REG 05.25.06 Review and Appeal Procedures for Exempt Professional Staff (EPS) Employees

Authority:  Chancellor

History: First Issued: October 30, 2012.  Revised: February 6, 2025

Related Policies:

UNC Policy 100.1 – The Code – Chapter II – The Board of Governors
UNC Policy 100.1 – The Code – Chapter VI – Academic Freedom and Tenure
UNC Policy 300.1.1 – 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
NCSU POL01.05.08 – Faculty and Exempt Professional Staff (EPS) Appeal to BOT
NCSU POL04.25.05 – Equal Opportunity and Nondiscrimination Policy
NCSU REG04.25.02 – Discrimination, Harassment, and Retaliation Complaint Procedures
NCSU REG05.35.01 – Mediation Procedure for Faculty and Staff
University SHRA Employee Grievance Policy

Additional References:
N.C. General. Statute. §126-1
NCSU REG 05.25.06 Appendix A
NCSU REG 05.25.06 Appendix B

1.Introduction

In accordance with the UNC Code and UNC Policy Manual, this regulation provides employees in Exempt Professional Staff (EPS) positions for the review of discontinuations of “at-will” employment, termination, discharge from employment or other adverse employment action (“covered employment actions”).

2. Covered Positions

This policy applies to EPS employees in permanent positions as defined in UNC Policy 300.1.1–I.C.

This regulation does not apply to individuals whose primary appointments are as senior academic and administrative officers (SAAOs); nor to (a) faculty, including non-tenure-track faculty; (b) SHRA staff; (c) county operations support staff (COSS) employees; (d) postdocs or house officers; or (e) commissioned police officers — all of which are covered by other policies or regulations.

3. Covered Employment Actions / Reviewability

3.1 EPS employees may seek review of the following (“Covered Employment Actions”):

  1. Discontinuation of “at-will” appointment;
  2. Expiration of a fixed-term appointment;
  3. Discharge for cause; or
  4. Other formal discipline for cause, with formal discipline defined as an involuntary demotion in position and/or salary or a suspension without pay for disciplinary reasons.

3.2 EPS employees may seek review of Covered Employment Actions based on the allegations of:

  1. A violation of applicable notice requirements set out in Section 300.1.1 of the UNC Policy Manual;
  2. A violation of any provision of subsection III.D (Equal Employment Opportunity) of the UNC Policy Manual;
  3. A violation of any provision of subsection III.E (Protected Activity) of the UNC Policy Manual; or
  4. For discharge for cause or other formal disciplinary action, or for interpretation and application of a policy provision, all pursuant to and limited by subsection III.C of Section 300.1.1 of the UNC Policy Manual, a review may be sought only if the employee alleges the discharge, formal discipline, or policy interpretation, or application was illegal or violated a policy of the Board of Governors.

Consideration of other employment matters that are not listed above may be addressed through department and college/divisional channels described in Section 11 below.

4. Filing a Request for Review

4.1 Employees and their supervisors are encouraged to identify and resolve workplace problems promptly and informally. Before filing a request for review, the employee is encouraged to meet first with the supervisor whose actions gave rise to the complaint in an attempt to resolve the issue informally.

4.2 University Employee Relations is available to consult with any employee who has a complaint or concern and can assist in arranging a timely meeting with the supervisor/manager if requested by the employee.

4.3 If the employee is not able to resolve a complaint informally and wishes to pursue the matter, they must submit an EPS Request for Review Form to Employee Relations, no more than fifteen (15) calendar days after the decision or action that caused the complaint.

4.4 In accordance with UNC Code Section 612, if the written request for review is not received in a timely manner, then the employment action is final without recourse to any institutional review or appeal.

5. Reviewability

The Director of Employee Relations (“ER Director”)[1] will promptly review the request to determine if the matter falls within the scope of this regulation and is timely.  If the matter is reviewable, the ER Director will provide the employee and the department with a set of established procedures that describe the detailed logistics, action steps, and timelines for the review process.  If the matter is not reviewable, the ER Director will provide the appropriate party or parties with written notice of the determination, and the matter is closed.

6. Allegations of Discrimination

6.1 Referral to Office of Equal Opportunity (OEO)

If an EPS Request for Review Form submitted by an employee includes allegations of unlawful discrimination, the ER Director shall make a good faith effort to refer the allegations within five (5) calendar days of receipt to the Office of Equal Opportunity (OEO) for review.  The request for review is held in abeyance and all proceedings are put on hold until the OEO issues its determination on the allegations of discrimination.

6.2 OEO Investigation

If the OEO determines that the request for review contains allegations that, if true, might constitute a violation of NCSU POL 04.25.05 – Equal Opportunity and Nondiscrimination Policy, the OEO will initiate an investigation in accordance with NCSU REG 04.25.02 Discrimination, Harassment and Retaliation Complaint Procedures.  The amount of time required for an OEO investigation will depend on the specifics of the issues involved.

6.3 OEO Findings and Continuation of Review

The OEO will notify the employee and the ER Director of the outcome of its review.  If the matter is not resolved through the OEO process, the ER Director will then consult with the employee to determine if the employee would like to continue with the EPS Review or withdraw the Request for Review.

7. Informal Dispute Resolution

Covered employees may seek informal resolution of employment related disputes through facilitated conversations, outreach to the University Ombuds Office or mediation, administered through University Human Resources. Mediation is a structured process that allows parties to voluntarily discuss problems and attempt to generate mutually satisfactory resolutions.  Informal dispute resolution is available whether or not the matter is reviewable under the university’s formal review process.

