XI. Employment of Permanent EPA Staff

The procedures described in this section apply to all permanent EPA staff positions throughout the University. These include both full-time and part-time non-faculty positions that are exempt from the State Personnel Act and involve "at will" appointments or appointments with a term of six months or more. EPA staff positions are covered by the provisions of Policy Statement # 64. Personnel Policies for Designated Employment Exempt from the State Personnel Act.

The following position designations are used to identify the administrators involved in the employment of EPA Staff:

• Unit Head (includes Department Chairs, Directors, and other unit heads)
• Division Designee (includes College Deans, Associate Vice Chancellors, others designated to act for a Vice Chancellor)
• Vice Chancellor (includes the Vice Chancellor for each of the Divisions of the University)

A. Position Review Process

When a vacancy occurs in an existing EPA staff position, the Unit Head reviews the position to confirm that the position description and the statement of physical requirements are up-to-date or takes appropriate action to bring them up-to-date. (See PIM-45: Identifying Essential Functions and Physical Requirements of EPA Staff Positions.) Assistance with this review may be obtained from the Human Resources Department or from the Associate Provost for Academic Budget and Personnel in the Office of Academic Affairs.

B. Recruitment Process

Vacant EPA staff positions are authorized for recruitment on the basis of justifications for staffing priorities that address the goals and program needs of the unit/department, area/college, division and University, including diversity goals and needs. After authorization to recruit is received from the Division Designee/Vice Chancellor, a recruitment plan is developed which specifies how the position will be used and how it will be advertised and establishes a schedule for the recruitment process.

1. Waiver of Search. It generally is expected that a search will be conducted to identify applicants for EPA permanent staff positions. The scope of the search (national, regional, local, or campus) is determined after careful consideration of the goals and needs of the University and other related factors, such as availability of an appropriate pool of applicants generated by a previous search. For a variety of reasons (often related to the academic calendar), it may be impractical or even impossible to follow regular search procedures.

Competitive search requirements may be waived on a temporary basis to meet special circumstances. The following list of such circumstances is intended to be illustrative, not exhaustive:

• There is insufficient time to conduct a normal competitive search and the administrator can identify a pool of one or more qualified candidates from existing pools or through local or regional networks and advertising.
• The administrator wishes to make an interim academic appointment for a period of one year or less while a competitive search is conducted.
• The administrator wishes to fill a temporary vacancy created by a leave of absence.

Since a temporary waiver of search is valid for one year only, a search of appropriate scope should be conducted anytime circumstances permit. Conducting at least a local search to fill a temporary vacancy provides more flexibility than filling the position without a search. For example, an appointment resulting from a local search to fill a temporary vacancy created by a leave of absence without pay could be renewed if the leave were extended for a second year. Extension of an appointment which did not involve a search would require review and justification.

To obtain a waiver of normal competitive search requirements, the hiring official should submit a signed Request for Waiver of Search for EPA Staff (AA-23) to the Vice Chancellor or Designee of the appropriate division for approval. The temporary waiver request should ordinarily be submitted before the Recommendation for Initial Appointment, but the Vice Chancellor or Designee may allow the temporary waiver request for an appointment of one academic year or less to be submitted concurrently with the Recommendation for Initial Appointment.

The Vice Chancellor or Designee is authorized to approve temporary waivers of search requirements for an appointment of one academic year or less.

Request for Permanent Waiver of Search Requirements

The following is a list of special circumstances where a search may be waived permanently. This list is intended to be illustrative, not exhaustive:

• The administrator wishes to appoint an individual deemed essential to an organized research program
• The individual is uniquely qualified to fill this position by virtue of their experience and expertise in the field.

In all cases where a search is permanently waived, a Waiver of Search form (AA-23), with a justification that explains the legitimate nondiscriminatory reasons for such a waiver, must be pre-approved by the Vice Chancellor. This includes positions where a temporary waiver was done for the first year of appointment and the individual is to be reappointed without a search for a second year or subsequent term.

Upon approval of this form, the Vice Chancellor will send a letter to the Chancellor justifying the need to permanently waive a search. At the same time, a copy of the AA-23 form and the letter to the Chancellor will be filed with the University Affirmative Action Officer.

Diversity Goals

At UNC Charlotte, we are committed to the recruitment of a diverse staff, and define staff diversity broadly to include all ways in which individuals differ. In particular, we are committed to increasing the numbers of people from groups which have been traditionally under-represented. We strive to ensure that our recruitment and hiring practices promote our University Vision and Diversity Goal, as excerpted below.

From our University Vision Statement: “UNC Charlotte will be known especially for the individual commitment of each member of its collegial and diverse faculty and staff to extending educational opportunity and ensuring student learning and success. . .”

From our University Diversity statement: “The University of North Carolina at Charlotte is committed to equality of educational opportunity and does not discriminate against applicants, students, or employees based on race, color, national origin, religion, sex, sexual orientation, age, or disability. In keeping with this commitment, UNC Charlotte actively seeks to promote diversity in its educational environment through its recruitment, enrollment, and hiring practices.”

