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The Code and UNC Policy Manual

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Chapter 100 The Code and Policies of the University


100.1 The Code: 07/01/2001; 11/08/02; Revised 05/13/03; Revised 06/18/03; Revised 01/04/04; Revised 01/09/04; Revised 02/13/04; Revised 08/13/05; Revised 06/09/06; Revised 07/01/07; Revised 03/07/08; Revised 10/17/08; Revised 01/09/09; Revised 03/20/09; Revised 10/09/09; Revised 06/20/14; Revised 01/20/15; Revised 04/10/15; Revised 03/04/16; Revised 07/29/16; Revised 05/19/17; Revised 11/03/17; Revised 05/24/18; Revised 07/27/18; Revised 06/21/19

100.1 The Code: 07/01/2001; 11/08/02; Revised 05/13/03; Revised 06/18/03; Revised 01/04/04; Revised 01/09/04; Revised 02/13/04; Revised 08/13/05; Revised 06/09/06; Revised 07/01/07; Revised 03/07/08; Revised 10/17/08; Revised 01/09/09; Revised 03/20/09; Revised 10/09/09; Revised 06/20/14; Revised 01/20/15; Revised 04/10/15; Revised 03/04/16; Revised 07/29/16; Revised 05/19/17; Revised 11/03/17; Revised 05/24/18; Revised 07/27/18; Revised 06/21/19

CHAPTER I - ESTABLISHMENT, INCORPORATION, AND COMPOSITION OF THE UNIVERSITY OF NORTH CAROLINA

CHAPTER I - ESTABLISHMENT, INCORPORATION, AND COMPOSITION OF THE UNIVERSITY OF NORTH CAROLINA

SECTION 100.CONSTITUTIONAL ESTABLISHMENT.

The General Assembly shall maintain a public system of higher education, comprising the University of North Carolina and such other institutions of higher education as the General Assembly may deem wise.The General Assembly shall provide for the selection of trustees of the University of North Carolina and of the other institutions of higher education, in whom shall be vested all the privileges, rights, franchises, and endowments heretofore granted to or conferred upon the trustees of these institutions.The General Assembly may enact laws necessary and expedient for the maintenance and management of the University of North Carolina and the other public institutions of higher education.[North Carolina Constitution, Art. IX, Sec. 8]

SECTION 101.INCORPORATION AND CORPORATE POWERS.

The Board of Governors of the University of North Carolina shall be known and distinguished by the name of "the University of North Carolina" and shall continue as a body politic and corporate and by that name shall have perpetual succession and a common seal.It shall be able and capable in law to take, demand, receive, and possess all moneys, goods, and chattels that shall be given for the use of the University, and to apply the same according to the will of the donors; and by gift, purchase, or devise to receive, possess, enjoy, and retain forever any and all real and personal estate and funds, of whatsoever kind, nature, or quality the same may be, in special trust and confidence that the same, and the profits thereof, shall be applied to and for the use and purpose of endowing the University, and shall have power to receive donations from any source whatever, to be exclusively devoted to the purposes of the University, or according to the terms of donation.

The corporation shall be able and capable in law to bargain, sell, grant, alien or dispose of, and convey and assure to the purchasers any and all such real and personal estate and funds as it may lawfully acquire when the condition of the grant to it or the will of the devisor does not forbid it; and shall be able and capable in law to sue and be sued in all courts whatsoever; and shall have power to open and receive subscriptions, and in general may do all such things as are usually done by bodies corporate and politic, or such as may be necessary for the promotion of learning and virtue.[See G.S. 116-3]

SECTION 102.COMPOSITION OF THE UNIVERSITY.

The University of North Carolina shall constitute a single, multi-campus university composed of the following constituent institutions:

Appalachian State University,

East Carolina University,

Elizabeth City State University,

Fayetteville State University,

North Carolina Agricultural and Technical State University,

North Carolina Central University,

North Carolina School of Science and Mathematics,

North Carolina State University at Raleigh,

The University of North Carolina at Asheville,

The University of North Carolina at Chapel Hill,

The University of North Carolina at Charlotte,

The University of North Carolina at Greensboro,

The University of North Carolina at Pembroke,[1]

The University of North Carolina at Wilmington,

University of North Carolina School of the Arts,[2]

Western Carolina University, and

Winston-Salem State University.

SECTION 103.EQUALITY OF OPPORTUNITY IN THE UNIVERSITY.

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 unlawful discrimination against any person on the basis of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or veteran status.


[1]Name changed from Pembroke State University effective July 1, 1996.

[2]Name changed from North Carolina School of the Arts to the University of North Carolina School of the Arts effective August 1, 2008.

The Code: 100.1

CHAPTER II- THE BOARD OF GOVERNORS

CHAPTER II- THE BOARD OF GOVERNORS

SECTION 200.MEMBERSHIP.

200 A.Initial Membership.

For terms specified by statute and until their successors are chosen, the Board of Governors shall consist of representatives elected in accordance with state law.[See G.S. 116-5(a), (b), (c), and (d)]

200 B.Subsequent Membership.

  1. Election of Members.
    1. Members of the Board of Governors shall be elected by the Senate and House of Representatives. Twelve members shall be elected at the regular legislative session in 2017, and every two years thereafter.All terms shall commence on July 1 of odd-numbered years, and all members shall serve for four-year overlapping terms.Beginning with elections held on or after January 1, 2017, no person may be elected to more than three full four-year terms.Election for a partial term to fill a vacancy as provided in G.S. 116-7 shall not count toward the three-term limitation. Members elected by the Senate and House of Representatives shall be designated as voting members.[See G.S. 116-6, (b), and (c)]
    2. Whenever any vacancy shall occur in the elected membership of the Board of Governors, it shall be the duty of the secretary of the University to inform the General Assembly of the existence of the vacancy, and the General Assembly at its next regular session shall elect a person to fill the unexpired term.Whenever a member shall fail, for any reason other than ill health or service in the interest of the state or nation, to be present for four successive regular meetings of the board, the individual’s place as a member shall be deemed vacant.[See G.S. 116-7(c)]
  2. General Qualifications.
    1. [Repealed March 6, 2002]
    2. [Repealed March 6, 2002]
    3. No member of the General Assembly or officer or employee of the state or of any constituent institution or spouse of any such member, officer, or employee may be a member of the Board of Governors.Any member of the Board of Governors who is elected or appointed to the General Assembly or who becomes an officer or employee of the state or of any constituent institution or whose spouse is elected or appointed to the General Assembly or becomes such officer or employee shall be deemed thereupon to resign from membership on the Board of Governors.[See G.S. 116-7(b)]

      200 C.Special Memberships.

      For all purposes of this Code, the following members shall be designated as special members:

      1. Member Ex-Officio.

        During the individual’s continuance as a student in good standing at a constituent institution of the University of North Carolina, the person serving as president of the University of North Carolina Association of Student Governments (UNCASG) or designee shall serve ex-officio as a member of the Board of Governors.This student member shall be in addition to the 32 members elected to the Board of Governors.[See G.S. 116-6.1]

      2. Members Emeriti.

        Any person who has served at least one full term as chair of the Board of Governors shall be a member emeritus of the Board of Governors for one four-year term beginning at the expiration of that member's regular elected term.[See G.S. 116-6 (f)]

      3. Members Emeriti - Former Governor.
    4. Member Ex-Officio.

      During the individual’s continuance as a student in good standing at a constituent institution of the University of North Carolina, the person serving as president of the University of North Carolina Association of Student Governments (UNCASG) or designee shall serve ex-officio as a member of the Board of Governors.This student member shall be in addition to the 32 members elected to the Board of Governors.[See G.S. 116-6.1]

    5. During the individual’s continuance as a student in good standing at a constituent institution of the University of North Carolina, the person serving as president of the University of North Carolina Association of Student Governments (UNCASG) or designee shall serve ex-officio as a member of the Board of Governors.This student member shall be in addition to the 32 members elected to the Board of Governors.[See G.S. 116-6.1]

    6. Members Emeriti.

      Any person who has served at least one full term as chair of the Board of Governors shall be a member emeritus of the Board of Governors for one four-year term beginning at the expiration of that member's regular elected term.[See G.S. 116-6 (f)]

    7. Any person who has served at least one full term as chair of the Board of Governors shall be a member emeritus of the Board of Governors for one four-year term beginning at the expiration of that member's regular elected term.[See G.S. 116-6 (f)]

    8. Members Emeriti - Former Governor.
    9. Any person who has served at least one term as a member of the Board of Governors after having served as governor of North Carolina shall be a member emeritus of the Board of Governors.[See G.S. 116-6(g)]

      Special members shall have all the rights and privileges of membership except that they shall not have a vote.In determining a quorum or the number of votes required in specific circumstances, special members shall not be counted. Special members may serve, by appointment from the chair of the board, on any standing or special committee but shall not have a vote or be counted in determining the presence of a quorum.

      SECTION 201.OFFICERS.

      201 A.Chair, Vice Chair, and Secretary.

      At its last regular meeting before July 1 in each even-numbered year, the Board of Governors shall elect from its voting membership for two-year terms commencing July 1, and serving until their successors have been elected and qualified, a chair, a vice chair, and a secretary.No person may stand for election to a board office if, having been elected by the Senate or House of Representatives for the maximum allowable number of terms on the board, the person’s board membership would expire before the end of the term of office.No person may serve as chair for more than four years in succession.If for any reason an office becomes vacant before expiration of the prescribed two-year term, the unexpired balance of the term shall be filled by an election to be conducted at the first meeting of the Board of Governors held after the elapse of 30 days from the date of the occurrence of the vacancy; in the event of a vacancy in the office of chair, the vice chair shall serve as chair until the required election is held.[See G.S. 116-8]

      201 B.Assistant Secretary.

      The Board of Governors may elect an assistant secretary of the Board of Governors, who shall be a member of the staff of the president of the University.Copies of all minutes, papers, and documents of the Board of Governors may be certified by the assistant secretary with the same force and effect as though such certification were made by the secretary of the Board of Governors.

      SECTION 202.MEETINGS AND BYLAWS.

      202 A.Meetings.

      1. Regular Meetings.

        The Board of Governors shall hold no fewer than six regular meetings a year at stated times established by the Board.Each regular meeting shall be held at such time and at such place as the chair may designate, with notice concerning the time and place to be transmitted to each member of the board by the secretary of the University at least 20 days in advance of the meeting date.Either by action of the board or upon 15 days' written notice by the chair, the date specified herein for a regular meeting may be changed to another date.Whenever the chair deems the business of the board not to require a regular meeting, the chair may cancel such meeting on five days’ written notice.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at any regular meeting of the Board of Governors. [See G.S. 16-9]

      2. Special Meetings.

        Special meetings of the Board of Governors may be called by the chair, at the chair’s discretion, and shall be called by the secretary of the University upon the written request of not fewer than ten voting members of the board.A special meeting called by the secretary of the University shall be held within 20 days of receipt by the secretary of the tenth written request for such special meeting.A notice specifying the time and place of a special meeting of the Board of Governors shall be mailed or otherwise delivered by the secretary of the University to each member of the board in order that it would reasonably be expected to be received by the member at least 48 hours before the meeting.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at a special meeting of the board.

      3. Emergency Meetings.
    10. Regular Meetings.

      The Board of Governors shall hold no fewer than six regular meetings a year at stated times established by the Board.Each regular meeting shall be held at such time and at such place as the chair may designate, with notice concerning the time and place to be transmitted to each member of the board by the secretary of the University at least 20 days in advance of the meeting date.Either by action of the board or upon 15 days' written notice by the chair, the date specified herein for a regular meeting may be changed to another date.Whenever the chair deems the business of the board not to require a regular meeting, the chair may cancel such meeting on five days’ written notice.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at any regular meeting of the Board of Governors. [See G.S. 16-9]

    11. The Board of Governors shall hold no fewer than six regular meetings a year at stated times established by the Board.Each regular meeting shall be held at such time and at such place as the chair may designate, with notice concerning the time and place to be transmitted to each member of the board by the secretary of the University at least 20 days in advance of the meeting date.Either by action of the board or upon 15 days' written notice by the chair, the date specified herein for a regular meeting may be changed to another date.Whenever the chair deems the business of the board not to require a regular meeting, the chair may cancel such meeting on five days’ written notice.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at any regular meeting of the Board of Governors. [See G.S. 16-9]

    12. Special Meetings.

      Special meetings of the Board of Governors may be called by the chair, at the chair’s discretion, and shall be called by the secretary of the University upon the written request of not fewer than ten voting members of the board.A special meeting called by the secretary of the University shall be held within 20 days of receipt by the secretary of the tenth written request for such special meeting.A notice specifying the time and place of a special meeting of the Board of Governors shall be mailed or otherwise delivered by the secretary of the University to each member of the board in order that it would reasonably be expected to be received by the member at least 48 hours before the meeting.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at a special meeting of the board.

    13. Special meetings of the Board of Governors may be called by the chair, at the chair’s discretion, and shall be called by the secretary of the University upon the written request of not fewer than ten voting members of the board.A special meeting called by the secretary of the University shall be held within 20 days of receipt by the secretary of the tenth written request for such special meeting.A notice specifying the time and place of a special meeting of the Board of Governors shall be mailed or otherwise delivered by the secretary of the University to each member of the board in order that it would reasonably be expected to be received by the member at least 48 hours before the meeting.Subject to the provisions of Section 202 C(5), any matter of business relating to the University of North Carolina may be considered at a special meeting of the board.

    14. Emergency Meetings.
    15. Emergency meetings of the Board of Governors may be called by the chair when generally unexpected circumstances require immediate consideration by the board.A notice specifying the time and place of an emergency meeting of the Board of Governors may be given by telephone, telegraph, or other method in sufficient time for a majority of the board to reasonably be expected to be able to attend the meeting.Only business connected with the emergency may be considered at an emergency meeting in which less than 48 hours’ notice is given.

      202 B.Agenda.

      1. A copy of the agenda for each regular meeting of the Board of Governors, including notice of all expiring terms on or vacancies in membership of board committees and, insofar as is practicable, copies of all reports and other materials to be presented to the regular meeting as a part of the agenda, shall be mailed by the secretary of the University to each member of the board at least five days in advance of the regular meeting.If practicable, a copy of the agenda for each special meeting of the Board of Governors, with reports and other materials to be presented, shall be mailed to each member of the board at least five days in advance of the special meeting.When matters are to be considered by a committee between the time of the mailing of the agenda and the time of any regular or special meeting of the board and are expected then to be presented to the board for action at the meeting, all members of the board shall be mailed such materials as a committee may prescribe by standing rule or as the chair of a committee may designate, in order to inform the board, insofar as may be feasible, of the nature of the action that might be asked of it.
      2. The agenda for a regular or special meeting of the Board of Governors shall be prepared by the president with the approval of the chair.All requests for inclusion of a given item on the agenda of a particular meeting shall be filed, with any supporting documents, with the secretary of the University.Any such requests from faculty, students, staff members, or other members of a constituent institution of the University must be in writing and must be filed first with the chancellor of the institution concerned in sufficient time to be reported to and filed with the president by the chancellor, prior to the regular or special meeting in question.
      3. The provisions of this Section 202 B shall not be construed to prohibit any committee or member of the Board of Governors from requesting consideration by the board, at any regular or special meeting, of any item not on the agenda of a regular or special meeting of the board.However, such an item shall not be so considered without the approval of two-thirds of the voting members of the board present at such meeting.
    16. A copy of the agenda for each regular meeting of the Board of Governors, including notice of all expiring terms on or vacancies in membership of board committees and, insofar as is practicable, copies of all reports and other materials to be presented to the regular meeting as a part of the agenda, shall be mailed by the secretary of the University to each member of the board at least five days in advance of the regular meeting.If practicable, a copy of the agenda for each special meeting of the Board of Governors, with reports and other materials to be presented, shall be mailed to each member of the board at least five days in advance of the special meeting.When matters are to be considered by a committee between the time of the mailing of the agenda and the time of any regular or special meeting of the board and are expected then to be presented to the board for action at the meeting, all members of the board shall be mailed such materials as a committee may prescribe by standing rule or as the chair of a committee may designate, in order to inform the board, insofar as may be feasible, of the nature of the action that might be asked of it.
    17. The agenda for a regular or special meeting of the Board of Governors shall be prepared by the president with the approval of the chair.All requests for inclusion of a given item on the agenda of a particular meeting shall be filed, with any supporting documents, with the secretary of the University.Any such requests from faculty, students, staff members, or other members of a constituent institution of the University must be in writing and must be filed first with the chancellor of the institution concerned in sufficient time to be reported to and filed with the president by the chancellor, prior to the regular or special meeting in question.
    18. The provisions of this Section 202 B shall not be construed to prohibit any committee or member of the Board of Governors from requesting consideration by the board, at any regular or special meeting, of any item not on the agenda of a regular or special meeting of the board.However, such an item shall not be so considered without the approval of two-thirds of the voting members of the board present at such meeting.
    19. 202 C.Conduct of Business.

      1. Quorum.

        A quorum for the conduct of business of the Board of Governors shall consist of a majority of the voting membership of the board then in office.Any voting member who is present at a meeting of the board or of a committee or who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction will be counted as present for purposes of determining a quorum.

      2. Presiding Officer.

        The chair shall preside at all regular and special meetings of the Board of Governors.In the absence of the chair, the vice chair shall preside and in the absence of both, the secretary shall preside.In the absence of an elected officer, a presiding officer shall be elected by and from the voting membership of the Board of Governors.

      3. Power to Vote.

        All members of the Board of Governors except special members may vote on all matters coming before the board for consideration. Any voting member of the board or of a board committee who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction may cast the member’s vote by that electronic means. No vote concerning any matter under consideration by the board or by a committee of the board may be cast in absentia by mail, , facsimile, or electronic mail.

      4. Rules of Order.

        Except as modified by specific rules and regulations enacted by the Board of Governors, Robert's Rules of Order (latest edition) shall constitute the rules of parliamentary procedure applicable to all meetings of the Board of Governors and its several committees.

      5. Reference to Committees.
    20. Quorum.

      A quorum for the conduct of business of the Board of Governors shall consist of a majority of the voting membership of the board then in office.Any voting member who is present at a meeting of the board or of a committee or who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction will be counted as present for purposes of determining a quorum.

    21. A quorum for the conduct of business of the Board of Governors shall consist of a majority of the voting membership of the board then in office.Any voting member who is present at a meeting of the board or of a committee or who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction will be counted as present for purposes of determining a quorum.

    22. Presiding Officer.

      The chair shall preside at all regular and special meetings of the Board of Governors.In the absence of the chair, the vice chair shall preside and in the absence of both, the secretary shall preside.In the absence of an elected officer, a presiding officer shall be elected by and from the voting membership of the Board of Governors.

    23. The chair shall preside at all regular and special meetings of the Board of Governors.In the absence of the chair, the vice chair shall preside and in the absence of both, the secretary shall preside.In the absence of an elected officer, a presiding officer shall be elected by and from the voting membership of the Board of Governors.

    24. Power to Vote.

      All members of the Board of Governors except special members may vote on all matters coming before the board for consideration. Any voting member of the board or of a board committee who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction may cast the member’s vote by that electronic means. No vote concerning any matter under consideration by the board or by a committee of the board may be cast in absentia by mail, , facsimile, or electronic mail.

    25. All members of the Board of Governors except special members may vote on all matters coming before the board for consideration. Any voting member of the board or of a board committee who attends a special or emergency meeting of the board or of any meeting of a committee by telephone, video conference, or other electronic means that allows for two-way voice interaction may cast the member’s vote by that electronic means. No vote concerning any matter under consideration by the board or by a committee of the board may be cast in absentia by mail, , facsimile, or electronic mail.

    26. Rules of Order.

      Except as modified by specific rules and regulations enacted by the Board of Governors, Robert's Rules of Order (latest edition) shall constitute the rules of parliamentary procedure applicable to all meetings of the Board of Governors and its several committees.

    27. Except as modified by specific rules and regulations enacted by the Board of Governors, Robert's Rules of Order (latest edition) shall constitute the rules of parliamentary procedure applicable to all meetings of the Board of Governors and its several committees.

    28. Reference to Committees.
    29. All matters presented to the Board of Governors, except matters of routine business, which come within the sphere of interest or activity of any standing committee of the board, shall be submitted by the board to the appropriate standing committee for investigation and report.All matters of other than routine business, which do not come within the sphere of interest or activity of any standing committee of the board, may be submitted by the board to a special committee for investigation and report in advance of any action thereon by the board.The board may proceed to consider any matter without referring it to a standing or special committee if, by two-thirds vote, immediate consideration by the board is ordered.The reports and recommendations of standing and special committees shall be submitted to the board in writing consistent with the instructions of the board.

      202 D.Minutes.

      1. The secretary of the University shall keep minutes of all meetings of the Board of Governors; shall file, index, and preserve all minutes, papers, and documents pertaining to the business and proceedings of the board; shall be custodian of the University seal and of all records of the board; and shall attest the execution by the chair of all legal documents and instruments of the University of North Carolina.
      2. Within 20 days after each meeting of the Board of Governors, the secretary of the University shall transcribe the minutes of the meeting and mail a copy to each member of the board.
    30. The secretary of the University shall keep minutes of all meetings of the Board of Governors; shall file, index, and preserve all minutes, papers, and documents pertaining to the business and proceedings of the board; shall be custodian of the University seal and of all records of the board; and shall attest the execution by the chair of all legal documents and instruments of the University of North Carolina.
    31. Within 20 days after each meeting of the Board of Governors, the secretary of the University shall transcribe the minutes of the meeting and mail a copy to each member of the board.
    32. 202 E.Closed Sessions.

      All meetings of the Board of Governors shall be open to the public unless, consistent with the requirements of state law, a meeting is closed to the public by a motion duly made and adopted by the board in an open meeting.

      202 F.Amendments and Suspensions of Code Provisions.

      1. Any provision of this Code (except those required or governed by statutory or constitutional provisions) may be amended by a vote of two-thirds of the voting membership of the board then in office; provided that no amendment may be adopted unless its substance first has been introduced at a preceding regular or special meeting of the board.
      2. Any Code provision, except that contained in Section 202 F(1) (and those required or governed by statutory or constitutional provisions), may be suspended at any regular or special meeting of the Board of Governors for that meeting by affirmative vote of two-thirds of the voting membership of the board present.
    33. Any provision of this Code (except those required or governed by statutory or constitutional provisions) may be amended by a vote of two-thirds of the voting membership of the board then in office; provided that no amendment may be adopted unless its substance first has been introduced at a preceding regular or special meeting of the board.
    34. Any Code provision, except that contained in Section 202 F(1) (and those required or governed by statutory or constitutional provisions), may be suspended at any regular or special meeting of the Board of Governors for that meeting by affirmative vote of two-thirds of the voting membership of the board present.
    35. SECTION 203.POWERS AND DUTIES.

      203 A.Statutory Powers and Duties.[1]

      1. The Board of Governors shall plan and develop a coordinated system of higher education in North Carolina.To this end it shall govern the constituent institutions, subject to such powers and responsibilities as may be conferred by statute on or delegated by the Board of Governors to the boards of trustees of the constituent institutions, and to this end it shall maintain close liaison with the State Board of Education, the State Board of Community Colleges, and the private colleges and universities of the state.The board, in consultation with representatives of the State Board of Education and of the private colleges and universities, shall prepare and from time to time revise a long-range plan for a coordinated system of higher education, supplying copies thereof to the governor, members of the General Assembly, the Advisory Budget Commission, and the constituent institutions.State-wide federal or state programs that provide aid to institutions or students of post-secondary education through a state agency, except those related exclusively to the community college system, shall be administered by the board pursuant to any requirement of state or federal statute in order to ensure that all activities are consonant with the state's long-range plan for higher education.[See G.S. 116-11]
      2. The Board of Governors shall be responsible for the general determination, control, supervision, management, and governance of all affairs of the constituent institutions.For this purpose the board may adopt such policies and regulations as it may deem wise.[2][See G.S. 116-11]
      3. The Board of Governors shall determine the functions, educational activities, and academic programs of the constituent institutions.The board shall also determine the type of degrees to be awarded by each constituent institution.The powers of the board as established by law are not restricted by any other provision of law assigning specific functions or responsibilities to designated institutions, the powers of the board superseding any such provisions of law.[3] The board, after giving adequate notice to the affected institutional board of trustees and affording it an opportunity to be heard, shall have authority to withdraw approval of any existing program if it appears that the program is unproductive, excessively costly, or unnecessarily duplicative.[See G.S. 116-11]
      4. The Board of Governors shall approve the establishment of any new publicly supported institution above the community college level.[See G.S. 116-11(6)]
      5. The Board of Governors shall set enrollment levels of the constituent institutions.[See G.S. 116-11(8)]
      6. The Board of Governors shall collect and disseminate data concerning higher education in the state.To this end it shall work cooperatively with the North Carolina System of Community Colleges and shall seek the assistance of the private colleges and universities.It may prescribe for the constituent institutions such uniform reporting practices and policies as it may deem desirable.[See G.S. 116-11(10)]
      7. The Board of Governors, with the cooperation of other concerned organizations, shall establish, as a function of the board, an Educational Opportunities Information Center to provide information and assistance to prospective college and university students and to the several institutions, both public and private, on matters regarding student admissions, transfers, and enrollments.The public institutions shall cooperate with the center by furnishing such nonconfidential information as may assist the center in the performance of its duties.Similar cooperation shall be requested of the private institutions in the state.An applicant for admission to an institution who is not offered admission may request that the institution send to the center appropriate nonconfidential information concerning the application.The center may, at its discretion and with permission of the applicant, direct the attention of the applicant to other institutions and the attention of other institutions to the applicant.The center is authorized to conduct such studies and analyses of admissions, transfers, and enrollments as may be deemed appropriate.[See G.S. 116-18]
      8. The Board of Governors shall give advice and recommendations concerning higher education to the governor, the General Assembly, the Advisory Budget Commission, and the boards of trustees of the constituent institutions.[See G.S. 116-11(12)]
      9. The Board of Governors may delegate any part of its authority over the affairs of any constituent institution to the board of trustees or, through the president of the University, to the chancellor of the institution in any case where such delegation appears necessary or prudent to enable the institution to function in a proper and expeditious manner.Any delegation of authority may be rescinded by the board at any time in whole or in part.[See G.S. 116-11(13)]
    36. The Board of Governors shall plan and develop a coordinated system of higher education in North Carolina.To this end it shall govern the constituent institutions, subject to such powers and responsibilities as may be conferred by statute on or delegated by the Board of Governors to the boards of trustees of the constituent institutions, and to this end it shall maintain close liaison with the State Board of Education, the State Board of Community Colleges, and the private colleges and universities of the state.The board, in consultation with representatives of the State Board of Education and of the private colleges and universities, shall prepare and from time to time revise a long-range plan for a coordinated system of higher education, supplying copies thereof to the governor, members of the General Assembly, the Advisory Budget Commission, and the constituent institutions.State-wide federal or state programs that provide aid to institutions or students of post-secondary education through a state agency, except those related exclusively to the community college system, shall be administered by the board pursuant to any requirement of state or federal statute in order to ensure that all activities are consonant with the state's long-range plan for higher education.[See G.S. 116-11]
    37. The Board of Governors shall be responsible for the general determination, control, supervision, management, and governance of all affairs of the constituent institutions.For this purpose the board may adopt such policies and regulations as it may deem wise.[2][See G.S. 116-11]
    38. The Board of Governors shall determine the functions, educational activities, and academic programs of the constituent institutions.The board shall also determine the type of degrees to be awarded by each constituent institution.The powers of the board as established by law are not restricted by any other provision of law assigning specific functions or responsibilities to designated institutions, the powers of the board superseding any such provisions of law.[3] The board, after giving adequate notice to the affected institutional board of trustees and affording it an opportunity to be heard, shall have authority to withdraw approval of any existing program if it appears that the program is unproductive, excessively costly, or unnecessarily duplicative.[See G.S. 116-11]
    39. The Board of Governors shall approve the establishment of any new publicly supported institution above the community college level.[See G.S. 116-11(6)]
    40. The Board of Governors shall set enrollment levels of the constituent institutions.[See G.S. 116-11(8)]
    41. The Board of Governors shall collect and disseminate data concerning higher education in the state.To this end it shall work cooperatively with the North Carolina System of Community Colleges and shall seek the assistance of the private colleges and universities.It may prescribe for the constituent institutions such uniform reporting practices and policies as it may deem desirable.[See G.S. 116-11(10)]
    42. The Board of Governors, with the cooperation of other concerned organizations, shall establish, as a function of the board, an Educational Opportunities Information Center to provide information and assistance to prospective college and university students and to the several institutions, both public and private, on matters regarding student admissions, transfers, and enrollments.The public institutions shall cooperate with the center by furnishing such nonconfidential information as may assist the center in the performance of its duties.Similar cooperation shall be requested of the private institutions in the state.An applicant for admission to an institution who is not offered admission may request that the institution send to the center appropriate nonconfidential information concerning the application.The center may, at its discretion and with permission of the applicant, direct the attention of the applicant to other institutions and the attention of other institutions to the applicant.The center is authorized to conduct such studies and analyses of admissions, transfers, and enrollments as may be deemed appropriate.[See G.S. 116-18]
    43. The Board of Governors shall give advice and recommendations concerning higher education to the governor, the General Assembly, the Advisory Budget Commission, and the boards of trustees of the constituent institutions.[See G.S. 116-11(12)]
    44. The Board of Governors may delegate any part of its authority over the affairs of any constituent institution to the board of trustees or, through the president of the University, to the chancellor of the institution in any case where such delegation appears necessary or prudent to enable the institution to function in a proper and expeditious manner.Any delegation of authority may be rescinded by the board at any time in whole or in part.[See G.S. 116-11(13)]
    45. 203 B.Other Powers and Duties.

      1. Whenever the Board of Governors finds that there may be a need for the creation of a new campus of the University, the board shall direct that a study be made of the relevant educational needs of the state, such study to take particular account of the relevant educational needs of the area or areas of the state designated by the Board of Governors.The board shall give careful consideration to the report of the aforementioned study of educational needs, and if the board finds
        1. that sufficient educational needs exist to justify the establishment of an additional campus of the University, and
        2. that it appears probable that sufficient additional funds can be made available to establish and maintain such additional campus without impairing the quality and extent of the instructional and research programs at the existing campuses of the University, the Board of Governors may recommend to the General Assembly that appropriate legislation creating or adding such campus be enacted.
      2. Whenever the Board of Governors finds that there may be a need for the creation of a branch campus by a constituent institution, the board shall direct that a study be made of the relevant educational needs of the state, such study to take particular account of the relevant educational needs of the area or areas of the state designated by the Board of Governors.The board shall give careful consideration to the report of the aforementioned study of educational needs, and if the board finds
        1. that sufficient educational needs exist to justify the establishment of a branch campus by a constituent institution, and
        2. that it appears probable that sufficient additional funds can be made available to establish and maintain such branch campus without impairing the quality and extent of the instructional and research programs at the constituent institution or at other constituent institutions, the Board of Governors may approve the creation of a branch campus.
      3. The University will use as its definition of a branch campus the one adopted by the Commission on Colleges of the Southern Association of Colleges and Schools:A branch campus is defined as a location of an institution that is geographically apart and independent of the main campus of the institution.A location is independent of the main campus if the location is (1) permanent in nature, (2) offers courses in educational programs leading to a degree, certificate, or other recognized educational credential, has its own faculty and administrative or supervisory organization, and (4) has its own budgetary and hiring authority.
      4. Apart from new or branch campuses, the President is authorized to initiate other facilities arrangements for delivery of off-site programs such as use of community college space, multiple-use facilities among campuses, joint use facilities with community colleges, and rental space, following general university academic and budgetary procedures for relevant Board approval or reporting to the Board.
      5. The North Carolina Community College System shall be consulted in the process of assessing the need for a new campus, a branch campus or other facilities for off-site educational delivery.
      6. The Board of Governors shall have such other powers and duties as may be prescribed by law or as may be set forth elsewhere in this Code.

203 C.Reservation of Powers.

The Board of Governors shall possess all powers not specifically given to institutional boards of trustees.[See G.S. 116-11(14)]

SECTION 204.ETHICS AND CONFLICT OF INTERESTS

It is of critical importance that decisions made on behalf of the University by its governors be in the best interest of the University and not be influenced by any potential financial gain to the decision-makers. Furthermore, to assure public confidence in the integrity of the University, it is important that the University not appear to be influenced by the personal financial interests of those in decision-making positions.In order to assure public confidence in the integrity of the University, members of the Board of Governors of the University should not use their positions, or appear to use their positions, to influence the decisions of the University for their personal financial gain. At the same time, the University should be able to take advantage of contracts that are advantageous to the citizens of North Carolina and to the University and should avoid having service to the University be so restrictive that persons with substantial financial interests will be reluctant to serve.In order to accomplish these goals, the Board of Governors shall adopt and enforce a policy governing conflicts of interest of its members. Each member of the Board of Governors shall comply with this policy.

SECTION 205.DELIVERY OF NOTICES.

All notices, documents, or materials required by The Code to be mailed to members of the Board of Governors may be delivered by electronic mail, facsimile transmission, or other reliable means that is available for notifying that member of the board.


[1]Other statutory powers and duties are set forth in Chapters I, IV, V, VII, VIII, and IX of this Code.

[2]All policies, rules, and regulations adopted and actions taken prior to July 1, 1972, by the former boards of trustees of the constituent institutions shall be effective on and after July 1, 1972, as to the respective institutions, except as modified by this Code or by other action of the Board of Governors or by the institutional boards of trustees.[Session Laws 1972, Ch. 124, Sec. 18]

[3]See G.S. 116-40.4.See also G.S. 116-63 through -69.

The Code: 100.1, Amended 05/19/17

CHAPTER III- COMMITTEES OF THE BOARD OF GOVERNORS

CHAPTER III- COMMITTEES OF THE BOARD OF GOVERNORS

SECTION 300.                     ESTABLISHMENT AND MEMBERSHIP OF COMMITTEES.

  1. The Board of Governors may establish such standing committees as it may deem necessary.  Standing committees shall be established and their duties prescribed by a vote of two-thirds of the voting membership of the Board of Governors then in office.  Special committees may be created by the Board of Governors or the chair of the board to perform specific functions not requiring the continuous existence of a committee.
  2. Each voting member of the board shall at all times serve on no more than one of the standing committees designated in subsections 301 B through E, below.
  3. Special members of the board may be assigned to such standing or special committees as the chair of the Board of Governors may from time to time see fit.
  4. The chair of the board may, upon request of a standing committee chair, appoint any voting member to serve temporarily as a voting member of a subcommittee of a standing committee when the chair of the board deems the work of the subcommittee to require such an appointment.
  5. The vice chair of the Board of Governors shall at all times be a voting member of a standing committee.  The vice chair shall be assigned to a committee by the chair of the board following consultation between the chair and the vice chair. The vice chair’s membership on a standing committee shall be in addition to the prescribed regular membership of the committee.
  6. The chair of the Board of Governors shall be a voting member of all standing and special committees, but the chair’s membership shall not be counted in determining a quorum.

SECTION 301.                     THE STANDING COMMITTEES’ JURISDICTION.

301 A.    The standing committees of the Board of Governors shall be: the Committee on Budget and Finance; the Committee on Educational Planning, Policies, and Programs; the Committee on Personnel and Tenure; the Committee on University Governance; the Committee on Public Affairs; and the Committee on Audit, Risk Management, and Compliance.  Each of the standing committees shall consist of a number of voting members to be determined by the chair of the board, provided that each standing committee shall have a regular membership of no fewer than five voting members, unless otherwise specified herein.

301 B.    The Committee on Budget and Finance shall advise and consult with the president concerning budget policy and preparation.  The committee shall consider the budget proposed by the president and, upon its approval, shall submit the budget to the Board of Governors for final action.  The committee shall make recommendations to the board for the allocation of funds appropriated to the board.  It shall also advise and assist the president, and submit recommendations to the board, with respect to real property transactions, investments, endowments, and other fiscal and property matters in accordance with valuation limits established in board policy and within the jurisdiction of the Board of Governors.

301 C.    The Committee on Educational Planning, Policies, and Programs shall receive the advice and recommendations of the president and make recommendations to the board in all areas pertaining to the development of a coordinated system of higher education in North Carolina, including: (a) the definition of mission and assignment of functions of each constituent institution; (b) the review of requests for the initiation of new degree programs and recommendations for the termination of existing programs;  (c) the provision of supportive services, facilities, and other resources for the instructional, research, and public-service programs of the constituent institutions; (d) the review of policies affecting educational programs and academic affairs; (e) matters concerning the involvement of students in the University and in university life; (f) review of matters concerning health affairs in the University; and (g) review of matters concerning the utilization of information technology in furtherance of the University’s mission.  The committee shall also advise and assist the president and the board in maintaining close liaison with the State Board of Education, the State Board of Community Colleges, and the private colleges and universities, including the review of all requests for state aid to the private institutions.  It shall further recommend to the board procedures and standards for the licensing of non-public educational institutions.

301 D.    The Committee on Personnel and Tenure shall, upon recommendation of the president, review and make recommendations to the board with respect to the appointment and compensation of all vice chancellors, senior academic and administrative officers, and persons with permanent tenure. Notwithstanding the provision above, the committee shall not review or recommend the appointment and compensation of vice chancellors, senior academic and administrative officers, and persons with permanent tenure for those campuses delegated the authority to appoint and set compensation for such employees so long as the boards of trustees act consistently with the policy and compensation ranges established by the Board of Governors.  Further, the committee shall advise and assist the president in the review and evaluation of tenure policies and regulations which the president shall periodically conduct, and it shall review all appeals from faculty members of the constituent institutions which involve an institution's decision to not to reappoint a faculty member, to deny tenure, to discharge a tenured faculty member, or to impose a serious sanction pursuant to the provisions of Chapter VI of this Code.  It shall also review all appeals from nonfaculty employees of the University who are exempt from the North Carolina Human Resources Act pursuant to Section 611 of this Code.

301 E.    The Committee on University Governance shall keep under continuous review the application and interpretation of The Code of the University of North Carolina and all delegations of authority under that code, and it shall make such recommendations to the Board of Governors for the amending of The Code or delegations of authority as may seem appropriate for the effective and efficient operation of the University of North Carolina and its constituent institutions. The committee shall make nominations to the Board of Governors for elections to the boards of trustees of the constituent institutions. The committee shall receive all requests from students of the constituent institutions for appellate review by the Board of Governors pursuant to Section 502 D(3) of this Code.

301 F.    The Committee on Public Affairs shall consist of no fewer than three and no more than five voting members to be determined by the chair of the board.  A voting member serving on this committee shall also serve on one or more other standing committees.  The Committee on Public Affairs shall assist the president and the chair of the board in maintaining a positive relationship with the governor, the North Carolina General Assembly, the United States Congress, and other governmental entities which affect the ability of the University to carry out its mission.  The committee will review all state and federal policy priorities of the University.  

301 G.   The Committee on Audit, Risk Management, and Compliance (CARMC) shall consist of voting members be appointed from the membership of the other standing committees.  The CARMC shall recommend a committee charter for review and approval by the board, addressing the University’s internal audit, enterprise risk management, and compliance functions; recommend for approval University-wide policies regarding internal audit, enterprise risk management, and compliance; review annual and other audit reports of the constituent institutions and UNC General Administration and affiliated entities;  review a  summary of the internal audit plans and work of the audit committees of the constituent institutions; review a summary of the annual financial audit reports and management letters on University major associated entities; meet with the state auditor annually; and take such other actions as are necessary or appropriate to ensure that risks are identified and properly managed and to assure the integrity of the finances, operations, and controls of the University.

SECTION 302.                     GENERAL PROVISIONS CONCERNING STANDING COMMITTEES.

302 A.    Appointment of Members.

The chair of the Board of Governors shall appoint voting members of the board to standing committees. The term of each voting member of a standing committee shall ordinarily be two years, commencing upon the effective date of the appointment to the committee and extending until the chair appoints a successor. The chair shall make appointments and reassignments in such a manner as to ensure that members gain experience on each of the standing committees and to utilize the expertise and talent of board members. To achieve balance and efficiencies in the committee system, to support full consideration of the governance and policy matters coming before the board, and to accommodate new appointments to the board, the chair may appoint members to one-year terms, reassign members who have served one year of a two-year term, or appoint members to successive one- or two-year terms.  The chair shall appoint members of standing committees to take effect at the first meeting of the committee after July 1.  If a vacancy occurs on a standing committee during a term, the chair of the board may appoint a voting member of the board to fill the remainder of the unexpired term, notwithstanding Section 300 B of The Code.

302 B.    Officers of Standing Committees.

A chair, vice chair, and secretary of each standing committee shall be designated by the chair of the Board of Governors for a one-year term starting at the first meeting after July 1 of the year and continuing until their successors are appointed.  No standing committee chair or vice chair may concurrently serve as chair or vice chair of another standing committee. No person may serve more than four successive terms as chair of the same standing committee.

302 C.    Meetings of Standing Committees.

Each standing committee shall meet at such times as either the chair of the standing committee or the Board of Governors shall designate. Written notice of each meeting of a standing committee shall be mailed to members of the Board of Governors by the secretary of the University at least five days in advance of the meeting date; but any notice which complies with the North Carolina Open Meetings Law may be given by telephone or other reliable means when, in the judgment of the chair of the committee or the chair of the Board of Governors, a necessity exists. The agenda for a meeting of a standing committee shall be prepared by the president with the approval of the chair of the committee, and, if practicable, a copy shall be mailed to the members of the Board of Governors, or transmitted by other reliable means, at least five days in advance of the meeting date; however, if such advance notice is not practicable in the judgment of the chair, the agenda shall be presented to the members of the committee and other members of the Board of Governors who are attending the meeting at the commencement of the meeting. Such materials as the committee may designate by standing rule, or as the chair of the committee may designate in the absence of a standing rule, shall be sent with the agenda and notice of the meeting.

If notice of an agenda item is not provided to the members of the Board of Governors at least 48 hours before the committee meeting, then any recommended action resulting from that item shall not be placed on the consent agenda of the Board of Governors.  In the committee report the chair shall state that the recommended action was added to the committee agenda.

A majority of the elected committee membership shall constitute a quorum for the conduct of business of a standing committee. The chair of the standing committee shall preside at all committee meetings; in the absence of the chair, the vice chair shall preside. The procedures and rules of order governing the conduct of committee business shall be the same as those applicable to meetings of the Board of Governors.  Minutes of every meeting of a standing committee shall be kept by the secretary of the committee.

302 D.    Subcommittees.

Each standing committee may establish from its elected membership such subcommittees as it may deem necessary and appropriate for the effective discharge of its assigned responsibilities.  The chair of the standing committee shall appoint the chair and the members of each subcommittee and shall report to the board the establishment of any subcommittee.

302 E.    Report of Standing Committees.

Each standing committee shall make a written report to the Board of Governors at least annually, reviewing the work of the committee during the preceding year.

302 F.    Closed Sessions.

All meetings of committees shall be open to the public unless, consistent with the requirements of state law, a meeting of a committee is closed to the public by a motion duly made and adopted by the committee in an open meeting.

SECTION 303.                     SPECIAL COMMITTEES OF THE BOARD OF GOVERNORS.

Special committees may be created by the Board of Governors or the chair of the board to perform specific functions not requiring the continuous existence of a committee.  The size, function, and procedures of special committees shall be determined either by majority vote of the board or by the chair of the board.  The chair and members of a special committee shall be appointed by the chair of the board from the voting membership of the board unless the Board of Governors otherwise provides.  Special committees shall cease to exist when their functions have been discharged; however, every special committee shall cease to exist one year after the date of its creation, unless continued by affirmative action of the board or the chair of the board.  Notwithstanding the above, the size, function, procedures, membership, and selection of the chair of a presidential search committee shall be determined by majority vote of the Board of Governors.

The Code: 100.1, Amended 05/17/17

CHAPTER IV - BOARDS OF TRUSTEES

CHAPTER IV - BOARDS OF TRUSTEES

SECTION 400.MEMBERSHIP.

400 A.General Provisions.

  1. Each constituent institution shall have a board of trustees composed of 13 persons[1]chosen as follows:(a) eight elected by the Board of Governors; (b) four appointed by the General Assembly, two of whom shall be appointed upon the recommendation of the President Pro Tempore of the Senate, and two of whom shall be appointed upon the recommendation of the Speaker of the House of Representatives; and (c) the president of the student government of the institution, ex-officio.[See G.S. 116-31(d)]
  2. In every odd-numbered year, the Board of Governors shall elect four persons to each board of trustees; and the General Assembly shall appoint one person upon the recommendation of the President Pro Tempore of the Senate, and one person upon the recommendation of the Speaker of the House of Representatives to each such board; and the term of office of all such elected or appointed trustees (excluding ex-officio trustees) shall be four years, commencing on July 1, of such odd-numbered year.[See G.S. 116-31(e)]
  3. Whenever any vacancy shall occur in the membership of a board of trustees among those seatsto be appointed by the General Assembly, it shall be the duty of the secretary of the board of trustees to inform the General Assembly of the existence of such vacancy, and the vacancy shall be filled as provided in G.S. 120-122, and whenever any vacancy shall occur among those elected by the Board of Governors, it shall be the duty of the secretary of the board of trustees to inform the Board of Governors of the existence of the vacancy, and the Board of Governors shall elect a person to fill the unexpired term.Whenever a member shall fail, for any reason other than ill health or service in the interest of the state or nation, to be present for three successive regular meetings of a board of trustees, the individual’s place as a member shall be deemed vacant.[See G.S. 116-31(j)]
  4. Any person who has served two full four-year terms in succession as a member of a board of trustees shall, for a period of one year, be ineligible for election or appointment to the same board but may be elected or appointed to the board of another institution.[See G.S. 116-31(g)]
  5. No member of the General Assembly or officer or employee of the State, The University of North Carolina, or of any constituent institution shall be eligible for election or appointment as a trustee.No spouse of a member of the General Assembly, or of an officer or employee of a consistent institution may be a trustee of that constituent institution.Any trustee who is elected or appointed to the General Assembly or who becomes an officer or employee of the State, The University of North Carolina, or any constituent institution or whose spouse is elected or appointed to the General Assembly or becomes an officer or employee of that constituent institution shall be deemed thereupon to resign from his membership on the board of trustees.[See G.S. 116-31(h)]

400 B.Dual Membership Prohibited.

No person may serve simultaneously as a member of a board of trustees and as a member of the Board of Governors.Any trustee who is elected to the Board of Governors shall be deemed to have resigned as a trustee effective as of the date that the individual’s term commences as a member of the Board of Governors.[See G.S. 116-31(i)]

SECTION 401.OFFICERS.

401 A.Chair, Vice Chair, and Secretary.

At the first regular meeting after June 30 of each year, each board of trustees shall elect from its membership a chair, a vice chair, and a secretary. [See G.S. 116-32]  In no event shall officer elections take place before July 1, or before the swearing in of new board members whose terms commence on July 1. Any member of the board who is or who shall be duly appointed and sworn in at the time of the election shall be eligible to serve as an officer, regardless of length of service on the board. Elections shall be conducted such that each member of the board, including newly appointed members, can fully participate in the nomination, consideration, and election of officers. Nominating committees convening prior to July 1 to determine a slate of officer candidates may include members who have been appointed but have not yet been sworn in, but may not include current members whose terms end June 30 and who have not been reappointed. Each elected officer shall serve until his or her successor is elected. If the term of the chair on the board of trustees expires before his or her successor as chair is elected, then the vice chair shall become the interim chair until the chair's successor is elected.

401 B.Assistant Secretary.

Each board of trustees may also elect an assistant secretary, from among the members of the chancellor's staff. Copies of all minutes, papers, and documents of a board of trustees may be certified by its assistant secretary with the same force and effect as though such certification were made by the secretary of such board.

SECTION 402.MEETINGS.

402 A.Frequency.

Each board of trustees shall hold not fewer than three regular meetings a year and may hold such additional meetings as may be deemed desirable.[See G.S. 116-32]

402 B.Rules of Procedure.

Each board of trustees shall determine its own rules of procedure and may delegate to such committees as it may create such of its powers as it deems appropriate.The board of trustees may convene in closed session, consistent with state law and policy.

402 C.Keeping Board of Governors Informed.

The secretary of each board of trustees shall keep the Board of Governors, through the secretary of the University, fully and promptly informed concerning activities of the board of trustees, including notice of any changes in the membership of the board or in its committee structure or bylaws, and notices of meetings.

402 D.Notice of Committee Meetings

Each board of trustees shall provide timely notice of each of its meetings and committee meetings to every member of that board of trustees.

SECTION 403.POWERS AND DUTIES.

403 A.General Powers and Duties.

Each board of trustees shall promote the sound development of its institution within the functions prescribed for it, helping it to serve the people of the state in a way that will complement the activities of the other institutions and aiding it to perform at a high level of excellence in every area of endeavor.Each board of trustees shall serve as advisor to the Board of Governors on matters pertaining to its institution and shall also serve as advisor to the chancellor concerning the management and development of the institution.[See G.S. 116-33]

403 B.Other Powers and Duties.

Each board of trustees shall have such other powers and duties, not inconsistent with other provisions of this Code or with applicable provisions of state law, as shall be defined and delegated by the Board of Governors.[See G.S. 116-33 and G.S. 116-11(13) and (14)]


[1]Fifteen trustees in the case of the University of North Carolina School of the Arts.[See G.S. 116-65]Twenty-seven trustees in the case of the North Carolina School of Science and Mathematics. [See G.S. 116-233 et seq.]

The Code: 100.1, Amended 05/17/17

CHAPTER V - OFFICERS OF THE UNIVERSITY

CHAPTER V - OFFICERS OF THE UNIVERSITY

SECTION 500.ELECTION OF OFFICERS.

500 A.President and Staff.

  1. The Board of Governors shall elect a president of the University of North Carolina [See G.S. 116-14(a)], whose compensation shall be fixed by the Board of Governors.
  2. The Board of Governors, on nomination of the president, shall elect and fix the compensation of such professional members of the presidential staff as may be deemed necessary to administer the affairs and execute the policies of the University of North Carolina unless the Board has otherwise delegated this authority to the president.These staff members shall include such senior vice presidents and other vice presidents and officers as may be deemed desirable.[See G.S. 116-14(b)]
  3. In addition, the president shall employ such other personnel, subject to the provisions of Chapter 126 of the North Carolina General Statutes ("State Human Resources Act"), as may be deemed necessary to assist the officers of the University in administering the affairs and executing the policies of the University of North Carolina.[See G. S. 116-14(b)]
  4. The professional staff complement shall be established by the board on recommendation of the president to ensure that there are persons on the staff who have the professional competence and experience to carry out the duties assigned and to ensure that there are persons on the staff who are familiar with the problems and capabilities of all of the principal types of institutions represented in the University of North Carolina.Provision shall be made for persons of high competence and strong professional experience in such areas as academic affairs, public-service programs, business and financial affairs, institutional studies and long-range planning, student affairs, research, legal affairs, health affairs and institutional development, and for state and federal programs administered by the board.[See G.S. 116-14(b)]

500 B.Chancellors and Staffs.[7]

  1. The Board of Governors shall elect, on nomination of the president, the chancellor of each of the constituent institutions and fix the chancellor’s compensation.The president shall make a nomination from a list of not fewer than two names recommended by the institutional board of trustees. [See G. S. 116-11(4)]
  2. Unless the Board of Governors has delegated this authority to the president or to an institutional board of trustees, the Board of Governors shall, on recommendation of the president and of the appropriate institutional chancellor, appoint and fix the compensation of all vice chancellors, senior academic and administrative officers, and persons having permanent tenure.[See G.S. 116-11(5) and 116-40.22(b)]

SECTION 501.PRESIDENT OF THE UNIVERSITY.

501 A.General Authority.

The president of the University of North Carolina shall be the chief administrative and executive officer of the University.[See G.S. 116-14(a)]The president shall have complete authority to manage the affairs and execute the policies of the University of North Carolina and its constituent institutions, subject to the direction and control of the Board of Governors and the provisions of this Code.The president shall personally represent before the state, the region and the nation the ideals and the spirit of the University of North Carolina.As the chief executive, the president shall be the official administrative spokesperson for and the interpreter of the University to the alumni and alumnae as a whole, the news media, the educational world, and the general public.The president shall be responsible for the presentation and interpretation of all University policies, recommendations, and requests to the General Assembly, the governor, state officers and commissions, and the federal government.

