-Salary Compensation

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Provided to some SAAOs and Provided to some SAAOs and medical school faculty & may medical school faculty & may include negotiated include negotiated arrangements for:arrangements for:

● ● Relocation expensesRelocation expenses

● ● Housing/housing allowanceHousing/housing allowance

● ● Auto AllowanceAuto Allowance

● ● Club membershipsClub memberships

● ● Increased benefitsIncreased benefits

Policy on Administrative Separation & Retreat Rights

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

● 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

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Establishing EPA Salary Levels

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 GAACSBAAUPCUPA-HRIPRE

● Compensation from Non-state sources – Attachments H & I

● 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 GAACSBAAUPCUPA-HRIPRE

● Compensation from Non-state sources – Attachments H & I 21

Role of the TrusteesRole 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

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

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Non-Delegated Personnel Decisions

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

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

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Trustees/Governors Trustees/Governors ResponsibilitiesResponsibilities

Trustees/Governors Trustees/Governors ResponsibilitiesResponsibilities

•Chancellor Chancellor •Vice Chancellors & Vice Chancellors & ProvostProvost

•Health Affairs Health Affairs Faculty (ceilings) Faculty (ceilings)

•Faculty Faculty •EPA Non-Faculty EPA Non-Faculty •Deans, Directors Deans, Directors & other similarly & other similarly situated situated administratorsadministrators

Board of Governors Board of Governors Board of TrusteesBoard of Trustees

Responsibility for Responsibility for Establishing Salary Ranges Establishing Salary Ranges

Salary Range ConsiderationsSalary Range Considerations

● Where is the salary within the range?

● Does the salary create an inequity even though it falls within range set by BOG?

● Where is the salary within the range?

● Does the salary create an inequity even though it falls within range set by BOG?

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26

Trustees/GovernorsTrustees/GovernorsResponsibilitiesResponsibilities

Trustees/GovernorsTrustees/GovernorsResponsibilitiesResponsibilities

• Chancellor Chancellor (regardless (regardless of salary of salary increase increase amt)amt)

• ALL othersALL others

May May not not be delegated to be delegated to ChancellorChancellor

•Provost and Vice Provost and Vice ChancellorsChancellors

May be delegated to May be delegated to ChancellorChancellor

•Faculty Faculty •Deans, Directors & similarly Deans, Directors & similarly situated administratorssituated administrators

Board of Board of GovernorsGovernors

≥ ≥ $10K & ≥ $10K & ≥ 15%15%

Board of TrusteesBoard of Trustees

<10K & <15/%<10K & <15/%

Compensation AdjustmentsCompensation Adjustments

Mid-Year Salary Adjustments

Mid-Year Salary Adjustments

Allowable under Management Flexibility, but not the “norm”

Must be for compelling circumstancessuch as:

equity adjustmentsretention of superlative

faculty

Allowable under Management Flexibility, but not the “norm”

Must be for compelling circumstancessuch as:

equity adjustmentsretention of superlative

faculty27

Items to Consider regardingSalary Recommendations

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

● 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

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StipendsStipends

● May not be used to “permanently” increase salary base;

● Temporary salary adjustmentsusually for additional & higher levelduties & 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.

● May not be used to “permanently” increase salary base;

● Temporary salary adjustmentsusually for additional & higher levelduties & 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.

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Review of Checks & BalancesExpanded Role for Human Resources in

Management Flexibility

Review of Checks & BalancesExpanded Role for Human Resources in

Management 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

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

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Employee Conduct Policies Employee Conduct Policies

POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Racial and Ethnic Harassment

Singling out people because of their ethnic or racial affiliation and subjecting them to unequal treatment, or harming, attempting to harm or threatening to harm people because of their race and/or ethnic affiliation.

http://www.ecu.edu/fsonline/ FacultyManual2/AppendixW/w2.htm

Supervisor; if supervisor is person you are reporting, then report the inappropriate conduct to the next higher administrator

Vice Chancellor/EEO Officer/Human Resources

Employment of Related Persons (Nepotism)

Favoritism based on family or personal relationships where one employee would have direct supervision or evaluative responsibilities of a related employee

http://www.ecu.edu/fsonline/ FacultyManual2/Part6/64.htm http://intranet.northcarolina.edu/docs/ legal/policymanual/300.4.2.pdf