From our University Diversity Goal: “…Increase the recruitment, retention, and success of faculty, staff, and administrators from diverse backgrounds and foster an environment that recognizes the benefits of diversity and supports an inclusive community.”

After an authorization to recruit is received, a Recruitment Plan is developed which specifies how the position will be used and how the department will recruit for the position.

What is the difference between Affirmative Action and Diversity?

Diversity has been defined as differences among people, as well as "differences among groups of people." Diversity at UNC Charlotte includes all such differences, which are valued because they contribute to the educational mission of the institution. Affirmative Action is one vehicle we use to help us achieve our faculty diversity goals. Affirmative Action is a program which includes efforts to improve the employment or educational opportunities of members of minority groups or women.

Who is responsible for assuring University meets affirmative action and diversity goals?

Diversity and Affirmative Action are everyone’s responsibility. Although the Human Resources department is charged with legal compliance of all EEO/AA laws and mandates, this can only happen with cooperation from departments and search committees. Since hiring is generally a “bottom up” process, with the members of a search committee defining the pool of candidates and assessing their qualifications, affirmative action and diversity goals will never be achieved without the understanding and commitment of the entire campus community.

2. Search and Screening Committee. Most units rely on committees to identify and screen applicants for vacant EPA staff positions. These committees generally are appointed by the Unit Head or sometimes by the Division Designee. Typically, the Unit Head identifies candidates for temporary replacement appointments without involving a search and screening committee. The Office of General Counsel has prepared a document containing guidlines and relavant legal information for search committee members. To view this document, select this link : Interview and Search Committee Guidelines.

The functions of the search and screening committee generally include the following:

• assisting with review of the job description and the criteria for the position,
• assisting with development of the recruitment plan for the position,
• seeking and finding qualified applicants who are interested in applying for the position,
• conducting an active search for qualified applicants from protected groups whose appointment would further staff diversity and equal opportunity employment,
• receiving, reviewing, and evaluating the applications of the candidates,
• conducting interviews of the top candidates for the position,
• recommending the final candidate(s) to the Unit Head or Division Designee.

The charge to the search and screening committee will vary according to the needs for each position; however, it should address the following: time schedule for the search; the University’s goals to increase diversity; number of final candidates to be recommended; resources available to support the activities of the committee and pay for the expenses of candidates to be invited for interviews; administrative guidelines and tasks involved in the recruitment and screening processes; and the importance of confidentiality in the recruitment process.

The EO/AA Programs and Compliance Administrator located in the Department of Human Resources is available to consult with the committee as it organizes the search and screening process. This Administrator can assist with selection of media for announcing vacancies, the request for affirmative action data, and information about applicants who respond to the demographic questions on the EPA Staff Profile.

3. Recruitment Plan. A Plan for Recruitment of EPA Staff (AA-22) is prepared by the recruiting unit for each position authorized to be recruited. The plan includes:

Position Information to describe the position by number, salary allocated to the position, term of appointment, title, and present or former incumbent (if applicable.)

Recruitment Information to indicate when and by whom recruitment was authorized; the salary range authorized for the recruitment; and when initial advertisements will appear, review of applications will begin, and the appointment is anticipated to be made.

A Unit Profile to describe the EPA staff in the unit in terms of race, and gender and indicate the appropriate affirmative action goals for women and minorities as published in the most recent affirmative action plan.

An Advertising Plan to indicate where advertisements will be placed, when they will appear and the estimated cost. It describes special efforts that will be employed to reach women and ethnic minorities. Copies of ready-to-mail advertisements and samples of flyers, vacancy notices, and letters to implement the advertising plan are to be attached.

The completed Recruitment Plan, signed by the Unit Head, is submitted to the Division Designee for approval. Upon approval, the Division Designee’s Office forwards an information copy including copies of the advertisement(s), to the University’s Affirmative Action Officer, who will compile for the recruiting unit the information that applicants provide on the EPA Staff Profile which is completed during the on-line application process. The original is forwarded to the Office of Academic Affairs as part of the appointment file AFTER an offer of appointment to the position has been accepted.

4. Advertising. The recruiting unit or the Division Designee’s Office pays for the advertising of positions. Ready-to-mail advertisements prepared by the recruiting unit are appended to the Recruitment Plan when it is submitted to the Division Designee. The advertisements are mailed to the media when the Recruitment Plan and the "advertising plan" it includes are approved by the Division Designee. The cover letter accompanying advertisements instructs the advertiser to whom the invoices for payment should be addressed.

Media. Positions are advertised in media which have appropriate audiences for the scope of the search. A search that is national or international generally advertises in The Chronicle of Higher Education and journals or newsletters published by national or international professional organizations. When it is determined that a position can be filled most appropriately through a search limited to the State, region, or campus, advertisements are authorized to be placed in media which serve the area of the search. Advertisements to appear in The Charlotte Observer are placed through the Office of Personnel Services. That office will submit the ad to the paper. The paper bills the University for all advertising on a monthly basis.