501 B.Relation of the President to the Board of Governors.

  1. The president, as the chief executive officer of the University, shall perform all duties prescribed by the Board of Governors.The president shall be responsible to the Board of Governors for the prompt and effective execution of all laws relating to the University of North Carolina and of all resolutions, policies, rules, and regulations adopted by the board for the operation of the University of North Carolina and for the government of any and all of its constituent institutions, and the president’s discretionary powers shall be broad enough to meet the extensive responsibilities of the presidency.
  2. The president shall make recommendations to the Board of Governors with respect to the adoption, modification, revision or reversal of policies, rules, and regulations applicable to the University of North Carolina and any or all of its constituent institutions.To this end, the president shall establish and maintain agencies of inquiry and administrative lines of communication, which include the constituent institutions, to ensure prompt perception of needs for problem identification and analysis, decision, and policy formulation.
  3. The president shall prepare and submit to the Board of Governors such reports and recommendations concerning the University of North Carolina and its constituent institutions as the president may deem wise or as the board may require.
  4. The president shall attend and may participate in, without the privilege of voting, the meetings of the Board of Governors and its various committees, and the president may attend the meetings of all the boards of trustees.
  5. The president shall be the official administrative medium of communication between the Board of Governors and all individuals, officials, agencies, and organizations, both within and without the University and its constituent institutions.
  6. The president, consistent with the provisions of Section 500 B(2), shall make nominations for all appointments that are to be acted upon by the Board of Governors and shall make recommendations for all promotions, salaries, transfers, suspensions, and dismissals that are to be acted upon by the board. The board reserves the right, in all instances, to act on its own initiative.
  7. The president shall assume, and retain at all times, control over the budget of the University of North Carolina, subject to the direction and control of the Board of Governors.The president shall prepare the proposed budget of the University of North Carolina and shall submit such proposed budget to the Board of Governors for approval; administrative procedures uniformly applicable to all institutions shall be established by the president to ensure that each institution has full opportunity to provide information and advice concerning the formulation of such proposed budget.The president shall be responsible for the presentation and explanation of budget requests approved by the Board of Governors to the director of the budget and the Advisory Budget Commission, the General Assembly and its committees, officers, and members. The president shall be responsible for the execution of the budget of the University of North Carolina as approved by the General Assembly.All revisions of the budget which require approval of the Advisory Budget Commission shall be acted upon by the Board of Governors on recommendation of the president.
  8. The president, with the approval of the Board of Governors, shall appoint an advisory committee composed of representative presidents of the private colleges and universities of the state.[See G.S. 116-14(c)]

501 C.Relation of the President to the University.

  1. The president shall be the leader of the University of North Carolina and its constituent institutions and shall coordinate the activities of all constituent institutions in accordance with the principle of allocated functions prescribed by the Board of Governors.The president shall promote the general welfare and development of the University in its several parts and as a whole.
  2. The president shall be a member of, and shall have the privilege of attending meetings of, all faculties of the constituent institutions of the University of North Carolina.
  3. In the absence of policies prescribed by the Board of Governors, the president shall resolve all issues of jurisdiction and dispute among the constituent institutions of the University.
  4. Repealed.
  5. The president may refer for investigation, report, and advice any question of University concern to any council, faculty, or scientific, extension, or administrative staff.
  6. The medium for official communications between the president and the constituent institutions of the University shall be the respective chancellors.
  7. The president shall establish administrative organizations to carry out the policies of the University and shall interpret these organizations to the Board of Governors and to the officers and faculties of the University.The president shall ensure that the University and its constituent institutions are properly staffed with personnel competent to discharge their responsibilities effectively.In carrying out the president’s duties and responsibilities, the president shall be assisted by staff officers and by the chancellors of the constituent institutions.The president shall prescribe the duties and assignments of the staff officers reporting to the president.The president may establish and define the duties of all-University councils and committees to advise and assist the president in the execution of the president’s duties.The president may delegate to other officers portions of the president’s duties and responsibilities, with the required authority for their fulfillment.However, such delegation shall not reduce the president's overall responsibility for those portions of duties which the president may choose to delegate.

SECTION 502.CHANCELLORS OF CONSTITUENT INSTITUTIONS.

502 A.General Authority.

The administrative and executive head of each constituent institution shall be the chancellor, who shall exercise complete executive authority therein, subject to the direction of the president.The chancellor shall be responsible for carrying out policies of the Board of Governors and of the board of trustees.[See G.S. 116-34(a)]

502 B.Relation of the Chancellor to the Board of Governors and the President.

  1. It shall be the duty of the chancellor to keep the president, and through the president the Board of Governors, fully informed concerning the operations and needs of the institution. Upon request, the chancellor shall be available to confer with and make reports to the president or with the Board of Governors concerning matters that pertain to the institution.[See G.S. 116-34(c)]
  2. The chancellor shall make recommendations for development of the educational programs of the institution [See G.S. 116-34(d)] and shall serve as general adviser to the president, and through the president the Board of Governors, with respect to all programs and activities of the institution.
  3. The chancellor shall be responsible to the president for the administration of the institution, including the enforcement of the decisions, actions, policies, and regulations of the Board of Governors applicable to the institution.
  4. Subject to policies prescribed by the Board of Governors and by the institutional board of trustees, the chancellor shall make recommendations for the appointment of personnel within the institution.[See G.S. 116-34(d)]With respect to all personnel matters, including appointments, promotions, removals, and compensation for the institution's academic, administrative, and other staffs, which are required to be acted upon by the Board of Governors, the chancellor shall make recommendations to the president.
  5. The chancellor shall present to the president all matters concerning the institution which are to be considered by the Board of Governors or any of its committees.In accordance with prescribed administrative procedures uniformly applicable to all institutions, the chancellor shall participate in the development of the proposed budget of the University of North Carolina.
  6. The chancellor shall be the official medium of communication between the president and all deans, heads or chairs of departments, directors, and all other administrative officers, faculty members, students, and employees.

502 C.Relation of the Chancellor to the Board of Trustees.

  1. It shall be the duty of the chancellor to attend all meetings of the board of trustees and to be responsible for keeping the board of trustees fully informed on the operation of the institution and its needs.[See G.S. 116-34(b)]
  2. The chancellor shall submit such reports to the board of trustees as the chancellor may deem wise or as the board may require.The chancellor shall seek the counsel of the board of trustees concerning the affairs of the institution.
  3. The chancellor shall be responsible to the board of trustees for enforcing all policies, rules, and regulations of the board of trustees.
  4. The chancellor shall be the official medium of communication between the board of trustees and all individuals, officials, agencies, and organizations, both within and without the institution.

502 D.Relation of the Chancellor to the Constituent Institution.

  1. Subject to policies established by the Board of Governors, the institutional board of trustees, or the president, the chancellor; shall be the leader of and the official spokesperson for the institution; shall promote the educational excellence and general development and welfare of the institution; shall define the scope of authority of faculties, councils, committees, and officers of the institution; and all projects, programs, and institutional reports to be undertaken on behalf of the institution shall be subject to the chancellor’s authorization and approval.
  2. The chancellor shall be a member of all faculties and other academic bodies of the institution and shall have the right to preside over the deliberations of any legislative bodies of the faculties of the institution.

    The chancellor shall be responsible for ensuring that there exists in the institution a faculty council or senate, a majority of whose members are elected by and from the members of the faculty.The general faculty, however, which shall include at least all full-time faculty and appropriate administrators, may function as the council or senate.The faculty shall be served by a chair elected either by the general faculty or by the council or senate.However, the chancellor may attend and preside over all meetings of the council or senate.The council or senate may advise the chancellor on any matters pertaining to the institution that are of interest and concern to the faculty.

    In addition to ensuring the establishment of a council or senate, the chancellor shall ensure the establishment of appropriate procedures within the institution to provide members of the faculty the means to give advice with respect to questions of academic policy and institutional governance, with particular emphasis upon matters of curriculum, degree requirements, instructional standards, and grading criteria.The procedures for giving advice may be through the council or senate, standing or special committees or other consultative means.

  3. Subject to any policies or regulations of the Board of Governors or of the board of trustees, it shall be the duty of the chancellor to exercise full authority in the regulation of student affairs and student conduct and discipline.In the discharge of this duty, delegation of such authority may be made by the chancellor to faculty committees and to administrative or other officers of the institution, or to agencies of student government, in such manner and to such extent as may by the chancellor be deemed necessary and expedient.In the discharge of the chancellor’s duty with respect to matters of student discipline, it shall be the duty of the chancellor to secure to every student the right to due process.Appeals from these disciplinary decisions are allowable only on the following grounds:
    1. A violation of due process; or
    2. A material deviation from the Minimum Substantive and Procedural Standards for Student Disciplinary Procedures, Section 700.4.1 of the UNC Policy Manual.

Where the sanction is suspension or expulsion, an appeal may be made to the board of trustees.No appeal to the president or Board of Governors is permitted.


[7]The merger of an institution into the University of North Carolina under Chapter 1244 of the 1971 Session Laws or the establishment of the North Carolina School of Science and Mathematics as a constituent institution under S.L. 2006-66 shall not impair any term of office, appointment, or employment of any administrative, instructional, or other personnel of the institution.Effective July 1, 1972, the title president and vice president of each constituent institution shall be changed to chancellor and vice chancellor, and the tenures of persons occupying these positions shall continue subject to the other provisions of this Code.[See Sec. 18, Ch. 1244, 1971 Session Laws]

The Code: 100.1, Amended 03/23/18, Amended 07/27/18

CHAPTER VI- ACADEMIC FREEDOM AND TENURE

CHAPTER VI- ACADEMIC FREEDOM AND TENURE

SECTION 600FREEDOM AND RESPONSIBILITY IN THE UNIVERSITY COMMUNITY.

  1. The University of North Carolina is dedicated to the transmission and advancement of knowledge and understanding. Academic freedom is essential to the achievement of these purposes.The University therefore supports and encourages freedom of inquiry for faculty members and students, to the end that they may responsibly pursue these goals through teaching, learning, research, discussion, and publication, free from internal or external restraints that would unreasonably restrict their academic endeavors.
  2. The University and each constituent institution shall protect faculty and students in their responsible exercise of the freedom to teach, to learn, and otherwise to seek and speak the truth.
  3. Faculty and students of the University of North Carolina shall share in the responsibility for maintaining an environment in which academic freedom flourishes and in which the rights of each member of the academic community are respected.

SECTION 601.ACADEMIC FREEDOM AND RESPONSIBILITY OF FACULTY.

  1. It is the policy of the University of North Carolina to support and encourage full freedom, within the law, of inquiry, discourse, teaching, research, and publication for all members of the academic staffs of the constituent institutions. Members of the faculty are expected to recognize that accuracy, forthrightness, and dignity befit their association with the University and their position as men and women of learning.They should not represent themselves, without authorization, as spokespersons for the University of North Carolina or any of its constituent institutions.
  2. The University and its constituent institutions shall not penalize or discipline members of its faculties because of the exercise of academic freedom in the lawful pursuit of their respective areas of scholarly and professional interest and responsibility.

SECTION 602.ACADEMIC TENURE.[8]

  1. To promote and protect the academic freedom of its faculty, the board of trustees of each constituent institution shall adopt policies and regulations governing academic tenure.Policies adopted by a board of trustees regarding academic tenure and promotion shall be effective upon review by the senior vice president for academic affairs and the vice president and general counsel, and approved by the president.The chancellor shall review the constituent institution’s tenure policies periodically, but at least every five years, and shall report to the president whether or not amendments or revisions are appropriate.The chancellor shall involve the faculty in this review.
  2. In all instances, the tenure conferred on a faculty member is held with reference to employment by a constituent institution, rather than to employment by the University of North Carolina.
  3. The tenure policies and regulations of each constituent institution[9] shall prescribe the procedures by which decisions concerning appointment, reappointment, promotion, and the conferral of permanent tenure shall be made.The length of terms of appointment that do not carry permanent tenure and those faculty ranks or titles whose holders shall be eligible for permanent tenure shall be prescribed.The institutional policies and regulations also shall prescribe the intervals at which the review of candidates for reappointment and promotion, including the conferral of permanent tenure, shall occur.The tenure policies and regulations of each institution, which shall include the complete text of Chapter VI of The Code, shall be published by the institution and distributed to its faculty members.
  4. The tenure policies and regulations of each institution shall set forth the general considerations upon which appointment, reappointment, promotion, and permanent tenure are to be recommended.The institutional regulations shall provide that these considerations shall include an assessment of at least the following: the faculty member's demonstrated professional competence, the faculty member’s potential for future contribution, and institutional needs and resources.
  5. The institutional policies and regulations shall specify that permanent tenure may be conferred only by action of the president and the Board of Governors, or by such other agencies or officers as may be delegated such authority by the Board of Governors.[10]
  6. Institutional tenure policies and regulations shall distinguish among the following:
    1. the nonreappointment (or nonrenewal) of a faculty member at the expiration of a specified term of service;
    2. the discharge from employment of a faculty member with permanent tenure or of a faculty member appointed to a specified term of service before that term expires only for reasons of (i) incompetence, (ii) neglect of duty, or (iii) misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty, as specified in Code Section 603;
    3. the termination of employment for reasons of institutional financial exigency or major curtailment or elimination of a teaching, research, or public-service program of a faculty member who has permanent tenure, or of a faculty member who has been appointed to a specified term of service before that term expires; and
    4. retirement.
  7. Institutional tenure policies and regulations shall provide that the appointment, reappointment, or promotion of a faculty member to a position funded in whole or in substantial part from sources other than continuing state budget funds or permanent trust funds shall specify in writing that the continuance of the faculty member's services, whether for a specified term or for permanent tenure, shall be contingent upon the continuing availability of such funds.The institutional tenure policies and regulations may make one or more of the following exceptions to the foregoing contingency requirement:
    1. That such a contingency shall not be included in a promotion to a higher rank if, before the effective date of that promotion, the faculty member had permanent tenure and no such condition is attached to the tenure.
    2. That such a contingency shall not be attached to the faculty member’s contract if the faculty member held permanent tenure in that institution on July 1, 1975, and the contract was not contingent upon the continuing availability of sources other than continuing state budget or permanent trust funds.
    3. That such a contingency may be waived for health affairs faculties because of the unusual dependence of programs in the health professions on income from sources such as clinical receipts.

      If a faculty member's appointment is terminated because of the nonavailability of these funds, the institution will make every reasonable effort to give the same notice as set forth in Section 605 B(1).This notice shall include the pertinent data upon which the termination is based.

  8. The tenure policies and regulations of each institution shall be subject to approval by the president.The president periodically shall review and re-evaluate these policies and regulations and report findings and recommendations, if any, to the Committee on Personnel and Tenure and through the committee to the Board of Governors.

SECTION 603.DUE PROCESS BEFORE DISCHARGE OR THE IMPOSITION OF SERIOUS SANCTIONS.

  1. A faculty member who is the beneficiary of institutional guarantees of tenure shall enjoy protection against unjust and arbitrary application of disciplinary penalties.During the period of such guarantees the faculty member may be discharged from employment, suspended without pay, or demoted in rank for reasons of:
    1. Incompetence, including significant, sustained unsatisfactory performance after the faculty member has been given an opportunity to remedy such performance and fails to do so within a reasonable time;
    2. Neglect of duty, including sustained failure to meet assigned classes or to perform other significant faculty professional obligations; or
    3. Misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty, including violations of professional ethics, mistreatment of students or other employees, research misconduct, financial fraud, criminal, or other illegal, inappropriate or unethical conduct.To justify serious disciplinary action, such misconduct should be either (i) sufficiently related to a faculty member’s academic responsibilities as to disqualify the individual from effective performance of university duties, or (ii) sufficiently serious as to adversely reflect on the individual’s honesty, trustworthiness or fitness to be a faculty member.

      These sanctions may be imposed only in accordance with the procedures prescribed in this section. For purposes of this Code, a faculty member serving a stated term shall be regarded as having tenure until the end of that term.These procedures shall not apply to nonreappointment (Section 604) or termination of employment (Section 605).

  2. Procedures for the Imposition of Discharge or Serious Sanction.
    1. The chief academic officer of the institution, however titled, shall send the faculty member a written notice of intention to discharge the faculty member or impose a serious sanction together with a written specification of the reasons.The notice and specification of reasons shall be sent by a method of mail or delivery that requires a signature for delivery.The statement shall include notice of the faculty member’s right, upon request, to a hearing by an elected standing faculty committee on hearings.When the faculty member has been notified of the institution's intention to discharge the faculty member, the chancellor shall have the sole discretion to either reassign the faculty member to other duties or to place the faculty member on administrative leave with pay.Placement of a faculty member on administrative leave with pay shall be in exceptional circumstances, such as to avoid disruption in the work place or protect the safety of members of the campus community.
    2. If, within 14 calendar days after receiving the notice and written specifications referred to in paragraph (a) above, the faculty member makes no written request for a hearing, the faculty member may be discharged or serious sanction imposed without recourse to any institutional grievance or appellate procedure.[11]
    3. If the faculty member makes a timely written request for a hearing, the chancellor shall ensure a process is in place so that the hearing is timely accorded before an elected standing committee of the institution’s faculty.The hearing shall be on the written specification of reasons for the intended discharge or imposition of a serious sanction.The hearing committee shall accord the faculty member 30 calendar days from the time it receives the faculty member’s written request for a hearing to prepare a defense.The hearing committee may, upon the faculty member’s written request and for good cause, extend this time by written notice to the faculty member.The hearing committee will ordinarily endeavor to complete the hearing within 90 calendar days except under unusual circumstances such as when a hearing request is received during official university breaks and holidays and despite reasonable efforts the hearing committee cannot be assembled.12
    4. The hearing shall be closed to the public unless the faculty member and the hearing committee agree that it may be open.The faculty member shall have the right to counsel, to present the testimony of witnesses and other evidence, to confront and cross-examine adverse witnesses, to examine all documents and other adverse demonstrative evidence, and to make argument.A written transcript of all proceedings shall be kept; upon request, a copy thereof shall be furnished to the faculty member at the institution's expense.
    5. The chief academic officer, or designee, and/or counsel, may participate in the hearing to present testimony of witnesses and other evidence, to cross-examine witnesses, to examine all documents and other evidence, and to make argument.
    6. The hearing committee shall make written recommendations to the chancellor within 14 calendar days after its hearing concludes or after the full transcript is received, whichever is later.In reaching its written recommendations to the chancellor, the committee shall consider only the evidence presented at the hearing and such written or oral arguments as the committee, in its discretion, may allow.The university has the burden of proof.In evaluating the evidence, the committee shall use the standard of “clear and convincing” evidence in determining whether the institution has met its burden of showing that permissible grounds for serious sanction exist and are the basis for the recommended action.
    7. Following receipt of the committee’s written recommendations, the decision as to whether to discharge or impose serious sanction on the faculty member is the chancellor’s.If the chancellor decides to discharge the faculty member, the institution’s obligation to continue paying the faculty member’s salary shall cease upon issuance of the chancellor’s decision.If the chancellor decides to impose one or more serious sanctions upon the faculty member, the institution may impose such sanctions upon issuance of the chancellor’s decision.If the chancellor concurs in a recommendation of the committee that is favorable to the faculty member, the chancellor’s decision shall be final, with no appeal available.If the chancellor either declines to accept a committee recommendation that is favorable to the faculty member or concurs in a committee recommendation that is unfavorable to the faculty member, the faculty member may appeal the chancellor's decision to the board of trustees.An appeal must contain a brief statement that alleges one or more of the following as the basis for the appeal: (1) that the process for making the decision was materially flawed, so as to raise questions about whether the faculty member’s contentions were fairly and reliably considered; (2) that the result reached by the chancellor was clearly erroneous; or (3) that the decision was contrary to controlling law or policy. If the faculty member elects to appeal the chancellor’s decision to the board of trustees, this appeal shall be transmitted through the chancellor and be addressed to the chair of the board.Notice of appeal shall be filed with the board of trustees by certified mail, return receipt requested, or by another means that provides proof of delivery, within 14 calendar days after the faculty member receives the chancellor's decision.
  3. Appeals of Decisions Imposing Discharge or Serious Sanction. The appeal to the board of trustees shall be decided by the full board of trustees.However, the board may delegate the duty of conducting an initial review to a standing or ad hoc committee of at least three members.The board of trustees, or its committee, shall consider the appeal on the based on the record of the proceedings below, and may, in its discretion, consider written or oral arguments, subject to any policies, regulations or guidelines as may be adopted by the Board of Governors, president, or board of trustees.The board of trustees’ decision shall be made as soon as reasonably possible after the chancellor has received the faculty member’s request for an appeal to the trustees.This decision shall be the end of the University’s appeals process.
  4. The procedures prescribed herein shall take effect with any discharge or serious sanction proposed on or after July 1, 2019.

SECTION 604.APPOINTMENT, NONREAPPOINTMENT AND REQUIREMENTS OF NOTICE AND REVIEW FOR TENURE TRACK FACULTY.12.1

604 A.Notice of Reappointment or Nonreappointment.

  1. The decision not to reappoint a faculty member at the expiration of a fixed term of service shall be made by the appropriate institutional faculty and administrative officers early enough to permit timely notice to be given.12.2 For full-time faculty at the rank of instructor, assistant professor, associate professor, or professor, the minimum requirement for timely notice shall be as follows:
    1. During the first year of service at the institution, the faculty member shall be given not less than 90 calendar days’ notice before the employment contract expires; and
    2. During the second year of continuous service at the institution, the faculty member shall be given not less than 180 calendar days' notice before the employment contract expires; and
    3. After two or more years of continuous service at the institution, the faculty member shall be given not less than 12 months' notice before the employment contract expires.
  2. Notice of reappointment or nonreappointment shall be written. If the decision is not to reappoint, then failure to give timely notice of nonreappointment will oblige the chancellor thereafter to offer a terminal appointment of one academic year.

604 B.Impermissible Reasons for Nonreappointment.

In no event shall a decision not to reappoint a faculty member be based upon (1) the exercise by the faculty member of rights guaranteed by the First Amendment to the United States Constitution, or by Article I of the North Carolina Constitution; or (2) the faculty member's race, color, sex, religion, creed, national origin, age, disability, veteran’s status, or other forms of discrimination prohibited under policies adopted by campus boards of trustees; or (3) personal malice.For purposes of this section, the term “personal malice” means dislike, animosity, ill-will, or hatred based on personal characteristics, traits, or circumstances of an individual.

604 C.Review of Nonreappointment Decisions.

  1. Campus-Based Review.Subject to limitations contained in this Code and the policies of the Board of Governors, each constituent institution shall have a procedure whereby a tenure track faculty member may seek review of the decision of the constituent institution not to reappoint the faculty member.Such procedures shall at a minimum provide for the following:
    1. A reasonable time of no less than 14 calendar days within which after receiving the notice of nonreappointment, the faculty member may request review of the decision by appropriate faculty committee and administrative officers. If the faculty member does not request review of the notice of nonreappointment in a timely fashion as specified by campus tenure policies, the nonreappointment is final without recourse to any further review by faculty committees, the institution, or the Board of Governors.
    2. If the faculty member files a request for review in a timely fashion, the chancellor shall ensure a process is in place so that a hearing is timely accorded before an elected standing committee of the institution’s faculty.
    3. In reaching written recommendations to the chancellor, the committee shall consider only the evidence presented at the hearing and such written or oral arguments as the committee, in its discretion, may allow.The faculty member shall have the burden of proof.In evaluating the evidence the committee shall use the standard of preponderance of the evidence (which is the same as the greater weight of the evidence).
    4. The purpose of the campus-based review process is to determine (i) whether the decision was based on considerations that The Code provides are impermissible; and (ii) whether the procedures followed to reach the decision materially deviated from prescribed procedures such that doubt is cast on the integrity of the decision not to reappoint.
  2. Appeal to the Board of Trustees.If the chancellor concurs in a recommendation of the committee that is favorable to the faculty member, the chancellor’s decision shall be final with no appeal available.If the chancellor either declines to accept a committee recommendation that is favorable to the faculty member or concurs in a committee recommendation that is unfavorable to the faculty member, the faculty member may appeal the chancellor’s decision by filing a written notice of appeal with the board of trustees. This appeal shall be transmitted through the chancellor and be addressed to the chair of the board of trustees, by submitting such notice by certified mail, return receipt requested, or by another means that provides proof of delivery, within 14 calendar days after the faculty member’s receipt of the chancellor’s decision.The notice must contain a brief statement that alleges one or more of the following as the basis for the appeal: (a) that the campus-based process for reviewing the decision was materially flawed, so as to raise questions about whether the faculty member’s contentions were fairly and reliably considered; (b) that the result reached by the chancellor was clearly erroneous; or (c) that the decision was contrary to controlling law or policy.
  3. The procedures prescribed in this section shall take effect with any nonreappointment decision effective on or after July 1, 2019.

SECTION 605.TERMINATION OF FACULTY EMPLOYMENT.

605 A.Definition.

The tenure policies and regulations of each institution shall provide that the employment of faculty members with permanent tenure or of faculty members appointed to a fixed term may be terminated by the institution because of (1) demonstrable, bona fide institutional financial exigency or (2) major curtailment or elimination of a teaching, research, or public-service program. "Financial exigency" is defined as a significant decline in the financial resources of the institution that is brought about by decline in institutional enrollment or by other action or events that compel a reduction in the institution's current operations budget. The determination of whether a condition of financial exigency exists or whether there shall be a major curtailment or elimination of a teaching, research, or public-service program shall be made by the chancellor, after consulting with the academic administrative officers and faculties as required by Section 605 C (1), subject to the concurrence by the President and then approval by the Board of Governors. If the financial exigency or curtailment or elimination of program is such that the institution's contractual obligation to a faculty member may not be met, the employment of the faculty member may be terminated in accordance with institutional procedures that afford the faculty member a fair hearing on that decision.13

605 B.Timely Notice of Termination.

  1. When a faculty member's employment is to be terminated because of major curtailment or elimination of a teaching, research, or public-service program and such curtailment or elimination of program is not founded upon financial exigency, the faculty member shall be given timely notice as follows:
    1. one who has permanent tenure shall be given not less than 12 months' notice; and
    2. one who was appointed to a fixed term and does not have permanent tenure shall be given notice in accordance with the requirements specified in Section 604 A(1).
  2. When a faculty member's employment is to be terminated because of financial exigency, the institution will make every reasonable effort, consistent with the need to maintain sound educational programs and within the limits of available resources, to give the same notice as set forth in Section 605 B(1).
  3. For a period of two years after the effective date of termination of a faculty member's contract for any of the reasons specified in Section 605 A, the institution shall not replace the faculty member without first offering the position to the person whose employment was terminated. The offer shall be made by a method of delivery that requires a signature for delivery, and the faculty member will be given 30 calendar days after attempted delivery of the notice to accept or reject the offer.

605 C.Institutional Procedures.

The institution shall establish regulations governing termination procedures. These regulations shall include provisions incorporating the following requirements:

  1. If it appears that the institution will experience an institutional financial exigency or needs seriously to consider a major curtailment or elimination of a teaching, research, or public-service program, the chancellor or chancellor’s delegate shall first seek the advice and recommendations of the academic administrative officers and faculties of the departments or other units that might be affected.
  2. In determining which faculty member's employment is to be terminated for reasons set forth in Section 605 A, the chancellor shall give consideration to tenure status, to years of service to the institution, and to other factors deemed relevant, but the primary consideration shall be the maintenance of a sound and balanced educational program that is consistent with the functions and responsibilities of the institution.
  3. An individual faculty member whose employment is to be terminated shall be notified of this fact in writing. This notice shall include a statement of the conditions requiring termination of employment, a general description of the procedures followed in making the decision, and a disclosure of pertinent financial or other data upon which the decision was based.
  4. A reconsideration procedure shall be provided that affords the faculty member whose employment is to be terminated a fair hearing on the termination if the faculty member alleges that the decision to terminate was arbitrary or capricious.
  5. The institution, when requested by the faculty member, shall give reasonable assistance in finding other employment for a faculty member whose employment has been terminated.
  6. A faculty member whose employment is terminated pursuant to this Section 605 may appeal the reconsideration decision to the board of trustees of the constituent institution.

SECTION 606.RETIREMENT OF FACULTY.

Faculty may retire in accordance with the provisions of Chapter 135 of the North Carolina General Statutes.

SECTION 607.FACULTY GRIEVANCE COMMITTEE FOR CONSTITUENT INSTITUTIONS.

  1. The chancellor of each constituent institution shall provide for the establishment of a faculty grievance committee.The faculty grievance committee shall be elected by the faculty with members elected from each professorial rank.No officer of administration shall serve on the committee.For purposes of this section, "officer of administration" shall be deemed to include department chairs and department heads.
  2. The committee shall be authorized to hear and advise with respect to the adjustment of grievances of members of the faculty.The power of the committee shall be solely to hear representations by the persons directly involved in a grievance, to facilitate voluntary adjustment by the parties, and to advise adjustment by the administration when appropriate.Advice for adjustment in favor of an aggrieved faculty member may be given to the chancellor only after the dean, department head, or other administrative official most directly empowered to adjust it has been given similar advice and has not acted upon it within a reasonable time.
  3. "Grievances" within the province of the committee's power shall include matters directly related to a faculty member's employment status and institutional relationships within the constituent institution, including matters related to post-tenure review.However, no grievance that grows out of or involves matters related to a formal proceeding for the suspension, discharge or termination of a faculty member, or that is within the jurisdiction of another standing faculty committee, may be considered by the committee.
  4. If any faculty member has a grievance, the faculty member may petition the faculty grievance committee for redress.The petition shall be written and shall set forth in detail the nature of the grievance and against whom the grievance is directed.It shall contain any information that the petitioner considers pertinent to the case.The committee shall decide whether the facts merit a detailed investigation so that submission of a petition shall not result automatically in an investigation or detailed consideration of the petition.
  5. If, before this section is established, the faculty of an institution has adopted a faculty grievance procedure that in its judgment is adequate to its needs, it may retain that procedure in place of the one specified above.
  6. If neither the relevant administrative official nor the chancellor makes an adjustment that is advised by the faculty grievance committee in favor of the aggrieved faculty member, then the faculty member may appeal to the board of trustees of the constituent institution.The decision of the board of trustees is final.

SECTION 608.STUDENTS' RIGHTS AND RESPONSIBILITIES.

  1. The University of North Carolina affirms that the first goal of each constituent institution is to educate the students admitted to its programs.The freedom of students to learn is an integral and necessary part of the academic freedom to which the University and its constituent institutions are dedicated.Each constituent institution shall provide, within allotted functions and available resources, opportunity for its students to derive educational benefits through developing their intellectual capabilities, encouraging their increased wisdom and understanding, and enhancing their knowledge and experience applicable to the effective discharge of civic, professional, and social responsibilities.No constituent institution shall abridge either the freedom of students engaged in the responsible pursuit of knowledge or their right to fair and impartial evaluation of their academic performance.
  2. All students shall be responsible for conducting themselves in a manner that helps to enhance an environment of learning in which the rights, dignity, worth, and freedom of each member of the academic community are respected.
  3. In applying regulations in the area of student discipline, each constituent institution shall adhere to the requirements of due process as set forth in Section 502 D of this Code.

SECTION 609.JURISDICTION OF THE BOARD OF GOVERNORS.

609 A.Discretionary Review.

The Board of Governors may make such inquiry and review into matters as it may from time to time deem appropriate; provided, however, that the Board of Governors shall not review matters or actions that are subject to separate processes under Chapter VI or any other chapter of The Code, or for which a designated review, grievance, or hearing process has been established by the UNC Policy Manual, including but not limited to student disciplinary matters, research misconduct matters, other employment matters, first amendment matters, misuse of state funds reports, or audit and compliance matters.Moreover, it is the Board of Governors expectation that campus matters will be appropriately addressed at the constituent institution.Therefore, it is only in extraordinary circumstances, as solely determined by the Board of Governors that the Board of Governors will exercise its discretion to review any matter that has not first been brought to the attention of the designated institutional administrator, chancellor, or president for appropriate review and handling.

609 B.Hearings.

The Board of Governors may in its sole discretion conduct hearings.Any hearing, whether before the full board or a designated standing or special committee of the board, shall be limited to such matters as the Board of Governors shall deem appropriate.

609 C.Transmission of Appeals

All appeals addressed to or requests for hearings by the Board of Governors, from whatever source, shall be transmitted through the president.

SECTION 610.RIGHTS OF SPECIAL FACULTY MEMBERS

  1. Faculty members who are appointed as visiting faculty members, adjunct faculty, lecturers, artists-in-residence, writers-in-residence or other special categories are regarded as “special faculty members” for purposes of the University Code.Special faculty members may be paid or unpaid.
  2. Special faculty members who are paid shall be appointed for a specified term of service, as set out in writing in the letter of appointment.The term of appointment of any paid special faculty member concludes at the end of the specified period set forth in the letter of appointment, and the letter of appointment constitutes full and timely notice that a new term will not be granted when that term expires.
  3. Special faculty members who are not paid may be appointed for a specified term of service or at will.Their pay and appointment status should be set out in the letter of appointment.
  4. During the term of their employment, special faculty members are entitled to seek recourse under Section 607 of the University Code (relating to faculty grievances).
  5. Special faculty members, whether paid or unpaid, are not covered by Section 604 of the University Code, and that section does not accord them rights to additional review of a decision by a constituent institution not to grant a new appointment at the end of a specified fixed term.

SECTION 611.REVIEW OF PERSONNEL ACTIONS AFFECTING SPECIFIED EMPLOYEES EXEMPT FROM THE STATE PERSONNEL ACT (EPA)

  1. Review Processes.Certain non-faculty employees, as described in sub-section (b) below, who are exempt from the State Personnel Act, may seek review under procedures provided for by this section in the event that the employee is discontinued, terminated, or discharged from employment, suffers other adverse personnel action, or is not appointed following the end of a term appointment.Each constituent institution shall develop procedures applicable to employees of the constituent institution, and General Administration shall develop procedures applicable to those of its employees who are covered by this section.Such procedures shall, at a minimum, provide for the following:
    1. A reasonable time within which a covered employee or former employee may file a request for review, after receiving notice of a personnel action covered by this section.If a covered person does not timely file a written request for review, then the personnel action is final without recourse to any institutional review, appeal or grievance procedure.
    2. Covered persons may seek review of personnel actions based on allegations that:

      (A)For Senior Academic and Administration Officers defined only in UNC Policy 300.1.1 I.B., for discontinuations, expiration of term appointments, or terminations of employment with notice, such review may be sought only upon allegations of violations of applicable notice requirements set out in policies 300.1.1. III.B. 1., 2., and 3., of the University Policy Manual; and

      (B)For other employees exempt from the State Personnel Act, as described only in UNC Policy 300.2.1, for discontinuations, expiration of term appointments, or terminations of employment with notice, such review may be sought only upon allegations of violations of applicable notice requirements set out in policies 300.2.1 III. A., B., and C. of the University Policy Manual; or

      (A)For the Senior Academic and Administrative Officers defined in sub-section (i) above, for violations of any provision of sub-sections III.D. or E. of Policy 300.1.1 of the University Policy Manual, and

      (B)For the other employees exempt from the State Personnel Act defined directly above in sub-section (ii), for violations of any provision of sections V., or VI., of Policy 300.2.1 of the University Policy Manual; or

      (A)For the Senior Academic and Administrative Officers defined in sub-section (i) above, for discharge for cause or other disciplinary action, or for interpretation and application of a policy provision, all pursuant to and limited by policy 300.1.1 III.C. of the University Policy Manual, and

      (B)For the other employees exempt from the State Personnel Act defined above in sub-section (ii), for discharge for cause or other disciplinary action, or for interpretation and application of a policy provision, all pursuant to and limited by policy 300.2.1 IV. of the University Policy Manual; or

      except that for both groups such review may be sought only if the employee alleges the discharge, discipline, or policy interpretation or application was illegal or violated a policy of the Board of Governors.

    3. (i)Notice

      (ii)Equal Employment Opportunity and Protected Activity

      (iii)Discharge for Cause, Other Discipline, Policy Interpretation/Application

    4. If the employee or former employee timely files a written request for review, the president (as to an employee of General Administration) or chancellor (as to an employee of a constituent institution), shall ensure a process is in place so that a hearing is timely accorded before a hearing committee.
    5. In reaching decisions on which its written recommendations to the president (as to an employee of General Administration) or chancellor (as to an employee of a constituent institution), as appropriate, shall be based, the committee shall consider only the evidence presented at the hearing and such written or oral arguments as the committee, in its discretion, may allow.The employee or former employee has the burden of proof.In evaluating the evidence, the committee shall use the standard of preponderance of the evidence (which is the same as the “greater weight of the evidence.”)
  2. Appeal to the Board of Trustees or Board of Governors.
    1. For employees of a constituent institution, if the chancellor concurs in a recommendation of the committee that is favorable to the employee, the chancellor’s decision shall be final. If the chancellor either declines to accept a committee recommendation that is favorable to the employee or concurs in a committee recommendation that is unfavorable to the employee, the employee may appeal within 14 calendar days after receiving the chancellor’s written decision, by filing with the chancellor for transmission to the Board of Trustees a written notice of appeal, including a brief statement of the basis for the appeal, by certified mail, return receipt requested, or by another means that provides proof of delivery,and alleges as set out in sub-section (1)(b) above.The decision of the Board of Trustees is final with no further appeal.
    2. For employees of General Administration, if the president concurs in a recommendation of the committee that is favorable to the employee, the president’s decision shall be final. If the president either declines to accept a committee recommendation that is favorable to the employee or concurs in a committee recommendation that is unfavorable to the employee, the employee may appeal within 14 calendar days after receiving the president’s written decision, by filing with the president for transmission to the Board of Governors a written notice of appeal, including a brief statement of the basis for appeal, by certified mail, return receipt requested, or by another means that provides proof of delivery, and alleges as set out in sub-section (1) above. The decision of the Board of Governors is final with no further appeal.

[8]Pursuant to NCGS § 116-11(13), and notwithstanding The Code or any other Board of Governors policy, the Board of Governors delegates certain authorities to the President of the University.See Policy 200.6, Delegation Authority to the President of the University, adopted 11/13/06, amended 06/08/07.

[9]Because of the unique character and mission of the University of North Carolina School of the Arts and of the North Carolina School of Science and Mathematics, the requirement that the institution adopt tenure policies will be satisfied at those institutions by an employment system based on renewable contracts, which system need not provide for the traditional faculty ranks.Wherever the phrase “tenure policies and regulations” is used in this chapter, it shall mean, for the School of the Arts and for the School of Science and Mathematics, the faculty employment policies of those schools.Wherever the phrase “tenured faculty” is used in this chapter and in the Policies of the Board of Governors, it shall mean, for those schools, a faculty member holding a fixed-term contract.

[10]See Footnote 8 on previous page.

[11] In computing any period of time, the day in which notice is received is not counted but the last day of the period being computed is to be counted.

12 To meet this deadline, faculty are encouraged to consider scheduling hearings during the evening, weekend, or other non-class time. It is strongly recommended that several days and times be established for the hearing when scheduling the first day, for the eventuality that they hearing may take two or more sessions.

12.1Because of the unique character and mission of the University of North Carolina School of the Arts and of the North Carolina School of Science and Mathematics, regular faculty holding fixed-term contracts at those institutions are entitled to the rights afforded in this section.

12.2Faculty at North Carolina School of Science and Mathematics shall be given notice no later than February 15 of the reappointment year.

13Because of the unique character and mission of the North Carolina School of Science and Mathematics, when the employment of a faculty member is to be terminated during or at the conclusion of a fixed-term contract because of major curtailment or elimination of a teaching, research, or public-service program that is not founded upon financial exigency, written notice shall be given no later than the November 1 prior to termination.When faculty employment is to be terminated during or at the conclusion of a fixed-term contract because of financial exigency, the School shall make every reasonable effort, consistent with the need to maintain sound educational programs and within the limits of available resources, to give notice no later than the November 1 prior to termination.Terminations at the end of a fixed-term contract for the reasons stated above in this footnote are not subject to Section 604 of The Code, but instead are subject to Section 605.

The Code: 100.1

CHAPTER VII - FINANCES, PROPERTY, AND OBLIGATIONS

CHAPTER VII - FINANCES, PROPERTY, AND OBLIGATIONS

SECTION 700.BUDGETS AND APPROPRIATIONS.

700 A.Budget Recommendations.

The Board of Governors shall develop, prepare, and present to the governor, the Advisory Budget Commission, and the General Assembly a single, unified recommended budget for all of public senior higher education.The recommendations shall consist of requests in three general categories:(i) funds for the continuing operation of each constituent institution, (ii) funds for salary increases for employees exempt from the State Personnel Act, and (iii) funds requested without reference to constituent institutions, itemized as to priority and covering such areas as new programs and activities, expansions of programs and activities, increases in enrollments, increases to accommodate internal shifts and categories of persons served, capital improvements, improvements in levels of operation, and increases to remedy deficiencies, as well as other areas.[See G.S. 116-11(9)a]

700 B.Appropriations and Allocations.

Funds for the continuing operation of each constituent institution shall be appropriated directly to the institution.Funds for salary increases for employees exempt from the State Personnel Act shall be appropriated to the Board of Governors in a lump sum for allocation to the institutions.Funds for the third category in Section 700 A above, shall be appropriated to the Board of Governors in a lump sum.The Board of Governors shall allocate to the institutions any funds appropriated, said allocation to be made in accordance with the board's schedule of priorities; provided, however, that when both the board and the Director of the Budget deem it to be in the best interest of the state, funds in the third category may be allocated, in whole or in part, for other items within the list of priorities or for items not included in the list.[See G.S. 116-11(9)b]

700 C.Transfers of Appropriated Funds.

The director of the budget may, on recommendation of the Board of Governors, authorize transfer of appropriated funds from one institution to another to provide adjustments for over- or under-enrollment or may make any other adjustment among institutions that would provide for the orderly and efficient operation of the institutions.[See G.S. 116-11(9)c]

SECTION 701.TUITION AND FEES.

The Board of Governors shall set tuition and required fees at the constituent institutions, not inconsistent with actions of the General Assembly, in such amount or amounts as it may deem best, taking into consideration the nature of each institution and program of study and the cost of equipment and maintenance; and each institution shall charge and collect from each student, at the beginning of each semester or quarter, tuition, fees, and an amount sufficient to pay other expenses for the term.[See G.S. 116-11(7) and 116-143]Consistent with the North Carolina constitutional mandate, the benefits of the University of North Carolina shall be extended to the people of the state free of expense, as far as practicable.[See N. C. Constitution, Art. IX, Sec. 9]

SECTION 702.GENERAL POWERS CONCERNING PROPERTY.

702 A.Corporate Powers.

The Board of Governors shall have the powers, relating to the acquisition, use and disposition of property, set forth in Chapter I, Section 101 of this Code.

702 B.Statutory Powers.

Subject to applicable state law and to the terms and conditions of the instruments under which property is acquired, the Board of Governors may acquire, hold, convey or otherwise dispose of, invest and reinvest any and all real and personal property, with the exception of any property that may be held by trustees of institutional endowment funds under the provisions of G.S. 116-36 or that may be held, under authority delegated by the Board of Governors, either by a board of trustees or by trustees of any other endowment or trust fund.[See G.S. 116-11(2)]

702 C.Transfer of Property and Obligations.

All property of whatsoever kind and all rights and privileges held by the former Board of Higher Education and by the former boards of trustees of Appalachian State University, East Carolina University, Elizabeth City State University, Fayetteville State University, North Carolina Agricultural and Technical State University, North Carolina Central University, University of North Carolina at Pembroke,[14] University of North Carolina School of the Arts,[15] Western Carolina University and Winston-Salem State University, as said property, rights and privileges may have existed immediately prior to July 1, 1972, are, effective July 1, 1972, transferred to and vested in the Board of Governors.All obligations of whatsoever kind of the former Board of Higher Education and of the former boards of trustees of Appalachian State University, East Carolina University, Elizabeth City State University, Fayetteville State University, North Carolina Agricultural and Technical State University, North Carolina Central, University of North Carolina at Pembroke, University of North Carolina School of the Arts, Western Carolina University and Winston-Salem State University, as said obligations may have existed immediately prior to July 1, 1972, are, effective July 1, 1972, transferred to and assumed by the Board of Governors.Any property, real or personal, held immediately prior to July 1, 1972, by a board of trustees of a constituent institution for the benefit of that institution or by the University of North Carolina for the benefit of any one or more of its six institutions, shall, from and after July 1, 1972, be kept separate and distinct from other property held by the Board of Governors, shall continue to be held for the benefit of the institution or institutions that were previously the beneficiaries, and shall continue to be held subject to the provisions of the respective instruments, grants, or other means of process by which any property right was acquired. All property of whatsoever kind and all rights and privileges held by the Board of Trustees of the North Carolina School of Science and Mathematics, as said property, rights and privileges may have existed immediately prior to July 1, 2007, are, effective July 1, 2007, transferred to and vested in the Board of Governors of The University of North Carolina.All obligations of whatsoever kind of the Board of Trustees of the North Carolina School of Science and Mathematics as said obligations may have existed immediately prior to July 1, 2007, are, effective July 1, 2007, transferred to and assumed by the Board of Governors of The University of North Carolina.In case a conflict arises as to which property, rights, or privileges were held for the beneficial interest of a particular institution, or as to the extent to which such property, rights, or privileges were so held, the Board of Governors shall determine the issue, and the determination of the Board of Governors shall constitute final administrative action.Nothing in this Code shall be deemed to increase or diminish the income, other revenue, or specific property which is pledged, or otherwise hypothecated, for the security or liquidation of any obligations, it being the intent that the Board of Governors shall assume said obligations without thereby either enlarging or diminishing the rights of the holders thereof.[See G.S. 116-12]

702 D.Limitation on Exercise of Powers.

The power and authority granted to the Board of Governors with regard to the acquisition, operation, maintenance, and disposition of real and personal property shall be subject to, and exercised in accordance with, the provisions of Chapters 143 and 146 of the General Statutes.[See G.S. 116-13]

SECTION 703.IMMUNITIES.

703 A.Tax Exemption.

The lands and other property belonging to the University of North Carolina shall be exempt from all kinds of public taxation.[See N. C. Constitution, Art. V, Sec. 2(3) and G.S. 116-16]

703 B.Tort Liability.

The University of North Carolina is not liable for any tort claims except as provided for by law.[See generally G.S. 143-291, et seq. and G.S. 116-40. 2]

SECTION 704.ENDOWMENT FUND.

Each board of trustees is authorized to establish and maintain, pursuant to the requirements of state law and such terms and conditions as the Board of Governors may from time to time prescribe, permanent endowment funds for its institutions.[See G.S. 116-36]

SECTION 705.ANNUITY OR RETIREMENT INCOME CONTRACTS.

Notwithstanding any provision of law relating to salaries and/or salary schedules for the pay of faculty members, administrative officers, or any other employees of universities, colleges, and institutions of higher learning as named and set forth in this Code and other state agencies qualified as educational institutions under 501 (c)(3) of the United States Internal Revenue Code, the Board of Governors may authorize the business officer or agent for each constituent institution of the University of North Carolina to enter into annual contracts with any of the faculty members, administrative officers, and employees of said institutions of higher learning which provide for a reduction in salary below the total established compensation or salary schedule for a term of one year.The financial officer or agent shall use the funds derived from the reduction in the salary of the faculty member, administrative officer, or employee to purchase a nonforfeitable annuity or retirement income contract for the benefit of said faculty member, administrative officer, or employee.A faculty member, administrative officer, or employee who has agreed to a salary reduction for this purpose shall not have the right to receive the amount of the salary reduction in cash or in any other way except the annuity or retirement income contract.Funds used for the purchase of an annuity or retirement income contract shall not be in lieu of any amount earned by the faculty member, administrative officer, or employee before the individual’s election for a salary reduction has become effective.The agreement for salary reductions referred to herein shall be effected under any necessary regulations and procedures adopted by the Board of Governors.The amount by which the salary of any faculty member, administrative officer, or employee is reduced pursuant to this section shall not be excluded, but shall be included, in computing and making payroll deductions for social security and retirement system purposes, and in computing and providing matching funds for retirement system purposes.[See G.S. 116-17]

SECTION 706.REVENUE BONDS.

The Board of Governors shall have authority, subject to such limitations and restrictions as may be established by state law, to issue revenue bonds and special obligation bonds.Revenue bonds may be issued for service and auxiliary facilities, student housing, student activities, physical education, and recreation facilities.[See G.S. 116-41.1 et seq., 116-175 et seq., and 116-187 et seq.]Special obligation bonds may be issued for the construction, renovation, improvement or expansion of any capital facilities located or to be located at a constituent or any affiliated institution of the University for the purposes of carrying out the mission of that institution.[See G.S. 116D-21 et seq.]


[14] Designated as Pembroke State University prior to July 1, 1996.

[15]Designated as North Carolina School of the Arts prior to August 1, 2008.

The Code: 100.1

CHAPTER VIII - MATTERS INVOLVING NONPUBLIC INSTITUTIONS

CHAPTER VIII - MATTERS INVOLVING NONPUBLIC INSTITUTIONS

SECTION 800.LICENSING POST-SECONDARY DEGREE ACTIVITY.

800 A.Institutions Required to Be Licensed.

All institutions conducting post-secondary degree activity in this state that are not subject to Chapters 115C or 115D of the General Statutes, nor some section of Chapter 116 of the General Statutes other than G.S. 116-15, shall be subject to licensure by the Board of Governors under the standards of G.S. 116-15 unless exempt therefrom by one or another provision of G.S. 116-15.[See G.S. 116-15]

800 B.Regulatory Authority in the Board.

The Board of Governors shall establish such rules, regulations, and procedures as it may deem necessary or appropriate to effectuate the provisions of G.S. 116-15.[See G.S. 116-15(i)]These shall include the following:

  1. The form of the license by which an institution may be authorized to conduct post-secondary degree activity. [See G.S. 116-15(a) and (b)]
  2. Procedures under which an institution may seek to establish its exemption from licensure.[See G.S. 116-15(c), (d), and (e)]
  3. Procedures under which an institution may seek to prove satisfaction of the standards for licensure.[See G.S. 116-15(f)]
  4. Procedures through which the review of institutions previously licensed by the board may be conducted.[See G.S. 116-15(g)]
  5. Procedures for the denial, revocation, and continuation of licensure.[See G.S. 116-15(h)]

800 C.Enforcement Authority in the Attorney General.

The Board of Governors shall call to the attention of the attorney general, for such action as the attorney general may deem appropriate, any institution failing to comply with the requirements of G.S. 116-15.[See G.S. 116-15(j)]

SECTION 801.ASSESSMENT OF NEEDS AND REVIEW OF REQUESTS.

The Board of Governors shall assess the contributions and needs of the non-public colleges and universities of the state and shall give advice and recommendations to the General Assembly to the end that the resources of these institutions may be utilized in the best interest of the state.[See G.S. 116-11(11)]

SECTION 802.FINANCIAL AID.

DELETED – see G.S. 116-19 through 116-22

The Code: 100.1, Revised 3/20/09

CHAPTER IX - MISCELLANEOUS PROVISIONS

CHAPTER IX - MISCELLANEOUS PROVISIONS

SECTION 900. THE UNIVERSITY OF NORTH CAROLINA HEALTH CARE SYSTEM

900 A.Composition.

There is established the University of North Carolina Health Care System to provide patient care, facilitate the education of physicians and other health-care providers, conduct research collaboratively with the health sciences schools of the University of North Carolina at Chapel Hill, and render other services designed to promote the health and well-being of the citizens of North Carolina. The University of North Carolina Hospitals at Chapel Hill and the clinical patientcare programs established or maintained by the School of Medicine of the University of North Carolina at Chapel Hill shall be governed by the Board of Directors of the University of North Carolina Health Care System composed of both at-large and ex-officio members.

Vacant at-large positions shall be filled by the appointment of persons from the business and professional public-at-large who have special competence in business management, hospital administration, health-care delivery, or medical practice or who otherwise have demonstrated dedication to the improvement of health care in North Carolina, and who are neither members of the Board of Governors, members of the board of trustees of a constituent institution of the University of North Carolina, nor officers or employees of the state.No less than nine and no more than 21 members at large, which number to be determined by the Board of Directors, shall be appointed by the president of the University, and ratified by the Board of Governors, from among a slate of nominations made by the Board of Directors of the University of North Carolina Health Care System, said slate to include at least twice as many nominees as there are vacant positions to be filled.No at-large member may be appointed to more than two full four-year terms in succession.Any vacancy in an unexpired term shall be filled by an appointment made by the president, and ratified by the Board of Governors, upon the nomination of the Board of Directors, for the balance of the term remaining.