Supervisor; if supervisor is person you are reporting, then report the nepotism to next higher administrator


Sexual Harassment

Deliberate, unsolicited, unwelcome verbal or physical conduct of a sexual nature or with sexual implications

http://www.ecu.edu/fsonline/ FacultyManual2/Part6/66.htm

Supervisor; if supervisor is person you are reporting, then report the harassing conduct to next higher administrator


POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Racial and Ethnic Harassment

Singling out people because of their ethnic or racial affiliation and subjecting them to unequal treatment, or harming, attempting to harm or threatening to harm people because of their race and/or ethnic affiliation.

http://www.ecu.edu/fsonline/ FacultyManual2/AppendixW/w2.htm

Supervisor; if supervisor is person you are reporting, then report the inappropriate conduct to the next higher administrator


Employment of Related Persons (Nepotism)

Favoritism based on family or personal relationships where one employee would have direct supervision or evaluative responsibilities of a related employee

http://www.ecu.edu/fsonline/ FacultyManual2/Part6/64.htm http://intranet.northcarolina.edu/docs/ legal/policymanual/300.4.2.pdf

Supervisor; if supervisor is person you are reporting, then report the nepotism to next higher administrator


Sexual Harassment

Deliberate, unsolicited, unwelcome verbal or physical conduct of a sexual nature or with sexual implications


Supervisor; if supervisor is person you are reporting, then report the harassing conduct to next higher administrator


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Employee Conduct PoliciesEmployee Conduct Policies

POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Conflict of Interest (External Professional Activities for Pay)

Employees engaging in external professional activities for pay, or activities that would constitute a conflict of time, interest, or commitment to their position at ECU

http://www.ecu.edu/fsonline/ Faculty Manual2/Part6/65.htm http://intranet.northcarolina.edu/docs/ legal/policymanual/300.2.2.pdf

Supervisor or next higher administrator

Appropriate Vice Chancellor or Provost

Unlawful Workplace Harassment

Unwelcome or unsolicited speech or conduct based on race, sex, creed, religion, national origin, age, or color, or handicapping condition that creates a hostile work environment or circumstances involving quid pro quo.

http://www.osp.state.nc.us/manuals/ manual99/wkplhs.pdf

Supervisor; if supervisor is person you are reporting, then report the hostile work environment to the next higher administrator

Appropriate Vice Chancellor/EEO Officer/Human Resources

Improper Relationships Between Faculty and Students

Amorous relationships between employees and students are prohibited when the employee has an evaluative or supervisory role over the employee or when the student is a minor as defined by NC Statutes.

http://www.ecu.edu/fsonline/ FacultyManual2/AppendixU/UA.htm

Supervisor; if supervisor is person you are reporting, then report the inappropriate relationship to the next higher administrator

Dean or Provost

POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Conflict of Interest (External Professional Activities for Pay)

Employees engaging in external professional activities for pay, or activities that would constitute a conflict of time, interest, or commitment to their position at ECU

http://www.ecu.edu/fsonline/ Faculty Manual2/Part6/65.htm http://intranet.northcarolina.edu/docs/ legal/policymanual/300.2.2.pdf

Supervisor or next higher administrator

Appropriate Vice Chancellor or Provost


Unwelcome or unsolicited speech or conduct based on race, sex, creed, religion, national origin, age, or color, or handicapping condition that creates a hostile work environment or circumstances involving quid pro quo.

http://www.osp.state.nc.us/manuals/ manual99/wkplhs.pdf

Supervisor; if supervisor is person you are reporting, then report the hostile work environment to the next higher administrator

Appropriate Vice Chancellor/EEO Officer/Human Resources

Improper Relationships Between Faculty and Students

Amorous relationships between employees and students are prohibited when the employee has an evaluative or supervisory role over the employee or when the student is a minor as defined by NC Statutes.

http://www.ecu.edu/fsonline/ FacultyManual2/AppendixU/UA.htm

Supervisor; if supervisor is person you are reporting, then report the inappropriate relationship to the next higher administrator

Dean or Provost

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Employee Conduct PoliciesEmployee Conduct Policies

POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Substance Abuse

Illegal use or abuse of drugs or alcohol in the workplace


Supervisor; if supervisor is person you are reporting, then report use/abuse to next higher administrator