Other effective ways to publicize a vacant position include contacts at professional meetings, telephone calls and letters to colleagues at other institutions, letters or position announcements sent to institutions, agencies, or organizations, and listing on the homepage of the employing unit and the Human Resources Department.

Content. An advertisement must require reference to our on-line application process at https://jobs.uncc.edu, and must list documents to be included electronically with the on-line EPA Staff Profile. An advertisement must be accurate and, especially for publications which charge by the length of the advertisement, concise. It should be written in a style appropriate for the publication in which it will appear. It should provide sufficient information for applicants to determine their interest in the position and to learn how to apply and to obtain additional information. It must be free from text or illustrative material which implies that preference will be given to applicants on the basis of race, gender, religion, national origin, color, age, or absence of disability unless one or more of these is a bona fide occupational qualification for the position.

Although the specific topics to address in an advertisement will depend upon the type of position, the type of media, and the cost involved, the following topics typically are included:

• Title of position
• Place of position within the University organizational structure (i.e., to whom will the appointment report)
• Name of recruiting unit and Division
• Description of position
• Educational requirements
• Qualifications: experience, knowledge
• Length of appointment
• Starting date
• Salary
• Application materials required to be attached electronically
• Schedule for the search, including application deadline
• Requirement that all applicants must apply through our on-line application process
• Affirmative Action statement
• Criminal Background Check Requirement Statement
• Link to the Department website (optional)

All advertisements must include:

The educational expectations and/or qualifications that will be used to screen applications and make an employment decision. It may be useful to distinguish between the minimum required for appointment and what, in addition, is preferred.

Note: The advertised expectations and/or qualifications must be applied to all applicants; i.e., if an applicant is excluded from consideration for lack of a credential identified as a requirement for the position, all applicants who lack that credential must be excluded.

The affirmative action statement : UNC Charlotte is an affirmative action, equal opportunity employer, or to reduce advertising expense, the following notation: AA/EOE. The statement may be expanded to include: Women, members of minority groups, and persons with disabilities are encouraged to apply.

The criminal background check statement : Subject to Criminal Background Check

The starting date of the appointment and the schedule for the search. In cases where the search is expected to be straightforward, the statement might read. for example:

Position available October 15, 20XX; deadline for receipt of applications is July 1, 20XX.

Note: if this wording is used, only applications received by the deadline may be considered.

For many searches, more flexibility is needed and a statement such as the following is preferred:

Position available October 15, 20XX, or January 1, 20XX. Review of applications will begin July 1, 20XX, and continue until the position is filled.

In this case any application received before an offer of appointment is accepted may be considered.

Instructions for applying, including materials to be provided. Typically, such materials include resume, letter of application relating qualifications to requirements for the position, and the names/addresses/telephone numbers of a specified number of persons knowledgeable about the applicant’s background and qualifications.

The EO/AA Programs and Compliance Administrator in the Department of Human Resources is available to assist with preparation of advertisements.

5. Affirmative Action Recruitment. UNC Charlotte is committed to equality of opportunity in employment for all qualified persons and does not discriminate against applicants or employees based on race, color, national origin, religion, gender, sexual orientation, age, disability, or status as a Vietnam Era Veteran. Further, the University is committed to affirmative action efforts to recruit qualified members of protected groups both for the effective implementation of its equal employment opportunity policy and for achievement of diversity on the basis of race, ethnicity, gender, and disability. All advertisements and vacancy notices include the following statement: UNC Charlotte is an affirmative action, equal opportunity employer; or notation: AA/EOE. It may be expanded to include: Women, members of minority groups, and persons with disabilities are encouraged to apply.

The chief administrator in each unit serves as the Unit Affirmative Action Officer and is responsible for all efforts within the unit regarding equal opportunity and affirmative action as specified in the University’s Affirmative Action Plan. These responsibilities include advertising or announcing vacancies where they are likely to be seen by a wide variety of prospective applicants, including minorities and women; requesting assistance of institutions, organizations, and colleagues to identify qualified applicants from protected groups; and ensuring that applications are reviewed and decisions are taken in compliance with the University’s commitment to affirmative action, equal opportunity employment, and multicultural diversity.

The University Affirmative Action Officer provides information for evaluating the effectiveness of each recruitment by listing on the Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24) the sources of vacancy information indicated by applicants responding to the demographic data in the EPA Staff Profile.

The EO/AA Programs and Compliance Administrator is available to assist with efforts to enhance the effectiveness of the affirmative action recruitment process. For example, the recruiting unit may obtain assistance with writing advertisements and identifying media to reach a wide variety of prospective applicants.

At the conclusion of each search, the University Affirmative Action Officer evaluates the affirmative action recruitment efforts for that position by reviewing the completed appointment file submitted to the Office of Academic Affairs including the Recruitment Plan, Report of Recruitment Results and Request to Interview, and Recommendation for Appointment. A written evaluation of the search is provided to the Vice Chancellor.

6. Avoiding Discrimination. The law recognizes two types of employment discrimination claims: intentional discrimination and disparate impact (whether the hiring standards applied have a disparate impact on a protected group). To avoid such claims, it is important to have well-documented justifications for the legitimacy of all hiring and employment decisions.