A minimum of six members ex-officio shall be the president of the University of North Carolina (or the president’s designee); the chief executive officer of the health care system; two administrative officers of the University of North Carolina at Chapel Hill designated by the chancellor; and two members of the faculty of the School of Medicine of the University of North Carolina at Chapel Hill designated by the dean of the School of Medicine; provided, that if not such a member ex-officio by virtue of holding one or more of the offices aforementioned, additional ex-officio memberships shall be held by the president of the University of North Carolina Hospitals at Chapel Hill and the dean of the School of Medicine of the University of North Carolina at Chapel Hill, for a total potential ex-officio membership of eight.[See G.S. 116-37(a) and (b)]

900 B. Meetings and Powers of Board.

The Board of Directors of the University of North Carolina Health Care System shall meet at least every 60 days and may hold special meetings at any time and place within the state at the call of the chair.The Board of Directors, with each ex-officio and at-large member having a vote, shall elect a chair from among the at-large members, for a term of two years; no person shall be eligible to serve as chair for more than three terms in succession.In meeting the patient-care, educational, research, and public-service goals of the University of North Carolina Health Care System, the Board of Directors is authorized to exercise such authority and responsibility and adopt such policies, rules and regulations as it deems necessary and appropriate, not inconsistent with the provisions of G.S. 116-37, this Code, or the other policies of the Board of Governors.The Board of Directors may adopt policies that make the authorities and responsibilities established herein or by statute separately applicable either to the University of North Carolina Hospitals at Chapel Hill or to the clinical patient care programs of the School of Medicine of the University of North Carolina at Chapel Hill, or to both.The board may authorize any component of the University of North Carolina Health Care System, including the University of North Carolina Hospitals at Chapel Hill, to contract in its individual capacity, subject to such policies and procedures as the Board of Directors may direct.The Board of Directors may enter into formal agreements with the University of North Carolina at Chapel Hill with respect to the provision of clinical experience for students and for the provision of maintenance and supporting services.The board’s action on matters within its jurisdiction is final, except that appeals may be made, in writing, to the Board of Governors with a copy of the appeal to the chancellor of the University of North Carolina at Chapel Hill.The Board of Directors shall keep the Board of Governors and the Board of Trustees of the University of North Carolina at Chapel Hill fully informed about health care policy and recommend changes necessary to maintain adequate health care delivery, education and research for improvement of the health of the citizens of North Carolina.[See G.S. 116-37 (b)]

900 C. Officers.

The executive and administrative head of the University of North Carolina Health Care System shall have the title of ‘chief executive officer’.The Board of Directors, in cooperation with the Board of Trustees and the chancellor of the University of North Carolina at Chapel Hill, following such search process as the boards and the chancellor deem appropriate, shall identify two or more persons as candidates for the office, who, pursuant to criteria agreed upon by the boards and the chancellor, have the qualifications for both the positions of chief executive officer and vice chancellor for medical affairs of the University of North Carolina at Chapel Hill.The names of the candidates shall be forwarded by the chancellor to the president who, if satisfied with the quality of one or more of the candidates, will nominate one as chief executive officer, subject to selection by the Board of Governors.The chief executive officer shall have complete executive and administrative authority to formulate proposals for, recommend the adoption of, and implement policies governing the programs and activities of the University of North Carolina Health Care System, subject to all requirements of the Board of Directors.[See G.S. 116-37(c)]The chief executive officer shall serve at the pleasure of the Board of Governors which may terminate the chief executive officer’s appointment (as distinguished from such person’s joint appointment, if any, as vice chancellor for medical affairs of the University of North Carolina at Chapel Hill) on its own initiative or upon recommendation of the Board of Directors or the president of the University: provided, that in all instances, the Board of Governors shall consult with the Board of Directors prior to terminating the appointment of the chief executive officer.

The executive and administrative head of the University of North Carolina Hospitals at Chapel Hill shall have the title of “president of the University of North Carolina Hospitals at Chapel Hill.”The Board of Directors shall elect, on nomination of the chief executive officer, the president of the University of North Carolina Hospitals at Chapel Hill, and such additional administrative and professional staff employees as may be deemed necessary to assist in fulfilling the duties of the office of the chief executive officer, all of whom shall serve at the pleasure of the chief executive officer.[See G.S. 116-37(c)]

The Board of Governors, on recommendation of the president of the University and of the Board of Directors, shall fix the compensation of the chief executive officer.On recommendation of the chief executive officer and the Board of Directors, with the concurrence of the president of the University, the Board of Governors shall fix the compensation of the president of the University of North Carolina Hospitals at Chapel Hill.

900 D.Health Care System Personnel.

Employees of the University of North Carolina Health Care System shall be deemed to be employees of the state and shall be subject to all provisions of state law relevant thereto; provided, however, that except as to the provisions of Articles 5, 6, 7, and 14 of Chapter 126 of the General Statutes, the provisions of Chapter 126 shall not apply to employees of the University of North Carolina Health Care System, and the policies and procedures governing the terms and conditions of employment of such employees shall be adopted by the Board of Directors.[See G.S. 116-37(d)]

900 E.Health System Finances.

The University of North Carolina Health Care System shall be subject to the provisions of the Executive Budget Act.The chief executive officer, subject to the Board of Directors, shall be responsible for all aspects of budget preparation, budget execution, and expenditure reporting.The preparation and execution of the budget shall be subject to the requirements of Section 501B(7) of this Code. [See G.S. 116-37(e)]

900 F. Health Care System Purchases.

Notwithstanding the provisions of Articles 3, 3A, and 3C of Chapter 143 of the General Statutes to the contrary, the Board of Directors shall establish policies and regulations governing the purchasing requirements of the University of North Carolina Health Care System.These policies and regulations shall provide for requests for proposals, competitive bidding, or purchasing by means other than competitive bidding, contract negotiations, and contract awards for purchasing supplies, materials, equipment, and services which are necessary and appropriate to fulfill the clinical, educational, research, and community service missions of the University of North Carolina Health Care System.[See G.S. 116-37(h)]

900 G.Health Care System Property.

The Board of Directors shall establish rules and regulations for acquiring or disposing of any interest in real property for the use of the University of North Carolina Health Care System.These rules and regulations shall include provisions for development of specifications, advertisement, and negotiations with owners for acquisition by purchase, gift, lease, or rental, but not by condemnation or exercise of eminent domain, on behalf of the University of North Carolina Health Care System.Acquisitions and disposition of any interest in real property pursuant to this section shall not be subject to the provisions of Article 36 of Chapter 143 of the General Statutes or the provisions of Chapter 146 of the General Statutes.[See G.S. 116-37(i)]

900 H.Health Care System Property -- Construction.

Notwithstanding G.S. 143-341(3) and G.S. 143-135.1, the Board of Directors shall adopt policies and procedures with respect to the design, construction, and renovation of buildings, utilities, and other property developments of the University of North Carolina Health Care System requiring the expenditure of public money.[See G.S. 116-37(j)]

SECTION 901.UNIVERSITY OF NORTH CAROLINA SCHOOL OF THE ARTS.16

901 A.Policy.

It is declared to be the policy of the state to foster, encourage and promote, and to provide assistance for, the cultural development of the citizens of North Carolina, and to this end the General Assembly has created and provided for a training center for instruction in the performing arts.[See G.S. 116-63]

901 B.Establishment.

There is established, and there shall be maintained, a school for the professional training of students having exceptional talent in the performing arts which shall be defined as an educational institution of the state, to serve the students of North Carolina and other states, particularly other states of the South.The school shall be designated the "University of North Carolina School of the Arts."17 [See G.S. 116-64]

901 C.Board of Trustees.

The University of North Carolina School of the Arts is a constituent institution of the University of North Carolina and subject to the provisions of this Code; provided, however, that notwithstanding the provisions of Chapter IV of this Code, the Board of Trustees of said school shall consist of 15 persons, 13 of whom are selected in accordance with provisions of said Chapter IV, one of whom shall be the conductor of the North Carolina Symphony and one of whom shall be the secretary of the Department of Cultural Resources, each of the latter two serving ex-officio and non-voting.[See G.S. 116-65]

901 D.Powers of Board.

The Board of Governors and the Board of Trustees of the school shall be advised and assisted by the State Board of Education.Entrance requirements shall be prescribed so that the professional training offered shall be available only to those students who possess exceptional talent in the performing arts.In developing curricula, the school shall utilize, pursuant to agreement with institutions of higher education or with any local administrative school unit, existing facilities and such academic nonarts courses and programs of instruction as may be needed by the students of the school, and, at the discretion of the Board of Governors, personnel may be employed jointly with any such institution or unit on a cooperative, cost-sharing basis.Curricula below the collegiate level shall be developed with the advice and approval of the State Board of Education and in consultation with the advisory board of the school.The school shall confer and cooperate with the Southern Regional Education Board and with other regional and national organizations to obtain wide support and to establish the school as the center in the South for the professional training and performance of artists.The chancellor of the school shall preferably be a noted composer or dramatist.[See G.S. 116-66]

901 E.Endowment Fund.

The Board of Trustees is authorized to establish a permanent endowment fund, and shall perform such duties in relation thereto as are prescribed by the provisions of Chapter VII of this Code.[See G.S. 116-68]

901 F.Purpose of School Program.

The primary purpose of the school shall be the professional training, as distinguished from liberal arts instruction, of talented students in the fields of music, drama, the dance, and allied performing arts, at both the high school and college levels of instruction, with emphasis placed upon performance of the arts, and not upon academic studies of the arts.The said school may also offer high school and college instruction in academic subjects, and such other programs as are deemed necessary to meet the needs of its students and of the state, consistent with appropriations made and gifts received therefore, and may cooperate, if it chooses, with other schools which provide such courses of instruction.The school, on occasion, may accept elementary grade students of rare talent, and shall arrange for such students, in cooperation with an elementary school, a suitable educational program.[See G.S. 116-69]

SECTION 902.NORTH CAROLINA SCHOOL OF SCIENCE AND MATHEMATICS.

902 A.Policy

It is declared to be the policy of the State to foster, encourage, promote, and provide assistance in the development of skills and careers in science and mathematics among the people of the State. [See G.S.116-230.1]

902 B.Re-Establishment

The North Carolina School of Science and Mathematics is reestablished as a constituent high school of The University of North Carolina, effective July 1, 2007, and shall thereafter be governed by the Board of Governors and a Board of Trustees.[See G.S. 116-231]

902 C.Board of Trustees

The School is a constituent institution of the University of North Carolina and subject to the provisions of this Code; provided, however, that notwithstanding the provisions of Chapter IV of this Code, the Board of Trustees of the School shall consist of 27 persons as provided by law.The Board of Governors shall appoint 21 members as follows:13 members, one from each congressional district; four members without regard to residency; three members, ex officio and voting, who shall be the chief academic officers, or their designee, respectively, of three constituent institutions designated by the Board of Governors in 1985 and quadrennially thereafter; and one member, ex officio and voting, who shall be the chief academic officer of a college or university in North Carolina other than a constituent institution and designated by the Board of Governors in 1985 and quadrennially thereafter.The Chancellor shall serve ex officio and non-voting as the Secretary of the Board.[See G.S. 116-233]

902 D.Powers of Board

In addition to the powers enumerated in this Code, the Board of Trustees shall establish the standard course of study for the School and regulations governing class size, the instructional calendar, the length of the instructional day, and the number of instructional days in each term.The Board shall establish criteria, standards and procedures for the admission of students who are legal residents of North Carolina, ensuring insofar as possible without jeopardizing admission standards, that an equal number of qualified applicants is admitted to the program and to the residential summer institutes in science and mathematics from each of North Carolina's congressional districts.The Board shall adopt compulsory attendance policies consistent with North Carolina law and rules of student conduct.The Chancellor, other administrative officers, and all teachers, substitute teachers, voluntary teachers, teacher aides and assistants, and student teachers in the School may use reasonable force in the exercise of lawful authority to restrain or correct pupils and maintain order. [See G.S. 116-235]

902 E.Endowment Fund

The Board of Trustees is authorized to establish a permanent endowment fund, and shall perform such duties in relation thereto as are prescribed by the provisions of Chapter VII of this Code.[See G.S. 116-68]

902 F.Purposes of the School.

The purposes of the School shall be to foster the educational development of North Carolina high school students who are academically talented in the areas of science and mathematics and show promise of exceptional development and global leadership through participation in a residential educational setting emphasizing instruction in the areas of science and mathematics; and to provide instruction, methods, and curricula designed to improve teaching and learning in North Carolina and the nation with an emphasis on distance education and programs that expand pathways for students into careers in science and mathematics. [See G.S. 116-232]

902 G.Tuition and Mandatory Fees

Neither the Board of Governors of The University of North Carolina nor its Board of Trustees shall impose any tuition or fee at the North Carolina School of Science and Mathematics without the approval of the General Assembly. [See G.S. 116-143]Service charges are permitted in accordance with University policy.

902 H.Educational Advisory Council

The Board of Trustees is authorized to establish an Educational Advisory Council, which shall give advice and counsel to the Chancellor and the Board of Trustees.The School shall invite membership, ex officio, of the State Superintendent of the Department of Public Instruction, or designee, and the chairman of the State Board of Education, or designee, and other persons who are scientists, mathematicians, public school representatives, or other persons having an interest in the School and desiring to contribute to its work.


16Designated as North Carolina School of the Arts prior to August 1, 2008.

17Designated as North Carolina School of the Arts prior to August 1, 2008.

The Code: 100.1, Revised 3/20/09

Appendix 1 - DELEGATIONS OF DUTY AND AUTHORITY TO BOARDS OF TRUSTEES

Appendix 1 - DELEGATIONS OF DUTY AND AUTHORITY TO BOARDS OF TRUSTEES

Pursuant to authority vested in it by the General Statutes, and consistent with the provisions of The Code of the University of North Carolina, the Board of Governors hereby delegates to the boards of trustees of the constituent institutions of the University of North Carolina the following duties and powers:

  1. ACADEMIC AND ADMINISTRATIVE PERSONNEL
    1. Appointment and Compensation
      1. Upon recommendation of the chancellor, the board of trustees of a special responsibility constituent institution with management flexibility for personnel appointments shall, for all positions exempt from the State Personnel Act except the position of the chancellor, appoint, promote, and set the compensation for such employees consistent with the policies and salary ranges set by the Board of Governors and the regulations and guidelines established by the Office of the President.
      2. Personnel actions at a constituent institution, other than a special responsibility constituent institution with management flexibility, shall be governed as follows:
        1. With respect to all faculty positions with permanent tenure and all senior administrative positions, namely vice chancellors, provosts, deans and directors of major educational and public service activities, the chancellor, following consultation with the board of trustees, shall forward to the president recommendations with respect to such appointments, promotions, and compensation; if the president concurs in such recommendations, the president shall forward them to the Board of Governors for approval. Notwithstanding the requirements of this paragraph, a board of trustees may promote in rank a faculty member with permanent tenure, upon the recommendation of the chancellor, and without approval by the Board of Governors.
        2. With respect to all faculty and administrative positions other than those identified in subparagraph 2a above, and other than those subject to the State Personnel Act, the chancellor shall forward the chancellor’s recommendations for appointment, promotion and compensation to the board of trustees; subject to applicable provisions of the University Code and to such policies as may be established by the Board of Governors, the action of the board of trustees with respect to such personnel actions shall be final.
    2. Discharge or Suspension

      Subject to regulations of the board of trustees and consistent with applicable policies of the Board of Governors, all discharges or suspensions of faculty members and administrative personnel, other than those subject to the State Personnel Act, shall be effected by the chancellor.A discharged or suspended employee shall have such rights of appeal from the action of the chancellor as may be prescribed by the University Code, policies of the Board of Governors, or regulations of the board of trustees.

    3. Personnel Policies

      The board of trustees may adopt personnel policies not otherwise prescribed by state law, the University Code, or policies of the Board of Governors, for personnel in all categories of university employment.Policies adopted by a board of trustees regarding academic tenure and promotion shall be effective upon review by the senior vice president for academic affairs and the vice president and general counsel, and approved by the president.

    4. Chancellor Selection

      In the event of a vacancy in the chancellorship, the board of trustees shall establish, in consultation with the president, a search committee composed of representatives of the board of trustees, the faculty, the student body, staff, the alumni, the local community, and other campus constituencies as may be appropriate.Upon the establishment of the search committee, the chair of the board of trustees, in consultation with the president shall establish a budget and identify staff for the committee.

      The search committee, through the chair of the board of trustees, shall make a preliminary report to the president when the committee is preparing a schedule of initial interviews.At the completion of the campus interview process, the search committee shall recommend an unranked slate of three candidates to the trustees for consideration.

      The board of trustees, following receipt of the report of the search committee, shall recommend the unranked slate of three names for consideration by the president in designating a nominee for the chancellorship for approval by the Board of Governors, or return the slate to the search committee for further action.

  2. ACADEMIC PROGRAM

    The board of trustees shall be responsible for ensuring the institution's compliance with the educational, research, and public service roles assigned to it by the Board of Governors, either by express directive or by promulgated long-range plans of the Board of Governors.

  3. ACADEMIC DEGREES AND GRADING

    Subject to authorization by the Board of Governors of the nature and general content of specific degree programs which may be offered by an institution, each institution shall determine whether an individual student shall be entitled to receipt of a particular degree.Each institution also shall determine what grade a student will be assigned in a particular course. No appeal from any of these decisions or any other academic determination is allowable to the president or to the Board of Governors.

  4. HONORARY DEGREES, AWARDS AND DISTINCTIONS

    The board of trustees shall be responsible for approving the names of all individuals on whom it is proposed that an honorary degree or other honorary or memorial distinction be conferred by the institution, subject to such policies as may be established by the Board of Governors.

  5. BUDGET ADMINISTRATION

    The board of trustees shall advise the chancellor with respect to the development of budget estimates for the institution and with respect to the execution and administration of the budget of the constituent institution, as approved by the General Assembly and the Board of Governors.

  6. PROPERTY AND BUILDINGS

    The board of trustees of a constituent institution shall be responsible, subject to policies of the Board of Governors and all legal requirements relative to the construction of state-owned buildings, for the following matters concerning campus capital construction projects which have been approved by the Board of Governors and authorized by the state of North Carolina:(1) the selection of architects or engineers for buildings and improvements requiring such professional services; (2) the approval of building sites; (3) the approval of plans and specifications; and (4) the final acceptance of all completed buildings and projects.[1]

    The board of trustees shall be responsible to the Board of Governors for preparing and maintaining a master plan for the physical development of the institution, consistent with the total academic and service mission of the institution as defined and approved by the Board of Governors.

    Any proposal involving the acquisition or disposition by an institution of any interest in real property shall be recommended by the board of trustees to and shall be approved by the Board of Governors; provided, that:

    1. If a proposal involves acquisition or disposition of any interest in real property other than a leasehold, the board of trustees may authorize such a transaction with a value less than $500,000, and the president may authorize such a transaction with a value less than $750,000, without obtaining approval of the Board of Governors; and
    2. If a proposal involves acquisition or disposition of a leasehold interest in real property, the board of trustees may authorize such a transaction with an annual value less than $500,000 and a term of not more than 10 years, and the president may authorize such a transaction with annual value less than $750,000 and a term of not more than 10 years, without obtaining approval of the Board of Governors;[2] and
    3. If the president or a board of trustees of a constituent institution has been delegated additional authority by the Board of Governors to do so under Section 600.1.3 of the UNC Policy Manual, the president or board of trustees of a constituent institution may authorize acquisition or disposition of an interest in real property with a value greater than that listed in paragraphs (a) and (b), above, without obtaining approval of the Board of Governors.

      The Board of Governors, under circumstances which it considers appropriate and following notice from it to the board of trustees, may take action necessary to effect the acquisition or disposition of an interest in real property which is related to or which affects the institution, without receipt of a recommendation from the board of trustees.[3]

      All delegations of authority in this section are subject to any necessary authorizations and approvals from State officials and agencies.

  7. ENDOWMENTS AND TRUST FUNDS

    Subject to applicable provisions of state law and to such terms and conditions as may be prescribed from time to time by the Board of Governors, each board of trustees shall be responsible for the preservation, maintenance, and management of all properties, both real and personal, funds and other things of value which, either separately or in combination, constitute all or any part of the authorized endowment or trust funds, either currently in existence or to be established in the future, for the benefit of the individual constituent institution.[See G.S. 116-11(2); 116-12; 116-36; 116-36. 1; 116-36. 2; 116-36. 3]

  8. ADMISSIONS

    Subject to such enrollment levels and minimum general criteria for admission as may be established for a constituent institution by the Board of Governors, each constituent institution of the University of North Carolina shall establish admissions policies and resolve individual admission questions for all schools and divisions within the institution.No appeal concerning an individual admission case shall lie beyond the institutional board of trustees.

  9. TUITION, FEES, AND DEPOSITS
    1. General Authority of Boards of Trustees

      The boards of trustees of the constituent institutions other than the board of the North Carolina School of Science and Mathematics shall cause to be collected from each student, at the beginning of each semester, quarter, or term, such tuition, fees, and other amounts necessary to pay other expenses for the term, as have been approved by the Board of Governors.[See G.S. 116-11(7) and G.S. 116-143]

    2. Tuition and Fee Deposits

      Each board of trustees shall require the payment of such advance deposits, at such times and under such conditions as it determines are appropriate or as may be required by state law or by the Board of Governors.[See G.S. 116-143]

    3. Application Fee

      Each board of trustees shall require the payment of such nonrefundable application fees, in connection with each application for admission, as may be required by state law or by the Board of Governors.[See G.S. 116-143]

    4. Acceptance of Obligations in Lieu of Cash

      Subject to policies prescribed by the Board of Governors, the boards of trustees shall establish regulations concerning the acceptance of obligations of students, together with such collateral or security as may be deemed necessary or proper, in lieu of cash, in payment of tuition and fees.[See G.S. 116-143]

    5. Fee Recommendations

      Subject to policies prescribed by the Board of Governors, each board of trustees, in consultation with the chancellor, shall recommend to the president the amounts to be charged at the constituent institution for application, athletics, health services, student activities, educational and technology, retirement of debt incurred for capital improvements projects authorized by the General Assembly, course, and special fees.In carrying out this responsibility, each board of trustees and the chancellor shall ascertain that the benefits of the activity or service are commensurate with the recommended fee which is required to support the activity or service. Recommended fees should be consistent with the philosophy set forth in the North Carolina Constitution which states that the benefits of the University of North Carolina should be extended to the people of the state free of expense, as far as practicable.

  10. STUDENT FINANCIAL AID

    All scholarships and other forms of financial aid to students which are limited in their application to or are supported from sources generated by an individual campus shall be administered by the constituent institution pursuant to such regulations as may be prescribed by the board of trustees and subject to the terms of any applicable laws and to policies of the Board of Governors.

  11. STUDENT SERVICES

    Each board of trustees, upon recommendation of the chancellor, shall determine the type, level, and extent of student services (such as health care, athletic programs, and counseling) to be maintained for the benefit of students at the institution, subject to general provisions concerning types and levels of student services as may be prescribed by the Board of Governors.

  12. STUDENT ACTIVITIES AND GOVERNMENT

    Under such policies as may be prescribed by the Board of Governors and the board of trustees, the chancellor shall be responsible for the regulation and approval of organized, institutionally recognized student activities, the definition of roles and functions of any institutionally recognized system of student self-government and student participation in the governance of any aspect of the institutional programs and services.No appeal concerning such activities are allowable to the president or to the Board of Governors.

  13. INTERCOLLEGIATE ATHLETICS

    Subject to such policies as may be prescribed by the Board of Governors and the board of trustees, the chancellor shall be responsible for the establishment and supervision of the institution's program of intercollegiate athletics.

  14. TRAFFIC AND PARKING REGULATIONS[4]
  15. CAMPUS SECURITY

    Subject to applicable provisions of state law and such policies as may be adopted by the Board of Governors or the board of trustees, the chancellor shall be responsible for the maintenance of campus security.

  16. AUXILIARY ENTERPRISES, UTILITIES AND MISCELLANEOUS FACILITIES

Pursuant to applicable provisions of state law and policies of the Board of Governors, the boards of trustees of affected constituent institutions shall have authority and responsibility for the adoption of policies applicable to and the control and supervision of campus electric power plants and water and sewer systems, other utilities and facilities [G.S. 116-35], and child development centers [G.S. 116-38].


[1] See Section 600.1.1 of the UNC Policy Manual for additional detail.

[2] The value of an interest in real property shall, with respect to a leasehold interest, be deemed the annual rental value thereof.

[3] Board of trustees are authorized to delegate to the respective chancellors the power to authorize for the institutions the acquisition or disposition of any interest in real property valued at less than $50,000, subject to any necessary approval from state officials and agencies, in accordance with Section 600.1.3 of the UNC Policy Manual.

[4] Legislation adopted by the 1973 session of the General Assembly, on recommendation of the Board of Governors, gave the boards of trustees broad authority in this area and superseded the authority originally granted in this paragraph; hence it is omitted here.[See G.S. 116-44.3 et. seq.]

Chapter 100.1 - The Code: Appendix 1, CODE

100.2 Adoption of the UNC Policy Manual, Promulgation of Policies, and Use of Reporting Requirements

100.2 Adoption of the UNC Policy Manual, Promulgation of Policies, and Use of Reporting Requirements

The Board of Governors adopts the University of North Carolina Policy Manual (UNC Policy Manual) as the official document articulating Board of Governors policies and the administrative regulations and guidelines of the president.  Policies existing prior to the adoption of this policy and not included in the UNC Policy Manual are rescinded and are no longer in effect.

  1. Definitions
    1. Policies.  Policies direct the University of North Carolina, its constituent institutions, and affiliated entities according to the Board’s mission and philosophies.  Policies should articulate in a concise manner the official statement of the Board on issues it deems important to the governance of the University.  The Board of Governors is the only entity that may establish a policy of the University.
    2. Regulations.  Regulations are those rules or requirements of the president that the UNC System Office, the constituent institutions, and the designated affiliated entities are required to follow.
    3. Guidelines.  Guidelines are interpretations of policies or other requirements that are issued for the assistance of the UNC System Office, the constituent institutions, and the University’s affiliated entities in conducting the affairs of the University.
    4. Transmittal Letters.  Transmittal letters will be used to transmit new or amended policies, regulations, or guidelines to the campuses.  They will not contain information with long-term significance and will not be included in the UNC Policy Manual.  Transmittal letters will be sequentially numbered.
  2. Procedures for Adoption or Amendment of Policies, Regulations, and Guidelines
    1. Before the Board may adopt, amend, or repeal a policy, a standing or special committee of the Board must give notice of its proposed action concerning the policy by making a public announcement at a prior meeting of the Board or by notice given to members of the Board at least 28 days prior to the meeting at which action on the policy is proposed.  At the meeting of the Board at which the Board is to take action, the committee’s proposal may be adopted, adopted with amendments, or rejected.
    2. Regulations and guidelines pertaining to Board policies, or other matters not addressed by a policy, will be promulgated only by the president.  The terms "policy,"  "policies," or "procedures;" will not be used to designate regulations or guidelines.  Regulations or guidelines may be issued by the president on the president’s initiative or on the recommendation of a vice president after senior officers and staff designated by the president have had an opportunity to review and comment on the proposal.  All regulations and guidelines issued by the president will be signed and dated by the president.
  3. Limitation on Reporting Requirements in Policies, Regulations, and Guidelines
    1. The Board of Governors, the president, chancellors, and University staff require access to business information, data, and reports in order to carry out their responsibilities for the governance and leadership of the University and the constituent institutions. University boards and leadership should rely on business information and data systems for reporting and oversight. Any data collection and reporting requirements that are established by the Board or the president should: (1) inform decision-making; (2) be relevant to strategic priorities or federal or state regulatory requirements; (3) be cost effective compared to the reporting burden; (4) support risk management and risk mitigation; and (5) be directed to the appropriate University board or official, such as the Board of Governors, the president, the chancellor, or the board of trustees.
    2. It is the sense of the Board of Governors that University policies, regulations, and guidelines should generally not contain specific data collection and reporting requirements. When a clear need for a specific data collection and reporting requirement is identified, the president, as the chief administrative and executive officer of the University, may establish the requirement, and adjust or amend the requirement from time to time as the president deems appropriate. The president is encouraged to maintain and periodically update a master list of data collection and reporting requirements that is accessible to the leadership and staff and of the University and the constituent institutions who are responsible for fulfilling the requirements.
  4. Maintaining the UNC Policy Manual; Technical Corrections
    1. The senior vice president and general counsel will assign each policy, regulation, and guideline a number and the secretary of the University will incorporate it in the UNC Policy Manual.  The first page of every policy, regulation, or guideline shall note its promulgation date and dates of amendment.  Policies, regulations, guidelines, and amendments thereto, shall state an effective date if that date is different from the date of adoption.
    2. The secretary of the University will maintain a permanent record of each policy, regulation, and guideline adopted or amended by the Board of Governors or the president and will prepare a transmittal letter to transmit each to the senior officers, chancellors, and others, as designated by the president.  The secretary of the University will control the numbering of transmittal letters and will keep a permanent record of each transmittal letter and the accompanying policy, regulation or guideline.
    3. The UNC Policy Manual will be maintained in hard copy form and in a format accessible on the University’s website and will be updated regularly to include new or amended policies, regulations, and guidelines.
    4. The secretary of the University, in consultation with the senior vice president and general counsel, is authorized to make technical changes to the UNC Policy Manual as defined below:
      1. Correct typographical errors;
      2. Make conforming changes to names, titles, statutory and regulatory references, and other designations;
      3. Correct inconsistencies among policies that may result due to a more recent policy adoption, amendment, or rescission;
      4. Assure that Board delegations and resolutions are accurately reflected throughout The Code and the UNC Policy Manual; and
      5. Annotate policies, regulations, and guidelines to cross-reference other provisions of the UNC Policy Manual.

        Any corrections or changes that are made pursuant to this policy shall be summarized and reported in writing to the chair of the Board of Governors and the Committee on University Governance.

  5. Other Matters
    1. Effective Date.  The requirements of this policy shall be effective on the date of adoption by the Board of Governors.
    2. Relation to State Laws.  The foregoing policies as adopted by the Board of Governors are meant to supplement, and do not purport to supplant or modify, those statutory enactments which may govern the activities of public officials.
    3. Regulations and Guidelines.  These policies shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.
100.2: Adopted 09/14/01, Amended 07/29/16, Amended 07/14/17, Technical Corrections 03/08/19

100.3 Policy on Waivers from University Policies, Regulations, and Guidelines

100.3 Policy on Waivers from University Policies, Regulations, and Guidelines

  1. Purpose.The Board of Governors adopts this policy to permit constituent institutions to petition for waiver from the requirements of University policies, regulations, and guidelines.Based upon a demonstration of sufficient institutional capacity and the establishment by the UNC System Office of appropriate compliance and monitoring measures, constituent institutions may seek waivers in whole or in part of policies, regulations, and guidelines within the UNC Policy Manual.
  2. Submission of Constituent Institution Waiver Request.The chancellor of a constituent institution may, after consulting the board of trustees, submit to the president a request for waiver from the requirements of a University policy, regulation, or guideline.Requests may seek waiver from a policy, regulation, or guideline in its entirety, or may seek limited waiver from specific requirement(s) within the policy, regulation, or guideline.

    The president shall specify the format for and content of waiver requests consistent with this policy. Each request shall include, at a minimum, the following:

    1. An explanation of the need for the desired waiver;
    2. An explanation of the constituent institution’s ability to otherwise achieve the purpose served by the policy, regulation, or guideline requirement being waived;
    3. A proposed monitoring and reporting framework that can provide information to the president, the board of trustees, and the Board of Governors concerning the constituent institution’s performance and effectiveness in relation to the subject matter and requirements of the waived requirement; and
    4. A declaration that the constituent institution’s chancellor and board of trustees support the waiver request.
  3. Evaluation by the President.The president shall receive and evaluate waiver requests submitted by constituent institutions.In evaluating requests, the president may choose to consult constituent institution and UNC System Office staff, request additional information to support the request, and recommend amendment of the requested waiver, including the institution’s proposed monitoring framework.

    The president may approve constituent institution requests for waiver from the requirements of University regulations and guidelines.The president shall refer requested waivers from University policy requirements to the Board committee of appropriate jurisdiction along with the president’s recommendation concerning the disposition of the requested waiver. The president shall have an appropriate method for tracking requests, monitoring waivers, and informing constituent institutions of approved waivers.

  4. Board of Governors Review.Waiver requests referred to the Board by the president shall be considered by the standing committee with jurisdiction over the policy subject matter.Informed by the president’s recommendation, the committee shall evaluate the waiver request and make a recommendation to the full Board for the request’s acceptance or rejection.The full Board may then take action to accept or reject the waiver request in accordance with the Board’s existing procedures for adoption or amendment of policies (Section 100.2.II.A., of the UNC Policy Manual).
  5. Review of Requirements Subject to Multiple Waivers. Requests by constituent institutions for waiver from the requirements of University policies, regulations, or guidelines may indicate that existing requirements could be more effective or less burdensome in meeting their intended objective.In the event that multiple constituent institutions request waiver of the same policy, regulation, or guideline, the president shall evaluate the existing requirement(s) subject to multiple waiver requests and consider whether the requirement(s) should be amended or rescinded. If the president concludes that an existing policy should be amended or rescinded, the president shall formulate a proposal for improving the policy and refer the proposal to the Board committee with jurisdiction over the policy subject matter.
  6. Other Matters
    1. Effective Date.The requirements of this policy shall be effective on the date of its adoption by the Board of Governors.
    2. Relation to Federal and State Laws.The foregoing policy as adopted by the Board of Governors is meant to supplement, and does not purport to supplant or modify, those statutory enactments which may govern or relate to the subject matter of this policy.
    3. Regulations and Guidelines.This policy shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.
100.3: Adopted 03/22/19

100.4 Review of Umstead Act Exceptions

100.4 Review of Umstead Act Exceptions

Introduction.The Umstead Act contains numerous exceptions for UNC to the Act’s general prohibition of state agencies selling goods or providing services to the public that are ordinarily and customarily provided by private enterprises.G.S. 66-58(a).Three of those exceptions, contained in G.S. 66-58(b)(8)m., n., and o., require that the Board of Governors establish a panel to determine whether the University is authorized to undertake questioned activities in competition with an existing or proposed nongovernmental entity.The purpose of this policy is to establish this panel and to establish procedures for it to use in making its determinations, as required by G.S. 66-58(i) and (j).

Definitions.The following definitions apply to this policy:

  1. “An affected party” is a nongovernmental person or entity in the state that is in or proposes to be in the same, a similar, or competing business.
  2. “The Exceptions” are the exceptions to the Umstead Act created by G.S. 66-58(b)(8)m., n., and o.
  3. “The Panel” is the UNC Umstead Review Panel.
  4. “The Registry” is the registry required by G.S. 66-58(j)(2) and established by Part II of this Policy.
  5. “The Umstead Act” is G.S. 66-58.
  6. The “University” means the University of North Carolina.
  7. “Institution” or “Entity” means a constituent institution or entity of the University of North Carolina, or any component thereof.
  8. “Day” mean calendar day unless otherwise noted.
    1. Establishment of Panel

      There is hereby created a panel, to be known as the UNC Umstead Review Panel consisting of members appointed in accordance with G.S. 66-58(i).

      1. Terms of Appointment. Appointments to the panel shall be for a term of four years, though the initial appointments to the panel may be for terms shorter than four years in order to stagger the terms of appointment.A person appointed to the Panel shall serve until his successor is appointed.
      2. Officers.The Panel shall, by a majority vote of those members present, elect a chair and a vice chair, each to serve a two-year term.
      3. Staff to Panel.The senior vice president and general counsel, or designee, of the University of North Carolina shall provide staff to the Panel.
      4. Expense Reimbursement.Members of the Panel shall receive per diem compensation and travel expense reimbursement consistent with G.S. 138-5.
    2. Establishment of Registry

      The president, or the president’s designee, shall create and maintain a registry in accordance with G.S. 66-58(j)(2) through which any member of the public may register to receive electronic notices of the meetings and hearings, agendas, and determinations of the Panel.In addition, the Panel’s meeting and hearing notices, agendas, minutes, and determinations shall be posted on The University website.

    3. Notice of New Activities

      S. 66-58(b)(8)o provides an exception for activities that enable the community in which the institution or the entity is located, or the people of the state, to utilize the institution or entity’s facilities, equipment, or expertise. If a constituent institution or other University entity proposes to engage in a new type of activity that is justified by the exception to the Umstead Act that is contained in G. 66-58(b)(8)o., then the chancellor of the institution or director of the entity shall submit notice of the proposal to the Staff to the Panel so that electronic notice of the proposal may be given to the persons or entities who have been requested to be included in the Registry.The notice must include a description of the proposed activity, the proposed frequency of the activity, and the geographic area in which the activity is proposed to be available.Notice to the Registry must be given prior to the commencement of the activity.

    4. Quorum and Rules

      A majority of the members of the Panel then in office shall constitute a quorum.The Panel shall use Robert’s Rules of Order as its rules of parliamentary procedure unless law or policy require otherwise.

    5. Jurisdiction of the Panel
      1. The Panel may make a determination under G.S. 66-58(b)(8)m. or n. as to whether a proposed or ongoing University activity is unauthorized competition.
      2. The Panel may make a determination under G.S. 66-58(b)(8)o. as to whether a proposed or ongoing University activity is unauthorized competition or is unfair competition.
      3. The Panel may not make determinations under any of the other exceptions to the Umstead Act.If the University claims that a proposed or ongoing activity is allowable under any other exception to the Umstead Act, the Panel is without jurisdiction to consider the activity.
      4. The Panel does not have the authority to overrule a prior determination of the Attorney General.
    6. Initiation of Proceedings
      1. Any person or nongovernmental entity in the State that is in or proposes to be in the same, a similar, or competing business is an affected party that may initiate a Panel proceeding by submitting a request to the Panel Staff that the Panel make a determination as to whether a specified activity of the University is justified by one of the Exceptions.
      2. A constituent institution or other University entity that proposes to engage in an activity may initiate a Panel proceeding by submitting a request to the Panel staff that the Panel make a determination as to whether the activity is justified by one or more of the specified Exceptions.
      3. A request must include at least the following:
        1. The name, address, email address (if any), and phone number of the affected party making the request.
        2. If an entity is making the request, the name, address, email address (if any), and phone number of the contact person for the entity.
        3. A short and plain statement of the proposed or ongoing activity about which the affected party requests that the Panel make a determination and the name of the constituent institution or University entity engaged in or proposing to engage in the activity.
        4. If an affected party is making the request, a short and plain statement as to why the party claims the activity is not justified by one of the Exceptions and the nature and location of the same, similar or competing business in which the affected party engages or proposes to engage.
        5. If a University entity is making the request, a short and plain statement of why it claims that the activity is justified by a designated one or more of the Exceptions.
      4. A request is deemed filed with the Panel when it is received by the Panel Staff at the UNC System Office.
      5. Within seven days after receiving the request, the Panel staff shall give electronic notice of all requests to initiate proceedings to the persons who have requested to be included on the Registry and to the chancellors of all the constituent institutions.In addition, the Panel staff shall provide a copy of the request to the chancellor or director of the affected University entity within seven days of receiving the request.
    7. Attempt to Resolve

      If a matter is initiated by an affected party, the chancellor, the chancellor’s designee, the director of the affected University Entity, or the director’s designee shall contact the party initiating the request within 15 days after the request is filed and shall confer in an attempt to reach a resolution by agreement.The chancellor or director shall notify the Panel Staff in writing, with a copy to the party that initiated the matter that this conference has been held and shall indicate whether the matter has been resolved.If the matter was not resolved, the party making the request and the effected University entity may resume their efforts to resolve the matter at any time and shall notify the Panel Staff if the matter is resolved.

    8. The Panel’s Proceeding
      1. If the matter has not been resolved within 15 days after the request is filed, the Panel shall schedule a hearing on the request.This hearing shall be held within 45 days after a request is filed at a time and place to be determined by the chair of the Panel.This time may be extended by agreement of both the requesting party and the affected University Entity or by order of the chair for extenuating circumstances.
      2. If a request is made concerning a proposed activity, the affected University Entity shall not initiate the activity until the Panel makes its determination unless the request is withdrawn.
      3. The Panel staff shall give electronic notice of the Panel’s hearing to consider a request to the members of the public that have requested to be on the Registry, to the affected party making the request, and to the affected University Entity at least seven days prior to the Panel’s hearing to consider the request. The notice must include the date, time, and location of the Panel’s hearing, and must specify the activity that is the subject matter of the hearing.
      4. At the hearing, the party making the request, the affected University Entity, and any other affected person or entity that has notified the Panel Staff in advance of the hearing may state its position and present documents and witnesses to support its position.The chair of the Panel shall preside over and conduct the hearing and shall rule on all matters of procedure, including the admission of evidence.In the absence of the chair the vice chair shall serve as chair for the purposes of the hearing.The hearing will be conducted informally and without adherence to the rules of evidence required in judicial proceedings.The chair may exclude irrelevant, immaterial, or unduly repetitious or unreliable evidence.
      5. The Panel is not required to make a recording of the hearing but any party may do so at its own expense.
      6. Upon completion of the hearing, the members of the Panel who were present at the hearing will deliberate and will make a written determination as to whether the matter falls with the Panel’s jurisdiction and, if so, whetherthe specified activity is justified by one of the Exceptions.These deliberations may be by teleconference or other means of simultaneous communication as long as the requirements of North Carolina’s Open Meetings Law are observed. The determination will be made based on the evidence and arguments presented at the hearing and shall state the basis for the determination.
      7. The written determination of the Panel will be made within 15 days after the close of the hearing and will be transmitted to the persons and entities that participated in the hearing and, electronically, to the persons and entities who have requested to be included in the Registry.
    9. Effect of Determination
      1. The University will be bound by the Panel’s determination that a proposed or ongoing activity is not justified by one of the Exceptions.
      2. Pursuant to G.S. 66-58(k), the University and its employees may rely on a determination made by the Panel that an activity is justified by one of the Exceptions.
      3. Once the Panel has determined a matter, neither the party requesting the initial determination, nor any party on the Registry at the time the Registry was notified of the proceeding, may request another Panel determination on the same matter unless the party shows that there has been a material change in circumstances.
100.4: Adopted 5/12/06, Technical Corrections 03/08/19

101.3 Appeals of Nonreappointment Decisions

101.3 Appeals of Nonreappointment Decisions

101.3.1 Policy on Regulations and Guidelines Implementing Chapter VI of The Code

101.3.1 Policy on Regulations and Guidelines Implementing Chapter VI of The Code

The constituent institutions shall interpret and apply the provisions of Chapter VI of The Code, including but not limited to Sections 603, 604, and 607, in accordance with regulations and guidelines adopted by the president.

*Supersedes Section 101.3.1 originally entitled, “Review of Nonreappointment Decisions Under Section 604 of The Code,” last amended October 17, 2008.

101.3.1: Adopted 05/22/19*

101.3.1.1[R] Regulation on Review of Intention to Discharge or Impose Serious Sanction Under Section 603of The Code

101.3.1.1[R] Regulation on Review of Intention to Discharge or Impose Serious Sanction Under Section 603of The Code

  1. The Purpose of the Review Process under Section 603 of The Code
    1. Section 603 of The Code provides a tenured faculty member with certain procedural safeguards before imposition of discharge or serious sanction (defined as demotion in rank or suspension without pay); specifies the reasons for imposition of discharge or serious sanction; and establishes the processes for notice of intention to impose discharge or serious sanction, faculty hearings, and appeals.The process of discharge or the imposition of serious sanction must be fundamentally fair to the faculty member.Section 603 includes certain procedures to assure fairness, but there is no expectation that the process be attended by the formality or technicality which characterizes civil or criminal legal proceedings in a court of law.Rather, the process should be conducted by administrators and faculty in a manner designed to determine whether discharge or imposition of serious sanction is warranted under relevant provisions of The Code.
    2. The purpose of a hearing by a hearing committee is to make a recommendation about whether by clear and convincing evidence grounds for discharge or serious sanction exist and are the basis for the recommended action.The hearing committee bases its written recommendations to the chancellor on the competent evidence presented at the hearing. The decision as to whether to discharge or impose serious sanction on the faculty member is the chancellor’s.
    3. The purpose of appellate review by the board of trustees is to determine whether (1) the campus-based process for making the decision was materially flawed, so as to raise questions about whether the faculty member’s contentions were fairly and reliably considered; (2) the result reached by the chancellor was clearly erroneous; and/or (3) the decision was contrary to controlling law or policy.
  2. Decision to Discharge or Impose Serious Sanction Under Section 603 of The Code
    1. Basis for Decision.A decision to impose discharge or serious sanction (demotion in rank or suspension without pay) may only be made for one or more of the three permissible reasons in Section 603(1) of The Code:
      1. Incompetence, including significant, sustained unsatisfactory performance after the faculty member has been given an opportunity to remedy such performance and fails to do so within a reasonable time;
      2. Neglect of duty, including sustained failure to meet assigned classes or to perform other significant faculty professional obligations; or
      3. Misconduct of such a nature as to indicate that the individual is unfit to continue as a member of the faculty, including violations of professional ethics, mistreatment of students or other employees, research misconduct, financial fraud, criminal, or other illegal, inappropriate or unethical conduct.To justify serious disciplinary action, such misconduct should be either (a) sufficiently related to a faculty member’s academic responsibilities as to disqualify the individual from effective performance of university duties, or (b) sufficiently serious as to adversely reflect on the individual’s honesty, trustworthiness or fitness to be a faculty member.A serious sanction less severe than discharge may be imposed depending on the nature and circumstances of the misconduct.

        The reasons for discharge or imposition of serious sanction (incompetence, neglect of duty, misconduct) are not mutually exclusive. Certain facts presented to support a discharge or serious sanction may fall under one or more of the reasons listed above.So long as there is sufficient evidence of the underlying facts to support a discharge or serious sanction, an action shall not be invalid because the reason provided mislabeled or miscategorized the underlying facts.

        The chancellor of an institution has the discretion to place a faculty member on administrative leave with pay at any time if the chancellor determines in his or her discretion that exceptional circumstances warrant it, and may choose to do so regardless of whether notice of intent to impose a serious sanction or discharge has been issued.

        If the faculty member timely requests a hearing, the hearing will be on the written specification of reasons for the intended discharge or imposition of serious sanction.

    2. Role of the Hearing Committee. The primary role of the hearing committee is to provide the opportunity for a formal hearing on the intent to discharge or impose serious sanction.  Such hearing committees provide an opportunity for both parties to present relevant evidence and provide written recommendations to the chancellor on the merits of the written reasons for discharge or imposition of serious sanction.  The hearing committee creates a clear, permanent record of the evidence presented at the hearing and advises the chancellor whether or not the institution has demonstrated, by clear and convincing evidence, that the intention to discharge or impose serious sanction is based on one or more of the permissible reasons outlined in the above section II.A.The institution has the burden of proof.The hearing committee does not have authority to render a decision or any part of a decision.The chancellor has the authority to render the final decision.
      1. Training.Because hearings in matters of discharge or imposition of serious sanction can present complex and difficult questions of fact, policy, and law, and because of the central role of the hearing in gathering and preserving the evidence upon which a decision related to the matter will be based, chancellors, in consultation with campus counsel, should ensure that hearing committee members have access to appropriate training materials and that relevant administrators and aggrieved faculty members have access to information regarding the hearing process.
      2. Election Procedures.The faculty council or senate of each constituent institution should consider whether to establish election procedures for the hearing committee to extend the length of service of appropriately trained committee chairs, in order to make it more likely that each hearing has an experienced member to oversee a hearing committee.Election procedures may permit the establishment of a pool of trained hearing committee members from which hearing committee members and a chair may be drawn for each hearing.
      3. Counsel.Each constituent institution must allow the faculty member to have counsel who is able to represent the faculty member’s interests before the hearing committee.  If an attorney will be representing the faculty member during the hearing, then the campus should provide legal counsel for the institution.Legal counsel for the institution may be provided by in-house campus counsel, counsel from another constituent institution, a member of the Attorney General’s Office, or outside counsel.
    3. Preservation of Evidence. It is essential that all testimony and other evidence received by a hearing committee be preserved for review by the parties to the proceeding, the chancellor, and, if applicable, the board of trustees. Both the chancellor, in making the final decision, and the board of trustees in reviewing any appeal, must have access to a complete record of the evidence received at the hearing. The chancellor is responsible for determining whether the competent evidence in the record supports the proposed discharge or serious sanction. Similarly, the board of trustees, when considering an appeal of the chancellor's decision, must be able to determine whether the competent evidence in the record supports the chancellor’s decision.

      A professional court reporter, or a similarly reliable means, should be used to enable the production of a verbatim written transcript of the hearing and to maintain a record of the documents received by the hearing committee. Any such record shall be considered part of the faculty member’s personnel file and is confidential.Access to such materials is only allowable as provided by law. 

    4. The Chancellor’s Decision. Following receipt of the hearing committee’s written recommendations, the decision whether to discharge or impose serious sanction on the faculty member is the chancellor’s. If the chancellor is considering taking an action that is inconsistent with the recommendation of the hearing committee, the chancellor should consult with the hearing committee, either in person or in writing, before making a decision. The chancellor shall notify the faculty member and relevant administrators of the chancellor’s decision in writing.Notice of the decision is to be conveyed to the faculty member by a method which produces adequate evidence of delivery.
    5. Notice of Appeal Rights. The chancellor's notice to the faculty member of the decision must inform the faculty member: (1) of the permissible grounds for appeal pursuant to Section 603 of The Code; (2) of the time limit within which the faculty member may file a notice of appeal through the chancellor requesting review by the board of trustees; (3) that a written notice of appeal with a brief statement of the basis for the appeal is all that is required within the 14-day period; and (4) that, thereafter, a detailed schedule for the submission of relevant documents will be established if such notice of appeal is received in a timely manner. 
    6. Time Limits for Appeal.The campus policies, faculty handbook, or other informational document which addresses imposition of discharge or serious sanction shall indicate the time limits for appeal of such decisions.
  3. Appeals to the Board of Trustees
    1. Schedule. If the board determines that the faculty member has set forth appropriate grounds for an appeal, the board will notify the parties of a schedule for perfecting and processing the appeal.If the faculty member fails to comply with the schedule established for perfecting and processing the appeal, the board may extend the period for complying with the schedule for good cause shown or it may dismiss the appeal. The board of trustees will issue its decision on appeal as expeditiously as is practical.
    2. Review on Appeal by the Board of Trustees. Consistent with The Code, deference is given to the chancellor’s decision; the board of trustees will exercise jurisdiction under Section 603 of The Code in a manner that assures the integrity of campus procedures.

      The first step in any appeal to the board of trustees will be an evaluation by the board of the written grounds for appeal to determine whether the issues raised on appeal fall within one of the three grounds for appeal as set out in this regulation and Section 603 of The Code.If the appeal does not present issues that fall within the established grounds for appeal, the board may dismiss the appeal without further proceedings.

      The three grounds for appeal to the board of trustees are as follows:

      1. Material procedural error.A faculty member may allege on appeal that the hearing conducted by the responsible hearing committee or the process followed by the chancellor included a material procedural error that, but for the error, could have resulted in a different decision.The board may review allegations that the hearing committee and/or the chancellor did not follow its own procedures and such failure materially affected the credibility, reliability, and fairness of the process. A faculty member must demonstrate that, because of a material procedural error, he or she did not receive a fair hearing or fair review by the chancellor such that, but for such error, a different decision may have been reached.
      2. Clearly erroneous.A faculty member may allege on appeal that the competent evidence in the record established that the decision to discharge or impose serious sanction was not based on a permissible reason. A clearly erroneous decision is one that a reasonable person could not have reached, based on the competent evidence in the record taken as a whole and the relevant controlling laws or policies.  To demonstrate that a decision was clearly erroneous, the faculty member must show that a reasonable person could not have reached the conclusion that the decision maker reached. Such an appeal constitutes a request that the board of trustees review the entire record of evidence to determine whether a reasonable person could have arrived at the decision in question.  The issue is not whether the board of trustees would have evaluated the evidence the same way and reached the same conclusion as did the hearing committee or the chancellor; rather, the question is whether the decision reached was a reasonable one, in light of the competent evidence in the record. 
      3. Contrary to law or policy. A faculty member may allege on appeal that, during the campus-based process, controlling law or University policy was disregarded, misinterpreted, or misapplied to the facts of the case. 

        During its review, the board of trustees considers whether the campus-based process or decision had material procedural errors, was clearly erroneous, or was contrary to controlling law or policy.

        In reviewing whether a decision was clearly erroneous, the board of trustees considers whether the evidence introduced at the hearing and reviewed by the chancellor is such that a reasonable fact finder could find the applicable burden of proof, clear and convincing, was met.When conducting its review, the board of trustees does not reweigh the evidence, express its independent judgment on the factual issues, determine credibility of witnesses, or otherwise conduct the same review that would be conducted by the chancellor.Instead, the board of trustees views the record in the light most favorable to the judgment below and decides if the evidence in support of that decision is reasonable, credible, and of solid value, such that a reasonable fact finder could find that discharge or serious sanction is appropriate based on clear and convincing evidence.