Vice Chancellor/ Human Resources

Misuse of State Property

Improper use of state property including theft, damage, embezzlement, or intentional misuse of state property for personal gain

http://intranet.northcarolina.edu/docs/ legal/policymanual/ 300.8.4%5Bg%5D.pdf

Supervisor; if supervisor is person you are reporting, then report the misuse to next higher administrator

University Attorney

POLICY

PROVISIONS

URL

INFORM

ADMINISTRATIVE

OVERSIGHT

Substance Abuse

Illegal use or abuse of drugs or alcohol in the workplace


Supervisor; if supervisor is person you are reporting, then report use/abuse to next higher administrator

Vice Chancellor/ Human Resources

Misuse of State Property

Improper use of state property including theft, damage, embezzlement, or intentional misuse of state property for personal gain

http://intranet.northcarolina.edu/docs/ legal/policymanual/ 300.8.4%5Bg%5D.pdf

Supervisor; if supervisor is person you are reporting, then report the misuse to next higher administrator

University Attorney

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Understanding Sexual Harassment

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.

What Constitutes Sexual Harassment ?

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/orContinuing 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.

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/orContinuing 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.

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36

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.

Quid Pro Quo “This for That”Quid Pro Quo “This for That”

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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.

Racial and Ethnic Harassment PolicyRacial 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.

● 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.

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What Constitutes Racial and/or Ethnic Harassment? 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.

● 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.

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Grievance Reporting Procedures

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

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

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Grievance ReportGrievance 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.

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.

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Grievance Reporting FormGrievance Reporting Form

42

Employee Conduct TopicsEmployee 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

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

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Direct supervision

Proposed employment decisions

Concurrent employment

Direct supervision

Proposed employment decisions

Concurrent employment44

Employment of Related PersonsEmployment of Related PersonsSection IV of Part VISection IV of Part VIECU ECU Faculty ManualFaculty Manual

Employment of Related PersonsSection IV of Part VI

ECU Faculty Manual (cont.)

Employment of Related PersonsSection IV of Part VI


Definition of "Related Persons" 1) Parent and child; step-parent and step-

child;2) Brothers and sisters; step-brothers and

step-sisters; 3) Grandparent and grandchild; 4) Aunt and/or uncle and niece and/or

nephew; 5) First cousins; 6) Husband and wife; 7) Parents‑in‑law and children‑in‑law; and

brothers‑in‑law and sisters‑in‑law; 8) Guardian and ward; and9) Persons engaged in amorous relationships.

Definition of "Related Persons" 1) Parent and child; step-parent and step-

child;2) Brothers and sisters; step-brothers and

step-sisters; 3) Grandparent and grandchild; 4) Aunt and/or uncle and niece and/or

nephew; 5) First cousins; 6) Husband and wife; 7) Parents‑in‑law and children‑in‑law; and

brothers‑in‑law and sisters‑in‑law; 8) Guardian and ward; and9) Persons engaged in amorous relationships.45

Improper Relationships between Students and Faculty – Appendix U

ECU Faculty Manual

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.

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.

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Improper Relationships between Students and Faculty - Appendix U


Improper Relationships between Students and Faculty - Appendix U


Amorous relationship

Related by blood, law or marriage

Evaluate or supervise

Amorous relationship

Related by blood, law or marriage

Evaluate or supervise

47

External Professional Activities for PaySection V of Part VIECU Faculty Manual

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.

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. 48

External Professional Activities for Pay Section V of Part VI


External Professional Activities for Pay Section V of Part VI


External Professional Activities for Pay

University Employment Responsibilities

Inappropriate Use of University Resources

External Professional Activities for Pay

University Employment Responsibilities

Inappropriate Use of University Resources

49

External Professional Activities for PaySection V of Part VI


External Professional Activities for PaySection V of Part VI


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.

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. 50

Conflicts of Interest and Commitment – Appendix I

ECU Faculty Manual


ECU Faculty Manual

Conflicts of Commitment

Conflicts of Interest

Conflicts of Commitment

Conflicts of Interest

51

Conflicts of Interest and Commitment – Appendix IECU Faculty Manual (cont.)

Conflicts of Interest and Commitment – Appendix IECU Faculty Manual (cont.)