To avoid hiring or employment decisions that may have a disparate impact on a protected class, those making recommendations or decisions on initial appointments should carefully consider the standards they apply to determine whether there is any alternative standard that would not have such an effect. If there is no alternative standard available, then they must be able to demonstrate that the standard applied is job-related and consistent with business necessity.

For instance, it is legitimate to require a successful candidate to have a particular kind of experience or training that reflects a certain philosophy or theory. If that philosophy or theory happens to be current or recent (such as deconstructionist theory), the result may be that only those with recent training and experience (who are often younger) are qualified for the position. As long as that requirement can be justified by the needs of the hiring department or college, there is no other standard that could be used as an alternative, and it is not a pretext for hiring only "recent graduates" who are likely to be younger, it should be legitimate.

7. Affirmative Action Data Request.The University Affirmative Action Officer monitors the recruitment of applicants for EPA staff positions in order to evaluate the effectiveness of affirmative action efforts. This evaluation requires that the candidate complete the demographic questions on the EPA Staff Profile.

Upon approval of the Recruitment Plan for a position, the recruiting unit advertises the position and solicits applications/nominations. When a candidate submits their on-line application, an email acknowledgement thanking the candidate for applying at UNC Charlotte will be generated with a successfully submited EPA Staff Profile, provided the candidate included their email address.

The EO/AA Program and Compliance Administrator who works with the University Affirmative Action Officer compiles information from the EPA Staff Profile for each position being recruited. A summary of the information is appended as page 3 of the Report of Recruitment Results and Request to Interview EPA Staff Candidates (AA-24). In addition, the EO/AA Program and Compliance Administrator provides information about the gender and ethnicity of the "Top Applicants" listed on page 2 of Form AA-24 if the applicants have disclosed this information. This information is returned to the recruiting unit for use in assessing the effectiveness of the recruitment effort to reach members of protected groups before submitting the Request to Interview to the Division Designee.

Recruitment efforts that do not attract applications from appropriate numbers of individuals in underutilized categories are reviewed by the Unit Head and Division Designee to determine if, and how, current recruitment efforts might be made more effective.

For additional information regarding the collection of affirmative action data, contact the EO/AA Programs and Compliance Administrator (x2804).

8. Withdrawn, Suspended, or Continued Searches. In some instances recruitment efforts do not produce an appropriate pool of applicants for a position or for some other reason it becomes necessary to withdraw or suspend a search or to continue it into a new recruitment period. When this happens, the Unit Head submits a written request to withdraw, suspend, or continue the search to the Division Designee for approval. This request specifies the position # and title of the position and the reason(s) for withdrawing, suspending, or continuing the search. The Division Designee is responsible for informing the Vice Chancellor and the University Affirmative Action Officer about changes in the status of searches.

Upon the Division Designee’s approval to suspend the search, recruitment for the position ceases until the Division Designee re-authorizes recruitment and a new recruitment plan is approved.

9. Storage of Applicant Files.The University is required to keep the files of all applicants for EPA staff positions for three years in order to respond to any questions that arise about search, screening, or appointment decisions. If hard copies are not made, the on-line application software can be accessed for this information.

The official personnel files of successful applicants are maintained in the Office of the Vice Chancellor in which they are employed and working files are kept as needed in the offices of Unit Heads and Division Designees. In addition, a file for all EPA employees in the University is maintained for the Chancellor in the Office of Academic Affairs. The files of all other applicants are stored until they are scheduled to be destroyed.

Policy Statement #59 specifies that the files of unsuccessful applicants are to be forwarded to the office of the appropriate Vice Chancellor where they are retained three years and then destroyed. Unfortunately, the Office of Academic Affairs does not have space to accommodate these files, and this may be true for other Vice Chancellors.

Until further notice, units in Academic Affairs are asked to retain their hard copies of files for unsuccessful applicants for three years after the close of the search. At the end of the three years, the files should be destroyed. Other Vice Chancellors will provide instructions about the retention and disposition of these files for their Division.

C. Screening Process

There are generally four times in the search and screening process when decisions are made about which applicants will receive further consideration. Throughout the screening process, it is imperative that the reviewers apply the advertised expectations and/or qualifications for the position to all applicants in the same way; i.e., if an applicant is excluded from consideration for lack of a credential identified as a requirement for the position, all applicants who lack that credential must be excluded.

1. Initial Screening. The initial screening separates ineligible applicants from eligible candidates by eliminating applicants who do not meet the minimum criteria advertised for the position. It may be done as applications are received, after the announced date for screening to begin, or after the announced date for applications to be received. The task is sometimes delegated to a subcommittee of the search and screening committee. A list of all applicants is compiled automatically with the on-line process as applications are received. Applicants determined to be ineligible will be coded using the on-line application software as "Not Selected As Finalist (EPA)". An email is automatically generated once their status has changed in the system to inform them they are not being considered for the position (if they provided an email address on their EPA Staff Profile). The candidates determined to be eligible for further consideration are subject to a second, more detailed screening.