        After review on appeal, the board of trustees may affirm the chancellor’s decision; or, if the board finds that the campus-based process or decision had material procedural errors, was clearly erroneous, or was contrary to controlling law or policy, the board may remand the matter to the chancellor to provide for a new hearing or a supplemental review inquiry.

  4. Other Matters
    1. Effective Date. The requirements of this regulation shall be effective for any discharge or serious sanction proposed on or after July 1, 2019.
    2. Relation to State Laws. The foregoing regulations as adopted by the president are meant to supplement, and do not purport to supplant or modify, applicable state law or administrative regulations.

101.3.1.1[R]: Adopted 07/01/19

101.3.1.2[R] Regulation on Review of Nonreappointment Decisions Under Section 604 of The Code

101.3.1.2[R] Regulation on Review of Nonreappointment Decisions Under Section 604 of The Code

  1. The Purpose of the Review Process under Section 604 of The Code
    1. Within the University, important faculty personnel decisions are based on evaluations of performance rendered by a candidate's colleagues and supervisors, who are in the best position to make such judgments.  These assessments are not the product of mechanically applied checklists, criteria, or formulas; there is no simple litmus test for outstanding job performance.Rather, these decisions must reflect careful exercises of discretion, in which the faculty colleagues draw on their own academic knowledge, experience, and perceptions to evaluate the candidate's qualifications and performance.   The academic review process seeks to obtain the collective good faith professional academic judgment of the candidate’s colleagues and responsible university administrators, as the basis for personnel decisions. These decisions are entitled to great deference and weight and, as such, must be based on considerations that are relevant to the candidate’s performance and potential to contribute to the good of the institution.
    2. The purpose of reviewing decisions not to reappoint is to determine whether the decision was materially flawed, in violation of applicable laws, policies, standards, or procedures.A review is not to second-guess professional judgments based on permissible considerations. The purpose of the campus-based review process in Section 604 C(1) of The Code is to determine (1) whether the decision was based on considerations that The Code provides are impermissible; and (2) whether the procedures followed to reach the decision materially deviated from prescribed procedures such that doubt is cast on the integrity of the decision not to reappoint. 
    3. The purpose of appellate review by the board of trustees is to determine whether (1) the campus-based process for making the decision was materially flawed, so as to raise questions about whether the faculty member’s contentions were fairly and reliably considered; (2) the result reached by the chancellor was clearly erroneous; and/or (3) the decision was contrary to controlling law or policy.
  2. Nonreappointment Decisions Under Section 604 of The Code
    1. Basis for Review. A decision not to reappoint a faculty member may be made for any reason that is not an impermissible reason. The three impermissible reasons for a decision not to reappoint a faculty member, as stated in Section 604 B of The Code, are: (1) the exercise by the faculty member of rights guaranteed by the First Amendment to the United States Constitution, or by Article I of the North Carolina Constitution; (2) forms of discrimination prohibited under policies adopted by the University; or (3) personal malice.  A faculty member who asserts that the decision not to reappoint was based on impermissible reasons may file a request for review from that decision in accordance with the procedure established by the constituent institution.
    2. Definition of “Personal Malice.” As used in The Code, the term “personal malice” means dislike, animosity, ill-will or hatred based on personal characteristics, traits or circumstances of an individual that are not relevant to valid University decision making. However, a faculty member’s inability or incapacity to relate constructively to his or her peers, in a necessarily collegial environment, may warrant a decision not to reappoint.  Disposition of such a case requires a determination as to whether the faculty member’s lack of collegiality or other attitudinal considerations impeded the faculty member’s job performance. While the terms “ill-will,” “dislike,” “hatred,” and “malevolence” may connote different degrees of antipathy, such distinctions make no difference in applying the fundamental rationale of the prohibition.  Any significant degree of negative feeling toward a candidate based on irrelevant personal factors is an improper basis for making decisions.
    3. Role of the Faculty Committee. The primary role of a faculty committee is to provide, through the established campus process, the opportunity for a formal hearing to review the decision not to reappoint. Such faculty committees provide an opportunity for both parties to present relevant evidence and provide a recommendation to the chancellor on the merits of the faculty member’s contentions. The faculty committee creates a clear, permanent record of the evidence presented at the hearing and advises the chancellor whether or not the faculty member has demonstrated, by a preponderance of the evidence, that the decision not to reappoint was materially flawed or was based in significant part on an impermissible reason.The faculty member has the burden of proof. The faculty committee does not have authority to render a decision or any part of a decision.The chancellor has the authority to render the final decision.
      1. Training.Because hearings in matters of non-reappointment can present complex and difficult questions of fact, policy, and law, and because of the central role of the faculty committee hearing in gathering and preserving the evidence upon which decisions related to the matter will be based,chancellors, in consultation with campus counsel, should ensure that faculty committee members have access to appropriate training materials and that relevant administrators and aggrieved faculty members have access to information regardingthe hearing process.
      2. Election Procedures.The faculty council or senate of each constituent institution should consider whether to establish election procedures for the faculty committee so as to extend the length of service of appropriately trained committee chairs in order to make it more likely that each hearing has an experienced member to oversee a faculty committee.Election procedures may permit the establishment of a pool of trained faculty from which hearing committee members and a chair may be drawn for each hearing.
      3. Counsel.Each constituent institution must decide whether to allow faculty members to have the assistance of an attorney or other advisor at the hearing and, if so, whether the advisor is permitted actively to participate in the hearing.  Constituent institutions are discouraged from allowing attorneys to participate during the hearing.  If, however, an attorney will be permitted to participate during the hearing on behalf of the faculty member, then the campus should provide legal counsel for the respondent administrator.Legal counsel for the respondent administrator may be provided by in-house campus counsel, counsel from another constituent institution, a member of the Attorney General’s Office, or outside counsel.
    4. Preservation of Evidence.It is essential that all testimony and other evidence received by a faculty committee be preserved for review by the parties to the proceeding, the chancellor, and, if applicable, the board of trustees.  Both the chancellor, in making the final decision, and the board of trustees in reviewing any appeal, must have access to a complete record of the evidence received at the hearing. The chancellor is responsible for determining whether the competent evidence in the record supports the faculty committee’s recommendation.  Similarly, the board of trustees, when considering an appeal from a chancellor's decision, must be able to determine whether the competent evidence in the record supports the chancellor’s decision.

      A professional court reporter, or a similarly reliable means, should be used to enable the production of a verbatim written transcript of the hearing and properly to maintain a record of the documents received by the faculty committee. Any such record shall be considered part of the faculty member’s personnel file and is confidential. Access to such materials is only allowable as provided by law.

    5. The Chancellor’s Decision. The chancellor must base his or her decision on a thorough review of (1) the record evidence from the hearing, and (2) the recommendation of the faculty committee. While the chancellor should give appropriate deference to the advice of the faculty committee, the final decision is the chancellor’s. If the chancellor is considering taking an action that is inconsistent with the recommendation of the hearing committee, the chancellor should consult with the hearing committee, either in person or in writing, before making a decision. The chancellor shall notify the faculty member and relevant administrators of the chancellor’s decision in writing.In addition, the notice of the decision is to be conveyed to the faculty member by a method which produces adequate evidence of delivery.
    6. Notice of Appeal Rights. The chancellor's notice to the faculty member of the decision concerning the faculty member's case must inform the faculty member: (1) of the permissible grounds for appeal; (2) of the time limit within which the faculty member may file a notice of appeal through the chancellor requesting review by the board of trustees; (3) that a simple written notice of appeal with a brief statement of the basis for the appeal is all that is required within the 14-day period; and (4) that, thereafter, a detailed schedule for the submission of relevant documents will be established if such notice of appeal is received in a timely manner.
    7. Time Limits for Appeal.The campus policies, faculty handbook, or other informational document which addresses procedures for review of faculty nonreappointment decisions shall indicate the time limits for appeal of such decisions.
  3. Appeals to the Board of Trustees
    1. Schedule. If the board determines that the faculty member has set forth appropriate grounds for an appeal, the board will notify the parties of a schedule for perfecting and processing the appeal.If the faculty member fails to comply with the schedule established for perfecting and processing the appeal, the board may extend the period for complying with the schedule for good cause shown or it may dismiss the appeal. The board of trustees will issue its decision on appeal as expeditiously as is practical.
    2. Review on Appeal by the Board of Trustees. Consistent with The Code, deference is given to the chancellor’s decision; the board of trustees will exercise jurisdiction under Section 604 C of The Code in a manner that assures the integrity of campus procedures.

      The first step in any appeal to the board of trustees will be an evaluation of the faculty member's written grounds for appeal to determine whether the issues raised on appeal fall within one of the three grounds for appeal as set out in this regulation and Section 604 of The Code.   If the appeal does not present issues that fall within the established grounds for appeal, the board may dismiss the appeal without further proceedings.

      The three grounds for appeal to the board of trustees are as follows:

      1. Material procedural error.A faculty member may allege on appeal that the hearing conducted by the responsible faculty committee or the process followed by the chancellor included a material procedural error that, but for the error, could have resulted in a different decision. The Board may review allegations that the faculty committee and/or the chancellor did not follow its own procedures and such failure materially affected the credibility, reliability and fairness of the process. A faculty member must demonstrate that, because of a material procedural error, he or she did not receive a fair hearing or fair review by the chancellor such that, but for such error, a different decision may have been reached.
      2. Clearly erroneous.A faculty member may allege on appeal that the competent evidence in the record established that the decision not to reappoint was based on an impermissible reason. A clearly erroneous decision is one that a reasonable person could not have reached, based on the competent evidence in the record taken as a whole and the relevant controlling laws or policies.  To demonstrate that a decision was clearly erroneous, the faculty member must show that a reasonable person could not have reached the conclusion that the chancellor reached. Such an appeal constitutes a request that the board of trustees review the entire record of evidence to determine whether a reasonable person could have arrived at the decision in question.  The issue is not whether the board of trustees would have evaluated the evidence the same way and reached the same conclusion as did the faculty committee or the chancellor; rather, the question is whether the decision reached was a reasonable one, in light of the competent evidence. 
      3. Contrary to law or policy. A faculty member may allege on appeal that, in disposing of the request for review, controlling law or University policy was disregarded, misinterpreted, or misapplied to the facts of the case. 

        During its review, the board of trustees considers whether the campus-based process or decision had material procedural errors, was clearly erroneous, or was contrary to controlling law or policy.

        In reviewing whether a decision was clearly erroneous, the board of trustees considers whether the evidence introduced at the hearing and reviewed by the chancellor is such that a reasonable fact finder could find the applicable burden of proof, preponderance of the evidence, was met by the faculty member.When conducting its review, the board of trustees does not reweigh the evidence, express its independent judgment on the factual issues, determine credibility of witnesses, or otherwise conduct the same review that would be conducted by the chancellor.Instead, the board of trustees views the record in the light most favorable to the judgment below and decides if the evidence in support of that decision is reasonable, credible, and of solid value, such that a reasonable fact finder could find that nonreappointment is appropriate based on a preponderance of the evidence.

        After review on appeal, the board of trustees may affirm the chancellor’s decision; or, if the board finds that the campus-based process or decision had material procedural errors, was clearly erroneous, or was contrary to controlling law or policy, the board may remand the matter to the chancellor to provide for a new hearing or a supplemental review inquiry. The remedy available on appeal is never an award by the board of trustees of the conferral of tenure, reappointment or promotion.

  4. Other Matters
    1. Effective Date. The requirements of this regulation shall be effective for any non-reappointment decision effective on or after July 1, 2019.
    2. Relation to State Laws. The foregoing regulations as adopted by the president are meant to supplement, and do not purport to supplant or modify, those statutory enactments which may govern or relate to faculty personnel decisions.

101.3.1.2[R]: Adopted 07/01/19

101.3.2 Grievances Filed Pursuant to Section 607 of The Code

101.3.2 Grievances Filed Pursuant to Section 607 of The Code

Effective Date:  This policy shall apply to all faculty grievances submitted on or after January 1, 2004

  1. The Purpose of the Grievance Procedure

    Section 607 of the Code provides a process for faculty members to seek redress concerning employment related grievances. The function of the grievance procedure is to attempt to reach a consensual resolution of the dispute and, if that fails, to determine whether the contested decision was materially flawed, in violation of applicable policies, standards or procedures. The grievance process is not intended to second-guess the professional judgment of officers and colleagues responsible for making administrative decisions.

  2. Initiation of the Grievance Process
    1. Any faculty member who has a grievance, as defined in Section 607(3) of The Code, may file a petition for redress in accordance with the procedure established by the constituent institution.  The petition of the faculty member shall be in writing and shall set forth in detail the nature of the grievance and against whom the grievance is directed.  The petitioner shall set forth any information that he or she considers pertinent to the grievance.  The faculty member shall deliver a copy of the petition to the respondent administrator by certified mail or by another means that provides proof of delivery.
    2. When a decision not to promote is made at the same time as a decision not to reappoint a faculty member, all challenges to those decisions will proceed pursuant to Policy 101.3.1. When a decision not to promote is not made as a part of a reappointment decision, campus policy shall determine which faculty committee has jurisdiction to hear such disputes.
    3. Unless the parties to the grievance have participated in mediation prior to the faculty member’s filing the petition, before taking any action on the petition, the faculty grievance committee shall refer the matter for mediation in accordance with the policies of the constituent institution.
  3. Mediation of Grievances
    1. Mediation is a procedure in which disputing parties enlist the assistance of a neutral party to help them in achieving a voluntary, bilateral agreement that finally and definitively resolves all or portions of their dispute, without resorting to adversarial procedures such as grievance hearings, administrative hearings or litigation. Any such mediated agreement that the parties are able to negotiate will be embodied in a written agreement.
    2. The appropriate functions of a mediator are to assist the parties in defining, clarifying, communicating about, and ascertaining the substantiality and relevance of the issues that appear to divide the parties and to aid the parties in generating, considering, and communicating with each other about possible bases for resolving the dispute.
    3. Each constituent institution will have a policy either that requires the parties to a dispute made under Section 607 to participate in mediation as a prerequisite to access to the formal faculty grievance process or that permits the parties voluntarily to do so. While there can be no requirement that forces a party to reach a mediated agreement, a constituent institution may have a policy that require the parties to participate in a mediation process about the dispute. If a constituent institution requires participation in mediation, the mediator may assess the value of continuing the mediation. If the mediator determines that the parties are not amenable to a settlement, then the mediator may end the mediation, and the formal grievance hearing process will then begin.
    4. Each constituent institution will have a mediation process available which:
      1. Has available the number of campus mediators necessary based on the size of the campus and the estimated need.   Mediators may be trained members of the faculty or staff, outside mediators from the community, or mediators from other campuses within the University.  Mediators may not be members of the faculty hearing committee that hears Section 607 grievances.
      2. Requires every mediator to have successfully completed formal mediation training substantially equivalent to that required for certification by the North Carolina Administrative Office of the Courts or to have been formally trained in mediation specifically designed for use in a university setting.
      3. Determines under what circumstances, if any, attorneys will be allowed to participate in the mediation process.
      4. Assures the parties that a decision by either party not to pursue mediation beyond the campus required minimum will not be held against that party in any way and that no blame will to attach to either party if mediation does not produce a settlement.
      5. Provides that no record of a failed mediation process will be produced by the mediator other than an unelaborated written statement to the appropriate authority necessary to invoke the next step in the grievance process, i.e., that mediation was attempted but settlement was not reached.
      6. Prohibits the mediator from being called as a witness in any subsequent proceeding, and prohibits anything done or said by either party during a mediation process from being referred to or used against a party in any subsequent proceeding.
    5. The adopted mediation policy of each constituent institution must provide that any mediation agreement that obligates the university must be signed by a university official with the authority to bind the university concerning the particular agreement.
    6. Any time limit adopted by a constituent institution or by Board of Governors Policy concerning the formal resolution of Section 607 grievances will be suspended for the duration of a mediation process being held pursuant to this policy.
  4. Administrative Decision
    1. If the grievance is not resolved through the mediation process, then the matter will be reviewed by the faculty grievance committee established pursuant to Section 607(1) of The Code.
    2. Standard for determining contested grievances.  In order to prevail in the grievance process, a faculty member must establish that the faculty member experienced a remediable injury attributable to the alleged violation of a right or privilege based on federal or state law, university policies or regulations, or commonly shared understandings within the academic community about the rights, privileges and responsibilities attending university employment.  Examples would be if the decision-maker disregarded an established standard for evaluation, relied on impermissible considerations such as race or sex, or failed or refused to consult with or receive information from mandated advisory bodies.
    3. If mediation fails to produce a voluntary resolution, the faculty grievance committee must decide whether a hearing should be held in response to the petition. The submission of a petition shall not result automatically in an investigation of or hearing on the petition. The committee shall determine whether the facts alleged merit a detailed investigation. The committee is to consider the content of the grievant's petition. Assuming the truth of the information contained in the petition, the committee is to determine whether the contentions advanced by the grievant justify a hearing. A petition properly is dismissed if the grievant fails to allege an injury that would entitle the faculty member to relief in accordance with the standard set out in paragraph IV. B., above. Dismissal is also required if the petition addresses a problem that is not within the committee's jurisdiction.
    4. If the petitioner has presented an apparently substantial issue within the purview of the committee's responsibility, the committee will hold an evidentiary hearing. At the hearing, which is to be attended by the grievant and the respondent, the faculty member is to present evidence in support of the faculty member’s contentions and the person charged with wrongdoing is to be given an opportunity to respond.bsp; The committee is to maintain a complete transcript of all evidence received. Only the evidence so compiled is to form the basis for committee conclusions about the case and any resulting advice to the responsible administrator and the chancellor. The burden is on the grievant to establish by a preponderance of the evidence that the faculty member has experienced an injury that would entitle the faculty member to relief in accordance with the standard set out in paragraph IV. B., above.
    5. If, after hearing the matter, the faculty hearing committee determines that an adjustment in favor of the aggrieved faculty member is appropriate, the faculty grievance committee shall so advise the faculty member and the dean, department head, or other respondent administrator. If the relevant administrator does not make the recommended adjustment, or a different adjustment satisfactory to the faculty member, within a reasonable period of time, the faculty grievance committee shall advise the chancellor of its recommendation that an adjustment is appropriate.
    6. If, after reviewing the petition or hearing the matter, the faculty grievance committee determines that no adjustment in favor of the grievant is appropriate, it shall so advise the faculty member and the chancellor.
    7. The chancellor shall base his or her decision on the recommendation of the faculty committee and the record from the faculty grievance committee hearing.bsp; The chancellor may, in his or her discretion, consult with the faculty grievance committee before making a decision. The decision of the chancellor is the final administrative decision.
    8. The chancellor shall notify the faculty member and the respondent administrator in writing of the chancellor’s decision. The notification shall include a notice of appeal rights, if any, and, if the decision is appealable, it shall contain the information specified in paragraph V.C.ii, below.
    9. The faculty grievance process is a process available to current members of the faculty of a constituent institution. A faculty member whose employment is terminated during the pendency of a grievance proceeding is not entitled to continue to pursue the grievance. If the employment of a faculty member is terminated after the grievance is filed, the chancellor may, however, in the chancellor’s discretion, determine that it is in the best interest of the institution to continue the grievance process.
  5. Appeal to the Board of Trustees
    1. Decisions which may be appealed.
      1. If the faculty grievance committee did not advise that an adjustment in favor of the grievant was appropriate, then the decision of the chancellor is final and may not be appealed.
      2. If neither the relevant administrative official nor the chancellor makes an adjustment that is advised by the faculty grievance committee in favor of the aggrieved faculty member, then the faculty member may appeal to the board of trustees of the constituent institution. The decision of the board of trustees is final.
    2. The board of trustees may delegate to a designated committee the authority to make procedural decisions and to make final decisions on behalf of the board concerning appeals of faculty grievances submitted pursuant to section 607 of The Code
    3. Timeline for Appeals
      1. A grievant who seeks to appeal the chancellor's disposition of his grievance must file written notice of appeal with the board of trustees, by submitting such notice to the chancellor, with adequate evidence of delivery, within 10 days after the grievant's receipt of the chancellor’s decision. The notice shall contain a brief statement of the basis for the appeal. If the board agrees to consider the appeal, it will do so on a schedule established by the chancellor, subject to any instructions received from the board or from a committee of the board which has jurisdiction of the subject matter of the grievance. The board will issue its decision as expeditiously as is practical. If the grievant fails to comply with the schedule established for perfecting and processing the appeal, the board in its discretion may extend the time for compliance or it may dismiss the appeal.
      2. If the chancellor’s decision is appealable, the chancellor's notice of the disposition of a grievant's case must inform the grievant: (1) of the time limit within which the grievant may file a petition for review by the board of trustees, (2) that a written notice of appeal containing a brief statement of the basis for appeal is required within the ten day period and, (3) that, after notice of appeal is received in a timely manner, a detailed schedule for the submission of relevant documents will be established. All such notices of decision are to be conveyed to the grievant by a method which produces adequate evidence of delivery.
      3. To insure full understanding by the faculty, the appropriate informational document regularly published by the institution (e.g., the faculty handbook), shall  include  a statement of the time limits established by the Board of Governors or Board of Trustees policy.
    4. Standard of Review: Unless a board of trustees provides by policy for a broader scope of review, in order to prevail before the board of trustees, the faculty member must demonstrate that the chancellor’s decision was clearly erroneous, that it violated applicable federal or state law or university policies or regulations, or that the process used in deciding the grievance was materially flawed.
  6. Regulations and Guidelines

The President may promulgate appropriate regulations or guidelines to implement this policy.

Effective Date:  This policy shall apply to all faculty grievances submitted on or after January 1, 2004.

Appendix for Policy 101.3.2

Process for Faculty Grievances

101.3.2: Adopted 03/21/03, Amended 06/18/03, Amended 03/19/04

101.3.3 Delivery of Notices

101.3.3 Delivery of Notices

The Code of the University of North Carolina (The Code) specifies a particular mode of delivery for certain notices sent to affected parties in specified personnel actions. This policy will provide clarification and description of those notice requirements.

In Chapter VI of The Code, in some circumstances, the institution is required to send notice of a personnel action to the affected party by a "method of delivery that requires a signature for delivery."The following paragraphs describe a proper delivery that would meet the requirements of The Code.

  1. The delivery method must have as a requirement that the deliverer obtain the signature of the affected employee upon delivery.Such modes include, but are not limited to:certified mail, registered mail, Federal Express, or another commercial delivery service that obtains a signature.
  2. It is not necessary that the signature actually be obtained as long as the method noted above is used and a signature is requested or sought.
  3. If the signature cannot be obtained, a notation of this fact, the reason therefore if known, and the date of the attempted delivery shall be made and retained in institutional records.
  4. Personal or hand-delivered service is sufficient under paragraph A as along as the deliverer is an employee of the university and is not directly involved in the personnel action at issue, and the deliverer attempts to obtain a signature from the addressee.If these conditions are met, the delivery is proper and meets The Code requirements. If the deliverer cannot obtain a signature, a notation of this fact, the reason therefore if known, and the date of the attempted delivery shall be made to and retained in institutional records.
  5. For deliveries outside the United States, if no mode of delivery requiring the signature is available, the institution shall make a reasonable effort to utilize a reliable alternative mode, and the date and result of this attempted delivery shall be noted and retained in institutional records. A delivery meeting the requirement of this paragraph will be proper delivery under The Code provisions.
  6. Each constituent institution shall have a requirement that each employee provide an accurate and current mailing address to appropriate institutional offices.
101.3.3: Adopted 9/12/03, Technical Corrections 04/25/19
End of Chapter 100 The Code and Policies of the University

Chapter 200 Board of Governors Affairs


200.1 Dual Memberships and Conflicts of Interest

200.1 Dual Memberships and Conflicts of Interest

The Board of Governors seeks at all times to be fair and impartial in carrying out its responsibilities and tries to avoid even the appearance of partiality or undue influence. To promote this objective the following guidelines are adopted as board policy and recommended to the members for their guidance:

  1. Service on Foundation Boards or Boards of Visitors of Constituent Institutions

    Members of the Board of Governors may, from time to time, be asked to serve simultaneously on a foundation board or a board of visitors or some similar board for one of the 16 constituent institutions.No matter how conscientious or successful a member may be in maintaining impartiality among constituent institutions, service on such a board will undoubtedly be construed by some as showing favoritism.It is also felt that some institutions will feel pressure to name members of the Board of Governors to such boards if service on them becomes commonplace.For these reasons members of the Board of Governors are encouraged to decline any such service.

  2. Service on Boards of Private Colleges and Universities

    Members of the Board of Governors may be asked to serve simultaneously on the board of a private college or university in North Carolina.While such an invitation is always an honor, there are potential areas of conflict in such dual memberships.A member should satisfy himself or herself that dual service will not interfere with his or her obligations either to the University of North Carolina or to the private institution.

  3. Inquiries Concerning Admissions and Job Openings

    From time to time a member of the Board of Governors may wish to inquire, either directly or through an officer of the University, about a job opening in the University or about the admission of an individual to an institution or to a program.Sometimes a Board member is asked to write a letter of recommendation on behalf of a candidate for a job or for admission.It is highly inappropriate to use one's position on the Board of Governors in an attempt to influence employment or admissions. It is not inappropriate, however, for a member to make inquiries or to write letters of recommendation on the member's personal or business stationery. It should always be clear that the Board member is not seeking a favor and understands that the decision in all cases will be made strictly on the merits.

  4. Appointments by the Board of Governors

    In order to avoid any appearance of undue influence, the Board of Governors will not consider for membership on any board to which it makes appointments any person who is a spouse of a Board of Governors member, a brother or a sister or a lineal ancestor or descendant of a member, or the spouse of any such person.This policy shall not apply, however, to any person who may have been elected or appointed to any such board prior to the time the related person became a member of the Board of Governors.Nor shall the policy apply to any person who may already be serving on any such board at the time of the adoption of the policy.The Board of Governors will not consider for membership on any board to which it makes appointments any person who was a member of the Board of Governors at any time during the two‑year period immediately preceding the effective date of the appointment.The boards to which this policy shall apply include the boards of trustees of the constituent institutions and all boards to which the Board of Governors make appointments.

  5. Inappropriate Advantage Derived from Board Membership
    1. Purpose. It is of critical importance that decisions made on behalf of the University by its governors, trustees, chief executive officers, and chief finance officers be in the best interest of the University and not be influenced by any potential financial gain to the decision-makers. Furthermore, to assure public confidence in the integrity of the University, it is important that the University not appear to be influenced by the personal financial interests of those in decision-making positions. The purpose of this policy is assure public confidence in the integrity of the University by preventing members of the governing boards and chief executive and finance officers of the University from using their positions, or appearing to use their positions, to influence the decisions of the University for their personal financial gain while at the same time allowing the University to take advantage of contracts that are advantageous to the citizens of North Carolina and to the University and also avoiding having service to the University be so restrictive that persons with substantial financial interests will be reluctant to serve.
    2. Definitions

      As used in this policy, the following terms have the following meanings:

      1. "Business entity" means a “business” as defined in G.S. 163A-152(5)[1] or a not for profit corporation.
      2. "Person" means a member of the Board of Governors or of a board of trustees of a constituent institution, the vice president for finance, a chancellor, or the chief finance officer of a constituent institution.
      3. "Substantial interest" means any of the following:
        1. A “business with which associated” as that term is defined in G.S. 163A-152(7),[2] except that ownership of more than $10,000 in a publicly traded corporation by itself is not a substantial interest; or
        2. A “nonprofit corporation or organization with which associated” as that term is defined in G.S 163A-152(54),[3] except that uncompensated service as a director, officer, or trustee of a not for profit corporation is not a substantial interest.
      4. "The University" as applied to members of the Board of Governors, the president, and the vice president for finance means the University of North Carolina System Office (UNC System Office) or any of the constituent institutions. The University as applied to members of the boards of trustees, a chancellor, or a chief finance officer of a constituent institution means the constituent institution on whose board of trustees the member serves or at which the chancellor or chief finance officer is employed.
    3. Requirements
      1. Each person must contemporaneously submit to the vice president of finance, each Statement of Economic Interests that the person files with the State Ethics Commission pursuant to G.S. 163A-187. These disclosure statements are public records.
      2. Whenever a person has actual knowledge that a business entity in which the person has a substantial interest is attempting or planning to enter, is entering, or has entered into a contract with the University, the person must report the nature of the person's substantial interest and the nature of the contract to the chief finance officer of the institution that is or would be a party to the contract. If the person is a chief finance officer, then the chief finance officer must make this report to the chancellor or to the president of the institution that is or would be a party to the contract. Reports required by this paragraph shall be in writing and will be public records retained by the respective chief finance officers.
      3. The University will not enter into a contract with a value of $10,000 or more, or with expected payments of $10,000 or more per year, with a business entity in which a person has a substantial interest, unless one of the exceptions in paragraph c.iv., applies. A person will not in any way:
        1. Participate in making a contract;
        2. Attempt to cause or influence the University to make a contract; or
        3. Attempt to influence the contract specifications or contracting process concerning a contract between a business entity in which the person has a substantial interest and the University.

          The vice president for finance and the respective chief finance officers of the constituent institutions are responsible for determining whether the University is entering into a contract with a value of $10,000 or more with a business entity in which a person has a substantial interest.

      4. The restrictions on entering into a contract in paragraph c.iii., do not apply if the person with the substantial interest does not participate in making or administering the contract and:
        1. The contract results from a competitive sealed bid or a competitive request for proposals with specifications and criteria;
        2. The contract is for goods or services sold or provided to the general public at a uniform price or is for goods on state contract sold to state agencies at a uniform price, unless the contract is prohibited by state law;
        3. The contract is an employment contract with the dependent child or spouse of the president, the vice president for finance, a chancellor, or chief finance officer, or the dependent child of a member of the Board of Governors or a board of trustees and the employment is allowed under Section 300.4.2 of the UNC Policy Manual;
        4. The contract is with a bank or a public utility; or
        5. The committee of the Board of Governors or of the relevant board of trustees designated pursuant to paragraph d.i., below, finds that the contract is in the best interest of the University. Examples of when a contract might be in the best interest of the University include, but are not limited to, when it has financially advantageous terms, when the goods or services to be provided are demonstrated to be unique, or when the contract is a continuation of a contract that was in effect before the person with the substantial interest became affiliated with the University.
      5. If a person is an employee or agent of a business entity, the person shall not attempt to influence the University to enter into a contract with the business entity that employs or retains the person.
      6. A person shall not attempt to influence the administration of or payments under a contract between the University and a business entity in which the person has a substantial interest or between the University and the person's employer.
      7. No person shall disclose or use confidential information or information concerning economic development or technology research or development which the person received in his capacity as a board member or employee of the University for the person's financial gain.
      8. No person shall accept a gift or favor from a business entity, or the principal in a business entity, which has entered into a contract with the University within the past year, who currently has a contract with the University, or who intends to attempt to enter into a contract with the University if the person:
        1. Has or will prepare plans, specifications, criteria or estimates for the contract;
        2. Awards, approves, negotiates, or administers the contract; or
        3. Inspects or supervises the contract.

          This paragraph does not prohibit the receipt of advertising items of nominal value, awards such as plaques or trophies, food served at professional meetings or banquets, or gifts from family members or personal friends when it is clear that the friendship extends beyond the business relationship.

      9. A person shall not represent, as attorney, agent, or trustee, a third party who has an adverse relationship with the University. A person shall attempt to dissuade a firm or business entity in which the person has a substantial interest from engaging in representation adverse to the University.
    4. Procedures
      1. The chair of the Board of Governors and each chair of a board of trustees shall designate a standing committee to determine whether a potential conflict is a permissible or impermissible activity and to make recommended findings as to whether this policy has been violated.
      2. Potential conflicts:
        1. Any person who receives a report of a potential conflict shall forward that report to the chief finance officer of the institution that is or would be a party to the contract.
        2. If the person with the substantial interest claims or the chief finance officer believes that the contract is permissible pursuant to paragraph c.iv.1., , 3., or 4., above, the determination of whether the contract is permissible or impermissible may be made by the respective president or chancellor, or the president or chancellor may request that the designated committee make the determination. Any determination by the president or a chancellor shall be in writing and shall be a public record.
        3. If the person claims that the contract is permissible pursuant to paragraph c.iv.5., above, because the contract is in the best interest of the University, or if a chancellor or the president refers a conflict question to the committee, then the designated committee shall determine whether the proposed contract is a permissible or impermissible activity under this policy and shall enter its determination in the minutes of its proceedings.
        4. If the person who has the potential conflict is a member of the designated committee, the person shall not participate in the deliberations of the committee, other than to present the relevant facts to the committee, and shall abstain from voting.
      3. Allegations of conflict
        1. If any person or any senior academic or administrative officer (SAAO) becomes aware or alleges that a person covered by this policy has violated this policy, the person shall report the alleged violation to the chancellor or President of the institution that is or would be a party to the contract.
        2. The person who receives the allegation shall forward the allegation:
          1. To the designated committee of the board of trustees or of the Board of Governors if the person alleged to have violated this policy is a member of that board;
          2. To the designated committee of the Board of Governors if the president is alleged to have violated this policy;
          3. To the president if the person alleged to have violated this policy is a chancellor or the vice president for finance; or
          4. To the respective chancellor if the person is a chief finance officer of that constituent institution.
        3. If the person alleged to have violated the policy is the President or a member of a Board of Governors or of the board of trustees, then the designated committee will determine whether or not the policy has been violated. The chairperson of the designated committee will designate an individual to investigate the allegations and to make a report to the committee. After considering the report of the investigation and any response by the person alleged to have violated the policy, the committee shall make a determination as to whether the policy has been violated and, if so, a recommendation as to the appropriate sanction to the respective board of trustees or Board of Governors. The board of trustees or Board of Governors shall vote to affirm, reject, or modify the recommendation.
        4. If the person who has the potential conflict is a member of the designated committee, the person shall not participate in the deliberations of the committee, other than to present the relevant facts and arguments to the committee on his own behalf, and shall abstain from voting.
        5. A Board of Governors member, board of trustees member, or president who is alleged to have violated this policy is entitled to receive notice of the allegation, to be present to hear the report presented to the designated committee, and to inform the committee of any facts or arguments that demonstrate that he or she did not violate the policy.
        6. If the vice president for finance, a chief finance officer or a chancellor is alleged to have violated this policy, that allegation will be investigated and acted upon in accordance with the procedures for disciplining, demoting, dismissing, or terminating the contract of employees of that position.
      4. The president will present this policy annually to the Board of Governors and will present it to new members at the beginning of their service. The chancellors will present this policy annually to their respective Boards of Trustees and will present it to new members at the beginning of their service.
    5. Sanctions
      1. If the Board of Governors or a board of trustees finds that one of its members has violated this policy, the Board may take one or more of the following actions:
        1. Reprimand or censure the member;
        2. Remove the person from any board office the person holds or from any committee chairmanship or assignment; and
        3. Report the violation to the entity that appointed the member.
      2. If the Board of Governors finds that the president has violated this policy, the Board of Governors may discipline, demote or dismiss the president, as it deems appropriate.
      3. If the president finds that the vice president for finance has violated this policy, the president may discipline, demote, or dismiss the vice president, and shall report the violation and the action taken by the president to the Board of Governors.
      4. If the president finds that a chancellor has violated this policy, the president may discipline the chancellor and report the action taken to the Board of Governors and the relevant board of trustees, or the president may recommend to the Board of Governors that the employment of the chancellor be terminated and that the chancellor be demoted or dismissed.
      5. If a chancellor finds that a chief finance officer has violated this policy, the chancellor may discipline, demote or dismiss the chief finance officer and shall report the violation and the action taken to the president and the board of trustees.
      6. Pursuant to North Carolina law, any contract between the University and an entity in which a person has a substantial interest which was entered into in violation of state laws governing conflicts of interest is void.

The provisions of Section 5 are effective July 1, 2001. Initial disclosure forms will be filed on or before October 1, 2001. The provisions of paragraph c.iii., will apply to all contracts entered into after January 1, 2002.The Statement of Economic Interest replaces all disclosure forms due to be filed on or after July 1, 2007; the initial Statement of Economic Interest for people employed or in office on January 1, 2008, must be submitted to the vice president for finance by April 15, 2008.


[1] G.S. 163A-152(5) defines a “business” as, “Any of the following organized for profit:

  1. Association.
  2. Business trust.
  3. Corporation.
  4. Enterprise.
  5. Joint ventur
  6. Organization.
  7. Partnership.
  8. Proprietorship.
  9. Vested trust.
  10. Every other business interest, including ownership or use of land for income.”

[2] G.S. 163A-152(7)Business with which associated. A business in which the covered person or filing person or any member of that covered person’s or filing person’simmediate family does any of the following:

  1. Is an employee.
  2. Holds a position as a director, officer, partner, proprietor, or member or manager of a limited liability company, irrespective of the amount of compensation received or the amount of the interest owned.
  3. Owns a legal, equitable, or beneficial interest of ten thousand dollars ($10,000) or more in the business or five percent of the business, whichever is less, other than as a trustee on a deed of trust.
  4. Is a lobbyist registered under Article 8 of Chapter 163A of the General Statutes.

    For purposes of this subdivision, the term “business” shall not include a widely held investment fund, including a mutual fund, regulated investment company, or pension or deferred compensation plan, if all of the following apply:

    1. The covered person, filing person, or a member of the covered person's or filing person’s immediate family neither exercises nor has the ability to exercise control over the financial interests held by the fund.
    2. The fund is publicly traded, or the fund's assets are widely diversified.

[3] G.S. 163A-152(54) Nonprofit corporation or organization with which associated. – Any not for profit corporation, organization, or association, incorporated or otherwise, that is organized or operating in the state primarily for religious, charitable, scientific, literary, public health and safety, or educational purposes and of which the covered person, filing person, or any member of the covered person's or filing person’s immediate family is a director, officer, governing board member, employee, lobbyist registered under Article 8 of Chapter 163A of the General Statutes or independent contractor.Nonprofit corporation or organization with which associated shall not include any board, entity, or other organization created by this State or by any political subdivision of this state.

200.1: Adopted 05/11/84, Amended 06/09/89, Amended 09/08/89, Amended 05/11/91, Amended 06/08/01, Amended 11/09/07, Amended 09/18/09, Amended 12/15/17, Technical Corrections 04/25/19

200.2 Election Procedures

200.2 Election Procedures

  1. Officers.In accordance with Section 201 of The Code, a chair, a vice chair, and a secretary (Board offices) shall be elected. Nominations and elections for Board offices shall be conducted pursuant to the schedule set forth in this policy, in the following order: chair, vice chair, and secretary.
  2. General Provisions for Board Office Elections
    1. Nominations and elections for regular full terms of Board offices shall take place during the Board’s last regular meeting before July 1 in each even-numbered year. Alternatively, the Board may schedule a special meeting for the purpose of conducting nominations and election of Board officers before July 1 of an even-numbered year. Nominations and elections for partial terms shall occur only in the event of a vacancy and will be conducted consistent with Section 201 of The Code.
    2. Only voting members of the Board may make nominations for Board offices, be nominated for Board offices, vote for Board offices, or be elected to Board offices.
    3. A voting member may hold only one Board office at a time.
  3. Nominations
    1. Subject to the requirements of section II., of this policy, any voting member of the Board may be nominated for any office unless prohibited from serving by The Code. Self-nominations are permitted.
    2. Any voting member of the Board may orally nominate any voting Board member for any office. No “second” to the nomination will be permitted or required. The Board member making the nomination may offer remarks in support of the nomination that do not exceed five minutes. Nominations may be declined by the nominated voting member. Once a Board member is nominated for an office, no additional nominations for the Board member with respect to that office will be received or registered.
    3. Nominations shall be made in open session. Every voting member so nominated shall be a candidate for that office, unless the voting member has declined the nomination.
    4. Nominees for the offices of chair, vice chair, and secretary may offer remarks in support of their candidacies. Nominees for each office who choose to offer remarks shall be recognized in alphabetical order by last name and may speak for no more than 10 minutes.
  4. Election
    1. Written ballots for each office shall be distributed by the Office of the Secretary to each member of the Board who shall cast one vote from the list of candidates for that office.Voting shall be completed for each office separately and in succession, in the order of chair, vice chair, and secretary.
    2. After the first and each succeeding ballot, if no candidate receives the requisite majority and when votes are received for three or more candidates, the name of the candidate receiving the smallest number of votes shall be dropped from the list of nominated members and shall cease to be a candidate.
    3. All written ballots for each office shall be signed by the member casting the ballot. A committee consisting of no fewer than two chancellors appointed by the chair shall tally the ballots for each office and announce the results to the Board.The ballots shall be collected and retained by the assistant secretary of the Board of Governors for disposition under G.S. 143-318.13(b).
    4. If the chair is a candidate for re-election, the vice chair shall preside over the election portion of the meeting.If the chair and the vice chair are both candidates for re-election, the chair shall designate another individual to preside over the election portion of the meeting.
  5. Procedures.Except as above modified, the procedure shall be under Section 202 C(4) of The Code and Robert's Rules of Order.
  6. Other Matters
    1. Effective Date.  The requirements of this policy shall be effective on July 1, 2018.
    2. Relation to Federal and State Laws.  The foregoing policy as adopted by the Board of Governors is meant to supplement, and does not purport to supplant or modify, those statutory enactments which may govern or relate to the subject matter of this policy. 
200.2: Adopted 07/27/84, Amended 06/14/13, Amended 05/24/18

200.3 Selection of the President of the University of North Carolina

200.3 Selection of the President of the University of North Carolina

  1. Purpose

    The Board of Governors desires to establish a framework for the process of identifying and electing the president of the University of North Carolina.The procedures specified herein are intended to lead to the selection, from a diverse candidate pool, of the best qualified person to be president and result in that person's full acceptance by the University community and the State.

  2. Nominating Committee
    1. A nominating committee shall be established by the Board of Governors for the purpose of filling the various committee positions set forth in this policy.  The committee shall consist of the officers of the Board of Governors, the immediate past chair, and five (5) members recommended by them and approved by the Board of Governors.
    2. The nominating committee shall nominate a slate of members of the Board of Governors for membership on the search committee, along with a chair and vice chair for the committee.
    3. The nominating committee shall nominate a slate of additional individuals to serve on the leadership statement committee and the screening committee, as set forth in this policy.All nominations shall take into consideration the diversity, talent, and experience represented on the Board of Governors and its various constituencies.
    4. The student member of the Board of Governors, who is the president of the Association of Student Governments, is eligible for and shall be considered for membership on the search committee, but in any event shall be a member of either the search committee, the leadership statement committee, or the screening committee.
  3. Search Committee
    1. The Board of Governors shall approve, on recommendation of the nominating committee, a search committee consisting of nine (9) members, each of whom shall, at the time of their appointment, be members currently serving on the Board of Governors.The committee shall include the three (3) officers of the Board of Governors at the time of its establishment, who shall not serve as officers of the committee.
    2. The search committee shall serve as the coordinating committee for the entire selection process and its various committees.The search committee may establish guidelines, strategies, plans, and procedures to govern its work.The search committee shall use the leadership statement adopted by the Board of Governors as criteria.
    3. The search committee shall confer with the Committee on Personnel and Tenure and consult other appropriate sources of information in examining the salary, benefits, housing, memberships, and other perquisites that accompany the position of the president for referral to the Board of Governors.
    4. The search committee shall present one or more nominee(s) to the Board of Governors for election as the University's next president.
    5. The chair of the search committee shall give regular status reports to the Board of Governors on the work of the selection process.Members of the board who are not members of the various committees of the selection process may be asked to undertake specific tasks in connection with the selection process.
    6. The search committee shall exist for ninety (90) days following the assumption of duties of the president of the University for the purpose of assisting the president in assuming the roles and duties of the office.
  4. Leadership Statement Committee
    1. The leadership statement committee shall consist of all members of the search committee and up to twenty (20) additional members approved by the Board of Governors on recommendation of the nominating committee, composed of four (4) chancellors; three (3) representatives of the faculty, including the chair of the Faculty Assembly at the time the committee is appointed, and two (2) other faculty members selected from a list of persons nominated by the Faculty Assembly; the chair of the Staff Assembly at the time the committee is appointed, and such other staff as may be selected from a list of persons nominated by the Staff Assembly; up to four (4) current members of the Board of Governors who are not serving on the search committee; and representatives of the student body, the boards of trustees, the alumni, and such other constituencies as may be appropriate.The search committee chair shall serve as the chair of the leadership statement committee, but may designate one or more other members of the Board of Governors to chair meetings of the committee and perform other essential leadership committee functions.
    2. As soon as practicable, the leadership statement committee shall hold public meetings at times and places to be determined by the committee chair.These hearings will solicit comments from interested citizens on the future of the University and on the characteristics and qualifications needed in the next president.These meetings shall be open to the public.The committee, through its chair, shall extend special invitations to faculty members, staff members, students, alumni, and other interested persons.After receiving public input and relevant information from a variety of sources, the committee shall develop a statement setting forth the leadership characteristics to be used in selecting the next president.This statement of criteria and characteristics shall be presented to the Board of Governors for its approval.
  5. Screening Committee
    1. The screening committee shall include all members of the search committee and five (5) to seven (7) additional members approved by the Board of Governors on recommendation of the nominating committee.All members of the screening committee shall be members currently serving on the Board of Governors at the time of their appointment.The search committee chair shall serve as the chair of the screening committee.
    2. The committee shall review the initial pool of applicants for the position of president of the University.After the committee’s review in relationship to the leadership statement established by the Board of Governors, it will recommend a list of applicants to the search committee for further review.
  6. Confidentiality
    1. The search committee and screening committee shall meet in closed session to the extent allowable under the provisions of the North Carolina Open Meetings Law (N.C.G.S. §§ 143-318.9 - 143-318.18).Whenever the committees are meeting in closed session, no person who is not a member of the committees or of its staff shall be permitted to attend without the express invitation of the chair of the search committee.
    2. It is recognized that confidentiality is vital for the success of the selection process, and the members of the Board of Governors, the members of any ancillary committee, and the members of the staff, including any consultants, of the search committee shall be expected to sign appropriate confidentiality agreements and will be reminded of the absolute necessity for confidentiality.
  7. Spokesperson

    The chair of the search committee shall be the sole spokesperson for all committees during the selection process.The search committee chair shall work with the Board of Governors chair to ensure that the Governor of the State, Speaker of the House, and President Pro Tem of the North Carolina Senate receive appropriate nonconfidential information about the progress of the search.

  8. Search Plan

    The search committee shall develop and submit to the Board of Governors for approval a written search operating plan and budget addressing the following items:

    1. Staffing needs that will be met from General Administration;
    2. Consultants and other professional support, including an administrative officer if applicable;
    3. Expenses for consulting/professional fees, materials, meals, travel, office space, advertising, and other charges;
    4. Estimated timetable for the selection process; and
    5. Plans for advertising and publicizing the position in order to ensure a diverse pool of qualified candidates.

      Any material change in the search operating plan shall be submitted to the Board of Governors for approval.

  9. Changes to the Selection Procedures

The Board of Governors may modify or adjust these procedures at any time by majority vote to address the circumstances of a particular selection process.

200.3: Adopted 06/14/96, Amended 02/27/15

200.4 Assessment Process for the Chief Executive and Governing Boards of The University of North Carolina

200.4 Assessment Process for the Chief Executive and Governing Boards of The University of North Carolina

Background

In 1996 the Board of Governors adopted an assessment process for chief executives and governing boards of the University.This revision of the assessment policy retains the philosophy that the assessment process should include the Board of Governors and the President as well as the institutional Boards of Trustees and the chancellors.This comprehensive assessment provides an opportunity for the Board of Governors to assess its own work as well as the performance of the President and for the institutional Boards of Trustees to comment to the President about their respective chancellor's performance as well as to review their own progress.

The objectives of these assessment processes are to build and sustain effective relationships within the University’s constituents, to promote consensus building and develop group strength, and to develop strategic directions for achieving the mission of the University and the mission of each constituent institution.Regular and systematic assessments, if conducted properly, will enable the governing boards and the chief executives to fulfill more effectively their respective roles and responsibilities.This process affords the trustees an opportunity to provide information to the President regarding their respective chancellors.Also, this process provides a method for monitoring any potential problems that may require attention.

  1. Board of Governors

    The Board of Governors should perform a self-assessment every four years, at a time to be determined by the chairperson of the Board of Governors, after consultation with the President.The Board of Governors should review the most recent long range planning document for the University when they begin the assessment process and shall review the goals achieved, the goals unmet, and the goals that need modification.Assessment tools such as those developed for the University of North Carolina in collaboration with the Association of Governing Boards (AGB) Self Study Criteria can be especially helpful in facilitating the goals of the assessment process.The Board of Governors should also review their previous self-assessment summaries. The Chairperson may appoint a committee and may retain an outside consultant to guide the Board in its self-assessment process.

  2. Board of Trustees

    The Board of Trustees of each constituent institution will conduct a self-assessment every four years at a time determined by the Chairperson of the Board of Trustees after consultation with the chancellor and the President.The Board of Trustees should review the most recent institutional long-range planning document and the most recent long-range plan for the University adopted by the Board of Governors.After reviewing the goals achieved, the goals unmet, and the goals that need modification, the Board of Trustees will conduct a self-assessment.A review of these plans should provide the framework for the assessment.Assessment tools such as those developed for the University of North Carolina in collaboration with the Association of Governing Boards (AGB) Self Study Criteria for a Single Campus can be especially helpful in facilitating the goals of the assessment process.The Board of Trustees should also review their previous self-assessment summaries and may find the use of a consultant especially helpful.The chancellor and board chairperson shall submit a summary report to the President and the Board of Governors at the conclusion of the assessment.This report will provide a basis for improving the biennial trustee orientation, the trustee conference held in the fall of odd-numbered years and other programs of continuing education for trustees.

  3. The President

    The objective of the performance reviews of the President is to promote good communication and build strong working relationships between the President, the Board of Governors and the constituent organizations of The University.It is desirable for the Board of Governors to give informal feedback to the President on an ongoing basis.The more formal assessment of the President is designed to provide focused feedback and the opportunity for professional reflection and development.The performance reviews will be performed in accordance with criteria described below:

    1. Every year the President will provide the Board of Governors with a report assessing goals and accomplishments and the Board will review the performance of the President.An assessment committee, consisting of the officers of the Board and the chairs of the Board’s standing committees, will review the report with the President and may prepare a written response, which would be placed in the President’s personnel file along with the President’s report.
    2. Every fourth year the annual review for that year will be replaced by a comprehensive assessment that will include the Board, campus chancellors and heads of other University constituent organizations, University officers and staff, faculty, students and other internal and external constituencies.An assessment committee of the Board of Governors in consultation with the President will retain an outside consultant to guide the process, to gather written feedback from the Board, to conduct confidential interviews and to assist the committee in the preparation of a report.The final report along with any response from the President and the President’s report on goals and accomplishments would be placed in the President’s personnel file.
  4. The Chancellors

    The objective of the performance reviews of a chancellor is to promote good communication and build strong working relationships between the chancellor and the President, the Board of Trustees and the campus constituents.The assessment of chancellors is designed to provide each chancellor with feedback from each of these and to provide the chancellor with the opportunity for professional reflection and development.The performance reviews of the chancellors will be conducted in accordance with criteria and procedures determined by the President on the following schedule:

    1. Every year the chancellor will provide the President with a report assessing goals and accomplishments, a copy of which may be provided to the Board of Trustees.The President will review the performance of the chancellor.The chancellor’s report and any written response from the President will be placed in the chancellor’s personnel file.
    2. In the second spring after the appointment of the chancellor, and every four years thereafter, the Board of Trustees will review the performance of the chancellor. An assessment committee of the Board of Trustees will ask each trustee to fill out a questionnaire developed by the President’s office.The results will be shared with the President and reviewed in a meeting of the chancellor, the chair of the Board of Trustees and the President.
    3. In the fourth spring after the chancellor’s appointment, and every four years thereafter, the President and the Board of Trustees will conduct a comprehensive review of the chancellor’s performance that will include major campus constituencies such as faculty, students, and staff.The chairperson of the Board of Trustees will appoint an assessment committee.The Chairperson of the Board of Governors may appoint a member of the Governance Committee or another member of the Board of Governors to participate in the assessment.The assessment committee in consultation with the chancellor and the President may retain an outside consultant to guide the process, to gather written feedback from the Board, to conduct confidential interviews and to assist the committee in the preparation of a report.The final report along with any response from the chancellor and the President and will be placed in the chancellor’s personnel file.