If both the employee and the department voluntarily agree to participate in mediation, Employee Relations will arrange for a mediator(s) to facilitate a structured mediation session.  Mediators are neutral facilitators; they are not arbitrators and have no decision-making role in a mediation session.  Any decisions or agreements reached in a mediation must be between the parties themselves; except that an agreement to resolve a complaint that includes prohibited discrimination, harassment, and/or retaliation must also be reviewed and endorsed by the Office of Equal Opportunity (OEO) before it may be finalized.

If mediation does not occur or is not successful, reviewable matters proceed to formal review.

*See Appendix A for Mediation Procedures.

8. Step One – Review by Next Level Manager

8.1 The ER Director shall make a good faith effort to provide the next level manager with a copy of the employee’s EPS Request for Review Form within five (5) calendar days following receipt of the EPS Request for Review Form from the employee or OEO determination (if applicable) and shall advise the next level management to conduct a Step One meeting. Reasonable efforts shall be made to hold this meeting within ten (10) calendar days of notification to the next level manager.

8.2 Participation in Step One Meeting

Only the employee, the appropriate next level manager (or designee) and a representative of University Employee Relations (or designee) may attend the Step One Meeting.  No attorneys may be present in the meeting and no audio or video recording may be made of the meeting. Participants may make written notes from the meeting.

8.3 Written Decision

8.3.1 After the Step One meeting, the next level manager (or designee) may seek subsequent information from other relevant parties, as appropriate, including the individual whose actions gave rise to the issue, to understand the nature and scope of the situation and to formulate an informed response.

8.3.2 Notification of Written Decision

The next level manager (or designee) shall make reasonable efforts to issue a written decision to the employee with copies provided to the immediate supervisor and the ER Director within ten (10) calendar days following the Step One meeting.  If applicable, the Step One decision shall include any recommendations to resolve the issue, with a timeframe for implementing any such recommendations. The next level manager should consult with the ER Director before issuance of any recommendation that might result in a deviation from University policies, regulations, rules or standard operating procedures.

The Step One decision will be sent to the employee’s email and/or mailing addresses of record by a means that assures delivery and provides proof of receipt (e.g., email reply, FedEx, USPS certified mail, return receipt required, hand-delivered with signature receipt).  If the decision resolves the employee’s issue, the review is closed.  If not, the employee may submit a written request to the ER Director to move to Step Two.  Any written request to move to Step Two shall be submitted within five (5) calendar days following the issuance of the Step One decision.

9. Step Two: Review Hearing

 Upon notice of the employee’s decision to proceed to a Review Hearing, the ER Director shall take steps to form a Review Panel and proceed in accordance with procedures set forth in Appendix B of this regulation.

The Review Panel has no power to reverse an administrative decision; the Review Panel can only recommend a reassessment of that decision if it reaches the conclusion, based on the preponderance of evidence, that the decision was reached improperly.  The Review Panel presents its recommendations – along with the record of the hearing – to the Chancellor (or designee if delegated by the Chancellor).  After review of the official record and the Review Panel’s recommendation, the Chancellor shall issue a written decision.

  1. Final Appeal

If the Chancellor either declines to accept a Review Panel recommendation that is favorable to the employee or concurs with a Review Panel recommendation that is unfavorable to the employee, the employee may file a written appeal within fourteen (14) calendar days to the Board of Trustees.  The employee must file the appeal with the Chancellor (for transmission to the Board of Trustees) and a written notice of appeal that includes a brief statement of the basis for the appeal.  The notice must be sent to the Chancellor by certified mail, return receipt requested, or another means that provides proof of delivery.  In accordance with UNC Code Section 612, the decision of the Board of Trustees is final.

  1. Non-Reviewable Issues and Other Considerations

 Concerns over general organizational issues or actions are not reviewable matters under this policy, but consideration may be requested through departmental and college/divisional channels.  Such issues may include but not be limited to job title or job-category assignment; assigned rates or ranges of pay; organizational changes, such as department reorganizations or reallocation of resources; performance evaluations, including contents, comments and ratings; memorandums of expectations; decisions pertaining to remote work locations, or flexible work assignments; position elimination; salary determinations; workplace disagreements among work colleagues; separation due to the unavailability of contingent funding that was stipulated at the time of appointment; the decision to end an at-will appointment; or failure to issue a subsequent fixed-term contract.

An employee with a concern about such issues should first discuss the concern with the supervisor – or with the departmental manager to whom the supervisor reports.

If that discussion does not resolve the concern, the employee may arrange to meet with the department head.  Employee Relations will help arrange the meeting if desired.

If the employee does not consider the issue to be satisfactorily addressed after these discussions, Employee Relations may notify the appropriate administrator, up to the level of dean or vice chancellor, to provide the administrator an opportunity to consider the employee’s concerns.  Such decisions by the dean or vice chancellor, including decisions not to review a lower-level action, are final.

In the absence of filing a request for review, complaints alleging violations of NCSU POL04.25.05 – Equal Opportunity and Nondiscrimination Policy may be filed with the OEO.  See NCSU REG 04.25.02 – Discrimination, Harassment, and Retaliation Complaint Procedures.

 

[1] Unless otherwise noted, references to the ER Director throughout this regulation and its appendices will also include any designee of the ER Director (e.g., Employee Relations Strategic Partner).