POL 05.15.01 – Exempt Professional Staff (EPS) Employees Policy

Authority: Board of Trustees

History: First Issued: May 22, 1981. Last Revised: November 22, 2024.

Related Policies:

UNC Policy Manual Chapter 300 – Personnel Policies
UNC Policy 300.1.1 – Policy on Employees Exempt from the North Carolina Human Resources Act
UNC Policy Manual 300.1.1[R] – Discharge for Stated Cause for Non-Faculty Employees Exempt from the North Carolina Human Resources Act
UNC Policy Manual 600/3.4[R] – Delegations of Authority and Granting of Management Flexibility on Human Resources Matters
NCSU POL 04.20.06 – Interpersonal Relationships among Faculty, Staff and Students
NCSU POL 05.20.02 – Emeritus/Emerita Status for Faculty and Senior Administrators
NCSU POL 05.25.03 – Review and Appeal Processes for EHRA Non-Faculty Employees
NCSU REG 01.20.01 – Delegations of Authority to Appoint and to Determine Compensation for Employees Exempt from the State Human Resources Act (EHRA)

Additional References: 

Contact Info: Associate Vice Chancellor for Human Resources (919-515-3443)

1. INTRODUCTION

Positions Exempt from the State Human Resources Act (EHRA positions) are those positions that are not subject to the North Carolina Human Resources Act (N.C.G.S. § 126-1 et seq) and are classified in one of three categories: 1) Senior Academic and Administrative Officer (SAAO), 2) Faculty, or 3) Exempt Professional Staff (EPS).

This policy provides for the general employment policies applicable to EPS employees at North Carolina State University (NC State).  Employment policies for other categories of EHRA employees are listed below.

1.1 SAAO

SAAO employees include the chancellor, vice chancellors, provost, deans, and directors of major administrative, educational, research and public services activities designated by the Board of Governors.  SAAO employees are covered by Section II of UNC Policy Manual 300.1.1.

1.2 Faculty

Faculty are employees covered by NCSU POL 05.20.01 – Appointment, Reappointment, Promotion and Permanent Tenure for faculty who are tenured or on the tenure track, and NCSU REG 05.20.34 – Professional Faculty Ranks and Appointments  for faculty on professional tracks.

1.3 EPS Employees

EPS are employees who are not subject to the North Carolina Human Resources Act (Chapter 126 of the North Carolina General Statutes) and who are not: (1) faculty subject to institutional tenure regulations; (2) employees within administrative categories of employment subject to N.C.G.S. § 116-11(4), N.C.G.S. §116-11(5), or N.C.G.S. § 116-14; (3) positions within the “physicians or dentists” category under N.C.G.S. § 126-5; and (4) University students or postdocs who are employed incident to their status as students or postdocs, as in graduate teaching assistantships or work-study positions or (5) employees of the North Carolina Cooperative Extension Service (see N.C.G.S. § 126-5(c1)(9a). EPS employees include but are not limited to associate and assistant vice chancellors; associate and assistant deans; academic department heads; and other administrative positions that have been designated and approved by the president.

This category excludes temporary employees including but not limited to university students who are employed incident to their status as students (as in graduate teaching assistantships), Post Docs, House Officers, or work-study positions.  Postdoctoral scholars are covered by NCSU REG10.10.08 – Postdoctoral Scholars and House Officers are covered by NCSU REG 05.20.36 – College of Veterinary Medicine (CVM) House Officers.

2. APPOINTMENT TO EPS POSITIONS

2.1 Method of Appointment

Every appointment to an EPS position shall be made by the chancellor or chancellor’s designee by means of a letter of appointment that indicated the following:

a) the employment is either for a fixed term, is “at-will” (subject to discontinuation at the discretion of the chancellor) or is a commissioned police officer subject to discharge procedures as provided herein);

b) the salary, benefits, applicable provisions for the separation of employment, including any separation payment and retreat rights;

c) any funding contingencies applicable to the position;

d) Notice that the employment is subject to UNC Policy 300.1.1 as well as this policy as originally adopted and as may be periodically revised; and

e) any other terms of employment the chancellor or designee agrees to, consistent with applicable policies and regulations.

A copy of the institutional policies shall be attached to the letter of appointment or accessible through links within the letter.

2.2 Funding Contingencies

When an EPS 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 1) continuation of the employee’s service in that position is contingent upon the continuing availability of funds from such other sources to support that position, 2) specify the source of such funds, and 3) that the effect of such contingency may apply without any notice required for separation, provided that the affected employee shall be informed at the earliest practicable date of the occurrence of such a funding contingency.

2.3 Employees Covered by More than One Employment Policy

When an EPS employee 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 appointments provide different conditions of employment, one position shall be designated the primary appointment to determine the conditions of employment and the rights and responsibilities of the employee.

2.3.1 If appointment to a position covered by this policy occurs after an appointment to a position not covered by this policy, the letter of appointment to the position covered by this policy shall constitute the required designation of primary appointment; 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 constitute the required designation of primary appointment. In either case, the designation of primary appointment shall specifically describe the different rights, duties, and compensation for each position and the relationship, if any, between the two positions.