For chancellors appointed prior to 2001 who have had a review by the Board of Trustees under the previous assessment policy, the reviews designated in paragraphs 2 and 3 above will be conducted in the spring of years in accordance with the existing biennial and quadrennial schedule.

200.4: Adopted 05/11/01

200.4.1[G] Guidance for Presidential Assessment Committee of the Board of Governors[1]

200.4.1[G] Guidance for Presidential Assessment Committee of the Board of Governors[1]

Drawing upon the report of William Weary[2]and the feedback from members of the 2000-2001 board assessment committee of the President, the following suggestions are made for future rounds of the quadrennial comprehensive Presidential performance review:

  1. The next comprehensive performance review of the President would occur in 2004-2005.
  2. In the spring of that year, and every four years thereafter, the chairperson of the board will appoint a presidential assessment committee consisting of 5 to 7 members with a plan for the committee’s work to be completed in 60 to 90 days.
  3. In consultation with the President, the committee will retain an outside consultant to guide the process.The Secretary to the University will provide the committee with background materials relevant to the presidential assessment process.
  4. Meetings of the committee will be held in closed session, open only to members of the Board of Governors, the consultant and, when requested by the committee, the President.
  5. At the beginning of the process the committee and the President will jointly develop the criteria to be used in the assessment.
  6. The President will write a self-assessment that addresses goals and accomplishments and will suggest goals for the coming years.
  7. Each board member will fill out a questionnaire developed by the consultant and will be interviewed by a committee member or the consultant.
  8. The committee, in consultation with the President, will develop a list of people other than board members who will be interviewed.The list may include chancellors, senior officers, student and faculty leaders, Board of Trustees members, State, community and national leaders, and peers in other universities.The interviews will be confidential and will be conducted by a skilled interviewer.
  9. After all relevant information is gathered, the consultant will draft a report which will be reviewed for accuracy by the President and the committee chairperson before it is submitted to the committee.The chairperson will present the edited report to the committee.
  10. The President may prepare a formal response to the report.
  11. The committee will meet with the President to discuss the report and the President’s response, if any.The committee may revise the report in response to the President’s written or verbal remarks.
  12. The committee will present the report to the board, and the board will discuss the report with the President. Only the President and the President’s personnel file will retain copies of the report.
  13. The committee will recommend for board approval goals for the President for the upcoming year and/or years.
  14. The board chairman and the President may jointly issue a press release to inform the public of the results of the process.

[1]Adopted by the Board of Governors on May 11, 2001, as guidance and not policy.

[2]The full report provided by William Weary, consultant to the Board of Governors presidential assessment committee of 2000-2001, may be found in the board’s files

200.4.1[G]: Adopted 05/11/01

200.4.2[G] Guidance for Fourth Year Comprehensive Performance Review of the Chancellor

200.4.2[G] Guidance for Fourth Year Comprehensive Performance Review of the Chancellor

  1. The chair of the Board of Trustees appoints an assessment committee comprised of selected trustees or the full board.
  2. The chair of the Board of Governors designates a representative of the Board of Governors to serve as a full participant in the chancellor performance assessment process.
  3. The chair of the Board of Trustees serves as the chair of the assessment committee unless he or she chooses another trustee to serve as chair in his or her place.
  4. The assessment committee with the advice and consent of the President and in communication with the chancellor selects an outside consultant to guide the process.
  5. The chancellor provides a self-assessment of goals and accomplishments to the Board of Trustees and the President.
  6. The assessment committee sends out survey/evaluation forms to a random sampling of current and former members (especially chairs) from the Board of Trustees, faculty, staff, community/alumni representatives, and students to be returned as specified to either the consultant or to the chair of the assessment committee.
  7. The consultant schedules a number of interviews with members of the faculty, the administration, and the Board of Trustees to supplement the survey results.
  8. The consultant prepares a comprehensive report and shares it with the chancellor and the chair of the Board of Trustees to review for factual accuracy.
  9. The consultant shares the report, after review by the chancellor and the chair of the Board of Trustees, with the assessment committee for further adaptations or modifications.
  10. The chair of the Board of Trustees then presents the report to the full Board of Trustees in closed session at the next meeting.
  11. The chair of the Board of Trustees provides copies of the comprehensive report and the final analysis of the Survey Questionnaire to the President.
  12. The chair of the Board of Trustees, the chancellor, the consultant, and the Board of Governors representative meet with the President to review the report and its findings.
  13. The President and the Board of Governors representative present the assessment report to the full Board of Governors in closed session.
200.4.2[G]: Adopted 08/05/02, Amended 06/15/04

200.5 Initiating and Settling Potential and Pending Litigation

200.5 Initiating and Settling Potential and Pending Litigation

By virtue of N.C.G.S. § 116-3, the capacity and authority to initiate litigation, as well as to settle potential and pending litigation, in the name of the University of North Carolina, and on behalf of the constituent institutions, lies exclusively with the Board of Governors. A constituent institution has no independent capacity or authority to initiate litigation or to settle potential or pending litigation in its own name or in the name of the University of North Carolina.

Potential or pending litigation may involve issues and claims that do not require the attention of the Board of Governors to approve their initiation or settlement.The Board of Governors therefore delegates the authority to initiate and settle potential and pending litigation only in the circumstances below:

  1. A constituent institution may initiate litigation in the name of the University of North Carolina or the constituent institution if the amount in controversy is less than the jurisdictional amount for civil actions in superior court as set out in N.C.G.S § 7A-243 upon the approval of the chancellor.The University of North Carolina may initiate litigation concerning issues that do not arise at a constituent institution, or that arise at more than one constituent institution, if the amount in controversy is less than the jurisdictional amount for civil actions in superior court as set out in N.C.G.S § 7A-243 upon the approval of the president.
  2. The Committee on University Governance may authorize the initiation of litigation in the name of the University of North Carolina if the amount in controversy is greater than the jurisdictional amount for civil actions in superior court, or if injunctive relief is sought.[1] A request to initiate litigation shall be made by the chancellor of a constituent institution, or by the request of the president for issues that do not arise at a constituent institution or that arise at more than one constituent institution. In an emergency, if a constituent institution or the University needs to seek an order from a court sooner than it is practical to call a meeting of the Governance Committee, the constituent institution or the University may initiate litigation on the authorization of the president or the senior vice president and general counsel of the University.The president or general counsel shall consult with the chair of the Governance Committee before authorizing the litigation if it is practical to do so.If emergency litigation is initiated without the authorization of the Governance Committee, the president, or the president’s designee, shall inform the Governance Committee about the litigation at the Committee’s next regular or special meeting.
  3. If a settlement of potential or pending litigation involving a constituent institution or the University of North Carolina:
    1. Is solely for monetary relief, and if the amount that the University of North Carolina is to pay pursuant to an agreement to settle the potential or pending litigation is less than $75,000, or if the University is to receive a payment, and the amount claimed was less than $75,000, then the chancellor of a constituent institution is authorized to approve the settlement. If a matter did not arise at a constituent institution or involves more than one constituent institution, the president is authorized to approve the settlement.
    2. Is solely for monetary relief, and if the amount that the University of North Carolina is to pay is $75,000 or greater, or if the University will receive a payment, and the amount claimed was $75,000 or greater, then the Committee on University Governance is authorized to approve the settlement.[2]
    3. Includes an agreement by the University, or one or more constituent institutions, to take, or refrain from taking, a specific action, and the agreement affects only the named parties in the litigation or parties reasonably anticipated to be named in potential litigation, such as actions that affect only named employees or students, then the president or the chancellor of the constituent institution may authorize the settlement agreement.
    4. Includes an agreement by the University, or one or more constituent institutions, to take or refrain from taking a specific action which affects a group or class of people or which results in changing a University or constituent institution policy, procedure or regulation, then the Committee on University Governance is authorized to approve the settlement.
  4. The Committee on University Governance may refer a request to initiate or settle potential or pending litigation to the Board of Governors, in the committee’s discretion.The president may refer a request to settle potential or pending litigation to the Committee on University Governance in the president’s discretion.If the president makes such a referral, the Committee on University Governance is authorized to decide the matter, or it may make a recommendation to the Board of Governors.
  5. Any settlement approved pursuant to this policy shall be reported to the Committee on University Governance and to the Board of Governors either in writing before the next regular meeting of the Board of Governors or at the next regular meeting of the Board of Governors after the settlement is finalized.[3]
  6. The University of North Carolina may appear as amicus curiae in a lawsuit or judicial proceeding only after receiving the approval of the Committee on University Governance.The Committee, in its discretion, may refer the question to the Board of Governors.
  7. A constituent institution, or a school or college of a constituent institution, may appear as amicus curiae in a lawsuit or judicial proceeding only after receiving the approval of the chancellor of the institution and after providing advance written notice to the president. Nothing in this section is intended to limit the ability of an individual University employee or group of employees to appear as amicus curiae in the individual’s or employee group’s name.

This policy applies to the University of North Carolina Health Care System, to the UNC Physicians and Associates, and to the ECU Medical Faculty Practice plan except as otherwise provided in Policy§§ 1200.4 and 1200.5 and except as otherwise provided by State law, including G.S. § 116-219 et seq.

The requirements of this policy shall be effective on the date of adoption by the Board of Governors. The foregoing policy is meant to supplement, and does not supplant or modify, those statutory enactments which may govern the initiation and resolution of legal claims.This policy shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.


[1]Pursuant to N.C.G.S. § 116-11(13), and notwithstanding The Code or any other Board of Governors policy, the Board of Governors has delegated certain authorities to the president of the University.See UNC Policy 200.6, Delegation Authority to the President of the University, adopted 11/13/06.

[2]See Footnote 1.

[3]See Footnote 1.

200.5: Adopted 08/14/98, Replaced 05/14/04, Amended 09/08/05, Amended 09/09/16

200.6 Policy on Delegation of Authority to the President

200.6 Policy on Delegation of Authority to the President

  1. Pursuant to N.C.G.S. § 116-11(13) and other North Carolina law as referenced herein, and notwithstanding The Code or any other Board of Governors policy,[1] the Board of Governors delegates the following authorities to the president of the University:
    1. Human Resources
      1. Authority to establish and administer a human resources program for employees exempt from the State Human Resources Act (N.C.G.S. Chapter 126).
        1. “Human resources program” shall include such personnel actions related to the establishment of positions and the administration of salary ranges; recruitment, appointments, salaries, and salary adjustments; promotion and tenure; leave programs; performance management; non-faculty discontinuation, discipline, and discharge; and non-faculty grievance and appeals processes (§300.1.1, §300.1.2, and §300.2.1).
        2. The president may approve management flexibility plans for Special Responsibility Constituent Institutions and may delegate limited authority for human resources actions to constituent institutions that are not authorized as Special Responsibility Constituent Institutions (§600.3.4).
        3. Notwithstanding the above provisions, unless otherwise delegated:
          1. The Board of Governors shall retain authority over the appointments and compensation for the president, for the chancellors of the constituent institutions, for the chief executive officer of the UNC Health Care System, and for the UNC-TV executive director and general manager. (§300.1.1, The Code §500, N.C.G.S. §116-37(c), The Code §900, N.C.G.S. §116-37.1(c), and §1200.1).
          2. The Board of Governors shall retain authority over certain contract terms for athletic directors and head coaches of the constituent institutions (§1100.3).
          3. The president shall consult with the Board’s Committee on Personnel and Tenure on appointments and compensation for the senior officers of the UNC General Administration who report directly to the president.
          4. The Board of Governors shall retain authority over adjustments to base salary for permanent faculty and for employees exempt from the State Human Resources Act when the proposed amount (1) exceeds the established salary range or (2) exceeds twenty-five percent (25%) and twenty-five thousand dollars ($25,000) of the compensation in effect at the end of the last fiscal year.[2]
      2. Authority to approve all actions relating to the administration of the Optional Retirement Program (N.C.G.S. §135-5.1) and the Phased Retirement Program (§300.7.2).
      3. The president shall report in writing on actions taken under the authority of these delegations to the appropriate committee of the Board of Governors no less than annually, or as otherwise requested by the chair of the Board of Governors or the chair of the Committee on Personnel and Tenure.
    2. Governance
      1. The authority to approve the initiation of a lawsuit in the name of the University if the action is for monetary relief and the amount in controversy is less than $250,000. (§200.5)
      2. The authority to settle potential or pending litigation by or against a constituent institution or the University of North Carolina, if the settlement is solely for monetary relief and the amount the University is to pay pursuant to the settlement is less than $250,000 or, if the University is to receive a payment, the amount the University claimed is less than $250,000 (§200.5).
      3. Authority to approve the political activities of employees of the University who are candidates for or serving in public office (§300.5.1).
    3. Reports

      The authority to approve and submit any report the University or the Board of Governors is required to submit to the General Assembly, the State Board of Education or any other State or federal agency or officer.

    4. Real Property
      1. The power to authorize acquisition or disposition of the following interests in real property without obtaining approval of the Board of Governors, subject to any necessary approvals from state officials and agencies:
        1. Any interest in real property, other than a leasehold, with a value less than $750,000; and
        2. A leasehold interest in real property with annual value less than $750,000 and a term of not more than 10 years.

          The president’s authority may be exercised on behalf of the University of North Carolina System Office, affiliated entities, or the constituent institutions in the president’s discretion[3] (Sections 600.1.3 and 600.1.3[R] of the UNC Policy Manual).

      2. Authority to approve capital improvement projects funded entirely with non-General Fund money[4] that are projected to cost less than $750,000(Section 600.1.1 of the UNC Policy Manual).[5]
    5. Institutional Trust Funds.Authority to delegate to the chancellors management of institutional trust funds (Sections 600.2.4 and 600.2.4.1 of the UNC Policy Manual).
  2. The president will report all actions taken under the authority of the delegations in sections I.B., through I.E., to the appropriate committee of the Board of Governors either in writing before the next regular meeting of the Board of Governors or at the next regular meeting of the Board of Governors.
  3. These delegations will remain in effect unless and until the Board of Governors rescinds them in whole or in part.

[1] The Secretary of the University is authorized to annotate the referenced policies and regulations to cross-reference these delegations.

[2] The Board approved further authority delineations at the April 2015 meeting, see “Resolution to Delegate Limited Authority for Approval of Salary Adjustments to the President,” and reaffirmed in March 2016 “Resolution of the Board of Governors Review and Approval of Proposed Salary Adjustments.”

[3] The Board of Governors may delegate additional authority to the president or boards of trustees for real property transactions consistent with Section 600.1.3 of the UNC Policy Manual.

[4] This delegation shall be interpreted consistent with G.S. 143C-8-12.

[5] The Board of Governors may delegate additional authority to the president or boards of trustees for approval of capital improvement projects consistent with Section 600.1.1 of the UNC Policy Manual.

200.6: Adopted 11/13/06, Amended 06/08/07, Amended 04/08/11, Amended 08/10/12, Amended 10/11/12, Amended 07/29/16, Amended 10/14/16, Amended 05/22/19

200.7 Duties, Responsibilities, and Expectations of Board Members

200.7 Duties, Responsibilities, and Expectations of Board Members

  1. Applicability and Purpose.This policy sets forth the duties, responsibilities, expectations, and standards of conduct for members of the Board of Governors of the University of North Carolina, the boards of trustees of the constituent institutions, and the boards of University-affiliated organizations where membership includes individuals appointed by the Board of Governors.
  2. Definitions.For purposes of this policy:
    1. “Board” means the Board of Governors, a board of trustees of a constituent institution of the University of North Carolina, or a board of a University-affiliated organization with members appointed by the Board of Governors.
    2. “Board member” means any member of the Board of Governors, a board of trustees of a constituent institution of the University of North Carolina, or the board of a University-affiliated organization.
    3. “Institution” means the University of North Carolina or a constituent institution of the University of North Carolina.
    4. “University-affiliated organization” means an institution or organization that the Board of Governors is authorized to establish or to which it is authorized to appoint board members pursuant to statute, but does not include Associated Entities covered by Section 600.2.5.2[R] of the UNC Policy Manual or Centers or Institutes covered by Section 400.5[R] of the UNC Policy Manual.
  3. Duties and Responsibilities.Board members are responsible for performing essential functions that are central to the governance of the University, as described in Chapter 116 of the North Carolina General Statutes, The Code of the University of North Carolina, the Policy Manual of the University, and the policies and by-laws of the constituent institutions.Board members shall adhere to the standards of conduct and fulfill duties and expectations set forth in this policy.
    1. Attendance.Board members shall attend board meetings.If a member of the Board of Governors is, for any reason other than ill health or service in the interest of the State or nation, absent for four (4) successive regular meetings of the Board, his or her place as a board member shall be deemed vacant.[1]If a member of a board of trustees of a constituent institution is, for any reason other than ill health or service in the interest of the State or nation, absent for three (3) successive regular meetings of a board of trustees, his or her place as a board member shall be deemed vacant.[2]
    2. Participation in Policy and Oversight Functions.Board members are expected to prepare for meetings; actively contribute to the work of the board; and act in accordance with the governance, oversight, and advisory functions allocated to the board by:
      1. Reviewing and inquiring about materials that involve the institution or University-affiliated organization, such as board minutes and annual reports;
      2. Understanding and participating appropriately in the oversight function allocated to the board with respect to the finances and effectiveness of the institution or University-affiliated organization;
      3. Seeking information from and consulting appropriately with the chief executive officer of the institution or University-affiliated organization to gain additional context, make well-informed policy decisions, and carry out responsibilities for board-level oversight and monitoring of the affairs of the institution or University-affiliated organization;
      4. Participating as requested in the preparation and revision of long-range plans for the institution or University-affiliated organization;
      5. Serving on and contributing to the work of assigned committees;
      6. Listening to and considering differing opinions, and otherwise making reasonable efforts to conduct oneself in accordance with the practices and customs of formality and decorum articulated in Robert’s Rules of Order;[3]
      7. Referring matters of administration and management to the chief executive officer of the institution or University-affiliated organization for handling;
      8. Respecting and following executive leadership, management, and reporting lines when communicating with the University and the constituent institutions, and refraining from directing matters of administration or executive action except through the chief executive officer of the institution or University-affiliated organization; and
      9. Recognizing that board members’ authority is collective, not individual, and only arises from their participation with other members of the board when it is officially convened.
    3. Ethical Conduct.Board members shall adhere to high standards of ethical conduct by complying with laws, regulations, and University policies applicable to their service as board members and public officials, which include the obligations to:
      1. Exercise authority honestly and fairly, free from impropriety, threats, favoritism, and undue influence, as required by the State Ethics Act.[4]
      2. Keep confidential all information and records that are required by law to be kept confidential, including, but not limited to, personnel records and information, student records and information, attorney-client communications, and closed session deliberations and information;
      3. Comply with North Carolina open meetings and public records laws;
      4. Bring matters of concern, potential or real conflicts of interest, and reports of unlawful and/or noncompliant activity to the attention of the appropriate institutional or organizational officer, such as the president, chancellor, board chair, or committee chair;
      5. Avoid any personal or business interest that may conflict with the member's responsibilities to the institution or University-affiliated organization;
      6. Avoid even the appearance of impropriety when conducting the institution’s or University-affiliated organization’s business; and
      7. Recuse oneself from consideration of matters during meetings when required.
    4. Support for the Institution.Board members shall discharge their duties to the institution with care, skill, prudence, and diligence by:
      1. Exercising the degree of diligence, care, and skill that a prudent individual familiar with such matters would use under similar circumstances in a like position;
      2. Acting in good faith with the best interest of the institution or University-affiliated organization in mind;
      3. Conducting oneself, at all times, in furtherance of the institution’s or University-affiliated organization’s goals and not the member’s personal or business interests;
      4. Providing oversight to ensure that the institution’s or University-affiliated organization’s resources are dedicated to the fulfillment of its mission; and
      5. Becoming knowledgeable about issues that affect the University and seeking to understand the educational needs and desires of all the State's citizens, and their economic, geographic, political, racial, gender, and ethnic diversity.[5]
  4. Removal.A board member may be removed, or recommended for removal, for specified cause by affirmative vote of two-thirds (2/3) of the voting membership of the Board of Governors then in office.
    1. Removal of a Member of a Board of Trustees or University-affiliated Organization.The Board of Governors may remove from the board of trustees of a constituent institution or from the board of a University-affiliated organization a board member who was elected by the Board of Governors.With respect to a member of a board of trustees who was appointed by the Governor, the Board of Governors may vote to recommend to the Governor that the member be removed.
    2. Removal of a Member of the Board of Governors.The Board of Governors may recommend to the State House of Representatives or State Senate, whichever chamber elected the member, that a member of the Board of Governors be removed.
    3. Procedure for Removal; Specification of Cause; Notice and Opportunity to Respond
      1. The chair of the Committee on University Governance shall send the board member a written specification of reasons to consider the board member’s removal.In the event that the chair of the Committee on University Governance is the subject of the board’s consideration of a recommendation of removal, the vice chair of the Committee on University Governance will temporarily serve in the chair’s role. The notice shall state that the board member may submit a written response to the chair of the Committee on University Governance within five (5) business days of receipt of the written notice.
      2. The Committee on University Governance shall consider the written response of the board member and recommend to the Board of Governors action that the committee deems appropriate.If the board member submits no written response to the chair of the Committee on University Governance within the specified timeframe, the Committee on University Governance may continue with its consideration of removal of the board member, or a recommendation that the appropriate appointing or electing authority remove the board member.
      3. In its consideration of each matter, the Committee on University Governance may review any documents or establish any procedures it considers necessary based on the particular circumstances involved.
  5. Other Matters
    1. Effective Date.The requirements of this policy shall be effective on the date of adoption by the Board of Governors.
    2. Relation to State Laws.The foregoing policies as adopted by the Board of Governors are meant to supplement, and do not purport to supplant or modify, those statutory enactments which may govern the activities of public officials.
    3. Regulations and Guidelines.These policies shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.

[1] N.C.G.S. § 116-7(c).

[2] N.C.G.S. § 116-31(j).

[3] Section 202C(4) of The Code of the University of North Carolina.

[4] N.C.G.S. § 138A-2.

[5] N.C.G.S. § 116-7.

200.7: Adopted 04/10/15

200.8 Policy on Chancellor Searches and Elections

200.8 Policy on Chancellor Searches and Elections

The Board of Governors adopts the following policy regarding the chancellor search and election process.

  1. Purpose. The search for and election of a new chancellor of a constituent institution of the University of North Carolina requires the participation, involvement, and collaboration of the board of trustees of the constituent institution, the chancellor search committee, the president, and the Board of Governors, each of which performs distinct roles and functions. Within the University, chancellors report to the president.The president therefore has the primary responsibility for ensuring there is a thorough and reliable process for chancellor searches, culminating in the election of the chancellor by the Board of Governors.

    Consistent with the statutory responsibilities of the board of trustees, president, and Board of Governors, this policy establishes requirements for the chancellor search and election process, and describes the resources that shall be provided through the UNC System Office and the constituent institutions during eachsearch.

  2. Search Process
    1. President. As further described in this policy, the president shall have the overall responsibility for overseeing System Office staff with responsibility for managing and supporting chancellor searches, helping determine search committee membership, charging the search committee, developing chancellor leadership competencies, interviewing chancellor finalists, participating in the reference checking process, negotiating the terms of employment for a chancellor-elect consistent with state law and Board policy, and offering a chancellor-elect for final consideration by the Board of Governors.
    2. Board of Trustees. As further described in this policy, members of the boards of trustees shall serve as members of the search committee, shall consider candidates proposed by the search committee as potential finalists, and shall refer a final slate of candidates to the president for additional vetting and consideration.
    3. Board of Governors. As further described in this policy, selected members of the Board of Governors shall provide input and advice to the president on a slate of finalists and the governors both in committee and then as the full body shall consider and vote on a proposed chancellor-elect.
    4. Search Committee
      1. The search committee shall be composed of representatives of the board of trustees, the faculty, the student body, the staff, the alumni, the local community, and other campus constituencies as may be deemed appropriate, which can ordinarily be achieved with a committee of no more than 20 members.
      2. No member of the Board of the Governors may serve as a member of the search committee.
      3. The chair of the board of trustees in consultation with the president shall identify a chair of the search committee; the chair of the board of trustees may also serve as chair of the search committee with the agreement of the president.
      4. As further described in this policy, the search committee shall work on behalf of the board of trustees and the president to receive the input of institutional stakeholders and community members, to develop a leadership statement that describes the desired qualities for the new chancellor, to conduct interviews and consider the qualifications of candidates, and to propose a slate of finalists for consideration of the board of trustees, who recommends the slate to the president.
    5. Budget and Staff. Upon the establishment of the search committee, the chair of the board of trustees, in consultation with the president, shall establish a budget and identify staff for the committee. With the exception of assigned System Office professional staff and their direct expenses, the costs for a chancellor search are the responsibility of the constituent institution. This shall include the fees and expenses of any engaged outside professional search and/or background investigation firms.
    6. UNC System Office.The UNC System Office shall provide the necessary resources and support to effectively carry out a chancellor search, including but not limited to qualified human resources staff with expertise in executive search, logistical and administrative support to the chair of the search committee, and training materials which shall serve to orient trustees and search committee members with respect to their roles and responsibilities in the search process.The System Office may also obtain the support of the constituent institution in providing local logistical support to the operations of the search committee.
    7. Search Status. Members of the Board of Governors may elect to receive public notices of search committee meetings and chancellor search open forums. The chair of the board of trustees shall ensure that the president receives periodic updates concerning the status of the search and the projected schedule for concluding interviews and delivering recommendations of three (3) candidates to the president.
    8. Engagement of Key Stakeholders
      1. The chair of the search committee shall assure that the search process engages a broad cross-section of institutional stakeholders to obtain well-rounded input on candidates. At the discretion of the search committee chair, such engagement could involve students, faculty, staff, alumni, and community members.
      2. The search committee chair is encouraged to engage selected members of the Board of Governors who may live within proximity to the institution or otherwise have a particular interest in or knowledge of the institution and its mission to attend constituent forums, candidate receptions, or other events at which candidates are present.
      3. All individuals provided the opportunity to meet with chancellor candidates on campus will be expected to sign confidentiality agreements equivalent to that signed by members of the search committee.
    9. Confidential Searches and Confidentiality
      1. Consistent with state law protecting the identity of applicants, searches for chancellors of the University of North Carolina shall be conducted as “confidential searches,” which shall mean the identity of candidates, semi-finalists, or finalists shall not be disclosed to the general public. Conducting confidential searches is intended to maximize the quality of the candidate pool by not discouraging the interest of individuals who would not otherwise apply in the event of a publicly disclosed candidate pool.
      2. Any individual involved in the search process, including but not limited to members of the Board of Governors, the search committee, the board of trustees, and staff, shall keep confidential all search-related records and information that are required by law to be kept confidential.Confidential information includes, but is not limited to, personnel records and information of candidates, attorney-client communications, and closed session deliberations and information.
  3. Search Philosophy and Candidates for Chancellor
    1. Each chancellor search committee and the boards of trustees for constituent institutions shall make every effort to recruit and consider a pool of exceptionally well-qualified individuals for chancellor vacancies and to consider candidates with both traditional academic experience as well as candidates with alternative backgrounds in business, industry, government, the military, and the not-for-profit sector.
    2. The president shall undertake reasonable efforts to develop an internal pipeline of talent within the University of North Carolina that shall serve to benefit future applicant pools for the position of chancellor.
    3. The president shall assure that opportunities for chancellor vacancies shall be promoted in a manner that encourages interest from well qualified candidates who are current residents of the State of North Carolina.
    4. In keeping with Board policy in order to avoid actual or potential conflicts of interests, no presently serving member of the Board of Governors or a board of trustees shall be eligible to be appointed as an acting or interim chancellor or to be considered for the position of chancellor unless they first resign their position on said body.
  4. Board of Trustees Recommendations to the President. The institutional search committee shall recommend an unranked slate of three candidates to the board of trustees for consideration. The board of trustees, following receipt of the report of the search committee, shall recommend the unranked slate of three candidates for consideration by the president in designating a nominee for the chancellorship, or return the slate to the search committee for furtheraction.
  5. Consideration by the President. Once the slate of candidates is received from the board of trustees, the president may choose to interview one (1) or more of the candidates and may include members of his or her senior staff in the interviews, as deemed appropriate. The president may also consider asking the appointed officers of the Board of Governors and the chair and vice chair of the Committee on Personnel and Tenure to participate in these interviews to advise on the suitability of the candidates and to build support for a selected finalist before advancing to the next stage of the search process.
  6. Review of Candidate Qualifications and Background Investigation
    1. Timing.The president shall initiate a detailed background investigation on one or more of the candidates received from the board of trustees for determining their suitability for election as chancellor.
    2. Scope. Any candidate presented to the Board of Governors for election as chancellor must have had a completed background investigation that includes, but is not limited to verification of prior work history and educational credentials, confirmation of most recent total compensation, reference checks, criminal background check, credit check, civil litigation check, and scans of relevant social media and news media references applicable to the candidate. This investigation may address any other issues deemed of relevance to the president to confirm the candidate’s suitability to serve as a chancellor.
    3. Review of Results. The final results of this background investigation shall be reviewed by the president, appropriate members of the president’s senior staff, the officers of the Board of Governors, and the chair and vice chair of the Committee on Personnel and Tenure. This information may be shared with other members of the Board of Governors only with the direct authorization of the chair and the president when deemed necessary for the proper conduct of a search.
  7. Nomination to the Board of Governors.Following interviews and successful completion of an appropriate background investigation, the president may either identify one (1) of the three (3) candidates for nomination to the Board of Governors, or return the slate to the board of trustees with instructions for further action.
  8. Negotiation of Terms and Conditions of Appointment.The president shall consult with the Board of Governors officers and the chair of the Committee on Personnel and Tenure about the president’s proposed nomination and negotiation of conditional terms and conditions of appointment. The negotiated terms and conditions may include: compensation (including base salary, consistent with the Board of Governors approved market salary ranges), retirement plan participation; deferred compensation incentive and retention plans; stipends, and allowances; and written contract provisions, including length of appointment and retreat rights.
  9. Election of the Chancellor
    1. The Board of Governors shall vote on the president’s nominee and the proposed terms of appointment.
    2. All the members of the Board shall have no less than seven (7) calendar days to review written materials for the proposed candidate for chancellor-elect prior to being asked to vote on said nomination.
    3. Prior to being considered by the full Board of Governors, the Committee on Personnel and Tenure shall convene to consider and make a recommendation concerning the president’s nomination and the proposed terms and conditions of appointment, including the elements of any employment contract.The Committee on Personnel and Tenure meeting shall be scheduled so as to reasonably accommodate participation by Board of Governors members in person or by telephone.
    4. Any Board of Governors member who shall have a concern regarding the veracity or accuracy of any element of a candidate’s background for chancellor shall address such concern directly to the president. The president shall have the responsibility to investigate and follow-up on such concerns with the Board of Governors in a timely manner.
    5. The chancellor-elect shall not be physically present at any board meeting at which such vote shall be undertaken.
  10. Other Matters
    1. Effective Date. The requirements of this policy shall be effective for chancellor searches that are initiated on or after the date of adoption of this policy by the Board of Governors.
    2. Relation to State Laws. The foregoing policies as adopted by the Board of Governors are meant to supplement, and do not purport to supplant or modify, those statutory enactments which may govern or relate to chancellor searches.
    3. Regulations and Guidelines. These policies shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.
200.8: Adopted 04/10/15, Amended 10/10/18

200.9 Requests for Information or Data from the General Assembly

200.9 Requests for Information or Data from the General Assembly

  1. Applicability and Purpose.The Board of Governors, its committees, or its individual members may receive requests for information or data related to University of North Carolina and Board of Governors matters from the North Carolina General Assembly, its committees, or its individual members, as authorized by N.C.G.S. § 120-19.General Assembly requests for information or data may be formal or informal, written or oral.The Board of Governors expects to respond to any such request as soon as reasonably practicable under the circumstances, consistent with the requirements of applicable law.To assure accuracy of information and compliance with applicable law, this policy sets expectations for the manner in which board members and General Administration staff will process and respond to such requests from the North Carolina General Assembly on behalf of the board and the president.
  2. Receipt and Confirmation of Request.Any Board of Governors member or General Administration staff member who receives a request for information or data from a member of the General Assembly or legislative staff, whether formal or informal in nature, shall promptly deliver or otherwise communicate the request to the chair of the board and the president, or his or her designee(s), for written confirmation of the request and handling.
  3. Authority to Respond to Requests for Information or Data. The chair of the Board of Governors or his or her designee will respond on behalf of the board to any request for information or data related to Board of Governors or University matters directed to the board or any of its individual members from a member of the General Assembly or legislative staff.The president or his or her designee will respond on behalf of the University to any request for information or data directed to the University or North Carolina.
  4. Other Matters
    1. Effective Date.The requirements of this policy shall be effective on the date of adoption by the Board of Governors.
    2. Relation to State and Federal Laws.The foregoing policy as adopted by the Board of Governors is meant to supplement, and does not purport to supplant or modify, those statutory enactments which may govern the activities of the University of North Carolina and its public officials and employees.
    3. Regulations and Guidelines.This policy shall be implemented and applied in accordance with such regulations and guidelines as may be adopted from time to time by the president.
200.9: Adopted 01/26/16
End of Chapter 200 Board of Governors Affairs

Chapter 300 Personnel Policies


300.1 Senior Academic and Administrative Officers

300.1 Senior Academic and Administrative Officers

300.1.1 Policy on Senior Academic and Administrative Officers

300.1.1 Policy on Senior Academic and Administrative Officers

The duties and responsibilities of the president and the chancellors, and of their respective senior staff members, and their relationships to one another, to the Board of Governors, to the Boards of Trustees, and to all other officers and agencies within and without the University are set forth in Chapter V of The Code of The University of North Carolina (The Code). To complement the provisions of Chapter V and further to clarify these duties, responsibilities, and relationships, the following regulations are adopted by the Board of Governors:

  1. Definition of “Senior Academic and Administrative Officers” (SAAO)
    1. Senior officers of the University of North Carolina who are subject to the provisions of Section II of this policy are designated as Tier I SAAOs. This group includes the president [N.C. Gen. Stat. 116-14(a) (hereinafter G.S.)]; the vice presidents and other members of the president’s professional staff designated by the Board of Governors on recommendation of the president [G.S. 116-14(b)]; the chancellors of the constituent institutions [G.S. 116-11(4)]; the vice chancellors, provosts, and deans[1] 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 [G.S. 116-11(5)].
    2. Other senior officers of the University of North Carolina who are subject to the provisions of Section III of this policy are designated as Tier II SAAOs.This includes (1) members of the president’s professional staff other than those identified in subparagraph A, above [G.S. 116-14(b)]; and (2) associate and assistant vice chancellors; associate and assistant deans ; and other administrative positions within the constituent institutions, other than those identified in subparagraph A above, that have been designated by the president. [G.S. 116-11(5)].[2]
  2. Tier I Senior Academic and Administrative Officers of the University of North Carolina as Defined in Section I.A., above, Shall be Subject to the Following Policies
    1. Appointments and Discontinuation of Appointments
      1. Tier I SAAOs are employed in their administrative positions pursuant to this policy.Except with regard to the appointment of the president and the chancellors, no contract or other writing (except for The Code) may vary these terms, nor may any oral agreement modify these provisions.The appointments of these Tier I SAAOs are subject to the approval of the Board of Governors or a board of trustees delegated such authority by the Board of Governors.[3] Such officers do not have tenure in their administrative positions.Except for the president and the chancellors, they serve at the discretion of their employer and are not appointed to serve for specified periods of time.The continuance of these administrators in office therefore is at all times subject to determination by the appropriate authority, as follows:
        1. The president’s continuance in office is determined by the Board of Governors.
        2. The continuance in office of members of the president’s professional staff is determined by the president.
        3. The continuance in office of the chancellor of a constituent institution is determined by the Board of Governors, which may act to terminate such an appointment upon its own initiative or upon recommendation of the president. The Board of Governors in all instances shall consult the appropriate chair of the board of trustees prior to terminating the appointment of a chancellor.The president may place a chancellor on temporary leave, with or without pay, if the president has reason to believe that illness, injury, misconduct, neglect of duty, or other circumstances may interfere with the chancellor’s performance of the duties of the position.Before placing a chancellor on temporary leave, the president shall consult with the chair of the Board of Governors, the chair of the Committee on Personnel and Tenure, and the appropriate chair of the board of trustees.
        4. The continuance in office of vice chancellors, provosts, deans, and directors of major educational, research and public services activities of the constituent institutions shall be determined by the chancellor of the institution.
        5. Notwithstanding the provisions of (b) and (d) above, the Board of Governors, in accordance with the provisions of Section 501 B(6) of The Code, reserves the right to initiate action to terminate appointment of those officers when it deems such action to be necessary in the best interests of the University.
      2. Tier I SAAOs of a constituent institution are subject to the direction and control of the chancellor and serve at the chancellor’s discretion.They are employees at will; thus, the chancellor may not purport to confer on any such officer a period of employment of fixed duration or otherwise confer any property interest in such employment.However, such an officer may be appointed to a period of employment not to exceed a specified number of years, so long as the instrument accomplishing such an appointment states clearly that the incumbent officer is subject to removal at any time, during that period, at the option of the chancellor.
      3. Tenure status as a member of the faculty of a constituent institution, held concurrently by any Tier I SAAO of the University is separate and distinct from the administrative office, and such tenure status is governed by the provisions of Chapter VI of The Code and by the tenure policies of the relevant constituent institution. Those tenure policies have no bearing upon and do not govern the administrative appointments covered by this policy.
      4. Appointment of the President
        1. The Board of Governors shall elect a president in accordance with G.S. 116-14(a), Section 500 A of The Code, and any policies it adopts.The Board of Governors shall approve the salary and compensation of the president.
        2. The Board of Governors may approve a contract with the president.The contract may specify terms including, but not limited to, the president’s term of employment; salary; benefits; performance-based incentives; other deferred or supplemental compensation, including endowment-funded stipends; provisions for the termination of the president’s employment, including severance pay and retreat rights; and any other terms it agrees upon.
        3. In all other regards, the employment of the president is subject to The Code, the policies of the Board of Governors, and the North Carolina General Statutes.
      5. Appointment of Chancellors
        1. The appointment of chancellors shall be made by the Board of Governors upon the recommendation of the president, in accordance with G.S. 116-11(4).All salary and non-salary compensation paid to or received by the chancellors in connection with their service as chancellors shall be approved by the Board of Governors upon recommendation of the president.
        2. The Board of Governors may approve a contract with a chancellor as recommended by the president.The contract may specify terms including, but not limited to, the chancellor’s term of employment; salary; benefits; performance-based incentives; other deferred or supplemental compensation, including endowment-funded stipends; provisions for the termination of the chancellor’s employment, including severance pay and retreat rights; and any other terms it agrees upon.
        3. In all other regards, the employment of chancellors is subject to The Code, the policies of the Board of Governors, and the North Carolina General Statutes.
        4. Except as specifically otherwise provided in the contract, and except as provided in paragraph II.A.1(c) of this policy, after the Board of Governors has approved a contract with a chancellor, it will be the sole responsibility of the president to implement the terms of the contract.
    2. Compensation

      The compensation of Tier I SAAOs shall be set by the Board of Governors or a board of trustees delegated such authority by the Board of Governors.[4]

      No president, chancellor, or other Tier I SAAO may be paid, in addition to his or her compensation as established pursuant to the foregoing requirements, for any services rendered to any institution-related foundation, endowment, or other entity that was established by officers of the University, that is controlled by the University, or that is tax exempt based on being a support organization for the University, without the express approval of the Board of Governors.This provision does not prohibit any institution-related foundation, endowment, or other entity that was established by officers of the University, that is controlled by the University, or that is tax exempt based on being a support organization for the University from providing some of the funds to support the Board of Governors’ approved compensation of the president, chancellor, or other Tier I SAAO.

    3. Equal Employment Opportunity

      It is the policy and intention of the University of North Carolina that there be equal employment opportunity and freedom from unlawful discrimination in all employment within the University, as set out in Section 103 of The Code.[5]Employment in a Tier I SAAO position shall be conducted in accordance with all provisions of State or federal law or regulation prohibiting any such discrimination, and in accordance with applicable affirmative action plans.

    4. Political Activity

      Employment in Tier I SAAO positions shall not be adversely affected by the exercise of rights guaranteed by the First Amendment of the United States Constitution or by Article I of the North Carolina Constitution; provided, that employees in Tier I SAAO positions shall be subject to any limitations on political activity established by Article 5 of G.S. 126 .The Board of Governors’ policies concerning political activity, Section 300.5 of the UNC Policy Manual, as they may be revised from time to time, shall apply to Tier I SAAO positions covered by this policy.

    5. Holiday and Leave Entitlement Holidays
      1. Holidays

        A Tier I SAAO shall be subject to the same State-prescribed holidays given employees subject to the North Carolina Human Resources Act.

      2. Annual Leave
        1. Basic Leave Policy

          A permanent full-time (1.00 FTE) Tier I SAAO shall be entitled to accrue 26 workdays of annual leave per year.[6] Annual leave is accrued at a monthly rate and is adjusted proportionately for permanent part-time employees who work halftime or more (0.50 - 0.99 FTE).The monthly earnings amount is equal to one-twelfth (1/12th) of the annual rate for each month the employee works or is on approved leave with pay.Monthly leave is earned when an employee works or is on approved leave with pay at least half the working days of a month.

          The maximum number of unused days of annual leave that may be carried forward from one year to the next shall be 30 workdays.Annual leave in excess of 30 days will be automatically converted to sick leave at the end of the year.

        2. Transfer of Accrued Annual Leave

          An employing institution must establish campus-wide uniform guidelines regarding the transfer of accrued annual leave from a UNC constituent institution or State or local governmental agency whose leave is currently transferable in accordance with the policy prescribed for employees subject to the North Carolina Human Resources Act.Upon discontinuation of employment from the employing institution, the employee may either elect a payout of accrued annual leave (see d., below) or transfer the remaining balance of any unused annual leave to another State or local governmental agency, subject to the receiving agency’s approval.

        3. Advancement of Annual Leave

          Subject to institutional policy and approval by the employee’s supervisor, an employee may be advanced the amount of leave that can be accrued during the remainder of the year or during a twelve-month period.If an employee separates from the employing institution and has taken more annual leave than has been accrued, the employing institution must determine the amount of leave that the employee must repay to the institution and make deductions from the employee’s final salary check accordingly.

        4. Payout of Accrued Annual Leave

          A Tier I SAAO who has accrued unused annual leave upon discontinuation of employment from the employing institution and who either does not elect or is not eligible to transfer such accrued leave to another State or local governmental agency, shall be paid for such unused annual leave subject to a maximum of 30 such days.Each institution shall establish guidelines for payout of leave if a change in employment status occurs and such employee is no longer covered by this policy.

      3. Sick leave, family and medical Leave, family illness leave, civil leave, military leave, community service leave, and special annual leave bonus

        A Tier I SAAO shall be entitled to such sick leave, family and medical leave, family illness leave, civil leave, military leave, community service leave, and special annual leave bonus as may be prescribed for employees subject to the North Carolina Human Resources Act.

        However, with respect to sick leave, subject to institutional policy and approval by the employee’s supervisor, a Tier I SAAO may be advanced the amount of sick leave that can be accrued during the remainder of the year or during a twelve-month period.If the employee separates from the employing institution and has taken more sick leave than has been accrued, the employing institution must determine the amount of leave that the employee must repay to the institution and make deductions from the employee’s final salary check accordingly.

      4. Miscellaneous Leaves of Absence

        A Tier I SAAO who desires a leave of absence for an interval of 90 days or less must obtain the approval of the president, who shall report all such arrangements to the Board of Governors.A leave of absence for a period exceeding 90 days shall require the approval of the Board of Governors.

      5. Voluntary Shared Leave

        A Tier I SAAO shall be subject to the same provisions concerning shared leave as are applicable to employees subject to the North Carolina Human Resources Act with the exception that the donation and acceptance of such leave shall be computed on the basis of days rather than hours.

    6. Educational Entitlement

      A Tier I SAAO is entitled to the same opportunities as other University employees to invoke the privilege of tuition waiver conferred by Section 1000.2.2 of the UNC Policy Manual.

    7. Statutory and Other Rules of Employment
      1. Privacy of Personnel Records

        A Tier I SAAO enjoys the protections of and is subject to the provisions of Article 7 of G.S. 126, entitled, “The Privacy of State Employee Personnel Records.”

      2. Employment Preference for Veterans

        A Tier I SAAO enjoys the protections of and is subject to the provisions of G.S. 128-15, which provide for preference in employment for veterans of United States military service and their spouses and widows or widowers.

      3. Employment of Related Persons

        A Tier I SAAO is subject to the Board of Governors’ policy concerning employment of related persons, Section 300.4.2 of the UNC Policy Manual, as it may be revised from time to time, and any associated guidelines.

    8. Retirement

      A Tier I SAAO may retire in accordance with the provisions of G.S. 135.

  3. Tier II Senior Academic and Administrative Officers of the University of North Carolina as Defined in Section I.B., above, Shall be Subject to the Following Policies
    1. Appointments
      1. Tier II SAAOs are employed in their administrative positions pursuant to this policy.The authority to make appointments and determine salaries for positions within Section I.B(1) is exercised by the Board of Governors, on recommendation of the president, or a board of trustees delegated such authority by the Board of Governors; for positions within Section I.B(2), such authority is delegated by the Board of Governors to the chancellors and the respective Boards of Trustees of the constituent institutions.
      2. Every Tier II SAAO appointment within a constituent institution covered by this policy shall be made by the chancellor, or the chancellor’s delegate, by means of a letter of appointment that fulfills the requirements of this Section III.
      3. Every letter of appointment to a Tier II SAAO position shall include:
        1. The title of the position;
        2. The initial salary;
        3. A provision for the periodic review of compensation;[7]
        4. A provision consistent with Sections III.A.4., and III.A.5., below, if contingencies based on availability of funding are applicable;
        5. The annual leave entitlement of the employee;
        6. Notice that the employment conferred is an “employment at will” subject to continuation or discontinuation at the discretion of the president or of the chancellor, with the exception of contracts or letters of appointment of directors of athletics, which may be for a term of years and are governed by Policy 1100.3; and
        7. Notice that the employment is subject to this policy as originally adopted and as it may be periodically revised from time to time, and a copy of the policies shall be attached to the letter of appointment.
      4. When a Tier II SAAO position is funded in whole or substantial part from sources other than continuing State budget funds or permanent trust accounts, the letter of appointment shall state that continuation of the employee’s service in that position is contingent upon the continuing availability of funds from such other sources to support that position, shall specify the source of such funds, and shall state that the effect of such contingency may apply without the additional notice otherwise required by Sections III.B.1., III.B.2., and III.B.3.; provided, that the affected employee shall be informed at the earliest practicable date of the occurrence of such a funding contingency.
      5. When a Tier II SAAO is to serve simultaneously in both a position covered by this policy and a position of University employment not covered by this policy, with the result that two different prescriptions may appear to obtain with respect to a particular condition of employment or a right or responsibility of the employee, one position shall be designated the base position to determine the conditions of employment and the rights and responsibilities of the employee.If appointment to a position covered by this policy occurs subsequent to an appointment to a position not covered by this policy, the letter of appointment to the position covered by this policy shall embody the required designation of base employment; conversely, if appointment to a position covered by this policy precedes appointment to the other category of University employment, the letter of appointment or contract establishing the second employment shall embody the required designation of base employment.In either case, the designation of base employment shall specifically describe the different rights, duties, and compensation for each position and the relationship, if any, between the two positions.

        Any funding contingency of the type referred to in Section III.A.4., shall be set forth separately for the position covered by this policy and for the other position, since the operation of any such contingencies may be independent.

        When an appointment to a Tier II SAAO position is to be accompanied by appointment to a faculty position that is intended to be nominal or honorary, or to create a faculty affiliation not entailing significant duties or compensation, the term “adjunct,” or similar nomenclature, shall be used to identify the faculty appointment.

    2. Discontinuation of Employment
      1. Discontinuation of Appointment, with Notice or Severance Pay

        Employment within a Tier II SAAO position that is established by the letter of appointment to be an employment at will is subject to discontinuation at any time at the discretion, respectively, of the president or of the chancellor; provided, that such a discontinuation (as distinguished from discharge for cause, Section III.B.4.) shall be subject to advance timely notice of discontinuation or the payment of severance pay, in calendar days, as follows:

        1. During the first year of service, not less than 30 days’ notice prior to discontinuation of employment or the payment of severance pay for 30 days;
        2. During the second and third years of service, not less than 60 days’ notice prior to discontinuation of employment or the payment of severance pay for 60 days; and
        3. During the fourth and all subsequent years of continuous service, not less than 90 days’ notice prior to discontinuation of employment or the payment of severance pay for 90 calendar days.

          The chancellor or the president may provide the employee with a combination of notice and severance pay that totals the respective required number of days.The determination of whether the employee shall receive notice of discontinuance of the appointment or severance pay or a combination of the two shall be in the sole discretion of the respective chancellor or the president.

      2. Expiration of Term Appointment

        Employment within a Tier II SAAO position that is established by the letter of appointment dated prior to December 1, 2004, to be for a stated definite term expires automatically at the conclusion of the stated term; such an appointment may be extended at the option of the employing institution on an employment at will basis, by written notice satisfying the requirements of Section III.A.

        If the employing institution intends not to extend the employment, (a) with respect to a term of one year or less, no notice of intent not to extend shall be required; (b) with respect to a term of more than one year but less than four years, notices of intent not to extend shall be transmitted in writing at least 60 days prior to this expiration date of the term; (c) with respect to a term of four years or more, notice of intent not to extend shall be transmitted in writing at least 90 days prior to the expiration date of the term.Failure to provide written notices as required in subsections b. and c., above, shall result in the automatic extension of employment for a period, respectively, of either 60 days or 90 days, beyond the date the notice is given to the employee.

      3. Termination of Employment Because of Financial Exigency or Program Curtailment or Elimination

        Employment within a Tier II SAAO position that is established by the letter of appointment to be for a stated definite term may be terminated prior to expiration of the stated term because of (a) demonstrable, bona fide institutional financial exigency, or (b) major curtailment or elimination of a program.

        “Financial exigency” is defined to mean a significant decline in financial resources of the University that compels a reduction in the university’s or the institution’s budget.The determination of whether a condition of financial exigency exists or whether there shall be a major curtailment or an elimination of a program shall be made, respectively, by the president or by the chancellor, with advance notice to and approval by the Board of Governors.

        If the financial exigency or curtailment or elimination of a program is such that the contractual obligation to an employee within a position covered by this policy cannot be met, the employment of the individual may be terminated, subject to the following notice requirements:

        1. During the first year of service, not less than 30 days’ notice prior to termination;
        2. During the second and third years of employment, not less than 60 days’ notice prior to termination; and
        3. During the fourth and all subsequent years of service, not less than 90 days’ notice prior to termination.
      4. Discharge for Cause

        Any Tier II SAAO may be discharged for stated cause.

        Discharge for cause is to be distinguished from discontinuation with notice (Section III.B.1.), automatic expiration of term (Section III.B.2.), and termination because of financial exigency or program curtailment or elimination (Section III.B.3.).Stated causes for discharge shall include, but not necessarily be limited to, incompetence, unsatisfactory performance, neglect of duty, or misconduct that interferes with the capacity of the employee to perform effectively the requirements of his or her employment.Discharge for cause is to be preceded by written notice of intent to discharge and is subject to invocation by the affected employee of the review procedures of Section III.C., of this policy.When an employee occupying a position covered by this policy has been notified of the intention to discharge for cause, the president or chancellor, as applicable, may suspend the employment at any time and continue the suspension until the president’s or chancellor’s decision concerning discharge has been reached; such suspension during this time period shall be with full pay.If the final university decision is to discharge the employee, then the employee may be discharged without further pay without regard to whether there is an appeal to a board of trustees or the Board of Governors in accordance with Section 611 of The Code.No provision of this policy shall be interpreted to extend an employee’s right to pay beyond the expiration of the employee’s term of appointment while an appeal is pending under this policy.

    3. Reviews
      1. UNC System Office and each constituent institution respectively shall adopt and publicize procedures applicable to relevant cohorts of employees, under which covered employees may secure review of decisions concerning discharge for cause or other disciplinary action, or review concerning the interpretation and application of any provision of this policy; provided, however, that reviews concerning discontinuations, expiration of term appointments, or terminations of employment with notice, pursuant to Sections III.B.1, III.B.2., and III.B.3, may be brought only upon allegations of violations of applicable notice requirements or violations of any provision of Section III.D. or III.E., of this policy.
      2. Decisions reached pursuant to such review procedures concerning the discontinuation, expiration of term appointment, termination, or discharge for cause may be appealed in accordance with the provisions of Section 611 of The Code.
    4. Equal Employment Opportunity

      It is the policy and intention of the University of North Carolina that there be equal employment opportunity and freedom from unlawful discrimination in all employment within the University, as set out in Section 103 of The Code.[8]Employment in a Tier II SAAO position shall be conducted in accordance with all provisions of State or federal law or regulation prohibiting any such discrimination, and in accordance with applicable affirmative action plans.