2. Evaluating the Qualifications of Eligible Candidates. The second screening is the major review to determine how well the candidates meet the job qualifications and criteria for the position. It is conducted after the announced date for screening to begin or for applications to be received. Search and screening committees sometimes develop checklists to assist members of the committee in their review of the materials for each applicant. The screening criteria presented in the checklist may be more detailed than the advertised expectations and qualifications but they cannot be contradictory to them. This screening identifies the candidates for whom complete application files, including reference letters, will be compiled. The list of applicants is updated to indicate the candidates for whom complete files will be compiled.

3. Selecting Candidates for Interview. The third screening takes place after complete application files of candidates are compiled. It produces a short list of the top (10-12) candidates which is rank ordered and from which the candidates to be invited to campus for interview are selected. The list of applicants is updated for submission as part of the Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24).

4. Selecting the Finalist(s). The fourth screening identifies the finalist(s) to be recommended to the Unit Head or Division Designee. This selection is made after taking into consideration the opinions of the participants in the interview process.

If the finalist is currently employed at another campus within the University of North Carolina system, the following procedure must be followed.

• The appropriate Vice Chancellor at UNC Charlotte must notify the Vice Chancellor from the other campus when the selection is made.
• The current campus of the employee may request the terms of the offer within 5 days to make an equivalent offer.
• No offers of an ACADEMIC appointment can be made within 90 days of the start of a semester unless mutually agreed upon by authorized campus officials.
• Upon hiring an employee from another campus, any transfer of a contract or grant or equipment can only be accomplished with the approval of both Chancellors.

The full text of this regulation can be viewed at http://www.northcarolina.edu/content.php/legal/policymanual/300.2.7[r].pdf

D. Interview Process

When the short list of top candidates for a position has been compiled and the candidates to be invited to campus for interview are selected, the Unit Head compiles a report of recruitment results and requests authorization to interview. This is accomplished by completing and processing a Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24). The Unit Head completes the first two pages of the form and forwards a copy to the EO/AA Programs and Compliance Administrator in the Department of Human Resources thereby requesting completion of the third page. The EO/AA Programs and Compliance Administrator completes the third page and annotates the second page as appropriate and returns the completed form to the Unit Head. The Unit Head reviews the completed form and forwards it to the Division Designee for approval.

Special procedures are involved when candidates for interview are non-resident aliens (See Section XI.D.1).

1. Request to Interview. Invitations to candidates for on-campus interviews must be authorized in advance by the Division Designee. Preparation of the request for authorization to interview should include consultation with appropriate offices to determine possible dates available for interview.

All candidates are interviewed by the Unit Head and Division Designee. In some divisions and for some positions, the Vice Chancellor also interviews all candidates. The Vice Chancellor may be requested to interview candidates for other EPA staff appointments at the request of a Division Designee.

A Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24), credentials, and justification for each candidate to be interviewed must be processed far enough in advance of proposed interview dates to allow for careful review by the Division Designee. Justifications for interviews are expected to address the following: (1) relevant prior experience; (2) educational background; (3) qualifications specifically relevant to the positions; and (4) other qualifications and experience relevant to educational diversity and other goals and programmatic needs of the unit, division, and University.

Review of Visa Status of Non-Resident Aliens. If a candidate to be interviewed is not a U.S. citizen or permanent resident (See List of Visa Categories.), the Director of the International Student / Scholar Office is consulted to review the candidate’s current visa status and to assist the recruiting unit with the procedures for hiring foreign staff members. A completed UNC Charlotte Visitor Information Form and an IRS Form 8233 signed by the candidate must accompany the Request to Interview.

2. Report of Recruitment Results. The Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24) is used by the Unit Head to provide documentation regarding: (a) all the applications received for the position and (b) affirmative action data obtained from the EPA Staff Profile. The EO/AA Programs and Compliance Administrator supplies a summary of the information disclosed by applicants on the EPA Staff Profile and relevant information from the Affirmative Action Plan.

3. Authorization to Interview Candidates. After reviewing the report of recruitment results, the credentials, and the justification for interview of each candidate, the Division Designee uses the Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24) to indicate approval, required modifications, or denial of the request for authorization to interview candidates. The original form is forwarded to the Office of Academic Affairs as part of the appointment file when an offer of appointment has been accepted.

4. Arrangements for the Interview. Final arrangements for the interview are made as soon as Form AA-24 has been approved by the Division Designee. This involves:

• making arrangements for the candidate's travel and accommodations
• establishing an interview schedule and itinerary for the visit; and
• distributing the interview schedule and itinerary to participants in the interview

If the Vice Chancellor or Chancellor is to interview the candidate, the Division Designee’s Office makes the arrangements and forwards a copy of the candidate’s interview schedule and file far enough in advance of the interview to provide the interviewer(s) an opportunity to review the candidate’s file prior to the interview.

All candidates must complete a Criminal Background Check Disclosure Form at the time of the interview. When the finalist is selected, his/her disclosure form is submitted to Academic Affairs so that a Criminal Background Check may be conducted prior to the formal offer of employment. Disclosure forms for the unsuccessful candidates should be retained in the department with the other applicant paperwork and can be destroyed in three years. The University Policy on Criminal Background Checks is available on the University Attorney's web page. See Criminal Background Reporting Procedures.