2.3.2 Any funding contingency 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.

2.4 Terms of Appointment/Subsequent Appointments

2.4.1  “At-will” appointment:  An appointment may be designated as employment “at will” subject to continuation or discontinuation at the discretion of the chancellor or chancellor’s designee.  Such an appointment is for an indefinite term and does not purport to confer a property interest in employment.  When an “at-will” position is not expected to continue indefinitely (e.g., due to finite programmatic or funding constraints, an interim appointment, etc.), the appointment should be designated as “at-will” for a period “not to exceed” an anticipated ending period.

Initial appointments and any subsequent appointment(s) for EPS positions should be “at will.”  In exceptional circumstances, with Human Resources endorsement and executive officer approval, EPS positions may be appointed to a “fixed term.”

2.4.2 Fixed-term appointment:  An initial fixed-term appointment and any subsequent fixed-term appointment(s) for a permanent EPS non-faculty position may not exceed a period over five (5) years.

2.4.3  A fixed-term appointment may be converted to an “at will” appointment at the end of a fixed-term.  An “at will” appointment may be converted to a fixed-term appointment at any time.

2.4.4 Visiting Appointments

Any EPS position designated as a visiting appointment and any subsequent appointment(s) in a visiting EPS position shall be for a period of no more than two (2) years.  If the visiting appointment is funded in whole or substantial part from sources other than continuing State budget funds or permanent trust accounts, the letter of appointment shall include the funding contingency set forth in section 2.2.

3. SEPARATIONS FROM EMPLOYMENT

3.1 Discontinuation of “At-Will” Appointment

The Chancellor (or designee) has the discretion to discontinue the “at-will” employment of an EPS employee for any reason so long as the reason is not unlawful.  A discontinuation under this section is not considered to be disciplinary and is distinguished from a discharge for cause (see below). Any discontinuation shall be subject to advance notice of discontinuation and/or receipt of a lump sum separation payment.  At the Chancellor’s discretion (or that of the designee), the notice may be a working notice or covered by paid administrative leave.

For Employees Hired Prior to July 1, 2024
The Chancellor or the Chancellor’s designee may provide the employee with a combination of notice and separation pay that totals the respective required number of days. The determination of whether the employee shall receive notice of discontinuation of the appointment, receive separation pay in lieu of notice, or a combination of the two shall be in the sole discretion of the Chancellor (or designee).

a) during the first year of service, not less than thirty (30) calendar days’ notice prior to discontinuation of employment or the payment of a lump sum separation payment equivalent to thirty (30) calendar days of pay;

b) during the second and third years of service, not less than sixty (60) calendar days’ notice prior to discontinuation of employment or payment of a lump sum separation payment equivalent to sixty (60) calendar days of pay; and

c) during the fourth and all subsequent years of service, not less than ninety (90) calendar days’ notice prior to discontinuation of employment or the payment of a lump sum separation payment equivalent to ninety (90) calendar days of pay.

For Employees Hired on or After July 1, 2024
The Chancellor (or designee) shall provide advance timely notice of discontinuation at least thirty (30) calendar days prior to the date of discontinuation.

In addition to the thirty (30) days’ notice provided above, the chancellor or designee may offer the employee a lump sum separation payment which shall be in exchange for an executed release of any and all claims, to the extent permitted by law, against the University through the date of discontinuation. Such a lump sum separation payment for an employee shall not exceed sixty (60) calendar days of pay. An offer of a separation payment is not a right of choice for the employee, but rather an option exercised in the sole discretion of the Chancellor (or designee).

3.2 Expiration of a Fixed-Term Appointment

Employment within an EPS position for a fixed term expires automatically at the end of the stated term without the requirement of any advance notice.  Such an appointment may be renewed or extended at the sole discretion of the university.  While there is no obligation to provide notice of a fixed term appointment renewal (or non-renewal), the university may make reasonable efforts to provide at least thirty (30) calendar days’ notice of a renewal (or non-renewal).

3.3.   Discharge for Cause

An EPS employee may be discharged for cause (for commissioned police officers, see section 3.4) for reasons including, but not limited to: incompetence, unsatisfactory performance, neglect of duty, unacceptable personal conduct, misconduct that interferes with the ability of the employee to perform effectively the requirements of their position, or any material violation of university policies, regulations, or rules.  Discharge for cause is distinguishable from an “at-will” discontinuation and expiration of a fixed-term appointment.  Moreover, “at-will” EPS employees do not have a right to the discharge for cause process–regardless of whether grounds for a discharge for cause exist, and nothing in this policy or any companion regulation is intended to limit the university’s discretion to elect to discontinue an “at-will” employee in accordance with UNC Policy 300.1.1 and this policy.  For purposes of this policy, an individual serving in a fixed-term appointment should be regarded as having the protection of these procedures until the end of the term.

3.3.1 Notice

At least 24 hours prior to a scheduled pre-discharge conference, the EPS employee must be provided with written notice of the intent to discharge for cause including the following:

a) date, time, and location of a pre-discharge conference;
b) the procedures governing the pre-discharge conference;
c) the basis of the proposed discharge; and
d) the employee’s right to review / appeal in the event of a discharge.