    5. Protected Activity

      Employment in Tier II SAAO positions shall not be adversely affected by the exercise of rights guaranteed by the First Amendment of the United States Constitution or by Article I of the North Carolina Constitution; provided, that employees in Tier II SAAO positions shall be subject to any limitations on political activity established by Article 5 of G.S. 126.The Board of Governors’ policies concerning political activity, Section 300.5.1 of the UNC Policy Manual, et seq. as they may be revised from time to time, shall apply to Tier II SAAO positions covered by those policies.

    6. Holiday and Leave Entitlement
      1. Holidays

        Employees in Tier II SAAO positions shall be subject to the same State-prescribed holidays given employees subject to the North Carolina Human Resources Act.

      2. Annual Leave[9]
        1. Basic Leave Policy

          A permanent full-time (1.00 FTE) Tier II SAAO shall be entitled to accrue 24 workdays of annual leave per year. Annual leave is accrued at a monthly rate and is adjusted proportionately for permanent part-time employees who work halftime or more (0.50 - 0.99 FTE). The monthly earnings amount is equal to one-twelfth (1/12th) of the annual rate for each month the employee works or is on approved leave with pay. Monthly leave is earned when an employee works or is on approved leave with pay at least half the working days of a month.

          An employing institution shall define a year as either “fiscal year” (July 1 - June 30) or “calendar year” (January 1 - December 31). (Note: Employing institutions that have previously defined a year as “contract year” may continue to do so.) The scheduling of an employee’s annual leave shall be subject to the approval of the employee’s supervisor. With respect to an incumbent employee who is earning more than 24 days per year as of the date this policy becomes effective, such employee shall be entitled to continue to earn leave at the current rate.

          The maximum number of unused days of annual leave that may be carried forward from one year to the next shall be 30 workdays. Annual leave in excess of 30 days will be automatically converted to sick leave at the end of the year.

        2. Transfer of Accrued Annual Leave

          An employing institution must establish campus-wide uniform guidelines regarding the transfer of accrued annual leave from a UNC constituent institution or State or local governmental agency whose leave is currently transferable in accordance with the policy prescribed for employees subject to the North Carolina Human Resources Act. Upon discontinuation of employment from the employing institution, the employee may either elect a payout of accrued annual leave (see (d), below) or transfer the remaining balance of any unused annual leave to another State or local governmental agency, subject to the receiving agency’s approval.

        3. Advancement of Annual Leave

          Subject to institutional policy and approval by the employee’s supervisor, an employee may be advanced the amount of leave that can be accrued during the remainder of the year or during a twelve-month period. If an employee separates from the employing institution and has taken more annual leave than has been accrued, the employing institution must determine the amount of leave that the employee must repay to the institution and make deductions from the employee’s final salary check accordingly.

        4. Payout of Accrued Annual Leave

          A Tier II SAAO who has accrued unused annual leave upon discontinuation of employment from the employing institution and who either does not elect or is not eligible to transfer such accrued leave to another State or local governmental agency, shall be paid for such unused annual leave. The amount paid to an employee who has been employed an aggregate of 24 months or less by one or more State or local governmental agencies is equal to one day for each month worked less the number of days of annual leave taken during the employment period.  An employee who has been employed for more than 24 months shall be paid subject to a maximum of 30 such days.  Each institution shall establish guidelines for payout of leave if a change in employment status occurs and such employee is no longer covered by this policy.

      3. Sick Leave, Family and Medical Leave, Family Illness Leave, Civil Leave, Military Leave, Community Service Leave and Special Annual Leave Bonus

        Tier II SAAOs shall be entitled to such sick leave, family and medical leave, family illness leave, civil leave, military leave, community service leave, and special annual leave bonus as may be prescribed for employees subject to the North Carolina Human Resources Act.

        However with respect to sick leave, subject to institutional policy and approval by the employee’s supervisor, an employee may be advanced the amount of sick leave that can be accrued during the remainder of the year or during a twelve-month period. If the employee separates from the employing institution and has taken more sick leave than has been accrued, the employing institution must determine the amount of leave that the employee must repay to the institution and make deductions from the employee’s final salary check accordingly.

      4. Leave of Absence without Pay

        Tier II SAAOs may request a leave of absence without pay, subject to approval of such leave by the president or by the chancellor, as applicable.

      5. Voluntary Shared Leave

        Tier II SAAOs shall be subject to the same provisions concerning shared leave as are applicable to employees subject to the North Carolina Human Resources Act with the exception that the donation and acceptance of such leave shall be computed on the basis of days rather than hours.

    7. Educational Entitlement

      Tier II SAAOs are entitled to the same opportunities as other University employees to invoke the privilege of tuition waiver conferred by Section 1000.2.2 of the UNC Policy Manual.

    8. Statutory and Other Rules of Employment
      1. Privacy of Personnel Records

        Tier II SAAOs enjoy the protections of and are subject to the provisions of Article 7 of G.S. 126, entitled, “The Privacy of State Employee Personnel Records.”

      2. Employment Preference for Veterans

        Tier II SAAOs enjoy the protections of and are subject to the provisions of G.S. 128-15, which provide for preference in employment for veterans of United States military service and their spouses and widows or widowers.

      3. Employment of Related Persons

        Tier II SAAOs are subject to the Board of Governors’ policy concerning employment of related persons, Section 300.4.2 of the UNC Policy Manual, as it may be revised from time to time, and any associated guidelines.

    9. Retirement

Tier II SAAOs may retire in accordance with the provisions of G.S. 135.


[1] Deans at the North Carolina School of Science and Mathematics fall within Section I.B., of this policy.

[2] Other officers include (a) members of the chancellor’s professional staff; (b) those responsible for the administrative direction of separately designated divisions or departments of institutional activity commonly associated with institutions of higher education; (c) those positions whose primary responsibility is to attract external funds for and/or market the University; and, (d) other officers holding positions characterized by active, continuing involvement in formulating, interpreting, and implementing institutional policy and exercising substantial independence of administrative authority and discretion in areas such as program planning and design and allocation of resources.

[3] Pursuant to G.S. 116-11(13), and notwithstanding The Code or any other policy, the Board of Governors has delegated certain authorities to the president of the University.See Section 200.6 of the UNC Policy Manual, Delegation Authority to the President of the University, adopted November 13, 2016.

[4] See Footnote 3, above.

[5] Bona fide occupational qualifications or other exceptions to those general prohibitions, specifically provided for by State or federal law, may be applied to positions covered by this policy.

[6] For the purposes of determining leave under this policy, “year” shall be defined by the employing institution as either a “fiscal year” (July 1 – June 30) or a “calendar year” (January 1 – December 31). Institutions currently defining a “year” as a “contract year” may continue to do so.

[7] Subject to any compensation policies adopted by the Board of Governors or the board of trustees.

[8] Bona fide occupational qualifications or other exceptions to those general prohibitions, specifically provided for by state or federal law, may be applied to positions covered by this policy.

[9]Effective July 1, 2001.

300.1.1: Adopted 11/14/86 Amended 04/12/01, Amended 10/12/90 Amended 06/08/01, Amended 02/18/94 Amended 01/11/02, Amended 04/21/95 Amended 11/08/02, Amended 11/08/96 Amended 03/21/03, Amended 07/11/97 Amended 10/10/03, Amended 11/13/98 Amended 11/12/04, Amended 09/10/99 Amended 07/01/07, Amended 08/11/00 Amended 02/08/08, Amended 10/17/08 Amended 06/20/14, Amended 08/07/15, Technical Corrections 04/25/19

300.1.1.1[R] Regulations Concerning Senior Academic and Administrative Officers[1]

300.1.1.1[R] Regulations Concerning Senior Academic and Administrative Officers[1]

  1. Background

    On November 13, 1998, the Board of Governors took three actions that affect the employment of senior academic and administrative officers (SAAO) of the University:

    1. The board enlarged the complement of senior academic and administrative officers at each campus by approving, with the President’s endorsement, the addition of positions recommended by the SAAO Review Committee from among those nominated by the campuses under the revised definition previously adopted by the Board of Governors in January 1998.
    2. The board approved a revised SAAO personnel policy that recognizes two separate categories of administrative employment:  one category consists of positions that require Board of Governors approval for appointment and establishment of compensation; the other consists of positions for which decisions concerning appointment and compensation are delegated to the constituent institutions.  The terms and conditions of employment for the two categories are different.
    3. The board prescribed that “administrators” shall be deemed eligible for enrollment in the Optional Retirement Program only if the position they occupy is within the SAAO category of employment (and subject to the “faculty status” prerequisite described in Section C hereinafter).

      The purpose of these regulations is to identify and prescribe a schedule for accomplishing all actions now required to implement these enactments of the Board of Governors.

  2. Actions Required
    1. Accommodating approved additions to the SAAO category; elections as to SPA or EPA status.

      Persons who currently occupy the positions that have been converted from SPA to the exempt SAAO category may elect to retain their SPA status rather than be reassigned to EPA status (although new appointees to such positions in the future uniformly will have EPA status).  Each such incumbent must be provided an opportunity for a personal interview with an appropriate University official who will assist in determining how the change from SPA to EPA status would affect individual career plans.  Directors of human resources and EPA personnel officers will receive detailed information concerning these interviews in their next meeting at General Administration, which is scheduled for early December.  In order to assure ample time for individual interviews and individual employee elections as to status, no affected employee will move from SPA to exempt SAAO status before February 1, 1999.

      Until further notice, no change is to be made in currently authorized levels of compensation for any of the positions subject to transition from SPA to exempt SAAO status by virtue of the November 13, 1998, action of the Board of Governors, either for incumbents or for new hires into such positions.

    2. Arraying SAAO positions within the revised SAAO personnel policies.

      As noted above, the revised SAAO personnel policy recognizes two categories of administrative employment, for which different terms and conditions of employment obtain.  One category (defined in Section I.A. of the revised policy) is subject to direct appointment and compensation oversight by the Board of Governors; the other (defined in Section I.B. of the revised policy) is subject to delegated campus oversight.

      All SAAO positions--both those that were established on November 13, 1998, and those that were established previously by action of the Board of Governors (e.g., vice chancellors, associate and assistant vice chancellors, deans, and associate and assistant deans)--now must be assigned to the appropriate category under the revised SAAO personnel policy and made subject to the correspondingly different terms and conditions of employment.

      Attachment 5 lists all SAAO positions, designated prior to November 13, 1998, that in the past have been subject to direct Board of Governors oversight (e.g., vice chancellors and deans).  The operative presumption is that such positions remain subject to Board of Governors oversight, within the purview of Section I.A. of the revised SAAO personnel policy.  However, with respect to any position that is marked by an asterisk, the position should be reviewed to determine whether it actually still qualifies for and should remain subject to board oversight (Section I.A. of the revised policy) or, under the revised board policy, should be removed and made subject to campus-administered oversight (Section I.B. of the revised policy).  If, following such review, one or more of the positions should be removed to campus-administered oversight, a copy of the list should be returned to the Division of Academic Affairs at General Administration, with proposed changes marked and accompanying explanation of reasons for such changes, by no later than January 15, 1999.  The President also retains the option of recommending to the Board of Governors that a position be removed from Board of Governors oversight to campus oversight.

      All other SAAO positions established by the Board of Governors (i.e., other than those identified in Attachment 5) also must now be assigned to the appropriate category under the revised SAAO personnel policy:  (1) those recognized before November 13, 1998, and traditionally subject to delegated campus oversight (e.g., associate and assistant vice chancellors, associate and assistant deans); (2) the former SPA positions newly designated as SAAO by the Board of Governors on November 13, 1998.  The operative presumption is that all such positions are subject to campus oversight under Section I.B. of the revised SAAO personnel policy, with applicable terms and conditions of employment prescribed by Section III of the revised policy.  Please review that aggregate list of SAAO positions, as augmented by the recently approved additions, to determine whether any such position should be considered for reassignment to direct Board of Governors oversight under Section I.A. of the revised SAAO personnel policy.  Any such proposed reassignment should be presented to the Division of Academic Affairs at General Administration by no later than January 15, 1999.  Again, the President retains the option of recommending to the Board of Governors that a position be removed from campus oversight to Board of Governors oversight.

    3. Limiting enrollment in the Optional Retirement Program (ORP).

      By Administrative Memorandum Number 387, a moratorium was placed on enrollment in the Optional Retirement Program of otherwise eligible senior administrative officers of the University who do not hold faculty rank of instructor or above, due to unresolved questions about the proper interpretation of the enabling statute, N.C.G.S. § 135-5.1.  Following additional discussion with interested State officials and the receipt of an opinion from the Attorney General, enrollment in the ORP, without reference to concurrent faculty status, may be offered to:          

      1. those persons who heretofore [prior to November 13, 1998] were appointed to a permanent full-time or permanent three-quarter-time employment position within the University now designated [on or before November 13, 1998] as a senior academic or administrative office and who hereafter properly elect to participate in the Optional Retirement Program; and
      2. those persons who hereafter are appointed to a permanent full-time or permanent three-quarter-time employment position within the University now designated or hereafter designated as a senior academic or administrative office and who hereafter properly elect to participate in the Optional Retirement Program.

        It is to be clearly understood that authority within the University to interpret the enabling ORP statute rests with the Board of Governors, and no variance from the board’s policies and prescriptions is to be undertaken, with respect to eligibility for enrollment or other aspects of administering the ORP, without the express permission of the President, consistent with the requirements of the Board of Governors.  The current, essential understanding, in that regard, is that only occupants of senior administrative positions approved pursuant to board definitions through implementing procedures mandated by the President may be offered enrollment in the ORP.

  3. Anticipated Future Actions

The decisions of the Board of Governors on November 13, 1998, when fully implemented, constitute a major step in achieving a more coherent and useful configuration and management of university employment.  However, as anticipated in several recommendations of the SAAO Review Committee, additional steps will be required to complete work on the administrative category of employment.

First, the committee observed that some campuses may wish to augment their original list of SPA positions nominated as appropriate for conversion to SAAO status, based on the Board of Governors definitions.  An opportunity to augment such lists, based on further review of each institutional work force, will be provided in the near future.

Second, there may be a number of administrative positions that historically have been treated as EPA but for which no entirely satisfactory rationale for exemption has been posited (e.g., positions within the so-called EPA non-faculty category of University employment) or which may fit more appropriately within the revised “instructional and research” complement.  An inventory of such positions will be undertaken in the future to determine how they should be arrayed, so as to fit clearly within either the SAAO category or the instructional and research category, or be changed to an SPA classification.

Finally, it will be necessary, in the interest of fidelity to board standards and consistency among campuses, to reexamine some positions that currently may be considered SAAO by the campuses but that have not been evaluated in accordance with the definitions supplied by the Board of Governors in January 1998.

Additional instructions concerning these remaining steps in the process will be provided, with the assistance of the newly established EPA Advisory Board.

[This is a rewrite of Administrative Memoranda #387 and #391.]


[1]Attachments have been omitted.

300.1.1.1[R]: Adopted 11/20/98, Amended 01/08/99

300.1.2 Evaluation of Positions for Designation as Senior Academic and Administrative Officer

300.1.2 Evaluation of Positions for Designation as Senior Academic and Administrative Officer

Academic and administrative officials exempt from the State Personnel Act are identified by express statutory reference (“president,” “vice presidents,” “chancellors,” and “vice chancellors”) and by action of the Board of Governors pursuant to generic statutory reference (presidential “professional staff members” and “senior academic and administrative officers” of the constituent institutions).

The Board of Governors has further defined “senior academic and administrative officers” to include:

  1. vice chancellors, provosts, deans and directors of major educational and public service activities (July 7, 1990);
  2. associate and assistant vice chancellors and associate and assistant deans (October 12, 1990); and,
  3. “specific other officers of the University having significant administrative responsibilities and duties” as may be designated by the President, subject to confirmation by the board (October 12, 1990).

    The “other officers of the University having significant administrative responsibilities and duties” shall include:

    1. Members of the chancellor’s professional staff (e.g., assistant to the chancellor, legal staff, secretary of the University).
    2. Those responsible for the administrative direction of separately designated divisions or departments of institutional activity commonly associated with institutions of higher education (e.g., director of administrative computing, director of alumni affairs, director of human resources, director of development, controller/comptroller, etc.).The specific positions to be included in this category will be established by the Board of Governors upon the recommendation of the President.
    3. Those positions whose primary responsibility is to attract external funds for and/or to market the University.
    4. Other officers holding positions characterized by:

∙ active, continuing involvement in formulating, interpreting, and implementing institutional policy as it relates to the respective areas of responsibility; and

∙ the exercise of substantial independence of administrative authority and discretion in areas such as program planning and design and allocation of resources.

In most cases, persons occupying such positions will function as the director of a specific division or department of institutional activity, reporting at the level of a vice chancellor or dean.However, where circumstances warrant (e.g., in the case of a large and complex department or division), persons functioning as an associate or assistant director may be found to have “significant administrative responsibilities and duties” as defined by the characteristics listed above.In such cases, the position must have substantial responsibility for assisting the primary officer (e.g., director) in formulating, interpreting, and implementing policy within the jurisdiction of the primary officer and must function in a confidential and direct support relationship to the primary officer or have direct responsibility for a specific sphere of operations within the unit.

A chancellor who wishes to have a position included in this category shall submit to the President a complete description of the authority and responsibility of the position as well as an organization chart for the unit.Persons nominated to fill such positions normally must have an advanced educational degree and extensive relevant experience and be recruited in a national search process.The President shall determine, on the basis of the chancellor’s representation and such additional information as the President shall require, whether the position satisfies the prescribed criteria.

A University administrative position may be designated as a senior academic or administrative officer, and thereby exempt from the State Personnel Act, only by action of the President.To qualify, the position must bear one of the approved titles (e.g., dean, associate or assistant vice chancellor, associate or assistant dean, assistant to the chancellor [category A above], director of a major division or department [category B above], have significant responsibilities for fund raising and/or marketing of the institution [category C above], or be recommended on the basis of an evaluation of job content [category D above].

The Board of Governors shall appoint and fix the compensation of all persons nominated to fill the presidency, vice presidencies, presidential staff positions, chancellorships, vice chancellorships, and deanships.With respect to other positions designated by the board as senior academic and administrative officers, the authority to make appointments and determine salaries shall be delegated to the chancellors and the Boards of Trustees of the constituent institutions.The terms and conditions of employment of all persons appointed by the board to exempt administrative positions shall be governed by policies adopted by the Board of Governors.

300.1.2: Adopted 01/09/98

300.1.3 Attorney Licensing

300.1.3 Attorney Licensing

Every person employed by the University of North Carolina or any of its constituent institutions to serve as a lawyer for the University shall be licensed to practice law in the State of North Carolina at the time that the person is employed.If a person is licensed to practice law in another state, but is not licensed to practice law in the State of North Carolina, the person may be provisionally employed conditioned on the person’s obtaining a license to practice law in North Carolina within one year after the date of the person’s initial employment.The president is authorized to make an exception to this requirement if the particular position for which the person is employed requires that the person offer advice and counsel predominantly in areas of federal law.

300.1.3: Adopted 05/11/01

300.1.4 Campus State Relations Officers

300.1.4 Campus State Relations Officers

As set forth in The Code, the president is the University’s representative to all governmental bodies.The president is presumed by the Governor and members of the General Assembly to direct all activities on behalf of all parts of the University and to be answerable for them.These are the most important principles in ensuring effective communication and advocacy of the interests of the University and its constituent campuses.

Under the direction of the president, the vice president for public affairs and his or her staff have primary responsibility for representation of the University before governmental bodies.They may be assisted in this effort by campus officers who shall act at the request and under the direction of the vice president and his or her staff.

The chancellors may designate, in consultation with the president and the vice president for public affairs, a campus officer to carry out the functions of state relations officer.The campus state relations function shall constitute no more than 25 percent of each designee’s time, and no campus title shall refer to government or state relations.The duties and responsibilities of the campus designee with regard to state relations shall be to assist the president and his or her designees with building support for the University’s budget request and legislative priorities.It is the expectation of the Board that the state relations function shall be a minor part of each such designee’s responsibilities.

In each instance, the individual so designated shall, in addition to reporting to his or her campus supervisor report to the vice president for public affairs solely with regard to any state relations responsibilities.The vice president shall provide to the campus supervisor an annual performance evaluation of the campus officer with state relations responsibilities.

The president shall take necessary and appropriate actions to implement this policy and shall report on such implementation to the Committee on Personnel and Tenure.The president shall also report to the committee periodically on the efficacy of the structure established pursuant to this policy, and shall make recommendations regarding the continuance and/or modification of the policy.

300.1.4: Adopted 02/11/00, Amended 11/08/02

300.1.5 Occupation of Official Residences of the Chancellors and the President

300.1.5 Occupation of Official Residences of the Chancellors and the President

WHEREAS, the State of North Carolina provides a residence for the president of the University and for the chancellor of each of the sixteen constituent institutions to facilitate their conduct of official business; and

WHEREAS, the president and the chancellors regularly use their official residences for University functions that are directly related to their duties; and

WHEREAS, it has long been the expectation of the Board of Governors and the practice of the President and the chancellors that these officials do occupy their official residences for the purposes stated;

NOW, THEREFORE, be it resolved that the Board of Governors reaffirms its expectation that the President of the University and the chancellors of each constituent institution will occupy their official residence and that these residences will be used for University business and functions; and

Be it further resolved that it is the policy of the Board of Governors that the President and the chancellors are required to live in their official residences as a condition of employment, except in the case where such a requirement would present a serious hardship; in any such case the President or chancellor must obtain approval from the Board of Governors, except that such approval will not be necessary if the residence is being vacated temporarily while repairs or renovations are being made.

300.1.5: Adopted 09/11/87

300.1.6 Policy on Administrative Separation and/or Retreat to a Faculty Position

300.1.6 Policy on Administrative Separation and/or Retreat to a Faculty Position

Every board of trustees and the Board of Governors must establish a policy governing separation and/or retreat of administrators.Conditions of employment for chancellors or the President are not a part of this policy.Policies must address both voluntary and involuntary relinquishment of administrative positions and must include specific language referring to the retreat of those administrators who hold a tenured faculty position.The president has the authority to establish severance terms and conditions for senior academic and administrative officers who are members of the president’s staff in accordance with the policy of the Board of Governors, and the chancellors have the authority to establish severance and retreat terms and conditions for senior academic and administrative officers at their respective constituent institutions, in accordance with the policy of the board of trustees and regulations or guidelines established by the president.Campus policies must be approved by the president, and the Office of the President policies must be approved by the Board of Governors.

300.1.6: Adopted 03/21/03

300.1.6.1 Policy on Administrative Separation

300.1.6.1 Policy on Administrative Separation

This policy applies to all staff in the Office of the President whose positions are covered by Policy 300.1.1 of the Policy Manual of the Board of Governors, and is consistent with Policy 300.1.6.This policy applies to both voluntary and involuntary relinquishment of administrative positions.

  1. Retreat to a faculty position.An administrator, who holds a faculty appointment at a University of North Carolina campus, may assume or return to that appointment with all the rights and responsibilities of faculty in the home department, unless a proceeding is initiated to discharge or demote the administrator from the faculty position.Conditions of the retreat to such a position will be governed by the policy in place on the campus.
  2. Reappointment of an administrator to a different position.An administrator leaving a position that is categorized as “at will” has no claim to that position; however, there may be circumstances in which assignment to another administrative position or appointment to less than a full-time position would be beneficial for both the institution and the employee.In these cases, the new salary should be appropriate to the assignment.If the President proposes to pay the administrator his or her full current salary after moving the administrator to a position that would normally be lower paying, or if paid leave is to be granted, the agreement with the administrator must be approved by the Board of Governors.This Policy does not supersede any notice or severance pay required by Board of Governors’ policy.
  3. Separation from the University.In some cases, it may be in the best interests to negotiate a severance agreement with an administrator.UNC policy addresses timely notice for termination of Senior Administrative and Academic Officers hired pursuant to Policy 300.1.1, I.B.In accordance with the University of North Carolina Policy 300.1.1, III.B, in certain circumstances these employees are entitled to notice of the discontinuation of their employment with full pay up to 90 days or severance pay, depending on their length of service.The President may, at his or her discretion, determine that the circumstances justify continuing full pay for employees subject to Policy 300.1.1.I.A for up to 90 days.Any agreement that results in a longer period of compensation must be approved by the Board of Governors.
  4. Retirement.Nothing in this Policy shall prevent an administrator from retiring or an administrator who holds a faculty appointment from participating in phased retirement consistent with existing University of North Carolina policies.
  5. Agreements.All agreements made pursuant to this policy must be in writing and signed by both the employee and the President.
  6. Effective Date.The effective date of this policy is February 13, 2004.
300.1.6.1: Adopted 02/13/04

300.1.6.2 Administrative Separation of the President and the Chancellor

300.1.6.2 Administrative Separation of the President and the Chancellor

  1. Return to a faculty position: If a chancellor resigns from the position of chancellor, or if the president resigns from the position of president, after having served in that position for at least five years, if the chancellor or the president will assume a tenured or non-tenured faculty position at a constituent institution of the University of North Carolina, and if there is not good cause to terminate the chancellor’s or the president’s service at the time that the chancellor or president resigns, then the chancellor or president will receive a research leave upon the following terms:
    1. The leave shall be for a period of six months;
    2. The chancellor or president shall receive a faculty salary during the leave commensurate with salaries of faculty members of comparable rank and experience in comparable positions;
    3. Up to six additional months of leave may be approved by the president when in his or her discretion additional leave time is warranted;
    4. Non-salary compensation such as a house and an automobile will not be continued during the research leave;
    5. Prior to beginning the leave, the chancellor or president will submit a work plan for the leave period, to include a description of the expected outcomes. The plan will be reviewed and recommended by the president for approval by the Board of Governors. At the conclusion of the research leave, the former chancellor shall submit a summary report to the president, the Board of Governors, and the applicable Board of Trustees;
    6. At the end of the research leave, the chancellor or president will assume the faculty position with a nine month appointment or with a length comparable to others in the department, with duties and responsibilities in accordance with departmental expectations of faculty of comparable rank and experience. Ongoing responsibilities will be determined by the campus. The continuing annual faculty salary will be determined through the regular campus salary setting process. In the event that a chancellor or president does not assume a faculty position at the end of the research leave in accordance with this policy, the president is authorized, in his or her discretion, to require repayment of compensation paid during the leave period from the nonreturning chancellor. With respect to the president, such discretionary authority rests with the Board of Governors.

      These provisions related to research leave do not apply to individuals who have not served as chancellor or president for at least five years. If any paid research leave is granted under those circumstances, it requires approval by the Board of Governors upon the president’s recommendation.

      Return to an administrative appointment:If a chancellor or president resigns from his or her position to return to another administrative position within the University, the terms for such a return must be recommended by the president and approved by the Board of Governors.

  2. Separation from the University: In some cases, a chancellor or a president may not be assuming a faculty position. It may be in the best interest of the University and a chancellor for the president to negotiate a severance agreement with a chancellor. In these circumstances, the president may, in the president’s discretion, determine that the circumstances justify providing severance pay in the amount of the chancellor’s full administrative pay for up to 90 days. Non- salary compensation such as a house and an automobile will not be continued during this period of full compensation, although the president may allow the chancellor a reasonable amount of time to vacate the chancellor’s house. Any agreement that results in a longer period of compensation must be approved by the Board of Governors.

    The Board of Governors may, in its discretion, negotiate a severance agreement with a president who is resigning and is not assuming a faculty position.

  3. President: For any action under this policy for which the president takes an action or makes a recommendation to the Board of Governors regarding chancellors, the Board will assume that responsibility in the case of the president.
  4. Separate agreement: If the Board of Governors enters into a written agreement with a president or a chancellor, the terms of that agreement shall supersede this policy.
  5. Effective Period: This policy as revised effective 01/08/10 applies to individuals who begin service as chancellor or president on or after the effective date. The original policy adopted on 8/12/05 remains in full force and effect for the president and chancellors appointed prior to the effective date of this revised policy.

300.1.6.2

Adopted 08/12/05

This version of policy titled Administrative Separation of the President and Chancellors applies to individuals who began service in a covered position prior to 01/08/10.

  1. Retreat to a faculty position:If a chancellor resigns from the position of chancellor, or if the president resigns from the position of president, after having served in that position for at least five years, if the chancellor or the president will assume a tenured or non-tenured faculty position at a constituent institution of the University of North Carolina, and if there is not good cause to terminate the chancellor’s or the president’s service at the time that the chancellor or president resigns, then the chancellor or president will receive a one year research leave at the chancellor’s or the president’s most recent administrative salary.Non-salary compensation such as a house and an automobile will not be continued during the one year research leave.

    At the end of the research leave, the chancellor or president will assume the faculty position with a nine month appointment, with duties and responsibilities in accordance with departmental expectations. The initial annual faculty salary will be the greater of 60% of the most recent annual administrative salary or a salary that is commensurate with the salaries of comparable faculty members in comparable positions.

  2. Separation from the University.In some cases, a chancellor or a president may not be assuming a faculty position. It may be in the best interest of the University and a chancellor for the University to negotiate a severance agreement with a chancellor.In these circumstances, the president may, at the president’s discretion, determine that the circumstances justify providing severance pay in the amount ofthe chancellor’s full administrative pay for up to 90 days.Non-salary compensation such as a house and an automobile will not be continued during this period of full compensation, although the president may allow the chancellor a reasonable amount of time to vacate the chancellor’s house.Any agreement that results in a longer period of compensation must be approved by the Board of Governors.

    The Board of Governors may, in its discretion, negotiate a severance agreement with a president who is resigning and is not assuming a faculty position.

  3. Separate agreement:If the Board of Governors enters into a written agreement with a president or a chancellor, the terms of that agreement shall supercede this policy.
300.1.6.2: Adopted 08/12/05, Amended 01/08/10

300.1.6[R] [Applies to individuals who began service in a covered position on or after 05/02/10] Regulation on Administrative Separation

300.1.6[R] [Applies to individuals who began service in a covered position on or after 05/02/10] Regulation on Administrative Separation

  1. Administrative Separation and Return to a Tenured Faculty Position.[1]
    1. Return to a Tenured Faculty Position.An administrator who holds a concurrent tenured faculty appointment may return to that appointment with all the rights and responsibilities of faculty in the home department, unless a proceeding is initiated to discharge or demote the tenured faculty member.If there has been an administrative stipend during the appointment, that stipend shall be removed.The salary shall be adjusted from a 12-month administrative salary to a 9-month or 12-month faculty salary that is commensurate with the salaries of comparable faculty members.
    2. Research Leave.At the discretion of the Chancellor, or the President in the case of a UNC General Administration employee, the Chancellor or President may provide for up to a one semester research leave for any tenured faculty member who has served in one or more consecutive Senior Academic and Administrative Officer positions subject to Policy 300.1.1, I.A for at least five years in order to provide an opportunity for the faculty member to prepare for teaching and research responsibilities.Prior to the beginning of the research leave, the administrator shall submit a work plan for the leave period to include expected outcomes.The plan will be reviewed and approved by the Chancellor.In the event that an employee of UNC General Administration is returning to the faculty of a constituent institution, the President shall review and approve the work plan.The leave will be paid at a salary commensurate with the salaries of comparable faculty members.
    3. Exception Provision. Exceptions may be made to recognize extraordinary circumstances including, but not limited to, extended or superior service in administrative roles.Any exception to these provisions must be approved by the Board of Trustees and by the President.
    4. Failure to Return to Faculty Role.In the event that the faculty member does not assume faculty responsibilities for at least a semester after the research leave in accordance with this policy, the Chancellor, or the President in the case of the UNC General Administration employee, is authorized, in his or her discretion, to require repayment of compensation paid during the leave period from the non-returning faculty member.
  2. Reappointment of an Administrator without Faculty Return Rights.An administrator leaving a position that is categorized as “at will” has no claim to a position at the university; however, there may be circumstances in which assignment to another administrative or teaching position would be beneficial for both the institution and the employee.In these cases, the new salary should be appropriate to the assignment.Any exception must be approved by the Board of Trustees and by the President.This Regulation does not supersede any notice or severance pay required by Board of Governors policy.
  3. Separation from the University.In some cases, it may be in the best interests of the institution to negotiate a severance agreement with an administrator.UNC policy addresses timely notice for termination of Senior Academic and Administrative Officers hired pursuant to Policy 300.1.1, I.B.In certain circumstances, these employees are entitled to notice of the discontinuation of their employment with full pay for up to 90 days or severance pay, depending on their length of service.A Chancellor or the President may, at his or her discretion, determine that the circumstances justify continuing full pay for employees subject to Policy 300.1.1, I.A for up to 90 days.Any agreement that results in a longer period of compensation must be approved by the Board of Trustees or the Board of Governors for employees of UNC General Administration.
  4. Retirement.Nothing in these Regulations shall prevent a tenured faculty member from immediately participating in phased retirement, consistent with existing UNC policies.
  5. Coverage.These regulations apply to Senior Academic and Administrative Officers hired on or after the approval date.Employees serving as Senior Academic and Administrative Officers prior to the approval date remain covered under the previous regulations dated 03/21/03.

300.1.6[R]

Adopted 03/21/03

[Applies to individuals who began service in a covered position prior to 05/02/10]

Regulations on Administrative Separation and/or Retreat to a Faculty

  1. Retreat to a faculty position.An administrator who holds a concurrent tenured faculty appointment may return to that appointment with all the rights and responsibilities of faculty in the home department, unless a proceeding is initiated to discharge or demote the administrator from the faculty position.If there has been an administrative stipend during the appointment, that stipend should be removed.The salary will be adjusted from a 12-month administrative salary to a 9-month or 12-month faculty salary that is commensurate with the salaries of comparable faculty members.At the chancellor’s discretion, the chancellor may provide for a reasonable period of time with full administrative salary to provide an opportunity for the employee to prepare for teaching and research responsibilities.The reasonable period of time should be related to the time spent in administrative duties.If the chancellor proposes to pay the administrator full or partial administrative pay after the termination of the administrator’s administrative duties for longer than one year, the agreement must be approved by the Board of Trustees of the constituent institution.
  2. Reappointment of an administrator without faculty retreat rights.An administrator leaving a position that is categorized as “at will” has no claim to a position at the university; however, there may be circumstances in which assignment to another administrative or teaching position would be beneficial for both the institution and the employee.In these cases, the new salary should be appropriate to the assignment. If a chancellor or the president proposes to pay the administrator his or her full administrative salary after moving the administrator to a position that would normally be lower paying, or if paid leave is to be granted, the agreement with the administrator must be approved by the Board of Trustees of the constituent institution or by the Board of Governors for employees of the Office of the President or the General Administration.This Guideline does not supersede any notice or severance pay required by Board of Governors’ policy.
  3. Separation from the University.In some cases, it may be in the best interests of the institution to negotiate a severance agreement with an administrator.UNC policy addresses timely notice for termination of Senior Administrative Academic Officers hired pursuant to Policy 300.1.1, I.B.In accordance with The University of North Carolina Policy 300.1.1, III.B, in certain circumstances these employees are entitled to notice of the discontinuation of their employment with full pay for up to 90 days or severance pay, depending on their length of service.A chancellor or the president may, at his or her discretion, determine that the circumstances justify continuing full pay for employees subject to Policy 3001.1.I.A for up to 90 days.Any agreement that results in a longer period of compensation must be approved by the appropriate Board of Trustees or the Board of Governors for employees of the Office of the President or General Administration.
  4. Retirement. Nothing in these guidelines shall prevent an administrator from retiring or an administrator who holds a faculty appointment from participating in phased retirement consistent with existing University of North Carolina policies.

[1]Campuses that do not have tenured faculty positions will follow campus-based policies approved by the President that are consistent with the intent of this Regulation.

300.1.6[R]: Adopted 03/21/03, Amended 05/02/10

300.1.7[R] Regulation on Contacts with Covered Federal Government Officials

300.1.7[R] Regulation on Contacts with Covered Federal Government Officials

This regulation governs all University contacts with covered federal government officials.[1]  This regulation applies to employees who in their official capacities interact with covered federal government officials and is intended to assist these employees and the University in presenting an authorized, accurate, and persuasive presentation.

1. Official Policy Positions and Contact on Behalf of The University

The President shall initiate a collaborative federal agenda development process to determine the federal priorities of the University on an annual basis called the Unified Federal Agenda.  The Unified Federal Agenda shall consist of the University’s “Federal Policy Priorities” and “Federal Appropriations Guide.”  Upon Board of Governors approval, the Unified Federal Agenda shall serve as the basis for all official federal lobbying efforts.  Campus-based Congressionally-directed funding requests shall be at the discretion of the individual campus.  When federal policy questions that are not on the University’s Unified Federal Agenda arise, the President will determine the official position and the priority of the policy issue on behalf of the University.  Under direction from the President, the Vice President for Federal Relations shall have primary responsibility for representing the University with the federal government.

2. University and Campus Federal Relations Personnel

The Vice President for Federal Relations and the Director of Federal Relations shall serve as Federal Relations Officers for the University at large as well as the General Administration, and shall at a minimum have the following duties and responsibilities:

• Represent the President and the Board of Governors with the federal government;

• Represent the President and the General Administration on the University Federal Relations Council;

• Coordinate General Administration and Federal Relations Council activities in support of the University’s approved Unified Federal Agenda;

• Represent the President and the Board of Governors in pursuit of Congressionally-directed grant funding;

• Assist the Vice President for Research in the pursuit of contracts, grants and cooperative agreements with federal government agencies;

• Assist the Vice President for Research in the proper training of campus research personnel for compliance with the Byrd Amendment (31 U.S.C. 1352);

• Coordinate visits between covered federal government officials and the Board of Governors, General Administration personnel, constituent institution personnel and affiliated entity representatives;

• Manage external consultants engaged in a federal lobbying capacity on behalf of the General Administration.

• Work with the University’s General Counsel to educate General Administration employees and the Federal Relations Council on their role in and the obligations of the campuses to comply with the federal Lobbying Disclosure Act of 1995, as amended.

• Monitor all lobbying activities on behalf of the campus and file registration and quarterly reports as appropriate to ensure full compliance with the federal Lobbying Disclosure Act of 1995, as amended.

Federal Relations Officer Designation

Each Chancellor shall designate a campus officer to carry out the function of Federal Relations Officer (FRO). The duties and responsibilities of the campus Federal Relations Officer shall be, but are not limited to:

• Represent the campus on the University’s Federal Relations Council;

• Coordinate campus activities in support of the University’s approved Unified Federal Agenda;

• Assist the campus research officer in pursuing contracts, grants and cooperative agreements with federal government agencies;

• Assist the campus research officer in the proper training of campus research personnel for compliance with the Byrd Amendment (31 USC 1352);

• Coordinate visits by covered federal government officials to the campus or affiliated campus program;

• Represent the campus in pursuit of Congressionally-directed grant funding;

• Manage external consultants engaged in a federal lobbying capacity on behalf of the campus;

• Work with the campus attorney to educate all campus employees on their role in compliance, and the obligations of campus personnel to comply, with the Lobbying Disclosure Act of 1995 as amended; and

• Monitor all lobbying activities on behalf of the campus and file registration and quarterly reports as appropriate to ensure full compliance with the federal Lobbying Disclosure Act of 1995, as amended.

3. Federal Relations Council

The Federal Relations Council (FRC) shall serve as a coordinating body in support of the following activities:

• Development, strategy, and advocacy in support of the University’s Unified Federal Agenda;

• Training of FRC members on lobbying best practices, federal policy and funding trends and activities;

• Compliance with federal lobbying disclosure requirements.

Composition

The FRC is composed of one representative, the Federal Relations Officer, from each of the seventeen constituent institutions of the University of North Carolina, as well as the Vice President for Federal Relations and the Director of Federal Relations from the General Administration.  Additional representatives or alternates may be named as ad hoc members to the FRC.

Meetings

Official FRC meetings shall be conducted on a semi-annual basis.  The Vice President for Federal Relations and Director of Federal Relations will organize FRC meetings and develop the agenda based upon current federal issues and input from the FRC.  At each FRC meeting, lobbying and ethics compliance guidance and best practices will be provided.  Additional meetings may be arranged to enable information sharing on specific topics.

4. Contact by University Employees with Covered Federal Government Officials

Prior approval from the Chancellor or his/her designee is required before any campus employee may initiate contact with covered federal government officials on behalf of the University.  The Chancellor may delegate this responsibility to the Federal Relations Officer.  The following scenarios specifically require advance approval by the Chancellor or the Federal Relations Officer:

• Appearances on behalf of the University before federal bodies, including testimony before Congressional Committees or participation in meetings with White House personnel.  Note: When University employees appear before such bodies as representatives of other agencies, such as professional societies, it is requested that they notify the campus Federal Relations Officer prior to the appearance

• Any request on behalf of the University to a covered federal government official, particularly requests for Congressionally-directed funding, support of grant proposals or nominations to federal advisory councils.

• The delivery of materials, University publications, and periodicals to covered federal government officials.

• Any verbal or written statement made on behalf of the University that concerns federal policies, legislation or regulations.

• Invitations to covered federal government officials to visit campus in an official capacity.  Note:  The visit should be coordinated by the FRO.

• Responses to requests for information, reports, and statistics from covered federal government officials and their staffs, including responses to inquiries from investigative congressional committees.

• Participation in press events with covered federal government officials intended to promote federal policy or funding priorities.

• Any planned University event to honor a covered federal government official including but not limited to, the naming of a building or endowed chair, conferral of an honorary degree, or hosting of a meeting, retreat, conference or other similar event in the name of the official.

After contacts or visits have been made with covered federal government officials by a person on behalf of the University, a short report on the contact should be made to the campus Federal Relations Officer.

5. External  Consultants

Chancellors may retain external consultants to assist the campuses in securing Congressionally-directed grant funding for special projects.  No State or federal funds may be used for this purpose.  Consultants shall never engage Congress, covered officials at the agencies, or White House personnel on policy matters on behalf of the University.  Care should be taken to ensure that all external consultant expenditures are reported as “lobbying activity” as appropriate.

6. Personal and Professional Society Contacts

Personal and professional society contacts by University employees with elected officials or governmental agencies, whether in person or in writing, must be done in the name of the individual or the professional society. University letterhead may not be used.  In each instance, the employee is obligated to make clear that the contact is not made on behalf of the University.  Nothing in this Regulation shall prevent faculty or staff from expressing personal views on personal time, with personal resources.

7. Disclosure of Lobbying Activity

Employees who engage in approved lobbying activities shall report issues lobbied upon, officials contacted, time spent, and an estimate of expenses on a quarterly basis to the Federal Relations Officer.  Consistent with federal law, even those University employees who do not qualify as lobbyists must report all lobbying activities with covered officials to the Federal Relations Officer.  For purposes of this Regulation, the phrase “lobbying activities” shall be defined in accordance with the definitions set forth in the Lobbying Disclosure Act of 1995, as amended.[2]

No University of North Carolina employee, administrator, faculty member, or other individual retained to provide outside assistance shall engage in activities that require registration with the United States House of Representatives or Senate under the Lobbying Disclosure Act of 1995 without prior review and approval by the respective Chancellor and the President.

8. Tickets to University Events

University events that require tickets for which there is a charge to the public may be extended to Members of Congress and their staff free of charge.  Invitations to free University events are also appropriate and may be extended to Members of Congress and/or other covered federal government officials.  Invitations to Members of Congress and/or covered federal government officials must be extended by the President of the University, Vice President for Federal Relations, Chancellor, or campus Federal Relations Officer.


[1] Covered federal government officials include any member, officer, or employee of Congress or the President, Vice President, officers and employees of the Executive office of the President, and various high-level officials and uniformed officers in the executive branch outlined in the “Plum Book.”   http://www.gpoaccess.gov/plumbook/index.html

[2]Lobbying activity is defined as “lobbying contacts and efforts in support of such contacts, including background work that is intended, at the time it was performed, for use in contacts, and coordination with the lobbying activities of others.”   2 U.S.C. 1602 (7)

300.1.7 [R]: Adopted 11/04/08

300.2 Employees Exempt from the State Personnel Act

300.2 Employees Exempt from the State Personnel Act

300.2.1 Employees Exempt from the State Personnel Act

300.2.1 Employees Exempt from the State Personnel Act

  1. Scope and Applicability of Employment Covered by These Policies
    1. Scope of category.Employment positions with constituent institutions of the University that are covered by these policies (hereinafter "covered positions") are those positions that are not subject to the State Personnel Act (N.C.G.S. Chapter 126) and are not otherwise categorized. This category does not include: (1) faculty positions subject to institutional tenure regulations; (2) positions within administrative categories of employment subject to N.C.G.S. §116-11(4), N.C.G.S. §116-11(5), or N.C.G.S. §116-14; (3) positions within the "physicians or dentists" category under N.C.G.S. §126-5 with faculty appointments; and (4) University students who are employed incident to their status as students, as in graduate teaching assistantships or work-study positions.  Those areas of institutional activity (as identified in the Uniform Chart of Accounts) that may include covered positions are:

      Instruction

      Organized Research

      Agricultural Research

      Agricultural Extension Service

      Public Service

      Academic Support

      Student Services

      Student Health Service Physicians (without faculty appointments)

      Institutional Support

      Area Health Education Centers

      Library

    2. Applicability of Policies.These policies apply to all permanent covered positions.
  2. Appointments to Covered Positions
    1. Every appointment to a covered position within a constituent institution shall be made by the chancellor by means of a letter of appointment that fulfills the requirements of this Section II.[1]
    2. Every letter of appointment to a covered position shall include: (1) the title of the position; (2) the initial salary; (3) provision for periodic review of compensation[2]; (4) provision consistent with Sections II.C. and II.D., below, if contingencies based on availability of funding are applicable; (5) the annual leave entitlement of the employee; (6) notice that the employment conferred is either for a stated definite term or is an "employment at will" subject to continuation of discontinuation at the discretion of the chancellor; and (7) notice that the employment is subject to these policies (viz., institutional policies adopted pursuant to Section IX of these policies), as originally adopted and as they may be periodically revised from time to time, and a copy of the institutional policies shall be attached to the letter of appointment.
    3. When a covered position is funded in whole or substantial part from sources other than continuing State budget funds or permanent trust accounts, the letter of appointment shall state that continuation of the employee's service in that position is contingent upon the continuing availability of funds from such other sources to support that position, shall specify the source of such funds, and shall state that the effect of such contingency may apply without the additional notice otherwise required by Section III.A., III.B., and III.; provided, that the affected employee shall be informed at the earliest practicable date of the occurrence of such a funding contingency.
      1. When an employee is to serve simultaneously in both a covered position and a position of University employment not covered by these policies, with the result that two different prescriptions may appear to obtain with respect to a particular condition of employment or a right or responsibility of the employee, one position shall be designated the base position to determine the conditions of employment and the rights and responsibilities of the employee. If appointment to a covered position occurs subsequent to appointment to a position not covered by these policies, the letter of appointment to the covered position shall embody the required designation of base employment; conversely, if appointment to a covered position precedes appointment to the other category of University employment, the letter of appointment or contract establishing the second employment shall embody the required designation of base employment. In either case, the designation of base employment shall specifically describe the different rights, duties, and compensation for each position and the relationship, if any, between the two positions.
      2. Any funding contingency of the type referred to in Section II.C. shall be set forth separately for the covered position and for the other position, since the operation of any such contingencies may be independent.
      3. When an appointment to a covered position is to be accompanied by appointment to a faculty position that is intended to be nominal or honorary, or to create a faculty affiliation not entailing significant duties or compensation, the term "adjunct," or similar nomenclature, shall be used to identify the faculty appointment.
  3. Discontinuations of Employment in Covered Positions
    1. Discontinuation of appointment with notice or severance pay.Employment within a covered position that is established by the letter of appointment to be an employment at will is subject to discontinuation at any time at the discretion of the chancellor; provided, that such a discontinuation (as distinguished from discharge for cause, Section III.D.) shall be subject to advance timely notice of discontinuation or the payment of severance pay, in calendar days, as follows: (1) during the first year of service, not less than 30 days’ notice prior to discontinuation of employment or the payment of severance pay for 30 days; (2) during the second and third years of service, not less than 60 days’ notice prior to discontinuation of employment or the payment of severance pay for 60 days; and (3) during the fourth and all subsequent years of continuous service, not less than 90 days’ notice prior to discontinuation of employment or the payment of severance pay for 90 days.

      The determination of whether the employee shall receive notice of discontinuation of the appointment or severance pay shall be in the sole discretion of the respective chancellor or the president.

    2. Expiration of term appointment.Employment within a covered position that is established by the letter of appointment to be for a stated definite term expires automatically at the conclusion of the stated term; such an appointment may be renewed or extended at the option of the employer, by written notice satisfying the requirements of Section II.  If the employer intends not to renew or extend the term contract, (1) with respect to a term of one year or less, no notice of intent not to renew shall be required; (2) with respect to a term of more than one year but less than four years, notice of intent not to renew shall be transmitted in writing at least 60 days prior to this expiration date of the term; (3) with respect to a term of four years or more, notice of intent not to renew shall be transmitted in writing at least 90 days prior to the expiration date of the term.  Failure to provide written notice as required in subsections (2) and (3) shall result in the automatic extension of employment for a period, respectively, of either 60 days or 90 days, beyond the scheduled expiration date of the term.
    3. Termination of employment because of financial exigency or program curtailment or elimination.Employment within a covered position that is established by the letter of appointment to be for a stated definite term may be terminated prior to expiration of the stated term because of (1) demonstrable, bona fide institutional financial exigency or (2) major curtailment or elimination of a program. "Financial exigency" is defined to mean a significant decline in financial resources of the University that compels a reduction in the institution's budget. The determination of whether a condition of financial exigency exists or whether there shall be a major curtailment or an elimination of a program shall be made by the chancellor, with advance notice to and approval by the President and the Board of Governors.  If the financial exigency or curtailment or elimination of a program is such that the contractual obligation to an employee within a covered position cannot be met, the employment of the individual may be terminated, subject to the following notice requirements; (1) during the first year of service, not less than 30 days’ notice prior to termination; (2) during the second and third years of employment, not less than 60 days’ notice prior to termination; and (3) during the fourth and all subsequent years of service, not less than 90 days’ notice prior to termination.

[This subsection is effective for personnel actions taken on and after September 1, 2009]

D.Discharge for cause.Any employee occupying a covered position may be discharged for stated cause. Discharge for cause is to be distinguished from discontinuation with notice (Section III.A.), automatic expiration of term (Section III.B.) and termination (Section III.C.). Stated causes for discharge shall include, but not necessarily be limited to, incompetence, unsatisfactory performance, neglect of duty, or misconduct that interferes with the capacity of the employee to perform effectively the requirements of his or her employment. Discharge for cause is to be preceded by written notice of intent to discharge and is subject to invocation by the affected employee of the review procedures of Section IV. of these policies.  When an employee occupying a covered position has been notified of the intention to discharge him or her for cause, the president or chancellor may suspend the employment at any time and continue the suspension until the president or chancellor, as applicable, makes a decision concerning discharge; any suspension shall be with full pay.If the final presidential or chancellor decision is to discharge the employee, then the employee may be discharged without further pay without regard to whether there is an appeal to a Board of Trustees or the Board of Governors in accordance with Section 611 of The Code.No provision of this Policy 300.2.1 shall be interpreted to extend an employee’s right to pay beyond the expiration of the employee’s term of appointment while an appeal is pending under this Policy.

[This section is effective for personnel actions taken on and after September 1, 2009]

IV.Reviews

  1. Each constituent institution and General Administration shall adopt and publicize procedures under which employees in covered positions may secure review of decisions concerning discharge for cause or other disciplinary action, or review concerning the interpretation and application of any provision of this policy; provided, however, that reviews concerning discontinuations, expiration of term appointments, or terminations of employment with notice, pursuant to Sections III., III.B., or III.C., may be brought only upon allegations of violations of applicable notice requirements or violations of any provision of Section V. or VI. of these policies.
  2. Decisions reached pursuant to such review procedures concerning the discontinuation, expiration of term appointment, or termination of employment may be had in accordance with the provisions of Section 611 of The Code.
  3. V.Equal Employment Opportunity.It is the policy and intention of the University of North Carolina that there be equal employment opportunity and freedom from unlawful discrimination in all employment within the University, as set out in Section 103 of The Code.[3]Employment in covered positions shall be conducted in accordance with all provisions of state or federal law or regulation prohibiting any such discrimination, and in accordance with applicable affirmative action plans.