5. Travel Authorization and Arrangements. To qualify for reimbursement of travel expenses, the candidate’s travel must be approved in advance of the visit. (State funds may not be used to reimburse travel expenses for members of the candidate’s family.) The Unit Head accomplishes this by completing the Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24) and specifying the estimated cost of travel, including hotel and meals. Note: The first page of AA-24 replaces the Travel Authorization for Non-Employees form previously required if the following information is provided for each candidate to be interviewed:

Name: Traveler’s name

Non-Resident Alien: Check this line if the candidate is a non-resident alien and attach a completed UNC Charlotte Visitor Information Form and an IRS Form 8233 signed by the candidate.

Travel from: Point of departure

Anticipated Travel Dates: Enter the beginning and end dates of the travel.

Hotel Voucher Number Needed: Check this line on the form to obtain a hotel reservation voucher number for one of the hotels with which the University has a direct billing arrangement. A voucher number is assigned by the accounts payable travel clerk and communicated to the department. When making the hotel reservations the hotel will require the voucher number as a part of the reservation information. This voucher number gives the hotel the authority to invoice the University for the lodging. Leave the line blank if the candidate will not be staying at a hotel approved for direct billing.

Mode of Transportation: Please specify the mode of transportation: air, personal auto, rental, other (specify).

Airline Travel Code Needed: Check this line to obtain an airline travel code if the department is making the reservation for the candidate. A travel code is assigned by the accounts payable travel clerk and communicated to the department. The University’s travel agent (AAA) will require the travel code in order to make the reservation. This code gives the travel agent (AAA) the authority to invoice the University for the airline travel. Leave the line blank if the candidate is making the reservation.

Rental Vehicle Authorized: Check this line if a rental car is necessary and the Division Designee is giving advance authorization for the rental.

Estimated Cost: Enter estimated expenses for transportation, subsistence at the in-state rate, and total expenses. The Division Designee’s Office should consult with the Vice Chancellor’s office before authorizing expenses beyond the State limit that would require the use of Non-State resources.

Excess Lodging Including Tax: If lodging expenses exceed the State rate, they must be approved in advance. Indicate the total per night (including tax) if lodging exceeds the approved in-state limit.

Account Numbers: Provide the University account number(s) against which the expenses will be charged.

The Division Designee’s Office is responsible for forwarding a copy of the first page of Form AA-24 with original signatures to the Travel Clerk in Financial Services before the travel dates.

Following are guidelines to facilitate travel authorization and arrangements:

a. Arrange interview dates to take advantage of the best airline rates available for dates mutually agreeable to the recruiting unit and the candidate and determine whether the unit or the candidate will make the reservations.

The unit can make the reservations and send the candidate a prepaid ticket or the candidate can purchase the ticket and be reimbursed. Since the best airfares often are available for nonrefundable tickets or tickets that charge a penalty if changes are made, prepaid tickets should be used prudently.

Clarify that the State will reimburse air travel only at the coach rate and that it will pay mileage for a private automobile up to the cost of coach airfare for the same trip.

b. Explain to candidates that the recruiting unit will make a hotel reservation for them. If a candidate will not be staying at a hotel that will bill the University directly, explain that the candidate will be expected to pay the bill but will be reimbursed after the visit.

c. To make a reservation at a hotel with which the University has a direct billing arrangement for lodging expenses, contact the reservation clerk at the hotel where the candidate will be staying.

Reference:UNC-Charlotte
____________________Division

Voucher Number: XFCXXX. (The first digit denotes the number of nights; FC is constant; the last three digits are provided by the UNC Charlotte travel clerk, Ext. 4089.)

The travel clerk must have a copy of the first page of the Report of Recruitment Results and Request to Interview EPA Staff Candidates (Form AA-24) approved by the Division Designee in order to assign the voucher number. That form must clearly specify the dates of travel and the number of nights of lodging that are authorized. (The UNC Charlotte Travel Authorization form for Non-Employees may be submitted to the Travel Clerk instead of Form AA-24 but Form AA-24 still must be completed.)

Only the room and tax charges will be billed to the University through this process. Any additional expenses must be paid by the candidate and, if appropriate, reimbursed through normal procedures. Candidates are responsible for paying personal expenses including telephone calls, laundry and cleaning.

The University will pay only for the number of nights authorized by the first digit in the voucher number. The maximum number of nights that can be reimbursed from State funds is three (3) unless documentation is provided that demonstrates an overall savings to the State due to decreased airfare resulting from additional days of layover in Charlotte. Lodging for additional nights not supported by decreased airfare must be paid from non-state funds.

d. Explain that the candidate must pay travel expenses not arranged to be prepaid or billed directly to the University but will be reimbursed after the visit. Airline ticket, hotel, parking, and taxi receipts are required. Receipts for meals are not required. Use of a rental car requires special prior approval which is obtained by submitting a justification for use of rental car with the request for authorization to interview.

e. During the campus visit, the candidate’s signature and social security number are obtained on the travel reimbursement form.