3.3.2 Administrative Leave / Reassignment

If an EPS employee has not already been placed on administrative leave or reassignment pending a review or investigation into any allegations that would support a stated cause for discharge, the Chancellor (or designee) may place the employee on administrative leave or reassignment at the time the employee is notified of the intent to discharge for cause.  Any administrative leave or reassignment shall be with full pay.

3.3.3 Pre-Discharge Conference

The purpose of a pre-discharge conference is to provide the EPS employee with the opportunity to respond to the reasons stated for discharge for cause.

3.3.4  Discharge Decision

The decision on the proposed discharge shall be made within seven (7) calendar days following the pre-discharge conference, and the employee shall be notified in writing of the decision.

If the decision is to discharge the employee, the notification shall include the effective date of discharge and provide the employee with any applicable review / appeal rights available under relevant university policies or regulations.

As of the effective date of discharge, the employee’s employment shall end and all pay to the employee shall cease regardless of whether the employee pursues any applicable review or appeal.

3.4 Disciplinary Action and Discharge for Commissioned Police Officers.

Any employee occupying a covered commissioned police officer position shall be subject to the disciplinary procedures contained in Article 8 of Chapter 126 of the North Carolina General Statutes and any applicable policy or regulation.

3.5 Return to a Faculty Position

An EPS employee who is employed “at-will” and holds a concurrent tenured faculty appointment may assume the rights and responsibilities of that faculty appointment in the home department after a voluntary or involuntary removal from an administrative appointment, unless a separate proceeding is initiated to discharge or demote the employee from the faculty position.  Any administrative supplement paid during the administrative appointment must be removed once the employee’s administrative appointment ends. The employee’s new salary must be adjusted to a 9-month or 12-month faculty salary that is commensurate with the salaries of comparable faculty members within the employee’s department/college.

At the discretion of the Chancellor (or designee), a one semester paid transition leave may be provided for any tenured faculty member who has served in one or more consecutive EPS positions (e.g., Assistant/Associate Dean, Assistant/Associate Provost, Department Head, etc.) 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 leave, the administrator will submit a work plan for the leave period to include expected outcomes.  The plan will be reviewed and approved by the Chancellor or designee.

In the event that the faculty member does not assume faculty responsibilities for at least one semester after the transition leave in accordance with this policy, the Chancellor is authorized, in his or her discretion, to require repayment of compensation paid during the leave period from the non-returning faculty member.

3.5 Subsequent Appointment of an Administrator without Return to Faculty Rights

An EPS employee who is employed “at-will” has no claim to a position at the University.  The University may determine that it is in its best interest to assign an employee without a right to return to faculty to another administrative or teaching position.  In the case of such reassignment, the employee must receive advance notice in accordance with Section 3.1.1 above, and the new salary must be appropriate to the assignment.  Any exception to the above must be approved by the Board of Trustees and by the President.

3.6 Emeritus/Emerita Status

The Board of Trustees has delegated to the Chancellor the authority to confer emeritus/emerita status to EPS employees who have provided dedicated and distinguished service to the University. Individuals serving at the time of retirement in such a position and having ten or more years of service to NC State are eligible for emeritus/emerita status. Upon recommendation of the Chancellor, the Board of Trustees may make exceptions to these eligibility requirements and grant emeritus/emerita status in cases of exceptional distinguished service.  Additional information regarding emeritus/emerita status may be found in NCSU POL 05.20.02 – Emeritus/Emerita Status for Faculty and Senior Administrators.

4. REVIEW OF DISCONTINUATIONS, EXPIRATIONS OF TERM APPOINTMENTS OR TERMINATION OF EMPLOYMENT

Requests for reviews concerning discontinuation of “at-will” employment or expiration of term may be brought only upon allegations of violations of applicable notice or separation pay requirements, or violations of any provision of sections 5 (Equal Employment Opportunity) or section 6 (Protected Activity) of this policy.

5. EQUAL EMPLOYMENT OPPORTUNITY

It is the policy and intention of NC State that there be equal employment opportunity and freedom from unlawful discrimination in all employment within the University.  There shall be no discrimination on the basis of a Protected Status as defined in NCSU POL 04.25.05 (Equal Opportunity and Non-Discrimination).  Employment in an EPS position (and all positions at the university) shall be conducted in accordance with all provisions of state or federal law or regulation prohibiting any such discrimination, and in accordance with the  NCSU POL 04.25.05, and in accordance with applicable affirmative action plans.

6. PROTECTED ACTIVITY

Employment in EPS 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 EPS positions shall be subject to any limitations on political activity established by Article 5 of N.C.G.S. Chapter 126, Section 300.5.1 of the UNC Policy Manual.

7. STATUTORY AND OTHER RULES OF EMPLOYMENT

7.1 Privacy of Personnel Records

An EPS employee has the protections of and is subject to the provisions of Article 7 of N.C.G.S.126, entitled “The Privacy of State Employee Personnel Records.”