Activities that may involve conflicts of interest or commitment fall into three general categories that differentiate relationships according to potential for adverse impact:• Category I• Category II• Category III

Activities that may involve conflicts of interest or commitment fall into three general categories that differentiate relationships according to potential for adverse impact:• Category I• Category II• Category III 52





Annual disclosure for self and immediate family

Further review if answers to any of the questions are “yes”

Possible sanctions

Annual disclosure for self and immediate family

Further review if answers to any of the questions are “yes”

Possible sanctions

53

Materials ManagementPolicy Statement 6,

ECU Business Manual

Materials ManagementPolicy Statement 6,

ECU Business Manual

This policy statement references a criminal statute which strives to prohibit conflicts

ofinterest in State agency contracts by

prohibiting:

(1) Direct benefit from contract;

(2) Influencing of contract; and

(3) Soliciting or receiving any gift, reward or promise of reward.

This policy statement references a criminal statute which strives to prohibit conflicts

ofinterest in State agency contracts by

prohibiting:

(1) Direct benefit from contract;

(2) Influencing of contract; and

(3) Soliciting or receiving any gift, reward or promise of reward.

54

Materials Management Policy Statement 7, ECU Business Manual

Materials Management Policy Statement 7, ECU Business Manual

The University’s normal policy is not to purchase materials or services from State or University employees or their immediate family members.

Requests for exceptions may be submitted in writing to the Director of Materials Management.

The University’s normal policy is not to purchase materials or services from State or University employees or their immediate family members.

Requests for exceptions may be submitted in writing to the Director of Materials Management. 55

Documenting LeaveDocumenting Leave

Since EPA employees are not subject to the overtime provisions of the U.S. Fair Labor Standards Act, they do not accrue overtime (i.e., compensatory time).

EPA employees are subject to the same leave reporting requirements as SPA employees.

Non-business related time away from the job should be reported as either sick or vacation leave.

Since EPA employees are not subject to the overtime provisions of the U.S. Fair Labor Standards Act, they do not accrue overtime (i.e., compensatory time).

EPA employees are subject to the same leave reporting requirements as SPA employees.

Non-business related time away from the job should be reported as either sick or vacation leave.

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Miscellaneous UnwrittenTimekeeping Policies

Miscellaneous UnwrittenTimekeeping Policies

Employees should not act as their own timekeepers.

It should be discouraged for employees to act as timekeepers for their supervisors.

If a leave-earning employee is getting paid by another entity for work performed during normal business hours, vacation leave should be used.

Employees should not act as their own timekeepers.

It should be discouraged for employees to act as timekeepers for their supervisors.

If a leave-earning employee is getting paid by another entity for work performed during normal business hours, vacation leave should be used.

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Misconduct of EmployeesMisconduct of Employees

Employees are to use work time to conduct

work-related activities. Computers

•Incidental personal use•Commercial use•Illegal use

Personal requests made by supervisors

Employees are to use work time to conduct

work-related activities. Computers

•Incidental personal use•Commercial use•Illegal use

Personal requests made by supervisors

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Reporting of Misconduct of Employees

Reporting of Misconduct of Employees

In accordance with G.S. 114-15.1, any employee that receives information or evidence of theft, damage, embezzlement or misuse of State property must promptly report that information or evidence to his/her supervisor.

Accidental misuse of or damage to State property

If evidence involves possible violations of criminal law, the supervisor must immediately report such information to the ECU Police. The police and the University Attorney will prepare the necessary report and transmit it to SBI. (The SBI has asked that all reports from ECU be submitted from one office, the office of the University Attorney.)

In accordance with G.S. 114-15.1, any employee that receives information or evidence of theft, damage, embezzlement or misuse of State property must promptly report that information or evidence to his/her supervisor.

Accidental misuse of or damage to State property

If evidence involves possible violations of criminal law, the supervisor must immediately report such information to the ECU Police. The police and the University Attorney will prepare the necessary report and transmit it to SBI. (The SBI has asked that all reports from ECU be submitted from one office, the office of the University Attorney.) 59

Prohibition of RetaliationProhibition of Retaliation

The University will not permit its employees to harass, intimidate, threaten, coerce or discriminate against employees or applicants for employment who make a charge of employment discrimination, report an illegal act, or exercise any other constitutional right.

The University will not permit its employees to harass, intimidate, threaten, coerce or discriminate against employees or applicants for employment who make a charge of employment discrimination, report an illegal act, or exercise any other constitutional right.

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Documents

East Carolina University Management Flexibility to Appoint and Fix Compensation