    VI.Protected Activity.Employment in covered positions shall not be adversely affected by the exercise of rights guaranteed by the First Amendment to the United States Constitution or by Article I of the North Carolina Constitution; provided, that employees in covered positions shall be subject to any limitations on political activity established by Article 5 of N.C.G.S. Chapter 126. The Board of Governors' policies concerning political activity, Policy §300.5.1., et seq., as they may be revised from time to time, shall apply to positions covered by those policies.

    VII.Holiday and Leave Entitlement

    1. Holidays

      Employees in covered positions shall be subject to the same State-prescribed holidays given employees subject to the State Personnel Act.

    2. Annual Leave[4] 
      1. Basic Leave Policy.The amount of annual leave to which a permanent full-time employee (00 FTE) in a position covered by these regulations shall be entitled to accrue is 24 workdays per year. Annual leave is accrued at a monthly rate and is adjusted proportionately for permanent part-time employees who work halftime or more (.50 - .99 FTE).  The monthly earnings amount is equal to one-twelfth of the annual rate for each month the employee works or is on approved leave with pay.  Monthly leave is earned when an employee works or is on approved leave with pay at least half the working days of a month. An employing institution shall define a year as either “fiscal year” (July 1 - June 30) or “calendar year” (January 1 - December 31).  (Note:  Employing institutions that have previously defined a year as “contract year” may continue to do so.)  The scheduling of an employee’s annual leave shall be subject to the approval of the employee’s supervisor. With respect to an incumbent employee who is earning more than 24 days per year as of the date this policy becomes effective, such employee shall be entitled to continue to earn leave at the current rate.

        The maximum number of unused days of annual leave that may be carried forward from one year to the next shall be 30 workdays. Annual leave in excess of 30 days will be automatically converted to sick leave at the end of the year.

      2. Transfer of Accrued Annual Leave.An employing institution must establish campus-wide uniform guidelines regarding the transfer of accrued annual leave from a UNC constituent institution or State or local governmental agency whose leave is currently transferable in accordance with the policy prescribed for employees subject to the State Personnel Act (See State Personnel Manual, Section 5-1).  Upon discontinuation of employment from the employing institution, the employee may either elect a payout of accrued annual leave [see (4) below] or transfer the remaining balance of any unused annual leave to another State or local governmental agency, subject to the receiving agency’s approval. 
      3. Advancement of Annual Leave.Subject to institutional policy and approval by the employee’s supervisor, an employee may be advanced the amount of leave that can be accrued during the remainder of the year or during a twelve-month period.  If an employee separates from the employing institution and has taken more annual leave than has been accrued, the employing institution must determine the amount of leave that the employee must repay to the institution and make deductions from the employee’s final salary check accordingly.
      4. Payout of Accrued Annual Leave.An employee in a position covered by these regulations who has accrued unused annual leave upon discontinuation of employment from the employing institution and who either does not elect or is not eligible to transfer such accrued leave to another State or local governmental agency, shall be paid for such unused annual leave.  The amount paid to an employee who has been employed an aggregate of 24 months or less by one or more State or local governmental agencies is equal to one day for each month worked less the number of days of annual leave taken during the employment period.  An employee who has been employed for more than 24 months shall be paid subject to a maximum of 30 suchdays.  Each institution shall establish guidelines for payout of leave if a change in employment status occurs and such employee is no longer covered by this policy.
    3. Sick Leave, Family and Medical Leave, Family Illness Leave, Civil Leave, Military Leave, and Community Service Leave, and Special Annual Leave Bonus.Employees in positions covered by these regulations shall be subject to the same policies concerning sick leave, family and medical leave, family illness leave, civil leave, military leave, community service leave, and special annual leave bonus (awarded to employees in leave earning status on 9/30/02) as may be prescribed for employees subject to the State Personnel Act.  However, with respect to sick leave, subject to institutional policy and approval by the employee’s supervisor, an employee may be advanced the amount of sick leave that can be accrued during the remainder of the year or during a twelve-month period.
    4. Leave of Absence Without Pay.Employees in positions covered by these regulations may request a leave of absence without pay, subject to approval of such leave by the President or by the chancellor, as applicable.
    5. Voluntary Shared Leave.Employees in positions covered by these regulations shall be subject to the same provisions concerning shared leave as are applicable to employees subject to the State Personnel Act with the exception that the donation and acceptance of such leave shall be computed on the basis of days rather than hours. 
    6. Educational.Employees in covered positions are entitled to the same opportunities as other University employees to invoke the privilege of tuition waiver conferred by UNC Policy 1000.2.2. 
    7. VIII.Statutory and Other Rules of Employment  

      1. Privacy of Personnel Records.Employees in covered positions enjoy the protections of and are subject to the provisions of Article 7 of N.C.G.S. 126 entitled "The Privacy of State Employee Personnel Records."
      2. Employment preference for veterans.Employees in covered positions enjoy the protections of and are subject to the provisions of N.C.G.S. §§ 128-15, which provide for preference in employment for veterans of United States military service and their spouses and widows or widowers. 
      3. Employment of Related Persons.Employees in covered positions are subject to the policy concerning employment of related persons as adopted by the Board of Governors on April 13, 1973, and as it may be revised from time to time.
      4. Retirement.Employees in covered positions may retire in accordance with the provisions of Chapter 135 of the North Carolina General Statutes.
      5. IX.Implementation.The Board of Trustees of each constituent institution shall adopt for the institution personnel policies for covered positions within the institution that are consistent with all provisions of these policies.  Any proposed provision in an institutional policy statement that in any manner adds to or modifies the provisions of these policies must be submitted for review and approved by the President prior to its adoption and implementation.

        X.Effective Date.The effective date of institutional policies adopted pursuant to Section IX shall be September 1, 1981.


[1]Pursuant to NCGS §116-11(13), and notwithstanding The Code or any other Board of Governors policy, the Board of Governors has delegated the appointment of EPA employees serving within the General Administration to the President of the University.  See Policy 200.6, Delegation Authority to the President of the University, adopted 11/13/06.

[2]Subject to any compensation policies adopted by the Board of Governors or the Board of Trustees.

[3]Bona fide occupational qualifications or other exceptions to those general prohibitions, specifically provided for by State or Federal law, may be applied to covered positions.

[4]Effective July 1, 2001.

300.2.1: Adopted 02/13/81, Amended 09/14/84, Amended 05/08/87, Amended by AM254, Amended 02/18/94, Amended 04/12/01, Amended 03/21/03, Amended 02/08/08, Amended 10/17/08

300.2.1[R] Regulations on Health Insurance Continuation when a Reduction in Funding Eliminates an EPA Position

300.2.1[R] Regulations on Health Insurance Continuation when a Reduction in Funding Eliminates an EPA Position

  1. Principle

    Pursuant to State law [N.C.G.S. 135-40.2(a)(6)], when a University campus or affiliated entity eliminates a job due to a reduction in funds, unless otherwise exempt from this Regulation, the employee in that job may be entitled to up to twelve (12) months of continued coverage by the State Health Plan if he or she meets the eligibility criteria below for this coverage to remain in effect. The University campus or entity shall continue paying premiums for this coverage in accordance with the eligibility criteria listed below. Elimination of an employee’s job neither requires nor permits an employer to pay State Health Plan premiums for dependents of the employee; however, the former employee may continue dependents’ coverage under the same terms as current employees. At the expiration of this coverage, former employees may pay the premiums for their continued coverage and that of their dependents. There is no time limit as to how long this coverage may be purchased. [See N.C.G.S. 135-40.2(b)(12).]

    This regulation explains who is eligible for continued coverage and provides information about how campuses may ensure that coverage is properly provided to former employees who meet the eligibility criteria.

  2. Eligibility for Continued Coverage

    The following conditions must all be met for the employee to be eligible for continued coverage.

    1. The employee’s job must be eliminated. This regulation does not apply to an employee’s separation from a job that does not result in the position being eliminated or abolished.
    2. The job elimination must be due to a reduction, in total or in part, of the funds used to support the job or its responsibilities. This includes a reallocation of funds and elimination of the position. The source of funds for the position does not affect eligibility for this benefit, except if the appointment is contingent upon the availability of funds. (See Ineligibility for Continued Coverage below.)
    3. Employment for at least twelve (12) months in a permanent full-time or permanent part-time (three/fourths time or more) position by a University campus, an affiliated entity, and/or another state entity (can be more than one), prior to the elimination of the job, is required.
    4. The employee must be participating in the State Health Plan at the time of separation from employment due to elimination of the job.
  3. Ineligibility for Continued Coverage

    If any of the following conditions apply, the employee will not be eligible for continued coverage.

    1. An employee working pursuant to a fixed term contract that ends at the same time as the termination is not eligible for this coverage.
    2. An employee who was (a) paid in total or in part from non-state funding sources, and, (b) at the time of the job elimination was working under an appointment letter or a contract, either of which states that the job is contingent on the continuing availability of funds is not eligible for this coverage.
    3. An employee who retires (withdrawal from active service with a retirement allowance from the Teachers’ and State Employees’ Retirement System of North Carolina or the UNC Optional Retirement Program) is not eligible for this coverage. In this case, health insurance is provided through the retiree health insurance program.
  4. Procedure

Prior to communicating with the employee, a departmental representative must contact the office responsible for either EPA or SPA personnel, as appropriate, so that the personnel/human resources office may review the circumstances to determine if the proposed job elimination is due to a reduction in funds. If the personnel/human resources office determines that this Regulation applies, that office will work with the department to ensure that the employer-provided contributions to the employee’s State Health Plan coverage are appropriately continued for up to twelve (12) months. Additionally, the employing department must communicate in writing to the employee that he or she is being separated due to the unavailability of funds to support the position

300.2.1 [R]: Adopted 08/18/04

300.2.2 Conflict of Interest and Commitment

300.2.2 Conflict of Interest and Commitment

The Code of the University of North Carolina affirms that the basic mission of the faculty is "the transmission and advancement of knowledge and understanding."  Faculty employment entails the core responsibilities of teaching, scholarly research and publication, and other professional service to the institution and to society. Realization of those objectives is facilitated and encouraged by certain distinctive characteristics of employment within an academic community, which differs markedly from the conventional work-day and work-week employment models in most business and industrial settings.

Faculty members pursue their specialized professional interests in other contexts, collateral to their immediate University employment.  They hold memberships in and attend meetings of professional associations and learned societies; they serve on review or advisory panels; they present lectures, papers, concerts and exhibits; they participate in seminars and conferences; they review and edit scholarly publications; and they participate in accreditation reviews. Faculty and non-faculty EPA employees (“Covered Employees”) have opportunities to use their specialized competencies in secondary professional employment, as paid consultants to public and private agencies, and thereby contribute to the transfer and application of knowledge.

As relationships between Covered Employees and private industry, federal and state governments, and nonprofit agencies have grown in number and scope, there has been a corresponding increase in concern about conflicts of interest and commitment.  While these Covered Employees are encouraged to engage in appropriate relationships with public and private agencies outside of the University, there is a need for commonly understood principles and corresponding procedures that will identify, address and manage potential conflicts that would detract from or interfere with a Covered Employee’s dedication of unbiased primary professional loyalty, time, and energy to University teaching, research, and service.

All members of the University community are expected to avoid conflicts of interest and conflicts of commitment that have the potential to directly and significantly affect the University’s interests or compromise their objectivity in carrying out their University Employment Responsibilities, including research, service and teaching activities and administrative duties, or otherwise compromise performance of University responsibilities, unless such conflicts are disclosed, reviewed and appropriately managed in accordance with the provisions of this Policy.

It is the policy of the University of North Carolina that activities undertaken by its faculty, staff and students in furtherance of the mission of the University shall be conducted in an ethical and transparent manner consistent with federal and state law and university policy.

  1. Definitions
    1. Conflict of Interest relates to situations in which financial or other personal considerations, circumstances, or relationships may compromise, may involve the potential for compromising, or may have the appearance of compromising a Covered Employee’s objectivity in fulfilling their University duties or responsibilities, including research, service and teaching activities and administrative duties. The bias that such conflicts may impart can affect many University responsibilities, including decisions about personnel, the purchase of equipment and other supplies, the selection of instructional materials for classroom use, the collection, analysis and interpretation of data, the sharing of research results, the choice of research protocols, the use of statistical methods, and the mentoring and judgment of student work. A Covered Employee may have a conflict of interest when he or she, or any member of that person's immediate family has a personal financial interest in an activity that may affect decision making with respect to his or her Employment Responsibilities.For the purposes of this Policy, a Covered Person’s immediate family includes that person’s spouse and dependent children.While a Conflict of Interest may result from nonfinancial interests or considerations, the overwhelming majority of Conflicts of Interest result from a Financial Interest of a Covered Employee who is in a position to make a supervisory, academic, or administrative decision which may be compromised because of potential financial gain from a Financial Interest.
    2. Financial Interest is defined as:
      1. Payment for services to the Covered Employee not otherwise defined as institutional salary (e.g. consulting fees, honoraria, paid authorship);
      2. Equity or other ownership interest in a publicly or non-publicly traded entities (e.g. stock, stock options, or other ownership interest); or
      3. Intellectual property rights and interests upon receipt of income related to such rights and interest, held by the Covered Employee or members of his/her immediate family.

        Income from investment vehicles, such as mutual funds or retirement accounts, in which the Covered Employee or member of his/her immediate family do not directly control the investment decisions and intellectual property rights assigned to the Institution and agreements to share in royalties related to such rights are excluded from the definition of Financial Interest.Covered Employees are required to disclose Financial Interests in a timely and accurate manner consistent with the implementing policies of the Constituent Institutions.

    3. Conflict of Commitment relates to an individual's distribution of time and effort between obligations to University employment and participation in other activities outside of University employment.  The latter may include such generally encouraged extensions of professional expertise as professional consulting (i.e. External Professional Activities for Pay).  Such activities promote professional development and enrich the individual's contributions to the institution, to the profession, and to society.  However, a conflict of commitment occurs when the pursuit of such outside activities involves an inordinate investment of time or is conducted at a time that interferes with the employee’s fulfillment of University Employment Responsibilities.
    4. External Professional Activities for Pay is defined as any activity that 1) is not included within one's University employment responsibilities 2) is performed for any entity, public or private, other than the University employer; 3) is undertaken for compensation; and 4) is based upon the professional knowledge, experience and abilities of the employee.Activities for pay not involving such professional knowledge, experience and abilities are not subject to the advance disclosure and approval requirements of Section III of this policy, although they are subject to the basic requirement that outside activities of any type must not result in the neglect of primary University duties, creation of Conflicts of Interest, involve inappropriate uses of the University name or resources, or include claims of University responsibility for the activity.External activities for pay of employees covered by the State Personnel Act are addressed in the State Personnel Act, Section 3 Employment and Records, Secondary Employment.
    5. University Employment Responsibilities include "Primary Duties" and "Secondary Duties." Primary Duties consist of assigned teaching, scholarship, research, institutional service requirements, administrative duties and other assigned employment duties.  Secondary Duties may include professional affiliations and activities traditionally undertaken by Covered Employees outside of the immediate University employment context.  Secondary Duties may or may not entail the receipt of honoraria, remuneration (see additional regulations, UNC Policy Manual, 300.2.2.2 [R]) 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 without receipt of compensation; and service to accreditation bodies.  These activities, which demonstrate active participation in a profession are encouraged, provided they do not conflict or interfere with the timely and effective performance of the individual's Primary University Duties or University policies.
    6. Covered Employee is defined as any faculty or EPA non-faculty person employed by the University of North Carolina or a Constituent Institution, an affiliated entity, or other agency or unit of the University of North Carolina. The implementing policies of Constituent Institutions may further define Covered Employee to include additional classifications of personnel and students, which would further be considered Covered Individuals.
    7. Constituent Institution, for the purposes of this policy, includes affiliated entities of the University of North Carolina, General Administration, and units associated with General Administration.Affiliated entities and other units of General Administration may implement Conflict of Interest policies consistent with this policy or adopt the policy of one of the constituent institutions.
    8. 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 General Administration, for the purposes of implementing this policy. “Department Head” refers to the person with supervisory responsibility for the Covered Employee, whether in an academic or non-academic department.
    9. 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 for other than the conduct of Institutional Responsibilities.  A person engaged in external professional activities for pay may not use University Resources in the course and conduct of externally compensated activities, except as allowed by the constituent institution’s implementing policies and other applicable University policies.Under no circumstances may any employee use the services of another employee during University employment time to advance the externally compensated employee’s professional activities for pay.
  2. Conflicts of Interest 

    Constituent Institutions shall develop detailed implementing policies and procedures that establish parameters of general applicability that will permit their institution and their employees to recognize potential Conflicts of Interest, and to institute basic procedures for disclosing Financial Interests and managing potential or actual Conflicts of Interest. Institutional policies shall require that a Covered Employee’s professional activities and financial interests must be arranged to avoid circumstances that do or may prevent or limit objectivity in the performance of University Employment Responsibilities or that otherwise do or may adversely affect any University interests.The implementing policies and procedures of the Constituent Institutions will ensure compliance with prevailing Federal regulations.Institutions may develop separate policies to address specific federal and state requirements.In the event federal agencies or other external sponsors impose additional disclosure requirements on Constituent Institutions, disclosure to the sponsor must also include disclosure to the University.

    1. Avoiding conflicts of interest

      Each constituent institution must adopt policies and procedures that:

      1. effectively impart a clear understanding of permissible and impermissible conduct;
      2. provide for disclosure of Financial Interests, review of disclosures in the context of University Employment Responsibilities and processes to manage or mitigate conflicts of interest;
      3. provide for training of employees on its conflict of interest policy, the audience, content and frequency of which will be determined by the Constituent Institution’s implementing policies and procedures; and
      4. provide for compliance with applicable federal regulations.

        Critical to the success of any program established to address Conflicts of Interest is employee understanding of the potential problems, so that individuals are equipped to avoid such conflicts on their own initiative. While in many situations the conflict of interest would be obvious to all, in other situations the potential difficulty would not be so apparent. Since concern about Conflicts of Interest appropriately embraces situations in which there is a potential for or appearance of conflict, as well as actual conflict, there may be differing views about what is or is not a problematic activity or affiliation. Thus, the faculty and administration of each Constituent Institution must establish basic definitions of activities and circumstances with a potential to create Conflicts of Interest and then must ensure that all affected employees are fully informed, on a regular and continuing basis, through training and distribution of institutional policies and procedures on individual Conflicts of Interest and Conflicts of Commitment.

        Each Constituent Institution must establish procedures that elicit information in a timely manner about potential Conflicts of Interest related to the Covered Employee’s University Employment Responsibilities. Designated administrative officials or faculty, as defined by the Constituent Institution’s implementing policies and procedures shall analyze the disclosed financial interest in the context of the Covered Employee’s University Employment Responsibilities and decide whether the activity or affiliation in question actually presents a Conflict of Interest and, if so, what safeguards or remedial actions should be taken. Covered Employees shall be required to supplement the information elicited by the Conflict of Interest questionnaire at any time during the academic year when a new Financial Interest might entail a Conflict of Interest. In each case a designated administrative officer would provide a final ruling, subject to any prescribed rights of appeal in the Constituent Institution’s implementing policies and procedures.

        In combination, the University’s policy on Conflicts of Interest, the required disclosure process, and publicity and training should assist all Covered Employees avoid any difficulties recognizing and managing Conflicts of Interest.

        Each Constituent Institution may adopt additional related internal policies, procedures, and guidelines consistent with this Policy.

        The UNC Board of Governors’ Policy on Conflict of Interest and Commitment, UNC Policy Manual 300.2.2, is effective August 24, 2012.

        Each Constituent Institution shall submit to the President a copy of its institutional policies and procedures on individual Conflicts of Interest, including definitions of Conflicts of Interest, methods for publicizing the policy and training Covered Employees on institutional definitions and requirements, and procedures and questionnaires for disclosing relationships and circumstances that may raise questions about Conflicts of Interest. Any substantial modifications of the Constituent Institution policies and procedures for individual Conflicts of Interest should also be forwarded to the President after approval by the Constituent Institution.

  3. Conflicts of Commitment

    Questions about conflict of commitment are more easily recognized and resolved than questions about Conflicts of Interests. Although full-time faculty and other non-faculty EPA employment is not amenable to precise, time-clock analysis and monitoring, administrators at the department and school levels regularly evaluate the work of employees within their units. The formal occasions for determining whether an individual is devoting sufficient time and effort to University employment include regular reviews of performance in connection with annual salary decisions and scheduled reviews incident to promotion, reappointment or tenure decisions. In addition, complaints from students, colleagues, or administrators about possible failures to meet assigned responsibilities may arise and require investigation.  The issue, in each case, is whether the employee is meeting the requirements of the job. If presented with evidence that he or she is not meeting full-time responsibilities to the University, The Code prescribes that "neglect of duty" is a ground for disciplinary action, including the possibility of discharge. The following describe instances of activities that require specific monitoring to demonstrate compliance with policies.

    1. External Professional Activities for Pay

      The University of North Carolina and its Constituent Institutions seek to appoint and to retain, as employees, individuals of exceptional competence in their respective fields of professional endeavor. Because of their specialized knowledge and experience, these individuals have opportunities to apply their professional expertise to activities outside of their University employment, including secondary employment consisting of paid consultation or other service to various public and private entities. These practical compensated applications of their professional qualifications enhance capabilities in teaching, research, and administration. Thus, participation of employees 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, 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 University Employment Responsibilities in a timely and effective manner;
      2. Create a Conflict of Interest because of the individual's status as a Covered Employee of the University;
      3. Involve any inappropriate use or exploitation of University resources;
      4. Make any use of the name or marks 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 the External Professional Activities for Pay.

The UNC Policy Manual, 300.2.2.1[R], contains provisions established to monitor possible Conflicts of Commitment, including mandatory pre-approval at appropriate university levels of External Professional Activities for Pay. A faculty or non-faculty EPA employee who wishes to engage in External Professional Activity for Pay must adhere to these regulations to provide satisfactory assurances that the activity will not interfere with University Employment Responsibilities. These regulations may not apply to faculty and non-faculty EPA employees serving on academic year (9-month) contracts, if the External Professional Activity for Pay is wholly performed and completed outside of the contract service period and the activity does not conflict with the policies of the Constituent Institution or 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.

In those instances when State-reimbursed travel, work time, or resources are used or when the activity can be construed as related to the Covered Employee’s University Employment Responsibilities on behalf of the State, the employee shall not receive any financial consideration, including an honorarium. In these instances the employee may request that the honorarium be paid to the University. The honorarium may be retained by the employee only for activities performed outside of normal working hours, as defined by the institution, or while the employee is on earned paid or annual leave, and all expenses are the responsibility of the employee or a third party that is not a State entity.  Third party support may need to be disclosed under the implementing policies and procedures for Constituent Institutions.In addition, senior academic and administrative officers may also be subject to special regulations regarding honoraria which require leave to be taken when External Professional Activities for Pay will take place during the regular work week. Please refer to the UNC Policy Manual, 300.2.2.2[R].

Instead of using earned paid or annual leave as set out above employees who are exempt from the Fair Labor Standards Act and who are out of work due to an External Professional Activity for Pay, or who wish to retain an honorarium, may be able to use periodic uncompensated leave rather than annual leave, provided the Constituent Institution implementing policies allow the use of uncompensated leave, and the appropriate Department Head approves.

External Professional Activities for Pay performed for another UNC Constituent Institution or agency of the State of North Carolina also must comply with applicable State policies governing dual employment and compensation, unless an exception to those State policies is expressly authorized by the chancellor or the President.

The Board of Governors has also established rules for monitoring and regulating the involvement of University employees in political candidacy and office-holding that could interfere with full-time commitment to University duties. Please refer to UNC Policy Manual, 300.5.1 et seq. for specific policy details.

300.2.2: Adopted 04/16/93, Amended 08/12/05, Amended 06/09/06, Amended 06/15/12

300.2.2.1[R] Amended 10/19/15 Regulations on External Professional Activities for Pay by Faculty and EHRA Non-Faculty Employees

300.2.2.1[R] Amended 10/19/15 Regulations on External Professional Activities for Pay by Faculty and EHRA Non-Faculty Employees

In accordance with the Board of Governors policy on Conflict of Interest and Commitment (UNC Policy Manual, Section 300.2.2), UNC faculty and EHRA non-faculty employees (together “Covered Employees”) sometimes may engage in compensated activities that are not a part of University employment.Through such opportunities, employees apply their specialized knowledge and experience to activities outside of their University employment, thereby enhancing their own capabilities in teaching and research and contributing significant societal benefits, including economic development through technology transfer.These activities are encouraged if the intended activity complies with sections II and III of the corresponding UNC Policy, Section 300.2.2, and do not create a conflict of interest or conflict of commitment (see UNC Policy Manual, Section 300.2.2, I, Definitions[1]).

Covered Employees, including faculty with nine-month appointments or contracts except as provided in III.C., below, who wish to engage in an External Professional Activity for Pay must adhere to these regulations to provide satisfactory assurances that such activity will not interfere with University employment obligations.Covered employees not complying with these regulations or policies implemented by their Constituent Institution will be subject to disciplinary action.

External Professional Activities for Pay should generally be limited to no more than the equivalent of 20 percent (20%) of the Covered Employee’s contracted time, during the appointment; however Constituent Institutions may adopt differing standards dependent upon a Covered Employee’s full-time status equivalent.

  1. Notice, Approval, and Appeal Requirements
    1. Notice Requirements
      1. Any Covered Employee who plans to engage in an 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 solicit, at a minimum, the data elements shown in Appendix I to this regulation). A separate "Notice of Intent" shall be filed for each such activity in which a Covered Employee proposes to engage.
      2. Unless there are exceptional circumstances or if the Constituent Institution has implemented a different time period for filing, the "Notice of Intent" shall be filed not less than ten (10) calendar days before the date the proposed external professional activity for pay is to begin.
      3. The Notice of Intent shall be filed with the appropriate administrator in accordance with the Constituent Institute’ implementing procedures and may include the head of the department in which the Covered Employee is employed, the Conflict of Interest Officer, and/or the Conflict of Interest Committee.
      4. Additionally, Covered Employees must disclose their financial interests consistent with the Board of Governors’ policy on Conflict of Interest and Commitment (UNC Policy Manual, Section 300.2.2), and the Constituent Institution’s implementing policies and procedures.
    2. Review and Approval Requirements.
      1. Except as set out in paragraph B.2., below, the "Notice of Intent" shall be reviewed and considered as follows:
        1. If, after a review of the "Notice of Intent" and consultation with the Covered Employee, the department head (or appropriate administrator, as defined in UNC Policy Manual, Section 300.2.2, I.H.) determines that the proposed activity is consistent with the policy statements of the institution or Board of Governors, an 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 12-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. The Covered Employee shall be notified in writing of the approval within ten (10) calendar days of the date the "Notice of Intent" is filed.If the approved activity will continue beyond the end of the relevant fiscal or academic year in which it was begun, the Covered Employee must file an additional "Notice of Intent" at least ten (10) calendar days before engaging in such activity in the succeeding relevant year unless the Constituent Institution has adopted another time period for filing.
        2. If, after a review of the "Notice of Intent" and consultation with the Covered Employee, the department head (or appropriate administrator, as defined in UNC Policy Manual, Section 300.2.2, I.H.) determines that the proposed activity is not consistent with the policy statements of the institution or Board of Governors, the Covered Employee shall be notified in writing of that determination within ten (10) calendar days of the date the "Notice of Intent" is filed.
      2. If the “Notice of Intent” discloses (1) a proposed activity for an entity that provides funding that directly supports the Covered Employee’s University Employment Responsibilities or activities, or (2) a proposed activity for a private entity in which the Covered Employee or member of the Covered Employee’s Immediate Family (see UNC Policy Manual, Section 300.2, I, Definitions) holds an equity or ownership interest or holds an office, the review and consideration procedure set out in item B.1., above, shall be modified as follows:
        1. The decision of the department head to approve the activity shall be reviewed promptly and approved or disapproved within ten (10) calendar days of receipt by the administrative officer to whom the department head reports.
        2. An appeal of a disapproval by that officer shall be to the chancellor or the chancellor’s designee (or, in General Administration, to the president or the president’s designee).The decision of the chancellor or chancellor’s designee (or of the president or president’s designee) shall be final.
        3. Appeal Requirements
          1. In the event of such notification by the department head, the Covered Employee shall not proceed with the proposed activity but may appeal that decision to the administrative officer to whom the department chair reports, and then to the chancellor or the chancellor’s designee (or, at UNC General Administration, to the president or the president’s designee).Appeals shall be made in writing within the time frame implemented by the Constituent Institution.
          2. A decision on any such appeal shall be given by the administrative officer of the chancellor or chancellor’s designee (or, at UNC General Administration, to the president or the president’s designee) to the Covered Employee within ten (10) calendar days of the date on which the appeal is received.
          3. The decision of the chancellor or chancellor’s designee (or of the president or president’s designee) shall be final.
  2. Reporting Requirements
    1. Annually 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 department heads to the chancellor or the chancellor’s designee (or, at UNC General Administration, to the president or the president’s designee).
    2. On or before September 1 of each year, UNC General Administration’s Office of Research and Sponsored Programs will initiate the submission of annual summary reports from the chancellors to the president.
  3. Special Provisions
    1. External Professional Activities for Pay performed for another institution or agency of the State of North Carolina also must comply with State policies governing dual employment and compensation, unless an exception to those State policies is expressly authorized by the chancellor or the chancellor’s designee (or, at UNC General Administration, to the president or the president’s designee).
    2. In addition, senior academic and administrative officers may be subject to special regulations regarding honoraria.(UNC Policy Manual, Section 300.2.2.2[R].)
    3. These regulations shall not be required of Covered Employees serving on academic year appointments, if the External Professional Activity for Pay is wholly performed and completed outside of the academic year, provided that the activity does not conflict with the policy statements of the Constituent Institution or 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.Notwithstanding this regulation,such employees will disclose their financial interests in accordance with the Board of Governors’ policy on Conflict of Interest and Conflict of Commitment (UNC Policy Manual, Section 300.2.2), and the implementing policies and procedures of the Constituent Institutions.

Appendix I

Notice of Intent to Engage in External Professional Activities for Pay Data Elements

Date of filing

Name of Covered Employee

Name and address of contracting organization

Nature of proposed activity

Beginning date and anticipated duration of activity

Average number of hours per week to be devoted to the activity

  1. For 12-month employees, for the anticipated duration of the activity, within the current fiscal year ending June 30 ____
  2. For 9-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)

      Total number of hours to be devoted to the activity

      Identification of classes, meetings, or other university duties that will be missed because of involvement in the proposed activity (identify the duties that will be missed based on the components of the academic year shown above, if 9-month employee) and identification of what arrangements have been made to cover such duties

      Identification of any university resources to be used for the activity

      Determination if the contracting organization listed in the Notice of Intent is providing funding which directly supports the Covered Employee’s university duties

      Determination if the contracting organization is a private firm

  3. If yes, determination if the Covered Employee or member of his/her immediate family own an equity interest in the contracting organization
  4. If yes, determination if the Covered Employee holds an office in the contracting organization

Certifying statement by Covered Employee that information disclosed on the “Notice of Intent” is consistent with the Board of Governors’ policy on Conflict of Interest and Commitment (UNC Policy Manual, Section 300.2.2)


[1] This regulation incorporates by reference the definitions used in Section 300.2.2, UNC Policy Manual.

300.2.2.1[R]: Adopted 08/12/05, Amended 06/21/12

300.2.2.2[R] Regulations for Senior Academic and Administrative Officers on External Professional Activities for Pay and Honoraria

300.2.2.2[R] Regulations for Senior Academic and Administrative Officers on External Professional Activities for Pay and Honoraria

In accordance with the Board of Governors’ policy on Conflict of Interest and Commitment (UNC Policy Manual, 300.2.2), University personnel sometimes may engage in compensated activities that are not a part of University employment.For example, some sit on boards of directors of various private corporations, pursue opportunities that fall within the Board of Governor’s definition of external professional consulting, or conduct official duties as a State employee for which an honorarium is received.In those instances when a Senior Academic and Administrative Officer (SAAO) engages in these types of activities, the following shall apply:

  1. Pursuit of Private Interests in Which Activities are Compensated

    For Senior Academic and Administrative Officers (SAAOs) who pursue activities for pay that are not a part of their University employment, it is important that overlapping compensation be avoided.If an SAAO engages in an activity from which external income is earned, that is not a part of their University employment, annual leave must be used ifsuch activities take placewithin the conventional work week (i.e., between 8:00 a.m. and 5:00 p.m., Monday through Friday) SAAOs must also file appropriate disclosures of financial interests and “Notices of Intent,” in accordance with Board of Governors’ policies and Constituent Institution implementing policies and procedures to provide satisfactory assurances that such activity will not interfere with University employment obligations (please refer to UNC Policy Manual, 300.2.2 and 300.2.2.1[R] for requirements and procedures related to reporting).

  2. Activities for Which an Honorarium is Received

Senior academic and administrative officers may engage in employment-related activities for which an honorarium is received.In those instances when State-reimbursed travel, work time, or resources are used or when the activity can be construed as related to the employee’s State position or official duties on behalf of the State,the employee shall not receivean honorarium.In these instances the employee may request that the honorarium be paid to the University.The honorarium may be retained by the employee only for activities performed during non-working hours or while the employee is on annual leave, if all expenses are the responsibility of the employee or a third party that is not a State entityand the activity has no relation to the employee’s State duties.

300.2.2.2[R]: Adopted 07/17/01, Amended 08/12/05, Amended 06/21/12

300.2.2[G] Guidelines on Implementing the UNC Conflict of Interest and Commitment Policy

300.2.2[G] Guidelines on Implementing the UNC Conflict of Interest and Commitment Policy

Various federal regulations and state laws and policies specifically address conflict of interest and conflict of commitment of personnel associated with UNC Constituent Institutions.Several prominent federal agencies have agency-specific policies regarding Conflict of Interest, chiefly the Public Health Service (PHS) and the U.S. Department of Health and Human Services, including the National Institutes of Health, and the National Science Foundation.Further, North Carolina General Statute 138A also addresses Conflict of Interest as it applies to employees of the UNC Constituent Institutions.

The purpose of these guidelines is to provide a framework for UNC Constituent Institutions in the development, implementation, publicizing, training, monitoring and enforcement of implementing institutional policies and procedures for Conflict of Interest, Conflict of Commitment and External Professional Activities for Pay.These guidelines are organized to provide definitions, examples of conflicts of interest within the context of the UNC Policy on Conflict of Interest and Commitment (see UNC Policy Manual 300.2.2) and agency-specific thresholds and requirements.

  1. Categories of Potential Financial Conflicts of Interest

    Activities that may involve financial conflicts of interest may be categorized under four general headings: first, those that are allowable and are disclosed; second, those that are allowable with administrative approval and are disclosed; third, those that generally are not allowable and require an approved conflict of interest management plan; and fourth, those that are not allowable under any circumstances. The following examples are merely illustrative and do not purport to include all possible situations within the four categories:

    1. Activities that are allowable and are disclosed

      The examples cited below involve activities external to University employment, and thus may present the appearance of a financial conflict of interest, but have little or no potential for affecting the objectivity of the Covered Employee’s performance of Institutional Employment Responsibilities; at most, some such situations could prompt questions about conflicts of commitment.

      1. A Covered Employee receiving royalties from the publication of books or for the licensure of patented inventions subject to the UNC Patent and Copyright Policies.
      2. A Covered Employee receiving compensation in the form of honoraria or expense reimbursement, in connection with service to professional associations, service on review panels, presentation of scholarly works and participation in accreditation reviews.
    2. Activities requiring disclosure for further administrative review and analysis

      The examples cited below suggest a possibility of conflicting interests that can impair objectivity, but disclosure and resulting analysis of relationships may render the activity permissible and may result in the establishment of an approved management plan.

      1. A Covered Employee requiring students to purchase the textbook or related instructional materials of the employee or members of his or her immediate family, which produces compensation for the employee or family member.
      2. A Covered Employee receiving compensation or gratuities from any individual or entity doing business with the University. Note that no university employee may seek or receive any gift, reward, or promise of reward for recommending, influencing, or attempting to influence the award of a contract by his or her employer (See G.S. 14-234 and G.S 138A).
      3. A Covered Employee serving on the board of directors or scientific advisory board of an enterprise that provides financial support for University research and the employee or a member of his or her immediate family may receive such financial support.
      4. A covered employee or a member of his /her immediate family having an equity or ownership interest in a publicly or non-publicly-traded entity or enterprise.
      5. Covered Employee accepting support for University research under conditions that require research results to be held confidential, unpublished, or inordinately delayed in publication. Research conducted by faculty or students under any form of sponsorship must maintain the University's open teaching and research philosophy and must adhere to a policy that prohibits secrecy in research. Such conditions on publication must be in compliance with UNC Policy Manual, 500.1 and 500.2, and with campus Intellectual Property policies.
    3. Activities or relationships that are generally not allowable or permitted unless an approved Conflict of Interest Management Plan is in place

      The examples cited below involve situations that are not generally permissible, because they involve potential financial conflicts of interest or they present obvious opportunities or inducements to favor personal interests over institutional interests.  Before proceeding with such an endeavor, the Covered Employee would have to demonstrate that in fact his or her objectivity would not be affected and University interests otherwise would not be damaged and an approved Conflict of Interest Management Plan is in place.

      1. A Covered Employee participating in University research involving a technology owned by or contractually obligated to (by license or an option to license, or otherwise) an enterprise or entity in which the individual or a member of his or her immediate family has a consulting relationship, has an equity or ownership interest, or holds an executive position.
      2. A Covered Employee participating in University research which is funded by a grant or contract from an enterprise or entity in which the individual or a member of his or her immediate family has an equity or ownership interest.
      3. A Covered Employee assigning students, post-doctoral fellows or other trainees to University research projects sponsored by an enterprise or entity in which the individual or a member of his or her immediate family has an equity or ownership interest.
    4. Activities that are not allowable under any circumstances
      1. A Covered Employee making referrals of University business to an external enterprise in which the individual or a member of his or her immediate family has a financial interest.
      2. A Covered Employee associating his or her own name with the University in such a way as to profit financially by trading on the reputation or goodwill of the University.
      3. A Covered Employee making unauthorized use of privileged information acquired in connection with one's University responsibilities.
      4. A Covered Employee signing agreements that assign Institution patent and other intellectual property rights to third parties without prior Institutional approval.
      5. Any activity otherwise prohibited by law or university policy
  2. Federal and State Regulations

    The following resources are established to provide guidance to UNC Constituent Institutions in the establishment of implementing policies for the avoidance of conflicts of interest and conflicts of commitment in the conduct on University responsibilities including teaching, research and service.The Institution may have more stringent financial disclosure requirements. Please refer to the Institution’s conflict of interest policy and confer with the Institution’s designated official(s) to determine the Institution’s disclosure requirements.

    1. Public Health Service/US Department of Health and Human Services

      The Public Health Service (PHS) and the U.S. Department of Health and Human Services issued revised regulations on the “Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought and Responsible Prospective Contractors” (commonly known as the Financial Conflict of Interest (FCOI) regulations) on August 25, 2011.These regulations establish new standards and clarify previously issued standards to be followed by Institutions that apply for or receive research funding from PHS Awarding Components, including the National Institutes of Health (NIH), for grants, cooperative agreements, and research contracts.The 2011 revised regulations were written to increase accountability, add transparency, enhance regulatory compliance and effective Institutional management of Investigator’s financial conflicts of interest, and strengthen PHS’s compliance oversight.The primary goal is to promote objectivity by establishing standards that provide a reasonable expectation that the design, conduct, and reporting of research funded under PHS grants, cooperative agreements, and research contracts will be free from bias resulting from Investigator financial conflicts of interest.

      Institutions must maintain an up-to-date written Conflict of Interest policy, must ensure the policy is enforced and make the policy available via a publically-available website.The institution must inform investigators of their responsibilities regarding disclosure of significant financial interests and the applicable federal regulations.

      The full regulatory citation for the PHS policy is located at the following URL:http://grants.nih.gov/grants/policy/coi/

      1. Required Compliance/Implementation Date

        An Institution applying for or receiving PHS funding from a grant or cooperative agreement must be in compliance with all of the revised regulatory requirements no later than 365 days after publication of the regulation in the Federal Register, i.e., August 24, 2012, and immediately upon making the Institution’s Financial Conflict of Interest policy publicly accessible as described in 42 CFR part 50.604(a).When the Institution posts its Financial Conflict of Interest policy (or, if the institution does not have a current presence on a publicly accessible Web site, makes the policy publicly accessible by written request), it signifies that the Institution applying for or receiving PHS funding from a grant or cooperative agreement that is covered by the 2011 revised regulation is in full compliance with all the regulatory requirements. The Institution must be in compliance with the 2011 revised regulation no later than August 24, 2012.

      2. Applicability of Revised FCOI Regulations (Institutions)

        The regulation is applicable to each Institution that is applying for, or that receives, PHS research funding by means of a grant or cooperative agreement.The revised regulation will apply to each grant or cooperative agreement with an issue date of the Notice of Award that is subsequent to the compliance dates of the final rule (including noncompeting continuations) no later than August 24, 2012 and immediately upon making its Financial Conflict of Interest policy publicly accessible.  Through their policies, however, Institutions may choose to apply the revised regulations to all active PHS awards. The regulation does not apply to Phase I Small Business Innovative Research (SBIR) Small Business Technology Transfer Research (STTR) applications.

      3. Applicability of Revised FCOI Regulations (Investigators)

        The regulation is applicable to each investigator, through implementation of the regulation by the Institution, who is planning to participate in, or is participating in PHS research funded by means of a grant or cooperative agreement.  The term investigator applies to the individual identified as the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the PHS, or proposed for such fundingand may apply to faculty, post-doctoral fellows and graduate students. For purposes of financial disclosure only, the regulation covers the Investigator’s spouse and dependent children. The regulation also applies to those few cases where an individual, rather than an Institution, is applying for or receives PHS research funding. However, in those cases, the PHS will make case-by-case determinations on the steps an Institution or an Investigator must take, consistent with the regulation, to provide a reasonable expectation that the design, conduct, and reporting of the research will be free from bias resulting from a Financial Conflict of Interest of the individual.

      4. Applicability of Revised FCOI Regulation (Subreceipients)

        The revised regulation is applicable to each Institution that applies for or receives PHS funding for research through grants or cooperative agreements and, through the implementation of the regulation by each Institution, to each Investigator planning to participate in, or participating in, such research. A subrecipient relationship is established when federal funds flow down from or through an awardee Institution to another individual or entity and the subrecipient will be conducting a substantive portion of the PHS-funded research project and is accountable to the awardee institution for programmatic outcomes and compliance matters. Accordingly, as a recipient of federal funds from an awardee Institution, the Financial Conflict of Interest regulation applies to subrecipients (e.g., subcontractors or consortium members). See 42 CFR 50.604 (c).The awardee Institution must determine if the Conflict of Interest policy of the awardee Institution or the Subrecipient will apply to the Subrecipient’s investigator(s) and incorporate language into the written agreement that designates the applicable Conflict of Interest policy.

      5. Organizational Structure/Designated Official

        An Institution may administer its policy through whichever office or structure it chooses as long as the policy is applicable to all Investigators and the policy meets all requirements of the regulation. Each institution must designate official(s) to review all financial disclosures by Investigators and determine whether any Significant Financial Interest is related to a PHS-funded research and a Financial Conflict of Interests exists by making a reasonable determination that the Significant Financial Interest could be affected by the PHS-funded research or is in an entity whose financial interest could be affected by the research.

      6. Required Training

        Institutions are expected to develop and implement their Financial Conflict of Interest policies during the 365-day implementation period provided in the 2011 revised regulation. Once the Institution implements and posts their Financial Conflict of Interest policy as required under the final rule, Investigators are expected to then complete required training prior to engaging in PHS-supported research or by the issue date of the Notice of Award issued subsequent to the Institution’s implementation date. NIH has issued a Conflict of Interest tutorial that can be incorporated into campus training programs, which can be accessed from the URL cited at the beginning of section I of the Guidelines.Each Investigator (as defined by the regulation), including subrecipient Investigator(s), must complete training prior to engaging in PHS-funded research and at least every four years, and immediately under specifically designated circumstances:

        1. Institutional Financial Conflict of Interest policies change in a manner that affects Investigator requirements
        2. An Investigator is new to an Institution
        3. An Institution finds that an Investigator is not in compliance with the Institution’s Financial Conflict of Interest policy or management plan.
      7. Disclosure
        1. Institutional responsibilities:
          1. Under the revised FCOI regulation, Significant Financial Interests that are subject to disclosure by an Investigator to an Institution are those that reasonably appear to be related to the Investigator’s ‘‘Institutional responsibilities,” as defined by the Institution. As a result, when read in conjunction with the revised Investigator disclosure requirements under 42 CFR 50.604, the revised Significant Financial Interest definition results in the disclosure by Investigators to Institutions of a wider array of interests on a more frequent basis. In addition to their own, Investigators are required to disclose the Significant Financial Interests of his/her spouse and dependent children.
        2. Monetary threshold:
          1. The Significant Financial Interest de minimis threshold is $5,000 and, in some circumstances monetary thresholds for disclosure may be $0.
          2. The definition also differentiates between remuneration to the Investigator (and the Investigator’s spouse and dependent children) from a publicly traded entity and remuneration from a non-publicly traded entity. With regard to a publicly traded entity, a monetary threshold of $5,000 applies to the aggregated amount of any remuneration received from the entity in the twelve months preceding disclosure and the value of any equity interest as of the date of disclosure. With regard to a non-publicly traded entity, a Significant Financial Interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the Investigator (or the Investigator’s spouse or dependent children) holds any equity interest (e.g., stock, stock option, or other ownership interest).
        3. Timing:
          1. The revised Significant Financial Interest definition applies to any remuneration received from an entity in the twelve months preceding the disclosure. Any Investigator who is planning to participate in PHS-funded research must disclose the Investigator’s Significant Financial Interests no later than the time of application for PHS-funded research.In addition, each such investigator must submit an updated disclosure or Significant Financial Interests within thirty days of discovering or acquiring (such as through purchase, marriage, or inheritance) a new Significant Financial Interest.
        4. Reimbursed or Sponsored Travel:
          1. Investigators must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of the Investigator and not reimbursed to the Investigator so that the exact monetary value may not be readily available), related to the Investigator’s institutional responsibilities. However, the disclosure requirement does not apply to travel that is reimbursed or sponsored by the following:
            1. a federal, state, or local government agency,
            2. an Institution of higher education as defined at 20 U.S.C. 1001(a),
            3. an academic teaching hospital,
            4. a medical center, or
            5. a research institute that is affiliated with an Institution of higher education.
        5. Exclusions:
          1. The revised regulation modifies the types of interests that are specifically excluded from the Significant Financial Interest definition.

            The exclusions are:

            1. salary, royalties, or other remuneration paid by the Institution to the Investigator if the Investigator is currently employed or otherwise appointed by the Institution;
            2. intellectual property rights assigned to the Institution and agreements to share in royalties related to such rights
            3. any ownership interests in the Institution held by the Investigator, if the Institution is a commercial or for-profit organization
            4. income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles;
            5. income from seminars, lectures, or teaching engagements sponsored by a federal, state, or local government agency, an Institution of higher education as defined in 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education;
            6. income from service on advisory committees or review panels for a federal, state, or local government agency, or an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education.
        6. Paid Authorships:
          1. Paid authorships are considered payment for services under the revised regulations and must be disclosed.
      8. Consequences of Investigator Non-Compliance
        1. When an Investigator fails to comply with the Institution’s Financial Conflict of Interest policy or the management plan, the Institution shall within 120 days:
          1. complete a retrospective review of the Investigator’s activities and the PHS-funded research project to determine any bias in the design, conduct or reporting of research;
          2. document the retrospective review consistent with the regulation; and
          3. document the Institution’s determination as to whether any PHS-funded research, or portion thereof, conducted during the period of time of the Investigator’s non-compliance with the Institution’s Financial Conflict of Interest policy or a Financial Conflict of Interest management plan, was biased in the design, conduct, or reporting of such research.
          4. If bias is found, the Institution shall notify the PHS promptly and submit a mitigation report to the PHS that shall address the following:
            1. impact of the bias on the research project and
            2. the Institution’s plan of action or actions taken to eliminate or mitigate the effect of the bias.
          5. Thereafter, the Institution shall submit FCOI reports annually, in accordance with the regulation. Depending on the nature of the Financial Conflict of Interest, an Institution may determine that additional interim measures are necessary with regard to the Investigator’s participation in the PHS-funded research project between the date that the Financial Conflict of Interest is identified and the completion of the Institution’s independent retrospective review, in accordance with 42 CFR 50.605(a)(3) and 42 CFR 50.605(b)(3).
      9. Clinical Research to Evaluate the Safety or Effectiveness of Drug, Medical Device or Treatment

        The revised regulations contain special provisions for Clinical Research.If the HHS determines that an PHS-funded project of clinical research whose purpose is to evaluate the safety or effectiveness of a drug, medical device, or treatment has been designed, conducted, or reported by an Investigator with a conflicting interest that was not managed or reported by the Institution as required by the regulation, the Institution must require the Investigator(s) involved to disclose the Financial Conflict of Interest in each public presentation of the results of the research and to request an addendum to previously published presentations.  Institution’s Financial Conflict of Interest policy may have additional requirements.