6. Reimbursement of Travel Expenses. The Division Designee authorizes reimbursement of a candidate’s travel expenses by approving a properly completed Request for Reimbursement of Travel Expenses with required receipts which is submitted with a copy of the first page of the Report of Recruitment Results and Request to Interview (Form AA-24).

Guidelines for Reimbursement of Travel Expenses. Following are guidelines to facilitate the reimbursement of travel expenses:

a. Each candidate is asked to sign a Request for Reimbursement of Travel Expenses during the interview and to provide his/her social security number and the address to which the reimbursement is to be sent. The recruiting unit completes the Request for Reimbursement after receiving an itemized list of expenses and the required receipts from the candidate. The completed form is sent to the Division Designee’s Office for approval and an account number. The Division Designee’s Office submits the Request for Reimbursement to the Travel Clerk for processing. The reimbursement check is mailed directly to the candidate by Accounts Payable.

b. Candidates must pay all expenses not arranged to be prepaid or billed directly to the University. They must provide receipts for airfare, hotel (unless the University has arranged direct billing), taxi and parking.

• Airport parking is limited to 96 hours and a receipt is required.
• Expenses are reimbursed at the in-State subsistence rate allowed for State employees.
• Candidates who travel by air can be reimbursed only at the tourist (coach) rates. We are allowed to pay mileage for a private automobile up to the cost of coach airfare for the same trip.
• The cost of rental cars cannot be reimbursed unless approval for their use has been obtained in advance. Approval for use of a rental is based on a justification submitted with the Report of Recruitment Results and Request to Interview (Form AA-24).
• State resources may not be used to reimburse for the following: purchase of alcoholic beverages, telephone calls, and travel expenses for other than the candidate.

Reimbursement of University Employees for Purchase of Meals for Candidates and Related Entertainment Expenses. The following procedure is used to reimburse a University employee for purchase of meals for a candidate:

a. The recruiting unit prepares a check request made payable to the University employee, attaches receipt(s) for the meal(s), and submits it to the Division Designee’s Office with the request for travel reimbursement for the candidate.

b. The check request identifies the faculty candidate by name and specifies the date and the type of meal (breakfast, lunch, dinner).

c. The cost of the meal(s) for the candidate may be reimbursed at the in-State subsistence rate from a State 3100 (Travel) account.

d. All candidate expenses in excess of the in-State subsistence rate, the cost of the meal(s) for the faculty member, and all alcoholic beverage costs must be reimbursed from a discretionary/institutional trust 3900 (Other Current Services) account.

Reimbursement for Candidate Expenses. The Vice Chancellors have a modest amount of non-State resources to assist with reimbursement for expenses of candidates in excess of State limits. The Division Designee should consult with the Vice Chancellor’s Office before authorizing expenses beyond the State limit that would require use of these resources.

Reimbursement for Employee Expenses. Each Vice Chancellor establishes guidelines and procedures to reimburse University employees for expenses incurred while entertaining candidates, e.g., alcoholic beverages and meals for University employees. Employees should obtain >advance approval to receive reimbursement for these expenses before incurring them.

7. Employee Benefit Information for Permanent Full-Time EPA Staff Members. Detailed information is available upon request from the Benefits Office (King 225) and each new employee receives a packet of information about fringe benefit programs and options that may be obtained from Benefits anytime after an offer of appointment is accepted. For more information, visit the Benefits Summary.

Effective Date for Health Insurance. The effective date for the health insurance benefit provided for eligible employees generally is the first day of the month following the date of employment. For example, a staff member employed on August 16 would have an effective date of September 1 provided proper application has been made. Contact the Benefits Office for additional information.

8. Criminal Background Check Disclosure Statement. The University requires that criminal background checks be conducted on all new EPA non-faculty appointments. When a candidate is brought to campus for an interview, he/she completes the Criminal Background Check Disclosure Form. Once a finalist is selected, the unit head/division designee forwards his/her disclosure form to Academic Affairs and a criminal background check is conducted. When the check is completed, Academic Affairs will notify the contact person listed on the disclosure form. The hiring unit may then proceed with the offer of employment. In exceptional cases an offer of employment may be made prior to the completion of the Criminal Background Check, but the appointment is contingent on the completion of the criminal background check. The University Policy on Criminal Background Checks is available on the University Attorney's web page.

E. Appointment Process

EPA staff appointments are made in accordance with the provisions of Policy Statement #64: Personnel Policies for Designated Employment Exempt from the State Personnel Act (hereinafter, the Personnel Policies).

1. Selection of the Candidate to be Offered an Appointment. The Unit Head consults with the participants in the interview process to obtain their opinions about the candidates and, taking these opinions into consideration, selects the candidate to be offered appointment.

2. Negotiation of Salary and Other Terms and Conditions of Employment. The Vice Chancellor/Division Designee is responsible for negotiations with the candidate regarding salary and other terms and conditions of employment and moving expenses. The range of negotiation generally is limited, for example, by the salary resources allocated to the position and the availability of resources to support other needs. Since not all candidates are equally experienced or skilled in negotiation, care should be taken not to disadvantage the less experienced negotiator who presents comparable professional qualifications.