      10. Institutional Reporting of Identified Financial Conflicts of Interest to PHS

        Prior to the institution’s expenditure of any funds under a PHS-funded research project, the institution shall provide to the PHS awarding component any Investigator’s significant financial interest found by the Institution to be conflicting and ensure that the institution has implemented a management plan in accordance with the revised regulations. Further, the Institution will provide annual FCOI reports for the duration of the project period.Any FCOI report required under the revised regulations shall include, at a minimum, the following information:

        1. PHS-Funded Research Project Number
        2. Name of the Principal Investigator
        3. Name of the Investigator with the financial conflict of interest
        4. Name of the entity with which the Investigator has a financial conflict of interest
        5. Nature of the financial interest
        6. Value of the financial interest, or a statement if the interest is one whose value cannot be readily determined through to public prices or other reasonable measures of fair market value
        7. Description of how the financial interest relates to the PHS-funded research and the basis for the Institution’s determination that the financial interest conflicts with the research
        8. Description of key elements of the Institution’s management plan, including:
          1. Role and principal duties of the conflicted Investigator in the research project
          2. Conditions of the management plan
          3. How the management plan is designed to safeguard objectivity in the research project
          4. Confirmation of the Investigator’s agreement to the management plan
          5. How the management plan will be monitored
          6. Other information as needed
      11. Public Accessibility of Identified Financial Conflicts of Interest

        Prior to the expenditure of PHS funds on or after August 24, 2012, the institution must ensure public accessibility (via publically-available website or response to written request within five (5) business days of the request) of information concerning significant financial interests disclosed to the institution that are:

        1. Previously disclosed and currently held by Investigators or Senior/Key Personnel;
        2. The significant financial interest is related to PHS-funded research; and
        3. The institution has determined the significant financial interest is a financial conflict of interest

          The information the Institution must make publically-available must be updated at least annually, must be maintained for a period of three years from the last update, and must include the following data elements at a minimum:

          1. Investigator Name
          2. Investigator Title
          3. Investigator role with respect to the research project
          4. Name of the entity in which the significant financial interest is held
          5. Nature of the significant financial interest
          6. Approximate dollar value of the significant financial interest, or a statement if the interest is one whose value cannot be readily determined through to public prices or other reasonable measures of fair market value.
    2. Definitions

      See the notice announcing the availability of new Frequently Asked Questions (FAQs) related to the 2011 revised regulations for a list of definitions at http://grants.nih.gov/grants/policy/coi/.Following are some key definitions:

      1. Senior/Key Personnel means the Project Director/Principal Investigator (PD/PI) and any other person identified as senior/key personnel by the Institution in the grant application, progress report, or any other report submitted to the PHS by the Institution under the regulation.
      2. Investigator means the project director or principal investigator and any other person, regardless of title or position, who is responsible for the design, conduct, or reporting of research funded by the PHS (e.g., NIH), or proposed for such funding, which may include, for example, collaborators or consultants.  Institutions should consider the role, rather than the title, of those involved in research and the degree of independence with which those individuals work.  When the definition of investigator is limited to titles or designations (e.g., to principal investigators, key personnel, faculty) the risk increases that an unidentified FCOI may comprise the research.
      3. Institutional responsibilities are defined by the 2011 revised regulation as an Investigator’s professional responsibilities on behalf of the Institution, and as defined by the Institution in its policy on Financial Conflict of Interest, which may include, for example, activities such as research, research consultation, teaching, professional practice, Institutional committee memberships, and service on panels such as Institutional Review Boards or Data and Safety Monitoring Boards. The Institution can include other professional responsibilities within the definition, as appropriate.
      4. A Financial Conflict of Interest exists when the Institution, through its designated official(s), reasonably determines that an Investigator’s Significant Financial Interest is related to a PHS-funded research project and could directly and significantly affect the design, conduct or reporting of the PHS-funded research.
      5. Significant Financial Interest is defined as follows:
        1. A financial interest consisting of one or more of the following interests of the Investigator (and those of the Investigator’s spouse and dependent children) that reasonably appears to be related to the Investigator’s institutional responsibilities:
          1. With regard to any publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure and the value of any equity interest in the entity as of the date of disclosure, when aggregated, exceeds $5,000.  For purposes of this definition, remuneration includes salary and any payment for services not otherwise identified as salary (e.g., consulting fees, honoraria, paid authorship); equity interest includes any stock, stock option, or other ownership interest, as determined through reference to public prices or other reasonable measures of fair market value;
          2. With regard to any non-publicly traded entity, a significant financial interest exists if the value of any remuneration received from the entity in the twelve months preceding the disclosure, when aggregated, exceeds $5,000, or when the Investigator (or the Investigator’s spouse or dependent children) holds any equity interest (e.g., stock, stock option, or other ownership interest); or
          3. Intellectual property rights and interests (e.g., patents, copyrights), upon receipt of income related to such rights and interests.
        2. Investigators also must disclose the occurrence of any reimbursed or sponsored travel (i.e., that which is paid on behalf of the Investigator and not reimbursed to the Investigator so that the exact monetary value may not be readily available).See Section II, A, 6, (4) above.
        3. The term significant financial interest does not include the following types of financial interests: salary, royalties, or other remuneration paid by the Institution to the Investigator if the Investigator is currently employed or otherwise appointed by the Institution, including intellectual property rights assigned to the Institution and agreements to share in royalties related to such rights; any ownership interest in the Institution held by the Investigator, if the Institution is a commercial or for-profit organization; income from investment vehicles, such as mutual funds and retirement accounts, as long as the Investigator does not directly control the investment decisions made in these vehicles; income from seminars, lectures, or teaching engagements sponsored by a federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education; or income from service on advisory committees or review panels for a federal, state, or local government agency, an Institution of higher education as defined at 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education.”
    3. National Science Foundation

      The full regulatory citation for the National Science Foundation is located at the following URL:http://www.nsf.gov/pubs/manuals/gpm05_131/gpm5.jsp#510

      1. NSF requires each grantee institution employing more than fifty persons to maintain an appropriate written and enforced policy on conflict of interest. Guidance for such policies has been issued by university associations and scientific societies.
      2. An institutional conflict of interest policy should require that each investigator disclose to a responsible representative of the institution all significant financial interests of the investigator (including those of the investigator’s spouse and dependent children) (i) that would reasonably appear to be affected by the research or educational activities funded or proposed for funding by NSF; or (ii) in entities whose financial interests would reasonably appear to be affected by such activities.
      3. The term “investigator” means the principal investigator, co-principal investigators, and any other person at the institution who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for funding by NSF.
      4. The term “significant financial interest” means anything of monetary value, including, but not limited to, salary or other payments for services (e.g., consulting fees or honoraria); equity interest (e.g., stocks, stock options or other ownership interests); and intellectual property rights (e.g., patents, copyrights and royalties from such rights).

        The term does not include:

        1. salary, royalties or other remuneration from the applicant institution;
        2. any ownership interests in the institution, if the institution is an applicant under the Small Business Innovation Research Program or Small Business Technology Transfer Program;
        3. income from seminars, lectures, or teaching engagements sponsored by public or non-profit entities;
        4. income from service on advisory committees or review panels for public or nonprofit entities;
        5. an equity interest that, when aggregated for the investigator and the investigator’s spouse and dependent children, meets both of the following tests: does not exceed $10,000 in value as determined through reference to public prices or other reasonable measures of fair market value, and does not represent more than a 5% ownership interest in any single entity; or
        6. salary, royalties or other payments that, when aggregated for the investigator and the investigator’s spouse and dependent children, are not expected to exceed $10,000 during the twelve month period.
      5. An institutional policy must ensure that investigators have provided all required financial disclosures at the time the proposal is submitted to NSF. It must also require that those financial disclosures are updated during the period of the award, either on an annual basis, or as new reportable significant financial interests are obtained.
      6. An institutional policy must designate one or more persons to review financial disclosures, determine whether a conflict of interest exists, and determine what conditions or restrictions, if any, should be imposed by the institution to manage, reduce or eliminate such conflict of interest. A conflict of interest exists when the reviewer(s) reasonably determines that a significant financial interest could directly and significantly affect the design, conduct, or reporting of NSF-funded research or educational activities.
      7. Examples of conditions or restrictions that might be imposed to manage, reduce or eliminate conflicts of interest include, but are not limited to:
        1. public disclosure of significant financial interests;
        2. monitoring of research by independent reviewers;
        3. modification of the research plan;
        4. disqualification from participation in the portion of the NSF-funded research that would be affected by significant financial interests;
        5. divestiture of significant financial interests; or
        6. severance of relationships that create conflicts.
      8. If the reviewer(s) determines that imposing conditions or restrictions would be either ineffective or inequitable, and that the potential negative impacts that may arise from a significant financial interest are outweighed by interests of scientific progress, technology transfer, or the public health and welfare, then the reviewer(s) may allow the research to go forward without imposing such conditions or restrictions.
        1. The institutional policy must include adequate enforcement mechanisms, and provide for sanctions where appropriate.
        2. The institutional policy must include arrangements for keeping NSF’s Office of the General Counsel appropriately informed if the institution finds that it is unable to satisfactorily manage a conflict of interest.
        3. Institutions must maintain records of all financial disclosures and of all actions taken to resolve conflicts of interest for at least three years beyond the termination or completion of the grant to which they relate, or until the resolution of any NSF action involving those records, whichever is longer.
    4. North Carolina General Statute 138A “State Government Ethics Act”

      The purpose of the “State Government Ethics Act” is to ensure that elected and appointed State agency officials exercise their authority honestly and fairly, free from impropriety, threats, favoritism, and undue influence. To this end, it is the intent of the General Assembly in this Chapter to ensure that standards of ethical conduct and standards regarding conflicts of interest are clearly established for elected and appointed State agency officials, that the State continually educates these officials on matters of ethical conduct and conflicts of interest, that potential and actual conflicts of interests are identified and resolved, and that violations of standards of ethical conduct and conflicts of interest are investigated and properly addressed. (2006‑201, s. 1.)

      The full general status is located at the following URL:

      http://www.ncga.state.nc.us/enactedlegislation/statutes/html/bychapter/chapter_138a.html

    5. North Carolina General Statute 14-234 “Public Officers or Employees Benefiting from Public Contracts”

The purpose of the Public Officers or Employees Benefiting from Public Contracts statute is to ensure the making and administering of public contracts is free of bias, in appropriate influence, conflict of interest and does not result in personal benefit to the public officer or employee.

The full general status is located at the following URL: http://www.ncga.state.nc.us/EnactedLegislation/Statutes/HTML/BySection/Chapter_14/GS_14-234.html

300.2.2[G]: Adopted 06/21/12

300.2.3[R] Regulations Governing Fraudulent Job Applications[1]

300.2.3[R] Regulations Governing Fraudulent Job Applications[1]

The 1987 Session of the North Carolina General Assembly enacted legislation prohibiting the fraudulent disclosure and willful nondisclosure of information relating to applications for State employment (N.C.G.S. § 126-30).The statute authorized the Board of Governors to issue regulations to implement this law for all University employees exempt from the State Personnel Act (Chapter 126 of the North Carolina General Statutes).Pursuant to that mandate, the following regulations are hereby adopted.

  1. Each application form to be used for EPA employment shall contain the following statement to be signed by the applicant:

    North Carolina law requires notice to every applicant for State employment that willfully providing false or misleading information or failing to disclosure relevant information shall be grounds for rejection of an application or later disciplinary action or criminal prosecution. Dismissal from employment shall be mandatory in any case in which a false or misleading representation is made in order to meet position qualifications.The employer is required by law to verify an applicant's representations about credentials and other qualifications relevant to employment.By executing this employment application, you authorize the release to the University of North Carolina of any document or information within the possession of a third party, such as an educational institution or licensure board, that may serve to verify any representations made by you in this employment application.

  2. With respect to EPA employment, each constituent institution shall establish procedures for verifying representations made about credentials and other qualifications pertinent to the position. These procedures shall include the following:
    1. Based upon an examination of the position description, the employer must verify credentials and other information significantly related to job qualifications. "Credentials" may include degrees awarded, professional licenses, professional registrations and professional certifications."Other information" may include prior work or study experience.
    2. A written record of the verification(s) shall be made and maintained in the employee's personnel file.This record shall include the date of verification, the method of verification, the name of the official requesting the verification and the name of person or entity responding to the request, with copies of any documents procured incident to the verification process.
    3. All verifications should be completed within 90 days from the date of initial employment.
  3. With Each constituent institution shall establish sanctions for the willful falsification of credentials or other information significantly related to job qualifications or responsibilities or the willful nondisclosure of information significantly related to job qualifications or responsibilities.These sanctions shall include the following:
    1. Upon discovery of any such falsification or nondisclosure prior to employment, the applicant shall be disqualified from any further consideration for the position in question.
    2. Upon discovery of the falsification or nondisclosure after employment:
      1. If the employee was determined to be qualified and was selected for a position based on false representation about credentials or other requirements for the position, the employee shall be dismissed.
      2. For all other willful falsifications or willful nondisclosures, the discipline imposed shall be based upon the circumstances of each case.Sanctions may include dismissal, demotion, reduction in pay and written reprimand.In determining the level of the sanction to be imposed, the following criteria maybe relevant: sensitivity of the employee's position; effect of the false information on the hiring decision; advantage gained by the employee over other applicants; effect of the false information on the starting salary; and the advantage gained by the employee in subsequent promotion and salary increases.The employee's performance in the position, whether satisfactory or unsatisfactory, should not be considered in determining the level of sanction.
      3. Penalties will be imposed by the university only in accordance with procedural safeguards applicable to disciplinary actions against faculty members, administrators, and other employees, as required by Section 603 of The Code, and by Board of Governors policies applicable to other employees exempt from the State Personnel Act.

[1]Adopted by the Board of Governors as regulations and not policy.

300.2.3[r]: Adopted 02/12/88

300.2.5 Interpreting General Statues § 126-5(c1) (8): Instructional Research and Public Service Staff Exempt from the State Personnel Act

300.2.5 Interpreting General Statues § 126-5(c1) (8): Instructional Research and Public Service Staff Exempt from the State Personnel Act

Please refer to UNC Policy Manual:

300.2.5 [G] – Guidelines on Interpreting General Statute § 126-5(c1) (8): Instructional Research and Public Service Staff Exempt for the State Personnel Act

300.2.5[R] – Regulations on the Application of Guidelines on Interpreting General Statute § 126-5(c1) (8). Instructional Research and Public Service Staff Exempt for the State Personnel Act

300.2.5:

300.2.5.1[R] Regulations on the Application of Guidelines on Interpreting General Statute § 126-5(c1)(8): Instructional and Research Staff Exempt from the State Personnel Act (Guideline #300.2.5[G])

300.2.5.1[R] Regulations on the Application of Guidelines on Interpreting General Statute § 126-5(c1)(8): Instructional and Research Staff Exempt from the State Personnel Act (Guideline #300.2.5[G])

North Carolina General Statute § 126-5(c1) [State Personnel Act] provides that the following employees are exempt from the provisions of this statute:

(8) Instructional and research staff, physicians, and dentists of the University of North Carolina.

The North Carolina Office of State Personnel and the University of North Carolina have agreed to guidelines, (#300.2.5[G]) that govern the interpretation and application of the terms “instructional” and “research” as used in N.C.G.S. § 126-5(c1)(8).

Application of the guidelines on interpreting N.C.G.S. § 126-5(c1)(8) may require a prospective change in the status of a position from EPA (exempt from the State Personnel Act) to SPA (subject to the State Personnel Act) or vice versa.  The incumbent of a position that is subject to a change in status shall have the option of requiring that the change not be made for the duration of his or her continued occupancy of the position.  The incumbent shall be given no less than 15 business days to exercise the option to retain SPA/EPA status after receiving written notice from the employer that the position is subject to a change in status.  Exercise of the option must be confirmed in writing cosigned by the employee and the employer, on a form that shall include a certification that the affected employee either (1) asked for and received or (2) was apprised of but declined the opportunity to receive from a staff representative designated by the employer a written summary of conclusions concerning differences, if any, between SPA and EPA status of the position with respect to:

  1. methods of calculating compensation;
  2. both statutory-mandated and other employer-provided benefits; and
  3. policies and procedures governing non-disciplinary termination of employment; discharge, suspension, demotion or other disciplinary action; and the consideration/resolution of grievances, all as of the effective date of the signed choice of option.

(A sample form is attached as Appendix A)

Once such an option has been chosen, it may not be rescinded thereafter except by mutual written agreement of the employee and the employer.  An incumbent who has chosen the option to maintain the status quo thereafter may not be removed involuntarily from the position for the purpose of effecting a change in the status of the position.  However, when the incumbent who chose that option thereafter vacates the position through resignation, retirement, or discharge for cause, the change in status required by application of the regulations shall be effective immediately.

[This is a rewrite of Administrative Memorandum #364[1].]

Appendix A

Implementation of Employee’s Option to Maintain Current Status

On ____[date]____, I received notice that the status of the employment position I now occupy, _____[specify]_____, is subject to change from _____ [SPA/EPA] to _____ [EPA/SPA].  I understand that I have the option of requiring that the present _____ [EPA or SPA] status of the position not be changed during my continued occupancy of the position.  I understand that if I decide to exercise the option of preserving the present status of the position, that decision is binding on me for as long as I occupy the position, unless my employer and I subsequently agree otherwise in writing.

I have _____ (1) asked for and received or _____ (2) declined the opportunity to receive from a staff representative designated by my employer a written summary of any differences in terms and conditions of employment applicable to the position, depending upon whether its status is SPA or EPA.  [If option (1) is checked, the written summary is set forth in writing in an attachment to this form and should be reviewed before the employee at the appropriate space indicated; if option (2) is checked, the employee may proceed to the appropriate signature line. In either case, the instrument must be co-signed by the employee’s immediate supervisor or by the next higher level administrative officer.]

The attachment indicates differences, if any, between EPA and SPA status with respect to:

  1. methods of calculating compensation
  2. leave entitlement
  3. entitlement to participate in statutory-mandated or other employer-sponsored payroll-deducted benefits; and
  4. policies and procedures governing nondisciplinary termination of employment; discharge, suspension, demotion or other disciplinary action; and the consideration and disposition of grievances.

_____I do wish to exercise my option of retaining the _____ [SPA/EPA] status of the employment position I now occupy.

_____I do not wish to exercise my option of retaining the _____ [SPA/EPA] status of the employment position I now occupy.

Employee signature                                                                        Date

Witnessed by Employer                                                                                Date


[1]The section of Administrative Memorandum #364 related to the interpretation of General Statute § 126-5(c1)(8): Instructional and Research Staff Exempt from the State Personnel Act has been rewritten as Guideline #300.2.5[G].

300.2.5.1[R]: Adopted 10/28/96, Amended 02/18/02

300.2.5[G] Guidelines on Interpreting General Statute § 126-5(c1) (8): Instructional Research and Public Service Staff Exempt from the State Personnel Act

300.2.5[G] Guidelines on Interpreting General Statute § 126-5(c1) (8): Instructional Research and Public Service Staff Exempt from the State Personnel Act

North Carolina General Statute § 126-5(c1) [State Personnel Act] provides that the following employees are exempt from the provisions of this statute:

(8)Instructional and research staff, physicians, and dentists of the University of North Carolina, including the faculty[1] of the North Carolina School of Science and Mathematics.

The Office of State Personnel and the University of North Carolina have agreed that the following shall govern the interpretation and application of the terms “instructional” and “research” as used in N.C.G.S. § 126-5(c1)(8)

  1. Instructional, Research, & Public Service[2] (IRPS)

    EPA non-faculty Instructional, Research, and Public Service positions deliver the core-mission activities of the University: creating and disseminating knowledge through direct instruction, research, and public service; or performing professional-level duties that are integral to and uniquely supportive of that work.The purpose of each such position must be substantially engaged in the regular academic, educational, research, or public-service/extension activities of the University. Such positions require the exercise of professional expertise and discretion in determining the nature and content of the instructional-, educational-, research-, or public-service-related activities, and in evaluating the effectiveness of such activities, and/or involve significant and independent interaction with participants in the University's instructional, educational, research, or public-service programs.

    The ongoing job responsibilities for such positions must:

    1. Engage in or be uniquely supportive of instruction, student success, and/or the direction or coordination of education or academic-supportive activities; AND/OR
    2. Engage in or be uniquely supportive of original scholarship, creativity, or scientific research efforts, and the dissemination of such research/scholarship results (including dissemination through extension/public service).The ongoing job responsibilities must be involved with independent research design, implementation of research procedures, analysis of data, interpretation of research results, and/or dissemination of results through publication or public service; AND/OR
    3. Serve as a staff physician or staff veterinarian (without faculty rank), providing clinical healthcare services to human or animal populations.

Minimum Education and Experience

EPA non-faculty IRPS positions generally require post-baccalaureate credentials (e.g., Master’s degree or higher), although a bachelor’s degree plus alternative or equivalent professional training and experience may be substituted for the advanced degree.It is recognized that in some areas such as information technology, admissions, financial aid, and athletics coaching and athletics management, appropriate qualified candidates may hold baccalaureate rather than advanced degrees.Positions for which post-baccalaureate credentials are not required, or for which specific degrees or certification are required, have education and experience requirements listed.

For purposes of reporting and workforce administration, these positions are subcategorized below. The individual EPA IRPS subcategories below may include example statements of minimum education and experience for positions which would not require a Master’s degree or higher, or where specific degrees/certification/licensure is required.

The following roles represent these characteristics:

Academic Advising & Assessment:

Positions whose primary purpose is to advise students on academic matters such as selection of a major area of study, course selection, and academic performance. Such positions may include individuals who provide student testing and assessment a part of the academic advising process.

Academic Preparation & Enhancement:

Positions whose primary purpose is to improve student academic preparation through such means as tutoring and supplemental instruction, or to direct programs designed that enhance the educational experience of enrolled university students or targeted secondary school students to help prepare them for post-secondary education. This includes positions focused on enhancing the academic preparation of “at risk” student populations.

Academic Standards:

Positions whose primary purpose is to develop and/or administer academic standards, curricula, and degree requirements for degree-granting programs.

Academic / Research IT Management:

Positions whose primary purpose is to direct staff in providing information technology services that directly support the institution's academic or research missions; these are typically individuals at the Director-level within a school-wide, college-wide, or campus-wide role, as well as positions in large, specialized research or clinical centers.Note: This category is not intended for individuals who direct staff members who provide generalized or administrative information technology support that is not directly tied to an academic or research activity of the campus.

Athletics Coaching and Athletics Management:

Positions whose primary purpose is to coach student athletes for teams sponsored by the institution, to serve as trainers to student athletes, as well as senior-level professionals with institutional responsibility for in student-athlete programs in areas of compliance, and major sports operations. Note: would not include equipment & facilities managers, or positions ancillary to an athletics program.

Education and Experience: Minimum of a bachelor's degree required with experience in relevant independent instructional or educational activities; specific minimum experience is at the discretion of the Director of Athletics.

ClinicalAcademicDepartment:

Administrator (CADA) and Research & Academic Department Administrator (RADA):

CADA and RADA positions are intended for administrators of high-complexity, academic health centers or research-focused academic departments and centers within the University system that are engaged in a substantial amount of externally funded research and feature complex, cross-disciplinary research collaborations and partnerships.Departments supervised by CADA/RADA positions would include Human Resources management; Finance and budget; and Sponsored research administration and compliance. Notes: Positions require individual HRAB review and approval regardless of campus delegated authority for EPA classifications.

Education and Experience: Minimum qualifications of an advanced degree (masters or higher) and no less than 5 to 7 years of management-level experience in the full range of administrative and financial functions of an academic department or research center in a higher education, research, or health care setting. Candidates with 7 to 10 years of directly comparable experience may substitute for the required advanced.

Continuing Education:

Positions whose primary purpose is to design and deliver courses, seminars, etc., that extend the institution's regular academic and research activities to non-degree-seeking participants through targeted programs and short courses. This classification is used for instructors of non-credit courses only.

Cooperative Education:

Positions whose primary purpose is to develop cooperative or internship education experiences for students with employers, monitoring student progress and learning, and evaluating student performance.Such positions either have direct impact on grade assignment or are featured as an integral component of institution’s student career services activities.

Counselors:

Positions requiring credentialed professionals whose primary purpose is to provide clinical and developmental counseling or psychological services to students to enhance their psychological growth, emotional well-being, and learning potential.

Education and Experience:Relevant professional degree and licensure in the appropriate clinical field of psychology, social work, or mental health.

Institutional Research & Assessment Management:

Positions whose primary purpose is to direct and manage institution-wide data, metrics and management information about the institution’s students, faculty and staff, enrollment and academic programs, facilities, and related items as required for federal, state, and UNC system reporting.Directly supports the institution's planning and assessment processes. This category may be used for Campus-wide roles or those who direct institutional research and assessment within a large School or College.Note: This is not intended for analysts or other institutional research roles that do not have Director-level responsibility.

Instruction:

Positions whose primary purpose is to determine course content, teach and evaluate enrolled students in courses for academic credit.

Instructional Consulting and Technology:

Positions whose primary purpose is to assist, advise, and critique faculty and other instructional staff on instructional matters such as course content, curriculum structure, and instructional technique, or whose primary purpose is to plan, design, or implement information technology and/or multimedia approaches that directly support instructional delivery. This includes positions involved in transitioning coursework from traditional “face-to-face” delivery to on-line “distance learning” formats. This category is not to be used for individuals who provide routine information technology support within the instructional enterprise.

Laboratory Management:

Positions whose primary purpose is to manage research and experiential laboratories and participate in design and selection of experiments, protocols, and procedures that best support the instructional or research goals and in evaluating progress towards goals.

Professional Librarians:

Positions whose primary purpose is to support the institution’s instructional and research activities by advising students and faculty on the selection and effective use of library resource materials and by working with faculty on instructional and research matters such as collection development.Used for professional librarians without faculty rank.

Education and Experience:Requires the Masters in Library Science (MLS) degree.In specialized libraries, may substitute an advanced degree in the field of specialization (e.g., legal degree for a law library, or a history degree for a special historical collection within the library setting).

Public Service & Extension:

Positions whose primary purpose is to provide the direct delivery of scholarship and research to public audiences and clients and/or to direct staff or programs in the development and administration of such programs, which focus or extend the academic resources and/or research products of the institution on addressing community and regional issues and incorporate community needs in the institution's academic and research programs, including agricultural extension and industrial extension.

Research Administration & Compliance:

Positions whose primary purpose is to direct and administer the programs and staff of major externally-funded research projects; serve as the chief administrative manager and compliance officer for a large academic department or research center with substantial administrative and financial complexity and which derives a significant portion of its operating budget from sponsored research funding sources; or positions that provide executive leadership of sponsored research activities either campus-wide or within a School/College dean’s office.The latter includes individuals who manage project proposals in compliance with the institution’s academic and research policy, provide substantive professional advice on the development of project proposals, and negotiate with sponsoring agencies with regard to the terms and conditions that govern the conduct of sponsor research.Notes: These positions do not include first-level contract and grants developers, grant writers, or administrative support.

Research and Clinical Professionals:

Positions whose primary purpose is to serve as non-faculty principal investigators, research project managers, research scholars, research scientists, or research assistants/associates for primary or secondary research projects that may advance or enhance a field of academic learning; as well as licensed clinicians who deliver research demonstration outcomes or who provide direct clinical services to clients in an academic healthcare environment.

These positions function with substantial independence and expertise in original scholarship, research design, research engineering, implementation of research procedures, data analysis and interpretation of results. Research computing professionals whose principal duties involve the exercise of substantial research independence and creativity in discovering new or emerging technologies may also be considered for this category as distinguished from individuals who are operating or supporting existing, well established information technologies. Note: These positions do not include operational or support related positions.

Education and Experience:Relevant post-Baccalaureate degree required; for candidates demonstrating comparable independent research productivity, will accept a relevant undergraduate degree and 3 or more years of relevant experience in substitution.May require terminal degree and licensure.

Student Support Services:

Positions whose primary purpose is to develop, direct and administer services for students and/or faculty that have a direct impact on the students' educational experiences and/or campus life (e.g., student career services; student life / student housing; student honors programs; student diversity support programs; student conduct; student registration and records).This category also includes student admissions and financial aid positions that exercise decision making authority on behalf of the institution (e.g., admissions officers, financial aid officers) and professional staff who design and deliver programs and instruction that involve direct interaction with students and enhance their academic and learning experiences outside the classroom setting. Note: These positions do not include operational or facility maintenance functions.

Technology Transfer:

Positions whose primary purpose is to manage the flow of research and technology innovation, disclosures, patents, trademarks, copyrights and other aspects of technology transfer. These positions include professional staff members who assess disclosures for technical and commercialization merits; develop relationships with industry or government clients; negotiate business transactions for the exchange of intellectual property rights; collaborate with regional and state economic development agencies; and/or engage in other aspects of technology transfer such as negotiating licensing or equity agreements. These positions also provide outreach services such as training and education to university faculty and students in related activities.

Physicians and Dentists:

While defined separately under NC General Statute 126-5(cl)(8), positions whose required qualifications meeting the licensing standards for Physicians and Dentists in the State of North Carolina will be classified as IRPS.

[This is a rewrite of Administrative Memorandum #364[3]]


*[Supersedes Policy 300.2.5[G] originally entitled “Guidelines on Interpreting General Statute, § 126-5(c1)(8): Instructional and Research Staff Exempt from the State Personnel Act”]

[1]“Faculty” positions at the North Carolina School of Science and Mathematics are those positions which are subject to its Regulations on Faculty Employment.Positions directing staff that qualify as “Faculty” also qualify as “Faculty.”

[2]Positions directing staff that qualify as “Instructional” also qualify as “Instructional.”Positions directing staff that qualify as “Research” also qualify as “Research.”

[3]The section of Administrative Memorandum #364 related to the application of guidelines on interpreting North Carolina General Statute § 126-5(c1)(8): Instructional and Research Staff Exempt from the State Personnel Act has been rewritten as Regulation #300.2.5.1[R].

300.2.5[G]: Adopted 02/18/02, Amended 01/31/04, Amended 07/01/07, Amended 12/19/12*

300.2.6[G] Guidelines on Reassigned Time for Faculty

300.2.6[G] Guidelines on Reassigned Time for Faculty

Faculty members are expected to remain highly competent in their disciplines and to maintain familiarity with recent scholarship.They often need sustained and dedicated periods of time to carry out tasks related to the teaching, research, creative activity, or external activities related to their positions.Reassigned Time for these activities may be supported by state or other funds available from the institution or from external sources.Campuses that provide such opportunities to faculty must have appropriate policies governing the awarding of Reassigned Time, in order to ensure equity in submitting and consistency in approving requests for Reassigned Time.

These guidelines are intended to assist campuses in creating such policies and reflect common practices at UNC and other higher education institutions across the country.Campus policies may vary from these guidelines, since leaves are contingent on the availability of funds at the institution and review and approval procedures need to be consistent with the campus administrative structure.

  1. Eligibility

    Campuses should define the pool of faculty eligible for Reassigned Time.In some cases, untenured faculty may be provided released time during their probationary period; the Reassigned Time policy generally does not apply to faculty with whom hiring agreements have been made that include such released time.

    In general, faculty eligible for Reassigned Time should understand the following expectations:

    1. The faculty member is tenured and full-time at the rank of assistant professor or above.Campuses may consider applications for Reassigned Time from tenure-track faculty members in their last probationary year; if the proposal is approved, the Reassigned Time will be contingent upon the applicant receiving tenure.The University of North Carolina School of the Arts will have a different definition for eligibility because that institution does not award tenure.
    2. The period of Reassigned Time will count as time toward promotion, contract (in the case of NCSA), and post-tenure review.
    3. When applying for Reassigned Time, the faculty member must submit a proposal and the appropriate materials in accordance with campus policies.
    4. Reassigned Time is neither deferred compensation nor an entitlement based upon length of service but is granted on the merits of the individual proposal upon the recommendation of the appropriate committees and administrators.
    5. Faculty on Reassigned Time are eligible for consideration for merit salary increases, promotion, and one-time payments or any other salary adjustments approved by the General Assembly, the Board of Governors, or the institution.
    6. Faculty on Reassigned Time will continue to receive university contributions for the State Health Plan.They will also continue to receive the University’s contributions for the N.C. Teachers’ and State Employees’ Retirement System or the UNC Optional Retirement Program under the conditions outlined in Section VII below.Other benefits may be continued during this period, in accordance with the policy adopted by the campus.
    7. Faculty members on Reassigned Time are expected to devote full-time to the approved project.
    8. If circumstances require that a substantial change be made in the project after it has been approved, the faculty member should obtain approval of the changes in accordance with campus procedures.
  2. Duration and Compensation

    Campuses should develop guidelines that include the duration and compensation for periods of Reassigned Time.

    1. Duration

      Faculty will generally be awarded Reassigned Time for either one or two semesters for 9-month academic-year appointments or for six or twelve months for 12-month appointments.(UNCSA may have a different schedule.)

    2. Compensation

      Campus policies on compensation for Reassigned Time may vary depending on availability of funds.In general, faculty will be granted leave for a full academic year or for twelve-months for no less than 50% of the annual salary or leave for one semester or six months for full salary.Campuses may decide to award only academic year or calendar -year leaves if funds are not available for single semester or six month leaves.Faculty awarded Reassigned Time are expected to work full-time on their approved project.

      Salary funds released by Reassigned Time appointments should be aggregated at the appropriate level (college or institution) to be used for replacement faculty as necessary.The source of funds for replacement needs to be determined prior to approval of the Reassigned Time.

  3. Supplemental Pay

    Campuses should develop guidelines addressing the salary and other compensation faculty may receive from the institution and from other sources during the period of Reassigned Time.

    1. In some cases, faculty may be receiving partial salary from an external source.In these cases, the faculty member’s total salary should not exceed the approved annual salary for the period of Reassigned Time, not including funds awarded to cover living expenses and travel for Reassigned Time spent away from campus as well as secretarial assistance, research, publication, and other expenses related to the approved project.
    2. Compensation for salary and expenses from all sources should be addressed in the proposal and approved before the leave is granted.If the amount or source of compensation changes, this change should be approved by the appropriate administrators through the External Professional Activities for Pay policy (see 300.2).A person on Reassigned Time may not receive supplemental salary funds through the university.
  4. University Obligations and Return to Service
    1. Faculty on Reassigned Time should agree to take leave or resign from campus obligations such as department, college, and campus committees during the time of the Reassigned Time.However, faculty may be expected to maintain contact with graduate advisees or to make other arrangements to ensure that students’ progress will not be disrupted.Faculty may also participate in the department faculty evaluation process (for annual reviews or hiring) if the department bylaws provide this opportunity.
    2. Campus policies must include a provision for continuing service to the institution following the end of the Reassigned Time period.Faculty who receive Reassigned Time should be required to return to service at the university or be required to repay the salary received during the period of leave.Typically, such policies require that faculty return to the university for twice the period of the Reassigned Time that was grantedFor example, a 9-month faculty member who was granted Reassigned Time with full pay for one academic semester, at the end of the Reassigned Time period, might be expected to return to work with that campus for a minimum of two semesters or he or she will be required to repay the salary received during the Reassigned Time period.
    3. The N.C. Teachers’ and State Employees’ Retirement System requires that employees on approved leave of absence for educational purposes return to service as a contributing member for at least three years; otherwise, service credit earned during leave of absence will be cancelled. (See Section VII, “Benefits Continuation.”)
    4. A faculty member on Reassigned Time who accepts a position at another post-secondary institution or any other paid employment that was not included in the proposal or approved through the External Professional Activities for Pay policy (see 300.2.2) will be considered to have abandoned his or her contract and should be terminated.
  5. Report

    Campus policies should include a provision for reporting on the outcomes of the Reassigned Time.This could include a report required at the end of the first semester following the leave that addresses the accomplishment of the purposes stated in the application for Reassigned Time. Campuses may wish to require a public forum or presentation following the Reassigned Time.If a faculty member fails to submit the required report, he or she should not be considered for subsequent Reassigned Time.Campuses may determine additional consequences in such cases.

  6. Further Service and Subsequent Reassigned Time

    Campuses should establish a defined period of time before faculty members are eligible to apply for additional Reassigned Time.Typically, six years of further service is required before a faculty member is eligible to apply for another leave.Leaves of absence without pay not exceeding one year may be counted as service toward eligibility for additional Reassigned Time if the leave of absence without pay is related to scholarly responsibilities.

  7. Benefits Continuation
    1. Retirement.
      1. N.C. Teachers’ and State Employees’ Retirement System (TSERS)

        For faculty who are on Reassigned Time, this period will be considered as an approved leave of absence for educational purposes.

        During the Reassigned Time with full pay, the University will continue making the employer contribution to TSERS and the faculty member will continue making his or her pre-tax contribution to TSERS through payroll deduction.

        During the Reassigned Time with partial pay, if the faculty member wishes to continue making his or her retirement contribution, the University will continue making the employer contribution.The employer and employee contributions are based on the faculty member’s base rate of pay in effect immediately preceding the reassignment.The faculty member’s contribution shall be on an after-tax basis and monthly payment must be made timely by the faculty member, by personal payment, to the campus human resources/benefits office, for transmission to the State Retirement System.

        In accordance with State law, if a faculty member is on an approved leave of absence for educational purposes with partial pay, service credit may be purchased if retirement contributions are paid by the 15th of the month following the month for which service credit is allowed.If contributions are not made by the 15th of the month, a penalty of 1% of the combined employer and employee contributions per month shall be assessed by the Retirement System.In addition, unless the faculty member returns to service as a contributing member within 12 months after completion of his or her educational program and contributes to the Retirement System for at least three more years (except in the event of death or disability), contributions will be refunded and the service credits canceled.Regardless of when the educational program was completed, the maximum allowable credit for educational leave or interrupted service for education purposes is six years over the course of one’s career.

        In advance of the Reassigned Time, a letter must be sent to TSERS by the campus human resources/benefits office requesting permission for the faculty member to continue his or her retirement contributions while on Reassigned Time, along with an “Application to Purchase Service Credits for Educational Leave or Interrupted Service for Educational Purposes,” Form 263.This form is available on the TSERS website.

        NOTE:Coverage under the State’s Disability Income Plan and the Death Benefit will continue for eligible members of TSERS during the Reassigned Time period.

      2. UNC Optional Retirement Program

        If a faculty member participates in the UNC Optional Retirement Program (ORP), the same procedures as outlined above for TSERS members apply, including the six year maximum allowable credit limit. (See TSERS discussion above).However, employer and employee contributions are payable to the appropriate ORP carrier instead of to the Retirement System.Please note that a letter requesting permission for the faculty member to continue making contributions to the ORP must be submitted by the campus human resources/benefits office to the State Retirement System in advance of the Reassigned Time so that the six year maximum allowable credit limit can be tracked.At the present time, the ORP does not track whether a faculty member who takes a leave of absence for educational purposes at less than full pay returns to work for at least three years.

        NOTE:Coverage under the State’s Disability Income Plan will continue for eligible participants of the ORP during the Reassigned Time period.

    2. State Health Plan

      A faculty member who is on Reassigned Time is eligible and should continue to receive the University’s contribution for State Health Plan coverage, whether on full pay or partial pay.The employee’s contributions for dependents’ coverage will continue to be payroll deducted from the faculty member’s paycheck on a before-tax basis.

    3. Other Benefits

      A faculty member should contact his or her campus human resources/benefits office for information about continuation of other benefits while on Reassigned Time.

  8. Application Process
    1. The college/institution should have a uniform application process which may include the following information, depending on the project:

      Curriculum vitae

      Description of the project

      Expectations for supplemental funding for expenses and/or salary

      Invitations to other institutions, award letters for fellowships, or other supporting documentation

      Potential enhancement of the faculty member’s effectiveness in teaching, scholarship, or service

      Potential value to the teaching, scholarship, or service program of the department

      Contribution to knowledge in the field of study

      Value to public or professional service at the institutional, state, or national level

      Expected outcomes, e.g., book, article, creative expression, new academic or outreach program.

    2. Written information on the application process and deadlines for applications should be disseminated to all eligible faculty members, through a faculty manual or other accessible documents.
    3. In general, applications should be evaluated in writing by no fewer than three persons, within or external to the department or university, who are competent to judge the proposal.
    4. On most campuses, the dean will be responsible for approving or denying applications, although campuses may choose to have final approval by the Chief Academic Officer.
    5. Campuses must identify an appropriate appeal process if a proposal is denied.
    6. Department administrators must assure the dean or Chief Academic Officer that teaching and advising in the department will be maintained during the faculty member’s absence.
    7. Decisions about granting Reassigned Time must be made with a clear understanding of the source of funds to maintain the instructional expectations of the department.
    8. Deans should be responsible for providing the Chief Academic Officer with a list of applications and results of the process annually.
300.2.6[G]: Adopted 05/30/06

300.2.7[R] Regulation on Recruitment of Employees from Other Campuses Within the University of North Carolina

300.2.7[R] Regulation on Recruitment of Employees from Other Campuses Within the University of North Carolina

Each campus of the University of North Carolina is challenged to obtain employees with the knowledge, skills and abilities needed to accomplish the strategic goals of a campus, department or work unit.  In some instances, the person best suited for a position on one campus is currently employed at another campus of the University. In those instances, it is the obligation of those involved in the consideration of an intercampus recruiting decision to balance the welfare of the University as a whole, the wishes of the particular appointee, and the effect the decision will have on the two institutions directly concerned. In competing for talented people each campus is expected to adhere to human resource practices that meet generally accepted ethical standards. This regulation amends and replaces Administrative Memorandum Number 6 issued November 1, 1972.

  1. Coverage

    This regulation applies to any decision of a recruiting UNC campus or entity to employ a full-time, permanent EPA employee who is, at the time of selection, with another UNC campus or entity.

    The terms of this regulation apply as regulations for the recruitment of covered[1] persons who are members of the faculty or in an instructional or research position at another campus of the University of North Carolina.[2]

    The term UNC campus or entity refers to the sixteen constituent institutions of the University of North Carolina as well as the Office of the President and entities affiliated with the UNC General Administration.

  2. Regulation

Prior to making a formal written offer of appointment to an intended employee, the hiring campus shall give notice of intent to the campus at which the appointee is currently employed.   The notice from the hiring campus shall be provided by the Vice Chancellor supervising the programmatic area making the offer.[3]The notice to the campus at which the appointee is currently employed shall be provided to the Vice Chancellor supervising the programmatic area in which the employee is assigned.[4]

The recruiting campus may, simultaneously with notifying the campus at which the appointee is currently employed, tender an offer to the candidate. The campus at which the appointee is currently employed may, within five days of the notice, request the terms of the offer. If a request for terms is not made within the five-day period, then after that time, the recruiting campus may finalize a contract. In the event that the campus at which the appointee is currently employed requests the terms of the offer, the recruiting campus shall send the information outlined in paragraph 4 below. The recruiting campus may not finalize a contract until 5 (five) days after receipt of the terms of the offer by the currently employing campus.

No offer of appointment covered by this regulation shall be made within 90 days of the commencement of the academic semester in which service is to begin unless mutually agreed upon by authorized campus officials.

The information provided to the currently employing campus must include any and all recruiting inducements, financial or otherwise and regardless of fund source, the proposed salary, stipends, summer salary, appointment to an endowed chair, teaching responsibilities, start-up funds and other recruitment incentives.

In response to the offer, the campus at which the appointee is currently employed may make an equivalent counter offer to that of the recruiting campus.  Neither campus shall engage in negotiations that might result in a “bidding war” between UNC campuses. In instances in which more than one campus or entity of the UNC system, along with external employers, have extended an offer either campus or entity may compete with the external offer and the other UNC campus may match the offer of the UNC campus or entity.

If, in conjunction with an intercampus recruiting decision covered by the regulation in this section, an appointee who is a principal investigator or co-investigator under an extramurally funded contract or grant wishes to transfer the contract or grant or any part of the equipment funded thereby to the campus to which the appointee is transferring, the matter must be discussed at the earliest possible opportunity with the contract and grant administrator at the hiring campus.  Such transfer of contract or grant or equipment may be accomplished only after approval by both Chancellors concerned and in accordance with University rules for contract and grant administration and the rules of the granting agency.

If there is a question regarding the application of this regulation, the Senior Vice President for Academic Affairs in the Office of the President will provide an interpretation.


[1]“Covered persons” means a full-time, permanent EPA employee at another UNC campus or entity.

[2]The terms of this regulation are guidance in the recruitment of full-time permanent EPA employees at another campus of the University of North Carolina who hold an EPA position other than as a member of the faculty or as an EPA member of the instructional or research staff. 

[3]In some cases positions being recruited for or the employee being recruited report to a Chancellor. In those cases, the recruiting Chancellor shall be responsible to provide the Chancellor at the employing institution the notice required by this regulation.

4Any campus may designate other officials to provide or receive the required notice. Notwithstanding such a designation, a recruiting campus is deemed to have provided the required notice once it has transmitted notice to the appropriate Vice Chancellor or, when appropriate, the Chancellor.  

300.2.7[R]: Adopted 11/01/72, Amended 10/18/01

300.2.8 Faculty Military Leave

300.2.8 Faculty Military Leave

The Uniformed Services Employment and Reemployment Rights Act (USERRA) of 1994 and North Carolina General Statute 127A-116 specify the employment and reinstatement rights of employees called to involuntary active duty in the Uniformed Services.This policy implements those statutes for faculty of the University of North Carolina.Each constituent institution shall adopt policies and regulations in accordance with federal and state law and consistent with this policy.

  1. Definition of Faculty:As used in this policy, “faculty” means faculty who are appointed for nine months or more and work halftime (50% FTE) or more and who are not covered under the “Senior Academic and Administrative Officer” policy or the policy on “Employees Exempt from the State Personnel Act.”
  2. Salary:In accordance with federal and state laws, the University of North Carolina Board of Governors directs that for each period of involuntary service, a faculty member who is involuntary called to State or Federal active military duty shall receive up to 30 calendar days of pay.For periods in excess of 30 days, the faculty member shall be entitled to receive differential pay for any period of involuntary service.Differential pay is the difference between military basic pay and the faculty member’s regular university earnings for that period of time, if military pay is the lesser.If a faculty member is subject to a term contract, the pay or differential will be limited to the term of the contract.

    Upon return to the University, the faculty member’s salary shall be reinstated and shall include cost-of-living adjustments (if any) that were awarded while the faculty member was on military leave.Merit pay shall also be awarded upon reinstatement if the faculty member received a performance evaluation for at least one semester during the academic year and would have otherwise been eligible to receive a merit increase.

  3. Benefits:During the period of active military duty, whether receiving full pay, differential pay or no pay from the university, a faculty member shall not incur any loss of benefits accorded to other faculty who are on a leave of absence.A faculty member covered under campus annual and sick leave policies shall continue to accumulate annual and sick leave during the period of active duty for use upon return to the University.
  4. Reappointment, tenure and promotion:In advance of leaving work to perform military duty, a faculty member may initiate a request, consistent with campus policy, for an extension of the time during which an institutional decision must be made regarding reappointment, tenure or promotion.
  5. Other types of military leave:For faculty, campus policies should be consistent with the military leave policy for employees subject to the State Personnel Act providing for:
    1. up to a maximum of 120 hours of military leave with pay each Federal fiscal year (October – September) for members of the uniformed services for active duty training and inactive duty training;
    2. up to a maximum of 120 hours of military leave with pay during any calendar year, for members of the Civil Air Patrol while performing missions or encampments for the U.S. Air Force or emergency missions for the State at the request of the Governor or the Secretary, Department of Crime Control and Public Safety;
    3. up to 120 hours of military leave with pay during any calendar year for members of the State Defense Militia when called up by the Governor for infrequent special activities in the interest of the State, usually not exceeding one day, and State duty for missions related to disasters, search and rescue, etc;
    4. military leave with pay for a required physical examination relating to membership in the uniformed services.
    5. military leave without pay for all uniformed service duty that is not covered by military leave with pay.
  6. Notice:Institutions must ensure that all faculty members receive information about their rights under this policy and USERRA.

Effective date:This policy shall take effect upon adoption by the Board of Governors and shall apply to any faculty member called into active military duty status beginning September 1, 2001.

300.2.8: Adopted 10/12/01, Replaced 03/21/03

300.2.9[R] Regulation on Interpreting the Special Annual Leave Bonus Appropriations Act Provisions

300.2.9[R] Regulation on Interpreting the Special Annual Leave Bonus Appropriations Act Provisions

  1. Purpose. This regulation provides the process for implementing special annual leave bonus (''bonus leave'') as appropriated by the General Assembly of North Carolina and in accordance with the State Budget Act, Chapter 143C of the North Carolina General Statutes.Summaries of the relevant Appropriations Act provisions applicable to bonus leave covered by this regulation are provided in Appendix A of this regulation.
  2. Eligibility.This regulation shall apply to the following university employees:
    1. Senior academic and administrative officers as defined in Section 300.1.1 of the UNC Policy Manual.
    2. Employees exempt from the State Human Resources Act (EHRA) as defined in Section 300.2.1 of the UNC Policy Manual.
    3. The provisions of this regulation shall also apply to EHRA faculty who are eligible for annual leave unless a constituent institution adopts an alternative policy that complies with the relevant legislative provisions.
  3. Scheduling Bonus Leave
    1. Bonus leave shall be taken consistent with the leave-approval process adopted or utilized by the constituent institution.
    2. Bonus leave may be used for any purpose for which regular annual leave is used.
    3. Bonus leave shall be charged in units of time consistent with regular annual leave guidelines.
    4. The employee shall determine whether to charge approved leave to regular annual leave or bonus leave.
  4. Accounting for Bonus Leave
    1. Bonus leave shall be accounted for separately from regularly earned annual leave, but together with all of the bonus leave awarded under the statutory provisions referenced in Appendix
    2. Any balance of bonus leave at the end of the reporting year will be retained by the employee and transferred into the next year, unless the legislation requires otherwise as noted in Appendix A.It will not be considered as part of the maximum 30 days of annual leave that can be retained.
    3. Bonus leave will not be subject to conversion to sick leave.
    4. Bonus leave may be applied to negative balances of regular earned leave as authorized by the constituent institution’s leave policies.
    5. Bonus leave is available to be donated as annual leave under the Voluntary Shared Leave provisions, unless the legislation requires otherwise as noted in Appendix A.
  5. Transfer.Any balance of bonus leave will be transferred with the employee who transfers within the UNC System or to another state agency eligible for bonus leave, regardless of a constituent institution’s policies regarding the transfer of leave.
  6. Separation/Status Change.Bonus-leave balance will be paid in addition to regular annual leave if the employee leaves state government or changes to a non-leave earning status, unless the legislation requires otherwise as noted in Appendix A.
  7. Other Matters
    1. Effective Date. The requirements of this regulation shall be effective on the date of adoption of this regulation by the president.
    2. Relation to Federal and State Laws and Policies. The foregoing regulation as adopted by the president is meant to supplement, and does not purport to supplant or modify, those statutory enactments, regulations, and policies which may govern or relate to the subject matter of this regul

Appendix A

  1. 2002 Appropriations Act, Part XXVII, Salaries and Employee Benefits, Section 28.3A.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of September 30, 2002, shall receive 10 days as an annual bonus, hereafter referred to as “bonus leave.”This includes employees separating on September 30, 2002.
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the 10 days.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the 10 days.
    4. Employees on leave without pay shall be credited with the 10 days upon their return based on their type of appointment at the time of leave without pay.
  2. 2003 Appropriations Act, Part XXX., Salaries and Employee Benefits, Section 30.12B.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of July 1, 2003, shall receive 10 days as an Annual Bonus, hereafter referred to as “bonus leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the 10 days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the 10 days.
    4. Employees on leave without pay shall be credited with the 10 days upon their return based on their type of appointment at the time of leave without pay.
  3. 2005 Appropriations Act, Part XXIX., Salaries and Employee Benefits, Section 29.14A.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of September 1, 2005, shall receive five days as an Annual Bonus, hereafter referred to as “bonus leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the five days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the five days.
    4. Employees on leave without pay shall be credited with the five days upon their return based on their type of appointment at the time of leave without pay.
  4. 2012 Appropriations Act Technical Corrections, Part V1-B, Salaries and Benefits, Section 6B.1.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of July 1, 2012, shall receive five days as an annual bonus, hereafter referred to as “FY 13 Leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the five days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the five days.
    4. Employees on leave without pay shall be credited with the five days upon their return based on their type of appointment at the time of leave without pay.
    5. The leave must be used by June 30, 2013, or it will be forfeited.It cannot be donated as Voluntary Shared Leave and cannot be paid out upon termination, except in the case of a separation due to retirement.
  5. 2013 Appropriations Act, Part XXX, Salaries and Benefits, Section 35.10C.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of July 1, 2013, shall receive five days as an annual bonus, hereafter referred to as “FY14 Leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the five days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the five days.
    4. Employees on leave without pay shall be credited with the five days upon their return based on their type of appointment at the time of leave without pay.
    5. The leave must be used by June 30, 2014, or it will be forfeited.It cannot be donated as Voluntary Shared Leave and cannot be paid out upon termination, except in the case of a separation due to retirement.
  6. 2014 Appropriations Act, Part XXXV., Salaries and Benefits, Section 35.10A.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of September 1, 2014, shall receive five days as an annual bonus, hereafter referred to as “bonus leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the five days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the five days.
    4. Employees on leave without pay shall be credited with the five days upon their return based on their type of appointment at the time of leave without pay.
  7. 2017 Appropriations Act, Part XXXV., Salaries and Benefits, Section 35.18A.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of July 1, 2017, shall receive three days as an annual bonus, hereafter referred to as “FY18.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the three days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the three days.
    4. Employees on leave without pay shall be credited with the three days upon their return based on their type of appointment at the time of leave without pay.
    5. The leave does not expire, but shall remain available during the length of an employee’s employment.It cannot be donated as Voluntary Shared Leave and cannot be paid out upon termination or retirement.
  8. 2018 Appropriations Act, Part XXXV., Salaries and Benefits, Section 35.26.Provisions and eligibility:
    1. Permanent full-time university employees who are eligible for annual leave as of July 1, 2018, shall receive five days as an annual bonus, hereafter referred to as “bonus leave.”
    2. Full-time employees who are eligible for annual leave and who have other than 12-month appointments shall receive a pro rata amount of the five days, based on the term of the appointment.
    3. Permanent part-time employees (half-time or more) who are eligible for annual leave shall receive a pro rata amount of the five days.
    4. Employees on leave without pay shall be credited with the five days upon their return based on their type of appointment at the time of leave without pay.
    5. The leave does not expire, but shall remain available during the length of an employee’s employment.It cannot be donated as Voluntary Shared Leave and cannot be paid out upon termination or retirement.
    6. Any vacation leave remaining on December 31 of each year in excess of 30 days shall be reduced by the number of days awarded during the year, such that the calculation of annual (vacation) leave days that would have normally converted to sick leave, shall reflect a deduction of those days of special annual leave bonus awarded that were used by the employee during the year.
    7. The number of special annual leave bonus days that carry forward each year shall equal the number of special annual leave bonus days remaining on December 31 of each year, plus the number of special annual leave bonus days that were deducted from vacation leave in excess of 30 days that would have normally converted to sick leave (S.L. 2018-145).

*Supersedes Section 300.2.9[R], originally adopted August 12, 2005, and last amended September 2, 2014.

The UNC Policy Manual: 300.2.9[R], Adopted 08/12/05, Amended 09/02/14, Amended 11/14/18*, Amended 02/14/19

300.2.10 Faculty Community Service Leave

300.2.10 Faculty Community Service Leave

In recognition of the State’s diverse needs for volunteers to support schools, communities, citizens, and non-profit charitable corporations, each constituent institution shall establish a program for awarding Community Service leave to faculty, with appropriate policies, rules, procedures and criteria for the administration and reporting of such leave, subject to the bas