The Division Designee is expected to consult with the Vice Chancellor before making even an informal offer, such as an offer to pay moving expenses, using resources that are not directly controlled by these individuals.

3. Recommendation for Appointment. The Unit Head prepares the Recommendation for Appointment of EPA Staff (Form AA-25), and forwards it with the candidate’s complete file to the Division Designee. The candidate’s file should include: resume, letters of recommendation (optional), transcript (optional), PD-7, visa documentation (if required), the AA-34 forms and other pertinent documentation.

The Division Designee approves the Recommendation for Appointment of EPA Staff (Form AA-25) and submits it with the candidate’s complete file and copies of the Recruitment Plan, Report of Recruitment Results and Request to Interview, Request for Waiver of Search (if any), and PD-7 to the Vice Chancellor.

4. Offers of Appointment/Appointment Agreements. Offers of appointment are issued in the form of an Agreement for Permanent EPA Staff Appointment (AA-26) signed by the Vice Chancellor and accompanied by a cordial letter of invitation to join the staff of the University of North Carolina at Charlotte. The Appointment Agreement contains the terms and conditions of employment, including title, salary, term of appointment (effective November 2004, all SAAO Tier I and II appointments are "at will" as mandated by the Board of Governors) and other terms and conditions of appointment (if any). Copies of Policy Statement #64: Personnel Policies for Designated Employment Exempt from the State Personnel Act and University Policies Governing Employee Involvement in Political Candidacy and Office Holding must be provided to the candidate with the offer of appointment. Additional requirements apply to persons to be employed as coaches; check with the Office of Academic Affairs regarding these requirements.

5. EPA Payroll Action Form (PD-7). Information required to place a new EPA staff member on the payroll is provided by completing the appropriate sections of the multi-purpose EPA Payroll Action Form (PD-7) and attaching it to the Recommendation for Appointment of EPA Staff (AA-25) when it is submitted to the Division Designee.

The Vice Chancellor is responsible for forwarding the completed and approved PD-7, along with the complete personnel file, to Academic Affairs when the offer of appointment has been accepted.

6. Accepted Appointments. When an offer of appointment is accepted and the appointment agreement is signed and returned by the new EPA staff member within the period for acceptance set in the offer of appointment (See item 15 of the Agreement for Appointment), the Vice Chancellor forwards the accepted Agreement for Appointment (AA-26) with the complete file and copies of the Recruitment Plan (AA-22), Report of Recruitment Results and Request to Interview (AA-24), Request for Waiver of Search (AA-23) (if any), Recommendation for Appointment (AA-25), the Verification of Credentials form (AA-34), Criminal Background Check and PD-7 to the Office of Academic Affairs.

Department Administrator changes the status on the remaining candidates in the pool of applicants to "Not Selected As Finalist (EPA)" or "Finalist (EPA)", which completes the online process.

The Office of Academic Affairs is responsible for (1) preparing the materials required to submit to the Board of Trustees for appointment of SAAOs (Senior Academic and Administrative Officers - Tier 1); (2) preparing letters for the Chancellor’s signature to notify candidates of actions taken by the Board of Trustees; and (3) establishing the Chancellor’s personnel file for the staff member.

F. Personnel Review Process

The performance of all University employees is reviewed and evaluated regularly to guide and support staff development and to provide the basis for personnel decisions including salary adjustment, reappointment, and promotion. Each of the Vice Chancellors is responsible for the process for reviewing each EPA staff member on an annual basis who holds an appointment in their Division.

G. Reappointment Process

Employment of an EPA staff member established by the Appointment Agreement to be for a stated definite term expires automatically at the conclusion of the stated term; however, such an appointment may be renewed or extended at the option of the employer in accordance with the requirements of Section II of the Personnel Policies. An EPA staff member must be given advance notice of the expiration of a term appointment; the amount of notice required depends the length of the initial term. See Section III.B of the Personnel Policies.

Recommendation for Reappointment. Recommendations for renewal or extension of the employment of EPA staff on stated definite term appointments are prepared by the Unit Head and submitted to the Division Designee on the Recommendation for Appointment of EPA Staff (Form AA-25) accompanied by an updated resume, PD-7, visa documentation (if applicable), Affirmative Action Memorandum (Form AA-27), and other documentation as appropriate.

If the Division Designee approves the Recommendation for Appointment of EPA Staff (Form AA-25), it is forwarded with the attachments to the Vice Chancellor.

Offers of Appointment/Appointment Agreements. Offers of reappointment are issued by the Vice Chancellor in the form of a letter which addresses the requirements of Section II of the Personnel Policies or in the form of a new Agreement for Permanent EPA Staff Appointment (AA-26).

Accepted Reappointments. When an offer of reappointment is accepted and the appointment agreement is signed, the Vice Chancellor forwards the accepted Appointment Agreement and the PD-7 to the Office of Academic Affairs.